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Measuring the Relationship Between Educational Administrators' and Teacher Leaders' Leadership Styles and School Culture
Kristina K. Garcia
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MEASURING THE RELATIONSHIP BETWEEN EDUCATIONAL ADMINISTRATORS’ AND TEACHER LEADERS’ LEADERSHIP STYLES AND SCHOOL CULTURE
A dissertation submitted in partial fulfillment of the requirements for the degree of DOCTOR OF EDUCATION in EDUCATIONAL ADMINISTRATION AND SUPERVISION by Kristina K. Garcia 2020
To: Dean Michael R. Heithaus
College of Arts, Sciences and Education
This dissertation, written by Kristina K. Garcia, and entitled Measuring the Relationship Between Educational Administrators’ and Teacher Leaders’ Leadership Styles and School Culture, having been approved in respect to style and intellectual content, is referred to you for judgment.
We have read this dissertation and recommend that it be approved.
______________________________
Teresa Lucas
______________________________
Mido Chang
______________________________
Thomas Reio
______________________________
Peter J. Cistone, Major Professor
Date of Defense: July 1, 2020
The dissertation of Kristina K. Garcia is approved.
______________________________
Dean Michael R. Heithaus
College of Arts, Sciences and Education
______________________________
Andrés G. Gil
Vice President for Research and Economic Development
and Dean of the University Graduate School
Florida International University, 2020
© Copyright 2020 by Kristina K. Garcia
All rights reserved.
DEDICATION
This dissertation is dedicated to the memory of Dr. Joanne Sanders-Reio, who always advised me to reflect critically, to explore opposing perspectives, to think deeply, but to write simply. Thank you for all of your support and your encouragement.
I also dedicate this dissertation to my three lovely daughters; Jordan Nicole, Lilianne Elizabeth, and Emma Grace. Throughout this process, you have been a constant source of motivation, support, and encouragement. You have exercised eternal patience with the endless late nights, banishment to the park so that I could write papers, and simple (and sometimes late) dinners so that I could accomplish all that I have. You have been my biggest cheerleaders though plenty of challenges. There were times when I doubted, but I never quit and that is because of you. As I always tell you, nothing worth doing is ever easy. You can accomplish anything in life, if only you have the will to see it through. I hope that you are able to read this and understand that I have done all of this for you. I love you all.
ACKNOWLEDGMENTS
I would like to acknowledge Dr. Daniel Saunders, whose endless patience and support have helped me to get over this finish line. You have gone above and beyond to help me achieve my goals. Thank you for all of your words of wisdom, petitions, and assistance.
I would also like to acknowledge my committee members, Dr. Teresa Lucas, Dr. Mido Chang, and Dr. Thomas Reio, whose tolerance and advice have been instrumental to helping me to complete this project. Without your patience and perseverance, I would not have been able to complete my program. I thank you.
I would like to say thank you to Victoria Dobbs, Nicole Berge-MacInnes, and Joseph Eberhard for allowing me to work with your faculty and for your willingness to show yourselves for the exemplary leaders you are.
Finally, I would like to acknowledge my major professor, Dr. Peter J. Cistone. Throughout this process, you have been a cheerful and constant source of encouragement. The challenges that I have had to face in order to complete this project and this program have been many; however, it is your direction and guidance that have helped me through all of them. Your excellent teaching and guidance have helped to shape me into the leader that I am. I truly enjoyed our classes, our discussions, and our debates. Thank you for everything.
The purpose of my study was to examine the relationship between educational administrators’ and teacher leaders’ leadership styles, and school culture and sought to measure the correlation between the perceived leadership styles of formalized leaders and school culture. The theoretical framework of the study was derived from the Bass and Avolio (1985) Full Range Leadership Model describing the transactional to transformational leadership continuum.
Data for the study were collected using the Multifactor Leadership Questionnaire (MLQ-5X Short Form), a survey containing 45 questions on a Likert type scale. The purpose of the survey is to examine the degree to which leadership behaviors fit along the continuum as a function of the leader and followers’ perceptions. The second instrument, the Organizational Description Questionnaire (ODQ) is a survey containing 28 questions designed to evaluate an organization’s culture profile.
The data were analyzed using One-Way Analysis of Variance (ANOVA) to ascertain whether there was a significant difference between the primary leadership style
of administrative leaders, teacher leaders, and followers perception of leadership style; to discover whether a significant difference exists between the perceived school culture profiles; and the relationship that exists between leadership styles and school culture. The study confirmed a difference between administrative leaders’ and teacher leaders’ leadership styles. It also demonstrated that there is a significant difference between the participants’ perceived organizational culture and the transactional profile, which verified that the schools demonstrate significant transformational characteristics. The study confirmed that there is no significant difference between the transformational characteristics of leaders and that of school culture. An analysis of the characteristics found that the predominant combination of styles and culture was TF Moderately Four I’s (Highly Developed) combined with TF Idealized Influence (Attributes), both highly transformational.
My study’s findings illustrate that leaders who demonstrate transformational characteristics also demonstrate a significant amount of transformational culture characteristics. These conclusions elucidate the practices within the organization that there is, in fact, a relationship between educational administrators’ and teacher leaders’ transformational leadership style and transformational school culture.
# TABLE OF CONTENTS
## CHAPTERS
| Chapter | Page |
|------------------------------------------------------------------------|------|
| I. Introduction | 1 |
| Statement of the Problem | 4 |
| Purpose of the Study | 5 |
| Significance of the Study | 6 |
| Research Questions | 7 |
| Hypotheses | 7 |
| Limitations of the Study | 9 |
| Operational Definitions | 9 |
| Summary | 14 |
| II. Literature Review | 15 |
| Theoretical Framework | 15 |
| Transactional Leadership | 17 |
| Transformational Leadership | 20 |
| School Culture | 23 |
| Studies on Leadership | 24 |
| Studies on Teacher-Leadership | 29 |
| Studies on School Culture | 34 |
| Gaps in the Literature | 43 |
| Summary | 45 |
| III. Methodology | 46 |
| Description of Participants | 47 |
| Research Questions | 51 |
| Procedures for Collecting Data | 51 |
| Assumptions | 54 |
| Hypotheses | 54 |
| Statistical Analysis Procedures | 56 |
| Delimitations of the Study | 59 |
| Summary | 60 |
| IV. Results | 61 |
| Demographics and Descriptive Statistics | 61 |
| Research Question 1 | 66 |
| Research Question 2 | 71 |
| Research Question 3 | 77 |
| Summary | 83 |
| V. Conclusions | 85 |
| Summary of Findings | 86 |
| Suggestions for Further Research | 96 |
| Conclusion | 100 |
## REFERENCES
| References | 102 |
APPENDIX ................................................................. 108
VITA ................................................................. 123
| TABLE | PAGE |
|----------------------------------------------------------------------|------|
| 1. Frequency and Percent of Leader Type | 62 |
| 2. Frequency and Percent by School | 63 |
| 3. Frequency and Percent, Number of Participants by Leader | 64 |
| 4. Frequency and Percent of Participant’s Gender | 65 |
| 5. Frequency and Percent of Leader’s Gender | 65 |
| 6. Frequency and Percent of Age Groups | 65 |
| 7. Frequency and Percent of All Participants’ Degree Levels | 66 |
| 8. Frequency and Percent of Leader’s Degree Levels | 66 |
| 9. Multifactor Leadership Questionnaire Statistics | 67 |
| 10. Frequency and Percent of Predominant Leadership Characteristic | 68 |
| 11. MLQ Predominant Characteristic Descriptive Statistics | 69 |
| 12. Multifactor Leadership Questionnaire ANOVA | 69 |
| 13. Multifactor Leadership Questionnaire Multiple Comparison | 70 |
| 14. Organizational Description Questionnaire Statistics | 72 |
| 15. Frequency and Percent of ODQ Predominant Culture Profile | 73 |
| 16. Organizational Description Questionnaire Descriptive Statistics | 75 |
| 17. Organizational Description Questionnaire ANOVA | 76 |
| 18. MLQ and ODQ Descriptive Statistics | 78 |
| 19. MLQ and ODQ Predominant Characteristic Cross Tabulation Part 1 | 79 |
| 20. MLQ and ODQ Predominant Characteristic Cross Tabulation Part 2 | 80 |
| 21. ODQ Mean and Standard Deviation Descriptive Statistics | 82 |
22. MLQ and ODQ ANOVA ................................................................. 83
CHAPTER I. Introduction
The United States is currently embroiled in an educational revolution. The history of the education system in the United States is often contentious, containing several positions through which to view reform strategies that are employed in an attempt to rectify the perceived failings of public education. Many theories drive reform activities and differing views of what constitutes leadership and student learning often confound the problem of how to improve our education system. As tensions increase between the government and educational institutions, the role that leaders play is becoming increasingly important and increasingly scrutinized as a measure of the health of an organization and its participants within that system. Therefore, in recent years, the focus of research has turned towards leadership perspectives and the improvement of leadership styles with an eye on gaining an understanding of the needs of both leaders and followers in an attempt to facilitate achievement and goal attainment for that organization. Chapter I introduces the study and will discuss the statement of the problem, the purpose of the study, operational definitions, and the theoretical framework for transactional leadership, transformational leadership, and school culture.
One of the most important elements to any educational institution is the school’s culture. School culture influences all aspects of a school, from expectations of student achievement, to staff buy-in, and commitment to learning objectives. However, school culture is often overlooked as a crucial piece of school environment and is discounted in successful educational efforts (Peterson & Deal, 1998). Culture is an amalgamation of the values, traditions, behavioral norms, and beliefs that are perpetuated within a school and are used to establish collaboration and influence decision-making to professionals and
leaders (Northouse, 2018). School culture is an intangible and often difficult to gauge unspoken agreement between all stakeholders that drives improvement efforts and goal setting activities.
The Full Range Leadership Model can best be viewed as a spectrum of leadership. At one end of the spectrum lies Laissez Faire leadership followed by Management-by-Exception (Passive and Active), to transactional leadership, and at the other end lies transformational leadership. The Full Range model contains several components that are necessary for a complete understanding of leadership styles. These components are the Full Range Leadership Model, the behavioral components of transactional leadership, the leadership culture profile, and school culture. The Full Range Model of Leadership research focuses on educational administration and their perceived theoretical framework in regards to their own leadership style in conjunction with their leadership style as perceived by their subordinates within their school site. The synergy that arises from the comingling of skillsets from leaders and followers is essential to the idea of effective leadership.
My study looked at a number of principals, teacher-leaders, and followers within high schools, middle schools, and elementary schools in Miami Dade County Public Schools. These leaders assessed their own leadership style using the Multifactor Leadership Questionnaire Self (MLQ- Form 5X Short) form developed by Bass and Avolio (1997). This questionnaire consists 45 Likert type questions. The instrument assessed the leader on two accounts: What they actually do in practice, and what they think they should do in terms of leadership activities. For my study, the two types of
leaders that were surveyed are school administrative leaders and teacher-leaders that hold a formal title such as test chair, athletic director, activities director, and department chair.
The second part of my study is the follower portion, which evaluated the congruence between leaders’ perceived styles, and the perceptions of their followers. For the purposes of my study, followers were defined as teachers and other school site instructional personnel not in a formalized leadership position, such as school guidance counselors, and paraprofessionals. Each leader was evaluated by several raters using the Multifactor Leadership Questionnaire Rater form (MLQ- Form 5X Short; Bass & Avolio, 1993). The survey requested the follower to report observed behaviors along the continuum in terms of the specific behaviors of each of the leaders scrutinized. The form evaluated the discrepancy between the leaders’ perceptions and that of their subordinates. Leaders’ answers in conjunction with those of their subordinates was used to evaluate their leadership style and predominant leadership characteristic along the transformational/ transactional spectrum.
In addition, a second instrument was used to evaluate the organization’s culture. Each of the participants and their raters was surveyed with the Organizational Description Questionnaire (ODQ), an instrument designed to measure the culture of the school as an organization (Bass & Avolio, 1992). The instrument consists of 28 True/False/? answers designed to identify an organization’s perceived culture as primarily transformational or transactional based upon both leader’s and follower’s responses.
The organizations were evaluated and categorized along a continuum of Maturing, Highly Developed, High Contrast, Loosely Guided, Coasting, Formal, Garbage Can, Pedestrian, or Bureaucratic. The outcome of both of these analyses were then
correlated with the outcome of the Multifactor leadership questionnaire predominant leadership style in order to ascertain a relationship between these two factors: leadership style and school culture.
Statement of the Problem
Spurred by the report published in 1983 entitled *A Nation at Risk*, the education system has been enduring a plethora of reform strategies that rarely exhibit the increased outcomes that are anticipated (National Commission on Excellence in Education, 1983). The scrutiny endured by the education system has persisted despite many reform efforts aimed at improving the student learning. Empirical studies, though, have shown that administrators’ leadership styles are imperative to their practice as educators and can have a profound influence on the institution and subordinate colleagues (Leithwood & Jantzi, 1997). Theoretical leadership is idealized leadership in that leaders are often aware of good theory, yet are imperfect at transferring theory into practice.
The leaders’ perceptions of their leadership abilities and styles often vary from the perceptions of their followers, which can have a negative effect on school culture and on subordinates, ultimately impacting school and student achievement. There is a growing need to align these perceived leadership styles between leaders and followers in a manner that allows for a greater symbiotic relationship to flourish between them. Creating a mutually beneficial connection enhances the organization’s collaborative efforts by allowing each individual to feel that he or she is an integral and valued member of the system, which in turn enhances the morale and culture of the school. My study attempted to establish the degree to which administrative leaders and teacher-leaders are perceived
as transformational or transactional leaders by their subordinates and the relationship between the leaders’ style and school culture.
The potential implications for my study are the fostering and development of practices, relationships, and styles within organizations and can assist in placing administrative leaders and teacher-leaders into organizations in which they will be most effective. In addition, my study helps build an understanding of the relationship between leadership style and school culture. The ramifications of my research may assist school districts in assigning administrators where appropriate and to the greatest degree of efficiency. The results of my study can also potentially improve practices and influence change in the training and assessment of educational administrators and teacher-leaders for the betterment of school culture.
**Purpose of the Study**
My study surveyed current educational administrators and teacher-leaders in order to ascertain their leadership styles as well as to discover what they consider to be important in leadership functions and the relationship between that and school culture. The relationships and perceptions that exist between educators and their administrators and teacher-leaders is the focal point of my study in order to ascertain the leadership styles of administrative leadership and the teacher leaders that hold formal titular positions at that school. My study examines the predominant leadership style of current educational administrators and teacher leaders in order to assess that relationship between their approaches to leadership and how that relationship interacts with the culture of the educational institution.
There were three parts to the research. First, educational administrators and teacher-leaders were surveyed to ascertain their primary theoretical leadership perspective in terms of their perceived functions in actual practice and they evaluated themselves on what they felt they should do as a separate function from actual practice. Second, a rater group of subordinates that work directly with those administrators and teacher-leaders was provided with a survey to ascertain which actions they perceived the leader actually exhibits in characteristics along the Full Range Leadership continuum. Third, both leaders and followers were surveyed to measure the perceived existing culture of the school and whether or not the existing school culture correlates with the leadership styles of both administrators and teacher-leaders.
**Significance of the Study**
My study will help determine the relationship between administrative leaders, teacher leaders, and school culture. In our current shifting of educational norms and ideologies, my study seeks to shed light on the role that educational leaders play in maintaining a school culture that is creative, open, and conducive to the changes needed for success. Student attainment and teacher efficacy are tied to several factors of school leadership and school culture and my study will shed some light on how those connections are forged within schools (McCormick 2003; Mangin 2007).
While the connection between educational leaders and success is documented, it is only now that we are beginning to understand the pivotal role that teacher leaders play in shaping and maintaining a healthy environment within a school. Their daily roles are crucial to the success of their individual departments; therefore, the organization’s health and culture as a whole. My study will assist in highlighting that role, and will show the
need for greater attention to and development of leadership practices for teacher leaders so that they can play a greater role in cultivating a healthy school culture than is currently practiced within educational institutions at the current time.
**Research Questions**
My study sought to answer three questions with my research. They were the administrators’ and teacher-leaders’ predominant leadership characteristic, and followers’ perceptions of the administrators’ and teacher-leaders’ leadership style; the leaders’ and followers’ perceived culture of the school; and the degree to which that predominant style affects school culture.
- **RQ 1**: What is the primary demonstrated leadership style of the administrator and teacher leader as determined by the leader’s scores combined with the follower’s scores on the Multifactor Leadership Questionnaire 5X Short Form (MLQ-5X)?
- **RQ 2**: What is the school culture profile as determined by the leaders’ and followers’ scores on the Organizational Description Questionnaire (ODQ)?
- **RQ 3**: Is there a connection between the leadership style of educational administrators and teacher-leaders and school culture as determined by an analysis of variance between leader and follower scores on the MLQ-5X and the ODQ?
**Hypotheses**
The purpose of the study demonstrates that there is a need understand leadership style from the perceptions of followers. In addition, the need to clarify the relationship between these styles on school culture leads to several hypotheses that were tested. The
following are the three hypotheses that were tested to determine the relationship between leadership style and school culture.
H1. There will be a significant difference between administrative leaders’ and teacher-leaders’ predominant leadership style as measured by the leaders’ and followers’ scores on the Multifactor Leadership Questionnaire for Research (MLQ-5X Short Form).
H1.0 - Null- There will be no significance difference between administrative leaders’ and teacher leaders’ leadership characteristics as measured by the leaders’ and followers’ scores on the Multifactor Leadership Questionnaire for Research (MLQ-5X Short Form).
H2. There will be a significant difference between transactional and transformational predominant school culture profile as measured by the leaders’ and followers’ scores on the Organizational Description Questionnaire (ODQ).
H2.0 - Null- There will be no significant difference between transactional and transformational predominant school culture profile as measured by the leaders’ and followers’ scores on the Organizational Description Questionnaire (ODQ).
H3. There will be a significant difference between administrative leaders’ and teacher-leaders’ predominant leadership style and school culture profile as measured by the leaders’ and followers’ scores on the Multifactor Leadership Questionnaire (MLQ-5X Short Form) and the Organizational Description Questionnaire (ODQ).
H3.0 - Null- There will be no significant difference between administrative leaders’ and teacher-leaders’ predominant leadership style and school culture profile as measured by the leaders’ and followers’ scores on both the Multifactor
Limitations of the Study
The limitations of my study are conditions or influences that limit the scope of the research, data, or participants. It is important to note that these limitations are outside of the control of the researcher; however, they may influence the results of the research. The following are limitations of the study being conducted here.
1. The culture of a school is influenced by many factors and is constantly in flux. Although this study seeks to illuminate the relationship between a principal’s leadership style and its relationship to school culture, the outcome may be limited by external factors of school culture other than administration and as such, may be outside of the scope of control of the administrator.
2. As a consequence of the cyclical nature of the school calendar year, the study was limited to those participants that were able to complete the survey within the specified time period for data collection to maintain consistency of the data for the school site.
3. There may be external factors that affect the leadership style of administrators and teacher leaders and may affect the outcome of the measurement of leadership style.
Operational Definitions
Throughout the course of this study, these terms will be used according to the following operational definitions.
Administrative Leadership- School leaders who hold administrative positions such as Principal, Assistant Principal, Activities Director, and Athletic Director.
Coasting Organization- Organizational culture in which the organization acts moderately, exhibiting neither strong transactional nor transformational attributes. Characterized by an organization that maintains the status quo (Avolio, Bass, & Jung, 1999).
Contingent Reward- Leadership that develops “exchanges and agreements” with their followers in an attempt to convey the a reward system in which the follower will receive something in exchange for task completion (Bass & Avolio, 1993, p 112).
Culture- The organization’s setting in which the participants act within a set or norms and behaviors. Culture is symbiotic in which the participants act to create changes in culture while the culture in part dictates actions of the participants (Hinde, 2004). Bass and Avolio (2006) characterize culture using nine factors to create a profile of organizational culture: Predominantly Four I’s (Maturing), Moderately Four I’s (Highly Developed), High Contrast, Loosely Guided, Coasting, Garbage Can, Pedestrian, Moderately Bureaucratic (Formal) or Predominantly Bureaucratic based on a scale of transformational and transactional components.
Full Range Leadership Model Components of Transformational Leadership- The Four I’s of active transformational leadership in which leaders exhibit characteristics of one or more of the following traits. These characteristics are Idealized influence (attributes and behaviors), Inspirational Motivation, Intellectual Stimulation, and Individualized Consideration (Avolio, Bass, & Jung, 1999).
Garbage Can Organization- Culture in which a lack of leadership is the main component and individuals have little internal cooperation and are often unclear about common goals and visions for the organization (Avolio, Bass, & Jung, 1999).
High Contrast Organization- Both highly transactional and transformational culture that contains elements of attention to processes and vision setting (Avolio, Bass, & Jung, 1999).
Idealized Influence (Attributes)- Leadership in which leaders seek to instill a sense of pride in the organization and will forego self interest for the good of the group. Often display a sense of confidence and power (Avolio, Bass, & Jung, 1999).
Idealized Influence (Behaviors)- Leadership that works to create a shared sense of purpose for the work in the organization. Leadership that encompasses strong moral and ethical decision making skills (Avolio, Bass, & Jung, 1999).
Individualized Consideration- Leadership style in which leaders devote efforts to the individual needs and growth of their followers. Leaders who coach other and help them to realize success (Antonakis et al., 2003).
Inspirational Motivation- Leadership in which leaders seek to motivate others through their own actions and accomplishments and are able to articulate a clear vision for followers, expressing confidence and power (Avolio, Bass, & Jung, 1999).
Intellectual Stimulation- Leadership that asks followers to question assumptions, processes, and paradigms for innovative problem-solving. Focuses on creativity and innovation to reframe problems (Avolio, Bass, & Jung, 1999).
Laissez Faire Leadership- Characterized by the absence or avoidance of leadership (Bass & Avolio, 1993).
Loosely Guided Organization- Culture in which individuals are guided by their own independent ideals and are highly unstructured (Avolio, Bass, & Jung, 1999).
Management by Exception (Active)- An active style of leadership in which leaders oversee the actions of the organization and take action when results differ from the expected (Avolio, Bass, & Jung, 1999).
Management by Exception (Passive)- A passive style of leadership characterized by reactive action rather than active participation (Avolio, Bass, & Jung, 1999).
Moderately Bureaucratic (Formal)- Few transformational characteristics, with higher transactional activities that take precedence. Self interest is more important than the good of the group (Avolio, Bass, & Jung, 1999).
Moderately Four I’s (Highly Developed)- Culture in which the shared vision and values are moderated by some consensus of formalized agreements. An increase in transactional behaviors leads to greater balance in the organization (Avolio, Bass, & Jung, 1999).
Multifactor Leadership Questionnaire (MLQ-5X Short)- A survey instrument developed for the purpose of measuring leadership styles according to the transactional, transformational, and passive/avoidant leadership styles. (Antonakis et al., 2003).
Organizational Description Questionnaire (ODQ)- A survey instrument developed for the purpose of measuring effective culture within an organization that provides a Leadership Culture Profile in which the organization is categorized as Maturing, Highly Developed, High Contrast, Loosely Guided, Coasting, Formal, Garbage Can, Pedestrian, or Bureaucratic (Bass & Avolio, 2006).
Pedestrian- Very formal culture in which structure is the main component of the work. Individuality is lacking, as is a personal commitment to the organization (Avolio, Bass, & Jung, 1999).
Predominantly Four I’s (Maturing)- Culture in which vision, purpose, and values are the driving force. May lack transactional processes and have few formalized agreements; internalized trust becomes essential with informal agreements (Bass & Avolio, 1993).
Predominantly Bureaucratic- Culture which is an “internal marketplace where much is negotiated according to the ‘rules of the game’”. Focuses on processes with little discretion for followers (Avolio, Bass, & Jung, 1999).
Teacher-Leadership- Instructional personnel within a school site that hold leadership positions, facilitate a community of learners, and “translate ideas into sustainable systems of action” (Ackerman & Mackenzie, 2007, p. 53). Within the context of this study, teacher-leadership is defined as those that hold formal titles, such as Department Chair, Grade Level Chair, Athletic Director, Magnet Lead, Instructional Coach and Activities Director.
Transactional leadership- A leadership style in which leaders “develop exchanges or agreements with their followers, pointing out what the followers will receive if they do something right as well as wrong” (Bass & Avolio, 1993, p. 112). These leaders exhibit contingent rewards and management by exception leadership styles in which the leader wields his power to both reward and punish the followers for real and perceived successes and failures (Avolio, Bass, & Jung, 1999).
Transformational leadership- Leadership in which the leaders “integrate creative insight, persistence and energy, intuition and sensitivity to the needs of others” to create a culture of vision and achievement of objectives (Bass & Avolio, 1993 p. 112).
Transactional leaders seek to engage followers to encourage participation in improvement efforts of the system in which they work in symbiosis (Moujaes et al., 2012).
Summary
My study sought to illustrate the need to align leadership styles between leaders and followers in a manner that allows for a more effective relationship to flourish between leaders, followers, and organizational culture. My study aims to examine the extent to which subordinates perceive their administrators and teacher-leaders as either transformational or transactional leaders and how that influences school culture. My research examines the Full Range Model of Leadership and the focus of educational administrators’ practice. The study focused on the predominant leadership characteristics demonstrated by the administrative leaders and teacher-leaders. It also focused on the chief culture characteristics present in the schools. In addition, the study sought to understand the connection between these two important facets of education in a system in which both of these issues are becoming ever more critical.
CHAPTER II. Literature Review
The increasing tension in education has paved the way for a wealth of research into educational leadership and the needs of the educational system to develop and employ techniques for effective leadership within districts and school sites all over the country. The result has been that many leadership styles have emerged as significantly answering to the needs of the system. One of the foremost styles is that of the Full Range Leadership model, or the transformational to transactional leadership continuum as elucidated by James MacGregor Burns (1978), Bernard M. Bass (1985) and Bruce J. Avolio (1989). It is this theory that is the focus of this research, and will be used in examining the leadership styles of both principals and assistant principals within the Miami Dade County Public school district.
This chapter will provide an overview of the theoretical framework upon which this study is based. It will also provide a review of the current literature and discuss studies on leadership, teacher-leadership, and school culture. In addition, this chapter will demonstrate that there are gaps that exist within the literature and will illuminate the need for this study as it pertains to creating a connection between school culture and the Full Range Model of Leadership.
Theoretical Framework
This study focused on two theoretical frames: the Full Range Model of Leadership and school culture. It is imperative to have an understanding of these frames as well as understanding the leadership expectations of each of them. This section will focus on an examination of the theories, their history, and the implications each has had for educational leadership practices.
Currently, one theory on leadership that has emerged as the frontrunner in the debate is the Full Range Leadership Model as conceived and developed by James Burns (1978), Bernard Bass (1985), and Bass and Bruce Avolio (1989). Traditionally, transactional leadership uses terminology such as “exchange”, “reward”, and “punishment” in order to describe the methods of leadership and assessments taking place (Burns, 1978, pp. 258, 372). In the present paradigm the standard by which we evaluate students, teachers, and educational administrators is highly transactional, focusing on standardized testing and data driven decision making as a means through which to shore up the existing paradigm in the education system. Educational policy and its administration have focused on a transactional approach, concentrated on the achievement of specified goals, which is currently evaluated through standardized test taking and data measurements.
However, a disconnect arises because current concepts of learning focus rather on the conceptual understanding, meaning making, and collaboration that is associated with transformational leadership. Transformational leadership embodies concepts that are grounded in “participative decision making”, “facilitative power”, and “collaborative culture” (Leithwood, 1992, pp. 9, 10). One of the main tenets of transformational leadership is the relationship that exists between the leader and follower in a collaborative partnership for the mutual benefit of both parties.
Educational administrators, though, are expected to act in transactionally managerial leadership roles, overseeing the product of student learning in terms of increased expectations of data analysis, prescribed outcomes, and sequential curriculum planning (Giese et al., 2009). However, leadership is much more organic in nature than
creating spreadsheets and data disaggregation as nothing more than a function of expectations. The culture contained within any organization as a living entity is affected by the leadership practiced and is influenced by the role and relationships between subordinate and leader. Therefore, in order to better understand an organization’s goals and vision, it is imperative to understand the connection between leadership and culture, and how transactional or transformational leadership theoretically affects the culture itself.
**Transactional Leadership**
One of the facets of the Full Range Model of Leadership is transactional leadership. The first known mention of the terms transactional and transformational leadership were written by J.V. Downton (1973) and provided a conceptual foundation for further theoretical development. However, the theory itself was elucidated by James MacGregor Burns in 1978 as he developed his study on leadership theory and leadership styles and was later expounded upon by Bass’s (1985) six-factor leadership model based on his leadership observations of 198 U.S. Army field grade officers (Avolio, Bass, & Jung, 1999). The terms transactional and transformational were described as a means of exchange between leaders and followers and a description of the types of exchange that were necessary to enact effective leadership. According to Burns (1978), transactional leadership is based on an “exchange of valued things,” whether economic, political, or psychological. In terms of educational leadership, these valued things are often defined as educational outcomes of student achievement and organizational goal attainment.
Transactional leadership is based on a reward or punishment system that is evaluated according to a set of behavioral or performance standard of expectations. This
reward system most often takes the form of pay, advancement, power, or increased benefits. The punishment system consists of a loss of wages, advancement opportunities, or power within the organization. These rewards and punishments are devised and disseminated according to the culture of the system in which they operate (Bass & Avolio, 1993).
Transactional leadership is the paradigmatic system upon which our capitalistic society is based, and is the cornerstone tenet of work. According to DenHartog, Muijen, and Koopman (1997), it is this cost-exchange system that drives the fundamental relationship between leaders and followers. Motivating factors arise from an understanding of the system of rewards or punishments that is operational within the organization. In this manner, those driven by a need for reward are allotted the opportunity to earn those rewards; likewise, those who operate under threat of punishment are obliged to comply to expectations, clarification of goals, and task completion (Hinkin & Tracey, 1999). Therefore, transactional leadership reaches all members of the organization, as each person has the need to operate within the reward/punishment system that is the foundation of transactional leadership. The leader has the authority and power to enact these rewards and punishments in a manner that is consistent with his or her goals for the organization. However, according to Amar (2001), transactional leadership is inconsequential to the achievement of organizational goals and increased production.
While Burns (1978) espoused transactional leadership as one of the two sides of the leadership coin, others expanded on the theoretical framework and added several new dimensions to the theory and created a continuum of contingent rewards and punishments.
However, research demonstrated that these compliance contingencies were only effective insofar as the personal reward or punishment was aligned with the missions and visions of the organization (Barnett, McCormick, & Connors, 2001).
Bass, Avolio, Jung, & Berson (2003) have categorized corrective leadership as transactional in nature, based on a punishment system. The exchange system requires that corrective action be taken for a job not completed satisfactorily or to specification. According to Avolio & Bass (2004) there are several types of transactional leadership; the first is laissez-faire leadership, which is characterized as a lack of leadership action altogether. This type of transactional leader demonstrates an avoidant role in goal setting, problem solving, and standard attainment.
The second type of transactional leadership is contingent reward “management-by-exception,” of which there are two types (Bass et al., 2003). First, there is active management by exception in which the leader proactively outlines the expectations for the assigned task, and the rewards or consequences for successes or failures. In this manner, the subordinate is fully aware of the importance of the task at hand and the outcomes for performance standards. Thus, active management by exception is closely monitored, employing corrective action, as the occasion requires (Bass et al., 2003).
The second type of management-by-exception is *passive avoidant* (Bass et al., 2003). By its nature, passive management by exception is reactionary in nature, lacking a systematic problem solving technique designed to avoid problematic areas. The passivity with which this type of leader allows problems to develop before taking action is indicative of a lack of planning and implementation of specified agreements. The passive
avoidant leader typically avoids clarifying expectations, objectives, and standards to be achieved by the followers (Bass et al., 2003).
**Transformational Leadership**
The other end of the spectrum from transactional leadership is transformational leadership. Recently researchers have demonstrated that leadership functions are more than the simple completion of the leader/follower transactions of organizations. Transformational leaders work to understand the culture of their organization and to work within those constructs as a means of achieving the shared vision and mission of the organization’s goals (Den Hartog, Van Muijen, & Koopman, 1997). Transformational Leadership is the cornerstone of a movement in leadership style that emphasizes the need for leaders to create a relationship between themselves and their subordinates that integrates the needs of others, the organization’s goals, and the existing culture. They foster relationships between themselves and their followers, and emphasize the growth and development for the good of the organization. In addition, transformational leaders foster leadership
Avolio, Bass & Jung (1999) and Antonakis (2001) have identified the 4 I’s of transformational leadership: idealized influence, inspirational motivation, intellectual stimulation, and individualized consideration. Leaders who exhibit mentoring skills and display “socialized charisma”, power, and confidence, all characteristics of idealized influence (Antonakis et al., 2003, p. 264). By exhibiting idealized influence (attributes and behaviors), the transformational leader models moral and ethical standards of conduct for the follower to emulate and assimilate (Northouse, 2018). Inspirational motivation, however, refers to the leaders’ ability to motivate followers to meet higher
organizational standards of performance and achievement (Antonakis et al., 2003). The inspirational motivator projects the organizational mission as attainable and idealized realities while embodying the high standards expected of the followers (Antonakis et al., 2003). Intellectual stimulation refers to the leaders’ ability to facilitate the development of the follower’s logical and analytical skills by encouraging and fostering a sense of creative problem solving and critical processing (Antonakis et al., 2003). Finally, individualized consideration refers to the leaders’ ability to understand the needs of the followers and to facilitate development of their leadership skills and abilities as a function of the job (Antonakis et al., 2003).
According to Quantz, Rogers, & Dantley (1991), empowerment and symbiotic cooperation are the main precepts of leadership, which is the cornerstone of transformational leadership. These collaborative efforts are inherent in the operations of schooling functions and are imperative to the achievement of school goals, both organizational and educational. “Transformational leadership is the process whereby a person engages with others and creates a connection that raises the level of motivation and morality in both the leader and the follower” (Northouse, 2018, p. 186). Therefore, the transformational relationship between followers and their leaders is essential to organizational success.
Wilmore and Thomas (2001) asserted, “In this process, all individuals are afforded opportunities to make many of their own choices in life. People, in these settings, develop an awareness of their abilities to modify and even play significant, positive roles in reconstructing the work and social environment” (p. 117). This process provides several aspects of organizational life that had previously been absent from
transactional leadership. First, the leader is able to act as facilitator rather than authoritarian. The sense of agency that arises from a relationship based on mutual respect and understanding allows both the follower and the leader to enact necessary change in a proactive manner. In addition, the followers and leaders alike are able to develop their skills and to build a sense of efficacy in their work and professional environment in a symbiotic relationship.
Edwards (1992) elaborates, “symbiotic leaders commit to new cultural norms in which shared values or belief systems recognize mutual contribution” (p. 28). Collaboration, motivation, and trust are three components of transformational leadership that create a profound relationship that underscores the mutually obligatory relationship between the leader and his or her followers.
Transformational leadership focuses on the development of leaders in a hierarchical fashion, the leader acting as model and exemplar while attempting to raise awareness of the goals of the organization and to foster achievement in followers (Hampton, 2010). However, this assumption depends upon the idea of the leader as being worthy of example. In reality, if the leader is less than the idealized influence, or the inspirational motivator that Northouse (2018) describes, the ideology collapses. Rather, leaders must continue to refine their leadership style, improve their ethical constructs, and align their personal professional goals with those of the organization. Transformational leaders acknowledge the value of individual contribution, and apply those contributions for the growth of the individual and leader alike, for the benefit of the organization.
The theoretical foundations of the Full Range Leadership Model are inclusive of several leadership styles that encompass many facets of leadership. The theory stands to
define these styles in a manner that allows for a deeper understanding of many of the types of leadership that we see in practice within organizations today. While many organizations outside of education are studying the theory for its practical implications within their fields, education has a critical need to employ theoretically sound leadership practices in order to remediate the current perceived failings of the system in which we currently preside. By seeking a greater understanding of transformational leadership, we are able to envision improved leadership practice throughout all levels of leadership in education. Transformational leadership has several factors whose purpose is to explain leadership behaviors that are evident in successful leaders, including the ability to build a positive school culture.
**School Culture**
Increasingly, we see a strong connection between leadership efforts and school culture. Leadership is proving to be essential to building and maintaining a healthy culture and to repairing unhealthy cultures. As Bass & Avolio (1993) assert, “there is a constant interplay between culture and leadership” (p. 113). The leader has a responsibility to create opportunities for culture building activities to improve the morale and development of the staff to ensure that the goals of the institution remain student learning centered and focused on improvement efforts. According to Peterson & Deal, even successful schools can possess toxic subcultures in which negativity, resistance, and hopelessness dominate conversation surrounding leadership efforts (1998). Strong leadership that is theoretically sound and research based can have a profound effect on the culture of a school; however, leaders must also have an understanding of the school and its stakeholders (Lahtero & Risku, 2013). A leader who has an appreciation of the
existing school culture will be able to effectively lead transformational efforts to improve the achievement and goals of the school.
School culture has gained the spotlight over the last few years as studies into leadership highlight the need to create a more complete understanding of the effects of culture on long-term achievement and success for the school. In the discussion about the importance of school culture, Sergiovanni (1996) asserts that, “The heart and soul of school culture is what people believe, the assumptions they make about how schools work, and what they consider to be true and real” (pp. 2-3). It is this perceived reality that is at the heart of the current discussion about education and the need for drastic reforms and changes to the paradigm for enhanced learning, shared values, and improvement goals.
**Studies on Leadership**
Studies on leadership have sought to understand what characteristics compose an effective leader within an organization. Throughout the conversation on research several studies have sought to identify specific traits and behaviors to create a range of leadership styles that allow for leaders to be placed along a continuum that has become the Full Range Leadership (Avolio, Bass, & Jung, 1999). A review of the literature demonstrates the evolution of leadership along this continuum.
While the literature demonstrates an understanding of effective leadership and how it operates, the integration of this leadership into practice is the next step of the process of effective leadership and how the followers are impacted by the leadership functions that act upon them. Avolio’s (2007) study for leadership found that the previous studies excluded important processes such as the follower and the context through which
leadership functions would be exercised. That is to say, Avolio’s claim that leadership became a set of characteristics or skillsets in a vacuum operating regardless of the context or situational awareness of these processes (2007). He contends that whether a follower decides to follow a leader is a more active process and that the perceptions of the follower towards the leader may play just as important a role, if not moreso, than that of the characteristics or qualifications of the leader (2007). While he does not discount the traits of effective leaders, he states that it is imperative to move into a more active context for recognizing what makes a good leader and what promotes positive change within an organization.
The question, then, becomes one of measurement. How is it possible to measure these contexts and styles in a manner that allows for us to gain a unique understanding of the organization and its leaders? The literature outlines the Multifactor leadership questionnaire (MLQ) as a measurement of leadership style. Bass (1985) identified the factors of transformational and transactional leadership: charisma, inspirational, intellectual stimulation, individualized consideration, contingent reward, and management-by-exception, and laissez-faire, or the absence of leadership. The MLQ, however, combined charisma and intellectual stimulation into the six factors that are most well known today (Avolio, Bass, & Jung, 1999). However, throughout the literature, there have been analyses of this six factor model that have recommended several changes including adding subsets of factors into the model as a more complete adaptation of the model and included passive and active participation in management by exception (Den Hartog, Van Muijen, & Koopman, 1997). However, the construct of the model has remained relatively complete.
In 2004, Avolio and Bass reexamined their model for these constructs and concluded that the six factor model provided a comprehensive model that best identified leadership styles, but made accommodations for the passive and active management that were identified by Den Hartog, et al. (1997). This iteration of the model provided the Full Range model of leadership that are split into three leadership styles that identify a leader as either transactional, transformational, or laissez faire. In this model, charisma has become idealized influence separated into two components, idealized attributes and idealized behaviors. Inspiration has been renamed inspirational motivation as the third component. Intellectual stimulation and individual consideration are the fourth and fifth factors. All of these five factors make up transformational leadership. Transactional leadership is now includes contingent reward, management-by-exception active, and management-by-exception passive. The final component is laissez faire, which is its own factor for a total of nine components for the three styles (Avolio & Bass 2004).
Antonakis et al., (2003) conducted a study in which they confirmed the validity of this most current model. This study sought to use the full range model of leadership that is represented in the most current adaptation of the MLQ-5X.
Throughout the literature, there have been many studies that have sought to investigate one specific factor of the full range model of leadership. For example, Barnett and McCormick (2003) investigated idealized influence in a qualitative study and examined its effect on teacher motivation and the school vision. In this study, they concluded that leadership is contingent upon an individual’s ability to not only share vision, but also to entice others to follow the vision. They also concluded that successful leadership is characterized by relationships and the effective use of those relationships to
encourage and support the vision of the school. This study exposed three attributes of school vision; collaboration, a shared sense of responsibility and accountability to carrying out the vision, and the principal as the leader of the process. It is essential to note that these three characteristics relate to idealized behaviors and idealized attributes from Avolio and Bass’ MLQ-5X (2004).
In another study, researchers used a meta analysis to determine the connection between charismatic leadership style and leadership effectiveness (DeGroot, Kiker, & Cross, 2000). Their main concern in this study was to assess subordinate satisfaction, effort, and commitment as it relates to the leaders’ style of leadership. Their results, though differ from that of the Barnett and McCormick (2003) in that they found that at the individual level, the relationship between charisma and effective leadership is weaker than previous studies had found it to be when measured at the individual level ($r=0.31$) than was found at the group level ($r=0.49$) (DeGroot, Kiker, & Cross, 2000). The implications of this study concluded that while charismatic leadership can increase group performance, it has less influence over individual performance. This meta analysis revealed lower correlations than had been anticipated; therefore, the implications for transformational leadership were found to be that charismatic leadership may be effective on some level but still lacks the ability to significantly affect the performance of subordinates outside of the group performance level. It is interesting to note that as a group, performance is enhanced rather than reverting to the mean.
Other research has been aimed at analyzing other factors on the transformational leadership scale in an attempt to determine if the behaviors of principals within schools could be linked to staff turnover, staff perceived job satisfaction, and school performance.
(Griffith, 2004). They studied data from elementary principals, staff, students, and disaggregated standardized test scores in order to determine the correlation between effective leadership and these variables. They concluded that while no statistically significant effects were found on staff turnover or on achievement test scores, they did find that staff job satisfaction was impacted by principal leadership behaviors. In addition, they also found that higher job satisfaction levels correlated directly to smaller achievement gaps between minority and non-minority students (Griffith, 2004). The implications of this study were interpreted to mean that while leadership behaviors did not directly affect achievement, they did affect job satisfaction, which in turn had an impact on achievement scores. This study implied that while transformational leadership practices were secondary in significance, they still played a pivotal role in the execution of educational practice.
Furthermore, Griffith’s (2004) study concluded that the principal’s leadership styles were categorized by three components of transformational leadership: idealized influence, individualized consideration, and intellectual stimulation. Therefore, those principals that exhibited behaviors consistent with transformational leadership were more likely to be able to have a direct impact on staff job satisfaction; and therefore, were able to reduce the achievement gap.
However, another study by Thoonen et al. (2011), claims that although transformational leadership practices were essential to engaging teacher motivation and commitment, the real predictor of effective teaching was professional development activities and the extent to which the teachers engaged in learning predicated upon improving their craft. The team surveyed 502 teachers from 32 elementary schools in the
Netherlands and concluded that transformational leadership had an indirect impact on effective teaching and pedagogical practices. According to the researchers, there was a direct connection between fostering these learning activities and the transformational leadership practices of the administrators in motivating these practices (Thoonen et al., 2011).
**Studies on Teacher Leadership**
Educational systems and the research that examines the principles of leadership have downplayed the importance of teacher-leadership in schools and the impact that they have on the ability of a school to achieve their vision. While research has increasingly pointed to a need for more effective transformational leaders to steer education forward and to reduce the number of failing schools, it is becoming more and more apparent that the need for teachers who have leadership skills and capacities can assist in bridging the gap between school site administration, classroom teachers, and students (Angelle & Schmid, 2007; Camburn, 2009; Shelton, 2014).
The research has begun to highlight the impact that teacher leaders have on students, student achievement, and the efficacy of the school as a whole. Mangin (2007) examined the conditions under which school site administrators are best able to support the efforts and initiatives of teacher-leaders in order to better facilitate learning structures and achievement. Her study examined principals, teacher-leaders, and their supervisors to determine the scope and role of these teachers in their capacity as leaders. Mangin’s 2007 study concluded that there existed a link between those teacher-leaders who worked under principals who understood and facilitated their initiatives and efforts to better the curriculum and student achievement in the school. According to Mangin, the implications
for this study illuminate the underlying relationships that exist between teacher-leaders and their principals that allows for open communication and trust to develop (2007). From this study, we can see that effective principals and teacher-leaders demonstrate traits of transformational leadership in practice. The Wallace Foundation’s research found that distributing leadership between administrators and teachers assists with developing stronger relationships between principals, teacher-leaders, and teachers and leads to higher student achievement (Leithwood et al., 2011).
Not all of the research agrees that teacher-leadership is the panacea to the problem of education, though. Research questions the wisdom of removing or distracting those teachers that are most highly qualified to teach from the classroom and allocating their talents to functions that are for purposes other than teaching (Camburn, 2009). In fact, Camburn states, “Placing such teachers in leadership positions supports school improvement initiatives, but it can also pull valuable teaching resources from the classroom” (2009). Indeed, throughout his study, he found that consistently, teachers in a position of leadership had “substantially more postsecondary training and teaching experience than do nonleaders” (Camburn, 2009). While he does admit that the scaffolding and leadership functions can assist in training, modeling, and adaptive behaviors and practices, the research clearly demonstrates that the loss of these teachers in the classroom has a negative effect.
Furthermore, several studies also demonstrate the need for teacher-leaders’ contributions to the organization as a means of improving school and student achievement (Jackson & Marriot, 2012). They argue that while these leaders are imperative to improving the functions of schools, they disagree about what constitutes a
school leader. The debate continues throughout the literature as to whether a teacher must be formally recognized as a leader, i.e. a department chair, in order to be considered in a leadership position. Their study is grounded in the concept of leadership being an inherent function of teaching and is not tied to “specific functions or roles” within the organization itself (Jackson & Marriot, 2012). This idea is intriguing in that it implies that all teachers lead and contribute to the organization for the betterment of the vision of the school and its students.
Another study found that not only do these roles matter, but the educational levels were significant as well. The study found that whether the teacher leader was an elementary or middle/high school teacher, whether they held a bachelor’s degree or graduate degree, and whether they held formal positions as teacher-leaders or were teachers with no leadership position all made a significant difference in the perception of their leadership ability by other teachers (Agnelle & DeHart, 2011). This quantitative study collected data across 43 schools in seven states and found that these relationships informed the effectiveness of the teacher-leader was predicated upon other teacher’s perceptions, which were affected by these indicators. The ability of the teacher to lead in an effective manner and affect change within the organization depended upon the context of that leader.
Agnelle and DeHart (2011) claim that researchers have failed to look at teacher-leadership from the perceptions of these teacher leaders. Their study investigated the teacher-leaders themselves and asked whether their perceptions differed according to their background and the educational level at which they implemented their practice. Indeed, they found a significant disparity between those at the elementary level from
those at the middle/high school level, and those that has earned a bachelor’s degree from those that has earned a graduate degree (Angelle & DeHart, 2011).
The perceived efficacy of these teacher-leaders is inherent on their ability to recognize their own agency in supporting school-wide initiatives, their own perceived value, and the facilitative power they hold as leaders whether formal or informal. According to another study, the idea that teacher-leaders were more adept at wielding this agency and influencing their peers whether formalized or not (Bowman, 2004). Bowman’s concept that teacher-leaders contain “adaptive capacity” to engage in multiple ways and to use their relationships has created a system in which the teacher-leader is able to navigate social variances in order to achieve the vision and goals of the organization (2004). The claim that learning this skill is necessary for a teacher to becoming a leader in which they are able to create and sustain a culture of achievement for both their organizations and their students. This emergence is deemed a “powerful process” and enables a shift in perception between teacher and leader (Bowman, 2004).
Another researcher, Brosky (2011) discusses this very idea in his research in which he focuses on the micropolitics of teacher-leadership. He posits that it is the knowledge of strategic positioning, influential power, and relationship building that creates active leadership within the school community. He agrees with Bowman’s (2004) assertion that the use of influence by these teacher leaders was essential in gaining and maintaining leadership power. While the microcosm of politics plays out within the school, the personal goals and needs of the individual are at a constant interplay and work to shape the organization. He states that those who have the most influence are most likely to be able to mold the goals and vision of the organization to that which is most
beneficial. Brosky claims that the theoretical world of leadership that we see in the literature and that which is experienced in the real world is drastically different (2011). However, it is the ability to navigate this difference that creates effective leadership for teacher leaders. In effect, the ability to manipulate relationships is transformational in nature. By balancing and leveraging the needs of the subordinates against that of the organization, effective teacher-leaders are able to elicit cooperative efforts in which leaders and followers are able to work in a symbiotic relationship.
This process was underlined in a study that examined the transformational teacher-leadership prototypes seen in rural schools in Canada. Anderson (2008) studied the fluidity of rural schools in which there were fewer restrictions and allowed more creativity to innovate and therefore were free to develop more transformational practices. The research determined that in schools that have less restrictive environments, teacher-leaders were considered a “source of creativity” and therefore able to develop unique leadership styles and relationships because of their ability to operate outside of traditional leadership roles typically seen and perpetuated by larger school districts in more urban settings (Anderson, 2008).
The implications for Anderson’s (2008) study of teacher-leadership as it pertains to transformational leadership is that the mutual influence necessitated by smaller schools that have fewer administrators allows for distributive leadership, higher levels of shared decision making, and greater collaborative participation in the components that make up transformational leadership. Therefore, a case can be made for less rigid control of school administration and more facilitative power to allow for schools to adopt innovative and creative ideas so as not to “exclude valuable sources of leadership” (Anderson, 2008, p.
This increased participation hints at improved morale, and ergo, improved school culture, as they also found this type of shared responsibility to be the norm rather than the exception. The teacher-leadership being displayed in these rural settings, while not formalized, as is our study, demonstrates the need for administration to incorporate creativity and allow for development of a transformational culture of innovation.
**Studies on School Culture**
One of the frontrunners in the conversation about leadership is Bernard Bass and Bruce Avolio. In 1993, their work on the connection between an organization’s culture and its leaders demonstrated that a leader’s impact on the values, beliefs, and practices of an organization were imperative for the health of an organization’s culture. They posited that while organizations required strategic and tactical leaders, they also had a need for leaders who could understand the undertones and traditions of a school in order to support the vision of the organization and create a culture of understanding and problem solving in which the leaders are able to trust and depend upon their subordinates at all levels to contribute meaningfully to the achievement of shared goals (Bass & Avolio, 1993). In addition, a school’s culture is essential to the effectiveness of the learning that takes place at that school (Bolman & Deal, 2006).
Another study sought to reach beyond the cultural boundaries of the educational paradigm in the United States to understand whether transformational leadership practices had an effect on school in Hong Kong (Yu et al., 2002). Their study attempted to determine whether transformational leadership carried an effect on teacher’s commitment to change, and other variables such as school culture, school structure, and school environment. Their research found significant disparities in the perceptions of
transformational practices between cultures, but also found that the variables were influenced significantly (Yu et al., 2002).
The researchers found that while there were many factors that influence school culture, school structure, and school environment, these were all significantly impacted by transformational leadership practices. In effect, the leadership style changed the variable conditions at the school. However, the study also found that there was only a very weak connection between transformational leadership practices and teacher’s commitment to change (Yu et al., 2002). Further, researchers claim that there is a disparity in the cultural traditions that underscore personal interactions in the workplace between Chinese and American leadership roles, which affects the effectiveness of the leadership tactics in practice (Fu & Yukl, 2000).
The implications for this study are that the cultural contexts through which the school operates are indicative of the effect that transformational leadership practices may have on the school culture itself. For example, Yu et al. (2002) found that the highest mean rating was the item that the principal set high expectations for ongoing teacher development and growth \((M=4.36, SD=1.13)\). Interestingly, while studies are being conducted in many cultures and across many traditional educational paradigms, it seems that transformational leadership affects many aspects of school culture regardless of geographic culture.
Another study looks at job satisfaction and teacher performance as it relates to teacher competence, motivation, and culture. The study collected data from 117 teachers and conducted an SEM analysis to see if competence, motivation and school culture had an influence on teacher job satisfaction and performance. Their study determined that
there was a significant positive relationship between job motivation and job satisfaction; however, the results demonstrated that there was not any significant effect on teacher performance. This means that job motivation creates more satisfaction at the workplace, but not necessarily better performance at that job. The study did find, however, that competence and job satisfaction did affect teacher performance. Therefore, an indirect relationship between job motivation and performance did exist. The research also demonstrated that the culture of an organization had an effect on job satisfaction (Arifin, 2014).
This study highlights the complex relationship between competence, motivation, job satisfaction, and performance as it relates to the culture of an organization. Increasingly, studies have begun to uncover the intricate web that creates a culture of an organization as it pertains to schools and the performance of its teachers. While the research illuminates the need for a better understanding of how organizational culture evolves and is shaped by those within it, we also must come to a better understanding of how the culture affects those that operate within those systems. Additionally, Arifin (2014) suggests that schools can increase motivation by allowing greater accountability, encouraging creativity, and allowing teachers to develop professionally, which are behaviors associated with transformational leadership. By encouraging an improved school culture, we are able to increase job satisfaction and thereby improving performance (Arifin, 2014).
Dininno (2012) identifies what she calls “promoters” to leadership practices. Her study found certain identifiers for promoting healthy leadership practices. Among those was the use of distributive leadership to foster decision-making accountability, building a
trusting culture, creating time for collaboration, administrator availability for mentorship and skill building, and differentiated professional development. The study concluded that the encouragement factor in a culture that provided these promoters was pivotal in supporting leadership initiatives among teacher leaders. This study implies that school leaders can support a positive school culture by strategically employing these identifiers or “promoters” of teacher-leadership (Dininno, 2012).
In fact, another study illustrates the need to improve school culture to create a culture of high achievement within the school. The Aspen Institute (2014) studied high performing institutions and found that the role that culture plays is essential to the success of the school. The study found that while the school has a strong record of achievement, their leaders scored very low on instructional leadership practices, but high on cultural leadership practices. The implications of this study demonstrate that although a leader may lack some leadership traits, fostering a culture of achievement may assist leaders in achieving organizational goals (Aspen Institute, 2014).
This study has implications for the field of school culture in that it is imperative that schools work to assess and reassess the effectiveness of their culture in terms of goal setting and vision. The leaders in an organization are strategically responsible for building a culture of achievement and success regardless of their leadership role. They found that a shared sense of community and responsibility produces achievement, and concluded that teacher leaders have a significant impact on the culture of the school. The study also concluded that teacher leaders were better positioned to enact change in culture (Aspen Institute, 2014).
Indeed, Turan and Bektas (2013) found that creating a positive culture in a school was dependent on leadership practices that supported cohesiveness and shared objectives. The study concluded that there was an appositive and significant relationship between leadership practices both of teachers and of educational leaders and the school’s culture. The research determined that certain leadership practices such as guidance, questioning, encouragement, and vision setting all had a huge impact on the variance of school cultures (Turan & Bektas, 2013). The importance of this study underlines the specific practices that leaders can use to engage their followers in creating a positive school culture.
A study conducted in 2013 posited that the more positive a school’s culture, the more teacher-leaders would develop and learn leadership practices in order to strengthen that school’s culture further (Wang & Zepeda, 2013). The symbiotic relationship that they posited found a link between school culture, positive teacher-leadership, and school improvement. By comparing their data, they were able to confirm that a positive culture fostered improved leadership development in teacher-leaders, and also helped to create a collaborative culture within the school; thereby, encouraging increased leadership roles and willingness to learn and take on increased responsibilities (Wang & Zepeda, 2013).
Conversely, Wang and Zepeda also found that a negative school culture of distrust and disenfranchisement led to a difficulty in developing teacher-leaders and had an adverse impact on the ability of existing teacher-leaders to effectively enact change. They found that negative or unhealthy school culture was detrimental to efficiency and achievement of school-wide goals and impeded a teacher-leaders’ ability to impact educational practice and their peers (Wang & Zepeda, 2013).
The implications of this study to shed light on the cyclical relationship between teacher-leadership and school culture in a manner that demonstrates that school culture is a result of the functions of leadership, but still impacts leadership efficacy and efficiency throughout the organization. A Chinese study found similar results in their survey of 1318 teachers that found that fostering a culture of virtue and kind deeds could predict teacher efficacy and commitment (Cheng, 2012). The study found a cumulative effect on teacher and leaders and reaffirms the relationship between positive culture and effective leadership practices as a symbiosis of one another. The ability of a leader to effect change on an organization’s culture is one that is longitudinal in nature, changing an organization over time.
In fact, several studies have determined that it is possible to improve the culture of a school by using transformational leadership practices such as the type discussed by the Aspen Institute (2014). The type of job satisfaction that is inherent in school with a healthy school culture are considered to be an affirmation of positive transformational leadership (Springer et al., 2012). Their longitudinal study followed a school’s transformation from a negative culture to a positive one through the use of transformational leadership being used to build trust and employee satisfaction leading to increased achievement and performance. They describe the need to empower employees to be creative and the efforts of the school leaders to help build a shared vision within the organization through open communications and collaborative processes to generate change (Springer et al., 2012). These transformational practices worked to shift the perceptions of those stakeholders and to build a culture of empowered trust. According to Springer et al., “Organizational culture is a determining factor in the efficacy of
organizations” (2012). Their study links transitions in school culture as a result of transformational leadership.
Another case study found similar significance in the role that leaders take in assisting to shape school culture through transformational leadership practices (Veiseh et al., 2014). They found a “meaningful” relationship between a school’s culture and transformational leadership practices such that several factors of transformational leadership have a significant effect on culture. Although the found that intellectual encouragement had no significant influence on organizational culture, they found that inspirational motivation, personal observations, and hopeful influence were positively correlated with organizational culture. In fact, they describe the influence that transformational leadership has on the role of culture as “remarkable” (Veiseh et al., 2014).
While the majority of the research seems to concur that transformational leadership significantly changes the climate, culture, and achievement of a school, not all researchers agree that this information is being utilized in a manner that allows for this type of successful change in the educational paradigm. Researchers Moujaes et al (2012) claim that policymakers fail to enact reforms based on solid research verified practices. They claim that while those leaders who have the power to enact significant change in the way education is led, they themselves are not transformational leaders capable of developing leaders with the capacity to effect real needed reform. Moujaes et al (2012) urge these top tier leaders to become transformational leaders themselves in order to be able to work with their leaders for the betterment of the educational paradigm.
Moujes et al (2012) introduce a three-part framework that identifies leaders capable of making significant transformational change within education. First, they identify leaders who are visionary, capable of thinking strategically in order to meet future expectations and needs of the school system. Second, they are able to work within the existing system in order to affect change from within. Third, they are leaders who are able to lead by engaging stakeholders and subordinates during transition in a manner that allows for supportive behaviors. Their research looked at specific case studies in many regions of the world such as Abu Dhabi, Finland, South Korea, and Canada and found that while all of these places had different educational systems, they were very similar in their management of these systems: transactional rather than transformational (Moujaes et al, 2012).
Other research suggests that while these studies are imperative to the field of education, that they also have far reaching implications for all leadership roles. Davis and Macauley (2011) outlines the need for leaders to create cultures of leadership in which all leaders take their roles personally in an effort to transform the organization from within through all levels of leadership which in turn impacts school culture.
However, not all of the research confirms that transformational leadership positively impacts school learning culture. Barnett, McCormick, and Connors (2001) conducted a study that concluded that the use of transformational leadership is no more effective than transactional leadership in terms of its impact on school culture. Their research determined that while transformational leadership does have a positive impact on teacher outcomes such as job satisfaction, commitment, and teacher’s perceptions of leadership effectiveness, it had a negative impact on student learning culture. The
implications of this study were significant because it implies that the relationship between leadership and achievement or those factors that influence achievement may be much more complex than first noted. Their research surveyed 124 teachers using the Multifactor leadership questionnaire (MLQ-5X) instrument to measure the characteristics of transformational leadership. Barnett, McCormick, and Connors research conclusions indicated that elements of transactional leadership were critical to building and maintaining a culture of learning within the school (2001).
Interestingly, studies have now expanded from contained school culture to educational culture outside of the school. Leithwood and Patrician (2015) discuss the need for educational culture to include stakeholders in the home and community to improve school culture and to foster a culture of achievement. In fact, their study presents a “multi-dimensional” concept of school culture that includes parental engagement, instructional support, and leadership as a necessary component to building beneficial educational cultures at school (Leithwood & Patrician, 2015). Tavares-Silva and Pessanha (2012), on the other hand, discuss the implications of school culture on curriculum and educational management and conclude that the culture of an organization is both historical and political in nature, and that the education efforts reach outside of school boundaries to deeper sociological issues.
Bernard Bass and Bruce Avolio originated the Organizational Description Questionnaire in 1992 as a means of exploring the correlation between a leaders’ leadership style and that of the culture of an organization (Bass & Avolio 1993). This instrument measures transformational leadership culture and transactional leadership culture. This instrument has been used in order to evaluate the culture of an organization
as either transformational in which the organization seeks to build a culture of trust and mutual purpose for growth and change in both the individual and the organization itself; or transactional in which supportive environments are in favor of a productive organization outside of the needs of the individual (Inabinett & Ballero, 2014). The instrument contains 28 survey items, which are half transformational and half transactional in nature in order to frame a culture for the organization. The instrument allows for an organization to be able to accurately assess their culture in terms of their commitment to transformational or transactional leadership.
**Gaps in the Literature**
A review of the literature shows a considerable amount of research being conducted in the area of transformational leadership. The Full Range Leadership Model demonstrates a comprehensive overview of leadership styles that are in evidence in both schools and in other types of organizations. The components of the model are compelling to the study of leadership practices and their impact on culture and collaborative practices. Examining school culture as a result of leadership yields a wealth of research that effectively determines a positive relationship between building a healthy school culture and transformational leadership.
There is also a great deal of research being conducted on teacher leadership and its impact on achievement and on school culture. The literature is comprehensive in providing insight into the need for effective teacher-leaders and the practices that encourage effective leadership. Throughout the literature, studies have demonstrated that having effective leaders within an organization influences culture.
However, a gap persists in making a connection between teacher-leadership and transformational leadership. Very few studies have been made that effectively study the need for teacher-leaders to demonstrate the transformational practices that educational administrators have been shown to need. While teacher-leadership is essential in an effective culture, and transformational leadership is also pivotal to building that culture, the logical evolution in research would lead to the need for studies in transformational teacher-leadership.
In addition, there exists a gap in the literature for practical application. While the research hints at usage of transformational practice, the existing research fails to uncover a methodology for employing teacher-leadership or transformational leadership in a manner that allows for greater achievement of organizational goals and personal vision. The research has implications for practical usage, but seems to stop short of creating an impetus for actual change within organizations. The implied applications are essential for making actual and workable improvements to educational paradigms. The research must produce conditions under which form and function become practice.
The study being conducted here seeks to fulfill the purpose of highlighting the transformational leadership being practiced in schools that have healthy cultures. The need for this study becomes apparent when we view the literature as a means of building useful practice within the school site for achieving organizational goals and for the betterment of the school functions. Teacher-leadership has proven an indispensable asset to the vision of schools that have few administrators and even fewer resources. The research demonstrates that these leaders have a wealth of untapped ability, but fails to connect that resource to transformational practices.
Summary
A review of the literature demonstrates that the Full Range Model of Leadership’s nine components are well tested for reliability and validity and are both accurate and robust tests for leadership styles. The improvement efforts of the education system are becoming increasingly dependent on having effective leadership that is aware of leadership styles and its impact on school culture. By examining the literature, we are able to see a clear need to continue in our efforts to understand the cyclical influence culture has on leadership and that leadership has on culture.
Additionally, the research demonstrates that attention to understanding leadership styles has had an impact on improvement practices in leadership throughout a wide range of industries and cultures. Our understanding of administrative leadership, teacher leadership, and school culture are ever changing and ever evolving. The literature reviewed demonstrates this evolution and continued exploration of not only how to understand leadership styles, but also on their impact on the organization as a whole.
CHAPTER III. Methodology
My research study examined the predominant leadership styles of educational administrators and teacher-leaders and the relationship between those styles and the culture of the school in which they work. A quantitative study was conducted in three layers. My study attempted to determine what type of leadership style the leader demonstrated and that relationship to school culture. First, the leaders themselves evaluated their own leadership style along the Full Range Leadership Model by answering survey questions on the Multifactor Leadership Questionnaire Self (MLQ-5X Short Form). Second, followers evaluated their perceptions of their leaders’ actual leadership style on the Multifactor Leadership Questionnaire Rater (MLQ-5X Short Form). Third, all participants will evaluate their organizational culture on the Organizational Description Questionnaire (ODQ).
Chapter III includes include the following sections:
1. A description of the participants of the study including an explanation of the selection process for identifying participants.
2. Research instruments and studies examining validity
3. Research questions
4. The procedures for collecting data
5. Assumptions
6. Hypotheses
7. Statistical analysis procedures
8. Delimitations of the study
Description of Participants
The participants in the study were educational administrators and teacher-leaders currently employed in the Miami Dade County Public School system. The participants were drawn from a population of approximately 460 administrators, approximately 3000 teacher-leaders, and all staff at participating schools in the Miami Dade County Public School System. The administrative leaders and teacher-leaders participated in the self-rater portion of the Multifactor Leadership Questionnaire (MLQ-5X). Data collected from the staff at participating schools were collected using the MLQ-5X Rater survey and the Organizational Description Questionnaire (ODQ).
During the data collection process, the study surveyed 139 participants. Sixteen of the surveys were discarded because of an unsigned consent form or incomplete survey data. In addition, three completed surveys had to be discarded because the leader to which they were assigned did not participate.
The final sample included one hundred and twenty participants. Of those surveyed, twenty-four of the participants were leaders. Seven of these leader participants were administrative leaders, 17 of them were teacher-leaders. In addition, the research surveyed 96 followers, each of whom rated one of the 24 leaders in a randomized assignment.
These leaders and followers were surveyed from three different schools throughout Miami Dade County Public School System. At the time of the study, there were a total of 17 administrative leaders, and 42 teacher-leaders within those three schools. There were a total of 205 faculty members in the three schools at the time of my
survey. All leaders and faculty members were provided the opportunity to participate in the study.
The average demographic participant’s age, gender, racial-ethnic identity, and SES was determined by the leaders and followers that chose to participate in the study. It is assumed that the demographic sample is representative of the population based on the ethnic makeup of Miami Dade County. Participation in the study was on a volunteer basis after inviting participation to each school. As a result of the limited number of educational administrators and teacher-leaders in Miami Dade County Public School system, the participant pool was chosen from the existing administrators in the Miami Dade County Public Schools system and the formalized teacher-leadership pools in those schools that chose to participate. The pool of teacher-leaders consisted primarily of department and grade level chairs, instructional coaches, and other formalized instructional positions.
**Research Instruments and Studies Examining Validity**
The study that was conducted consisted of two research instruments that measured the two components of leadership and school culture. The first research instrument was used to measure whether the educational administrators and teacher-leaders actually practice transformational, transactional, or passive/avoidant leadership as defined by Bass and Avolio (1997). For the purposes of this study the most recent form of the Multifactor Leadership Questionnaire, the MLQ-5X short form was used (Bass & Avolio, 2006).
Those participants who are leaders were provided the Multifactor Leadership Questionnaire (MLQ-5X) self-rater form, a survey that determined the leaders’
perception of their own predominant leadership style. The MLQ-5X survey contained a 5-point Likert type scale with 45 items and was used to determine the leaders’ predominant leadership characteristics as determined between the leaders’ perception and their followers perceptions of their leadership practices.
Several studies have been able to examine the validity of the MLQ-5X short form. Antonakis et al. (2003) examined several factors of the Multifactor Leadership Questionnaire and determined that the underlying structure of the MLQ-5X is best represented by the nine-factor analysis used in the most recent form. There have been concerns expressed about the validity of the six-factor model; therefore, the nine-factor model was developed to respond to those criticisms and is the model used here (Antonakis et al., 2002). These nine factors are Laissez Faire, Management by Exception (Passive), Management by Exception (Active), Contingent Rewards, Idealized Influence (Attributes), Idealized Influence (Behavior), Inspirational Motivation, Intellectual Stimulation, and Individualized Consideration. Judge and Piccolo (2004) found strong case for overall validity ($r=.44$) for the MLQ-5X, and found that transformational leadership had a more strongly correlated relationship than did transactional leadership. In addition, the five transformational components had a high average inter-correlation factor ($r = .064$, $p< 0.01$) demonstrating that the nine-factor form contains much higher validity than the six-factor model (Eshbach, 2008).
The second instrument used in the study was the Organizational Description Questionnaire (ODQ). An examination into the validity and reliability of the ODQ instrument found the transformational scale to have both reliability and consistency as
well as theoretically comprehensive. According to Parry and Proctor-Thomson (2001), the Organizational Description Questionnaire demonstrates adequate internal reliability ($r= 0.88$ for transformational culture and $r= 0.77$ for transactional culture). They also found, however, that the transactional and transformational scales do negatively correlate with one another ($r= -0.61$, $p < 0.001$) (Parry & Proctor-Thomson, 2001).
The ODQ contains a true/false type survey whose purpose was to obtain data on organizational culture. My survey contained 28 items based on a choice of “true,” “false,” or “?” Each answer was provided a point value, and the organization was given a mean score that represents the degree to which the culture type manifests itself in the organization (Parry & Proctor-Thompson, 2007).
There are nine types of organizational culture defined within the ODQ by Bass and Avolio (1994) creating a leadership culture profile. These nine types are: garbage can, pedestrian, bureaucratic, loosely guided, coasting, formal, maturing, highly developed, and high contrast. These nine types were split into transformational and transactional components. Parry & Proctor-Thomson (2007) conducted a validity study on the ODQ and concluded that the scale correlated positively with transformational culture ($r= 0.39$, $p < 0.001$). The study also concluded that transactional culture correlated negatively with organizational effectiveness at ($r= -0.34$, $p < 0.001$). However, a study conducted by Nader et al. (2006) found “good levels of internal consistency for both dimensions”, transformational and transactional (p. 152). While the Organizational Description Questionnaire has not been developed further than the original iteration of the survey, it demonstrates both valid and reliable results that measure the organizational culture with consistency.
Research Questions
There are several questions that this study sought to answer throughout the course of the research. All of them have potential implications on leadership style and teacher-leadership and the relationship between that and school culture. These questions are:
- **RQ 1**: What is the primary demonstrated leadership style of the administrator and teacher leader as determined by the leader’s scores combined with the follower’s scores on the Multifactor Leadership Questionnaire 5X Short Form (MLQ-5X)?
- **RQ 2**: What is the school culture profile as determined by the leaders’ and followers’ scores on the Organizational Description Questionnaire (ODQ)?
- **RQ 3**: Is there a connection between the leadership style of educational administrators and teacher-leaders and school culture as determined by an analysis of variance between leader and follower scores on the MLQ-5X and the ODQ?
Procedures for Collecting Data
The procedures for gathering the sample group were to recruit participating schools by first sending electronic correspondence requesting participation, followed by mailed letters to each of the approximately 460 principals in 464 schools in Miami Dade County Public School System. The purpose of this letter was to explain the nature and reasons for the research being conducted and to request participation in the survey. There were three schools that chose to participate in the research and had the principals, administrative leaders, and teacher-leaders surveyed. In addition, all faculty and instructional members at the school site were invited to participate in both survey instruments.
The data collection period was ten weeks long, beginning with the initial contact between the researcher and principal. Once contact was made, the researcher made arrangements to meet with the participants at the school during faculty meetings as the ease of communication and the least intrusive time on campus. The data were collected at the next convenient meeting date for collection with those participants.
Prior to the meeting, the researcher prepared two types of survey packets for leader and follower participants. Also, prior to the meeting, the researcher requested information from the school such as the number of faculty members, the types of leadership, and the number of participants in each department in order to assure randomization. The researcher had no control over the number or type of administrative leader that participated in the study, nor the followers that would choose to participate, which makes this a random sample. The assignment was provided in sealed envelopes per department and was randomly distributed to the members of that department.
The surveys were randomized according to the school and department in which the leader and follower worked. In each department, the packets were prepared for the number of followers in the department as well as the number of leaders in the school. In addition, the sampling was further randomized per department, with some of the members of the department being surveyed about the educational administrator, some about the department chair, and some about other administrative leaders or teacher-leaders within the school such as the test-chair, athletic director, or the activities director. Half of the follower packets contained surveys for the department chair, and the other half contained surveys for the additional leaders at the school. The packets were marked only with “Leader” or “Follower” and were separated by department. The follower survey
packets were not marked in any other fashion and were distributed blindly according to each department only. It is unknown which follower participant received which leader to evaluate. The leader packets were assigned a “leader number” in order to preserve anonymity for the leader.
During the meeting, prior to collecting the data, the researcher provided information to the principals, teacher-leaders, and staff about the purpose of the study, the random selection process, the confidentiality of the results, and the potential uses for the results. The survey included a portion that provided informed consent to all participants.
Those who did not wish to participate in the study had the opportunity to decline participation. The participants were provided an envelope that contained an informed consent form, a short demographic section, the Multifactor Leadership Questionnaire Self or Rater (MLQ-5X Short Form), and the ODQ. The followers were given a survey for the leader that they were assessing, which was randomized. It is of note that the followers assessed the principal, one of the other administrative leaders, their department chair, or any other teacher-leaders and assessed only one of these leaders. In addition, each participant was given the ODQ, which only has one iteration.
At the conclusion of the meeting, the researcher set a due date for the data at the next faculty meeting during which a specified leader would collect the sealed packets and return them to the researcher. At the conclusion of the ten-week time period, the data collection period was closed and any data collected up to that time was used. Late surveys were not used in the data analysis.
The procedures for data collection included a survey for the participants to complete. The survey was a 20-30 minute survey given in a paper format. The survey
will had two parts: first, was be the Multifactor Leadership Questionnaire (MLQ-5X) self or rater form, depending on whether the participant was a leader or a follower.
The second part of the data collected was the Organizational Description Questionnaire (ODQ), and was distributed to all participants in the study both leaders and staff members. The purpose of the Organizational Description Questionnaire was to determine the culture of the school and was used in conjunction with the MLQ-5X short form to answer the research questions.
**Assumptions**
There are several assumptions that underlie this study. First, no difference exists between school site administrators and teacher-leaders on the MLQ-5X form. The instrument is a measurement of leadership; therefore, the questions posed to the two levels of leadership are the same for both. Second, for the purposes of my study, only administrative leaders that hold formal titles were used for data collection. Third, the Full Range Model of Leadership as defined by Burns (1978), Bass (1985), and Avolio (1989) was used to define the leaders’ style of leadership in the MLQ-5X. Fourth, School Culture was measured using the Organizational Description Questionnaire (ODQ). Fifth, the sample was representative of the demographic makeup of Miami Dade County. Seventh, Transactional and Transformational leadership styles define leadership differently.
**Hypotheses**
The hypotheses posed in the study are aimed at discovering a connection between leadership style, school administrators, teacher-leaders, and school culture. As indicated in Chapter I, there were three hypotheses that were tested in the course of the research.
The following are the hypotheses that were tested throughout the course of the study being conducted and the assertions made by these hypotheses were the focal point of the research. The data collected from the three different surveys were focused on testing the hypotheses posed here.
H1. There will be a difference between administrative leaders’ and teacher-leaders’ predominant leadership style as measured by the leaders’ and followers’ scores on the Multifactor Leadership Questionnaire for Research (MLQ-5X Short Form).
H1.0- Null- There will be no difference between administrative leaders’ and teacher leaders’ leadership characteristics as measured by the leaders’ and followers’ scores on the Multifactor Leadership Questionnaire for Research (MLQ-5X Short Form).
H2. There will be a difference between transactional and transformational predominant school culture profile as measured by the leaders’ and followers’ scores on the Organizational Description Questionnaire (ODQ).
H2.0- Null- There will be no difference between transactional and transformational predominant school culture profile as measured by the leaders’ and followers’ scores on the Organizational Description Questionnaire (ODQ).
H3. There will be a difference between administrative leaders’ and teacher-leaders’ predominant leadership style and school culture profile as measured by the leaders’ and followers’ scores on both the Multifactor Leadership Questionnaire (MLQ-5X Short Form) and the Organizational Description Questionnaire (ODQ).
H3.0- Null- There will be no difference between administrative leaders’ and teacher-leaders’ predominant leadership style and school culture profile as measured by
the leaders’ and followers’ scores on both the Multifactor Leadership Questionnaire (MLQ-5X Short Form) and the Organizational Description Questionnaire (ODQ).
**Statistical Analysis Procedures**
The data for this study were gathered using three groups of participants: the educational leader, both administrative leaders and teacher-leaders, and the followers, each coded differently for statistical measurement purposes. The Multifactor Leadership Questionnaire (MLQ-5x) self-form was provided to each educational leader and teacher leader in participating institutions. The MLQ-5X rater form was provided to each follower at participating schools. Every participant in the study was provided with the Organizational Description Questionnaire (ODQ) in order to establish the culture at the school. Collection of these data permitted a comparative analysis of the predominant leadership style as defined by the Full Range Leadership Model and the nine factors of the MLQ-5X and its impact on school culture as defined by the ODQ.
Once the data were collected, the data were coded and entered into SPSS statistical software by hand and the raw data were evaluated. For the MLQ-5X, each of the 45 questions used the five-point Likert scale and was coded into a system in which each answer was assigned a number 0 through 4, then transposed into the program for analysis as per the MLQ-5X instrument instructions (Avolio & Bass 2004). For the ODQ, the 28 True/False/? Questions were coded as a “1” for “True”, a “-1” for “False”, and a “0” for “?” as per the Organizational Description Questionnaire (ODQ) instrument instructions (Bass & Avolio 2006).
The first seven demographics research questions were answered using descriptive statistics. The data were analyzed using mean and frequency analyses and the relationship between these descriptive statistics provided insight into the makeup of the participant population and will be discussed in the results section of my study.
The first analysis completed was for the MLQ-5X Rater and Self form which demonstrated the predominant leadership characteristic for each leader. After the data collection, data coding, and data entry, the initial analysis was conducted using descriptive statistics to examine the makeup of the participant responses.
The independent variable for this analysis was the leadership type: Administrative leader, teacher-leader, or follower. The dependent variable for this analysis was the predominant leadership characteristic demonstrated according to their scores on the MLQ-5X. A one-way analysis of variance (ANOVA) was conducted on the independent and dependent variable to test the hypothesis concerning the relationship between the educational leaders’ self-perception of their predominant leadership characteristic and the followers’ rating of those same leaders based using a comparison of their answers on the MLQ-5X. The mean difference between the item answers assisted in a determination of the predominant leadership style for each administrator.
The second research question concerning the participants’ perceived culture profile for their school was examined in the same manner. The data were collected, coded, and entered into the statistical analysis program. The first analysis completed were descriptive statistics to determine the participant makeup and an evaluation of the culture profile.
The independent variable for this analysis was the characteristics of school culture. The dependent variable for this study was the predominant culture scores transformational and transactional based on the participants’ answers on the ODQ. A one-way analysis of variance (ANOVA) was conducted in order to test the hypothesis concerning the relationship between the educational leaders’ and followers’ perceptions of their school culture profile based on a comparison of their answers on the ODQ. The mean difference between the item answers assisted in a determination of the predominant culture profile.
The third research question examining a relationship between the leaders’ predominant leadership style and the culture profile was examined by first using descriptive statistics to determine the mean and frequency of the participants’ answers. In addition, a cross tabulation was completed to establish the frequency of the combinations of answers for both of the nine characteristic sets for the MLQ-5X and the ODQ. The results section illustrates those findings.
The independent variable in this analysis was the leaders’ predominant leadership characteristic as determined by the participants’ scores on the MLQ-5X. The dependent variable was the culture profile as evidenced by the participants’ scores on the ODQ. Another one-way analysis of variance (ANOVA) was conducted to test the hypothesis concerning the relationship between administrative leaders’ and teacher-leaders’ predominant leadership style, and the predominant school culture characteristic. These statistics were examined to determine whether a disparity exists between administrative leaders’ and teacher-leaders’ leadership style and culture profile. The results are discussed in the following chapter.
For each of the analyses in this study, the alpha level was set at .05, which is the typical alpha level for social science research. It has been determined that finding a significance level of $p < 0.05$ indicates a significant relationship between leadership styles and school culture.
**Delimitations of the Study**
This study has several delimitations that may have affected the scope and generalizability of the study and may have impacted the outcome of the study. These parameters were set by the researcher in order to maintain the feasibility of the study. The following are some of the delimitations of the study.
1. This study was limited and offered only to public school administrative leaders only in Miami Dade County Public School System due to their availability. Therefore, no assumptions should be made about the generalizability of this study to private, parochial, charter, alternative schools, or schools in other districts.
2. This research was also delimited to educational administrative leaders and teacher-leaders who hold formal titles. While a case can certainly be made for the inclusion of teacher-leaders that act in a leadership capacity without the authoritative position, this study sought to ascertain the leadership style of those endowed with formal authority to enact changes based on the school’s organizational culture and goals.
3. Since this study contains a multi-part survey, the sample is limited to participants that completed all parts of the survey. The leadership styles of the educational administrators and teacher-leaders will be ascertained from the Multifactor Leadership Questionnaire Self (MLQ- Form 5X Short) (Bass, 1997). The
perceptions of leadership style by subordinates and peers was ascertained using the Multifactor Leadership Questionnaire Rater (MLQ- Form 5X Short). The measurement of school culture was measured by all participants using the Organizational Description Questionnaire (ODQ). Any incomplete surveys were discarded.
Summary
The research conducted throughout this study was a randomized sample of educational administrators and teacher-leaders in Miami Dade County Public Schools that sampled twenty-four leaders and 96 followers to determine the educational leadership style as defined by the full range leadership model. In addition, the participants of the study were surveyed to determine the schools’ predominant culture as defined by the Organizational Description Questionnaire. The study sought to answer to the relationship between educational leadership styles and school culture and to determine through statistical analysis whether there exists a correlation between leadership styles demonstrated in schools and school culture.
CHAPTER IV. Results
This chapter contains the results of the quantitative research study conducted to ascertain the effects of school administrators’ and teacher-leaders’ leadership style on school culture. The research conducted attempted to answer the following research questions:
- **RQ 1**: What is the primary demonstrated leadership style of the administrator and teacher leader as determined by the leader’s scores combined with the follower’s scores on the Multifactor Leadership Questionnaire 5X Short Form (MLQ-5X)?
- **RQ 2**: What is the school culture profile as determined by the leaders’ and followers’ scores on the Organizational Description Questionnaire (ODQ)?
- **RQ 3**: Is there a connection between the leadership style of educational administrators and teacher-leaders and school culture as determined by an analysis of variance between leader and follower scores on the MLQ-5X and the ODQ?
After the surveys were collected and completed, the data was coded and entered into SPSS statistical analysis software. The first analysis completed was a demographic analysis.
**Demographics and Descriptive Statistics**
The sample from this study was taken from three schools in Miami Dade County Public Schools. The participants were limited to school administrative leaders, teacher-leaders, and teaching faculty within those three schools. At the time of the study, there were a total of 17 administrative leaders, and 42 teacher-leaders within those three
schools. There were a total of 205 faculty members in the three schools at the time of this survey. All leaders and faculty were provided the opportunity to participate in the study.
Throughout the data collection process, a total of 139 surveys were completed. Of these, 16 of them were excluded due to an unsigned consent form or incomplete survey data. Three others were discarded due to because the leader they were assigned did not participate. Therefore, the total size of the number of participants was $N=120$. The research surveyed $n=24$ leaders. The subsample totals for the leader groups was administrative leaders ($n=7$) and teacher leaders ($n=7$). These leaders were surveyed from a total of three different schools throughout Miami Dade County. In addition, the research surveyed $n=96$ followers, each of whom rated one of the 24 leaders in a randomized assignment. Table 1 shows the survey percentages for the different leader types for the participants of the study.
**Table 1. Frequency and Percent of Leader Type**
| Leader Type | Frequency | Percent | Valid Percent | Cumulative Percent |
|-------------------|-----------|---------|---------------|--------------------|
| Administrative Leader | 7 | 5.8 | 5.8 | 5.8 |
| Teacher Leader | 17 | 14.2 | 14.2 | 20.0 |
| Follower | 96 | 80.0 | 80.0 | 100.0 |
| Total | 120 | 100.0 | 100.0 | |
Of the three schools surveyed, the 120 total number of useable surveys completed varied by school due to school faculty size, and participation in the study. As Table 2 demonstrates, School 1 completed a total of 71 surveys, and accounted for 59.2% of the total number of surveys completed. School 2, however, completed 15 surveys and
accounted for 12.5% of the completed surveys. School 3 completed 34 surveys, for a total of 28.3% of completed surveys.
**Table 2. Frequency and Percent by School**
| | Frequency | Percent | Valid Percent | Cumulative Percent |
|-------|-----------|---------|---------------|--------------------|
| 1.00 | 71 | 59.2 | 59.2 | 59.2 |
| 2.00 | 15 | 12.5 | 12.5 | 71.7 |
| 3.00 | 34 | 28.3 | 28.3 | 100.0 |
| Total | 120 | 100.0 | 100.0 | |
The number of followers that surveyed each leader depended on the number of participants in each school. The research conducted provided an equal number of surveys for each leader to the expected participants; however, the number of surveys completed per leader varied by participation due to the fact that the participation was both random and voluntary. Therefore, the data demonstrates that the leaders do not have an identical number of follower ratings for each part of the survey. In addition, since several of the surveys completed were unusable due to incomplete answers or sections, the number of followers per leader varies.
Table 3 illustrates the number of leaders and the number of participants that rated the leaders. Within this distribution of surveys, 12 of the leaders originated from school 1, while schools 2 and 3 account for 6 leaders each. One leader did not participate; therefore, three follower surveys were also discarded, as they became unusable. Out of the 139 surveys completed, 86% (N=120) of the surveys were complete and contained usable data. Of the 14% that were not used 1 was a leader, and the rest were followers.
The gender distribution for the study was 86 female, comprising 71.7% of the participants. The male participant number was 34 and consisted of 28.3% of participants. The percentage of female to male participants is heavily weighted towards female. Table 4 shows the total distribution of male to female total participants, while table 5 demonstrates the number of male to female leaders that participated in the study.
Table 4. Frequency and Percent of Participants’ Gender
| Gender | Frequency | Percent | Valid Percent | Cumulative Percent |
|--------|-----------|---------|---------------|--------------------|
| Female | 86 | 71.7 | 71.7 | 71.7 |
| Male | 34 | 28.3 | 28.3 | 100.0 |
| Total | 120 | 100.0 | 100.0 | |
Table 5. Frequency and Percent of Leaders’ Gender
| Gender | Frequency | Percent | Valid Percent | Cumulative Percent |
|--------|-----------|---------|---------------|--------------------|
| Female | 19 | 79.2 | 79.2 | 79.2 |
| Male | 5 | 20.8 | 20.8 | 100 |
| Total | 24 | 100.0 | 100.0 | |
The age of the participants consisted of five ranges, 21-29, 30-39, 40-49, 50-59, and 60+. Table 6 illustrates that the youngest teachers, those between 21 and 29 made up 10% of the participants and 30-39% made up 15% of the participant pool. The teachers in the middle age range, those aged 40-49 and 50-59 made up the majority of the participant pool at 28.3% and 31.7% respectively. While the oldest teachers, aged 60 made up 15% of the participants. The distribution of age participation approximates a bell curve and is weighted towards the middle participant age range.
Table 6. Frequency and Percent of Age Groups
| Age Group | Frequency | Percent | Valid Percent | Cumulative Percent |
|-----------|-----------|---------|---------------|--------------------|
| 21-29 | 12 | 10.0 | 10.0 | 10.0 |
| 30-39 | 18 | 15.0 | 15.0 | 25.0 |
| 40-49 | 34 | 28.3 | 28.3 | 53.3 |
| 50-59 | 38 | 31.7 | 31.7 | 85.0 |
| 60+ | 18 | 15.0 | 15.0 | 100.0 |
| Total | 120 | 100.0 | 100.0 | |
The education level demonstrated that the participants primarily held a Bachelor’s degree level, with 40.8% of the participants having obtained an undergraduate degree as Table 7 demonstrates. Postgraduate degrees comprised 35.8% of the participants holding a Master’s degree while 16.7% and 6.7% held a Specialist and Doctoral degree respectively. In terms of leaders, as Table 8 shows, only 12.5% of them hold a Bachelor’s degree. Those leaders that held a Master’s degree made up 54.2% and 25% of participants had a Specialist degree. Additionally, 8.3% of leaders held a Doctoral degree.
**Table 7. Frequency and Percent of All Participants’ Degree Levels**
| Degree Level | Frequency | Percent | Valid Percent | Cumulative Percent |
|--------------|-----------|---------|---------------|--------------------|
| Bachelor's | 49 | 40.8 | 40.8 | 40.8 |
| Master's | 43 | 35.8 | 35.8 | 76.7 |
| Specialist | 20 | 16.7 | 16.7 | 93.3 |
| Doctorate | 8 | 6.7 | 6.7 | 100.0 |
| Total | 120 | 100.0 | 100.0 | |
**Table 8. Frequency and Percent of Leaders’ Degree Levels**
| Degree Level | Frequency | Percent | Valid Percent | Cumulative Percent |
|--------------|-----------|---------|---------------|--------------------|
| Bachelor's | 3 | 12.5 | 12.5 | 12.5 |
| Master's | 13 | 54.2 | 54.2 | 66.7 |
| Specialist | 6 | 25 | 25.0 | 91.7 |
| Doctorate | 2 | 8.3 | 8.3 | 100.0 |
| Total | 24 | 100.0 | 100.0 | |
**Research Question 1**
Research Question 1 explored the primary demonstrated leadership style of the administrator and teacher leader as determined by the leader’s scores combined with the follower’s scores on the Multifactor Leadership Questionnaire 5X Short Form (MLQThe purpose of the analysis was to determine the leadership style on the transactional to transformational continuum. The transformational characteristics on the continuum are Idealized Influence (Attributes), Idealized Influence (Behavior), Inspirational Motivation, Intellectual Stimulation, and Individualized Consideration. The transactional characteristics are Contingent Reward, Management-by-Exception (Active), Management-by-Exception (Passive), and Laissez Faire Leadership.
The independent variable in this study were the three types of participants; Administrative Leader, Teacher Leader, and Follower. The dependent variables in this study were the predominant characteristics as determined by the results of the scores on the MLQ-5X. The data was collected and first analyzed based on a frequency and mean according to the MLQ-5X (Avolio, Bass, & Jung, 1999). In addition, an ANOVA was performed to study the relationship between the variances of the dependent and independent variable. The measure of transformational to transactional range was the dependent variable for answering this research question, which was the predominant characteristic demonstrated by the answers taken on the MLQ-5X Short form. The responses had a mean of 3.06 on a Likert type scale of 0 – 4 with a standard deviation of 2.42 as shown in Table 9.
Table 9. Multifactor Leadership Questionnaire Statistics
| | Valid | Missing |
|----------------------|-------|---------|
| Mean | 3.0583| |
| Std. Deviation | 2.41944| |
| Skewness | .988 | |
| Std. Error of Skewness | .221 | |
The results were coded on a scale of 1 – 9 of the nine characteristics on the continuum of transformational to transactional leadership. The following measurements on the frequency Table 10 were the representation for each of the answers presented. A 1 = Idealized Influence (Attributes); 2= Idealized Influence (Behavior); 3= Inspirational Motivation; 4= Intellectual Stimulation; 5= Individualized Consideration; 6= Contingent Reward; 7= Management-by-Exception (Active); 8= Management-by-Exception (Passive); 9= Laissez Faire Leadership. Table 10 illustrates that value 1, Idealized Influence (Attributes) accounts for the highest percentage of characteristics at 41.7% \((n=50)\), and values 2 and 3 Idealized Influence (Behavior) and Inspirational Motivation respectively account for 12.5% \((n=15)\) and 15% \((n=18)\). Value 4, Intellectual Stimulation accounts for the lowest percentage at 1.7% \((n=2)\). In addition, value 9, Laissez Faire Leadership makes up 3.3% \((n=4)\) of the characteristics.
**Table 10. Frequency and Percent of Predominant Leadership Characteristic**
| Characteristics | Frequency | Percent | Valid Percent | Cumulative Percent |
|------------------------------------------|-----------|---------|---------------|--------------------|
| 1. Idealized Influence (Attributes) | 50 | 41.7 | 41.7 | 41.7 |
| 2. Idealized Influence (Behavior) | 15 | 12.5 | 12.5 | 54.2 |
| 3. Inspirational Motivation | 18 | 15.0 | 15.0 | 69.2 |
| 4. Intellectual Stimulation | 2 | 1.7 | 1.7 | 70.8 |
| 5. Individualized Consideration | 12 | 10.0 | 10.0 | 80.8 |
| 6. Contingent Reward | 10 | 8.3 | 8.3 | 89.2 |
| 7. Management-by-Exception (Active) | 3 | 2.5 | 2.5 | 91.7 |
| 8. Management-by-Exception (Passive) | 6 | 5.0 | 5.0 | 96.7 |
| 9. Laissez Faire Leadership | 4 | 3.3 | 3.3 | 100.0 |
| Total | 120 | 100.0 | 100.0 | 100.0 |
A One-Way ANOVA was conducted on the MLQ-5X data set to ascertain the variance between the predominant characteristics demonstrated in comparison to the type of leadership. The descriptive results as illustrated in Table 11 show that Administrative Leaders had a mean=2.47 ($n=7$) and a standard deviation of 0.192. Teacher leaders had a mean score of 2.43 ($n=17$) and a standard deviation of .279. Followers comprised a mean score of 2.05 ($n=96$) and a standard deviation of .603.
Table 11. MLQ 5X- Predominant Characteristic Descriptive Statistics
| | N | Mean | Std. Deviation | Std. Error | Lower Bound | Upper Bound | Min |
|----------------|-----|---------|----------------|------------|-------------|-------------|-----|
| Administrative Leader | 7 | 2.4657 | .19173 | .07247 | 2.2884 | 2.6430 | 2.08|
| Teacher Leader | 17 | 2.4265 | .27890 | .06764 | 2.2831 | 2.5699 | 1.85|
| Follower | 96 | 2.0508 | .60306 | .06155 | 1.9286 | 2.1730 | .00 |
| Total | 120 | 2.1283 | .57174 | .05219 | 2.0249 | 2.2316 | .00 |
The ANOVA produced an $F(2, 117) = 4.685$, $p = .011$, which indicates that there is a significant difference between the Administrative Leader group average of $M=2.47$ of the total MLQ-5X scores, the teacher leader’s group’s average of $M=2.43$, and follower average $M=2.05$. Table 12 illustrates the significance value between group differences.
Table 12. Multifactor Leadership Questionnaire ANOVA
| | Sum of Squares | df | Mean Square | F | Sig. |
|------------------------|----------------|----|-------------|-------|------|
| Between Groups | 2.884 | 2 | 1.442 | 4.685 | .011 |
| Within Groups | 36.014 | 117| .308 | | |
| Total | 38.899 | 119| | | |
* The mean difference is significant at the $p < .05$ level
A Tukey post hoc test was conducted and a multiple comparison analysis was completed to ascertain the between group differences. As Table 13 illustrates, the mean difference between groups and determined that the mean difference between administrative leaders and teacher leaders demonstrated no significant values at $\alpha = 0.986$ ($M= .0392, p > 0.05$). Additionally, the difference between the mean of administrative leaders and followers also demonstrated no significance with values of $\alpha = 0.140$ ($M= .415, p > 0.05$). However, the test determined a significant difference between teacher leaders and followers with a significant value of $\alpha = 0.030$ ($M= -.376, p < 0.05$). The results of this test illustrate that teacher leaders and followers demonstrate significantly different results on their total score in the Multifactor Leadership Questionnaire 5X-Short Form, while the other groupings did not demonstrate significant differences.
Table 13. Multifactor Leadership Questionnaire Multiple Comparison
| (I) Leadertype | (J) Leadertype | Mean Difference | Std. Error | Sig. |
|----------------|----------------------|-----------------|------------|------|
| Tukey | Administrative Leader| .03924 | .24916 | .986 |
| HSD | Leader | .41488 | .21721 | .140 |
| | Teacher Leader | -.03924 | .24916 | .986 |
| | Follower | .37564* | .14599 | .030 |
| | Administrative Leader| -.41488 | .21721 | .140 |
| | Teacher Leader | -.37564* | .14599 | .030 |
* The mean difference is significant at the $p < .05$ level.
The null hypothesis for this research question held that there would be no statistically significance difference between administrative leaders and teacher leaders leadership characteristics based on the results of the MLQ-5X. The results of the study indicate that the null hypothesis is rejected, as there is a significant difference between
the leadership characteristics of administrative leaders and teacher-leaders. The hypothesis for this research question was that there will be a statistically significant difference between administrative leaders’ and teacher-leaders’ predominant leadership style as measured by the leaders’ and followers’ scores on the Multifactor Leadership Questionnaire for Research (MLQ-5X Short Form). The hypothesis in this case is confirmed as is demonstrated by the results of the analysis conducted.
**Research Question 2**
Research Question 2 examined the primary school culture profile as determined by the leaders’ and followers’ scores on the Organizational Description Questionnaire (ODQ). The question focuses the fundamental leadership style that guides the culture of the school and how that culture is reflected on the transformational to transactional continuum. This research sought to understand how the culture of the school is manifested according to the perceptions of the stakeholders of the school. The research centered on the nine characteristics on the transformational to transactional organizational culture continuum. The transformational characteristics are Predominantly Four I’s (Maturing), Moderately four I’s (Highly Developed), High Contrast, Loosely Guided, and Coasting. The transactional characteristics are Moderately Bureaucratic (Formal), Predominantly Bureaucratic, Pedestrian, and Garbage Can.
The independent variables in this study were the nine characteristics of the school culture profile. The dependent variables were the transformational and transactional school culture as determined by the results of the Organizational Description Questionnaire. The data were collected and first analyzed based on a frequency and mean based on the ODQ (Bass & Avolio, 2006). An ANOVA analysis was completed to study
the relationship between the variances of the dependent and independent variable. The measure of transformational to transactional culture was the dependent variable for answering this research question, which was the predominant characteristic demonstrated by the answers taken on the Organizational Description Questionnaire. As Table 14 demonstrates, the responses had a mean of 2.88 and a standard deviation of 1.89 on a true or false survey. The data collected from the survey were coded according to Bass and Avolio’s Organizational Description Questionnaire instruction manual (1992) in which all “true” answers were coded with a “1”, all “false” answers were coded with a “-1”, and all “?” answers were coded with a “0”. A sum total was calculated of those answers and the end results were entered into SPSS.
Table 14. Organizational Description Questionnaire Statistics
| | |
|------------------------|-------|
| Valid | 120 |
| Missing | 0 |
| Mean | 2.86 |
| Std. Deviation | 1.87 |
| Variance | 3.56 |
| Skewness | 1.61 |
| Std. Error of Skewness | .22 |
The results of the frequency table for the ODQ produced a culture profile for each participant based on the nine characteristics of organizational culture. Table 15, the frequency table illustrates that the transformational characteristic of Moderately Four I’s (Highly Developed) accounts for the highest percentage of characteristics at 58.3% ($f=70$), with the next closest characteristics of Predominantly Four I’s (Maturing) at 10.8% ($f=13$) and High Contrast at 9.2% ($f=13$). The lowest percentage is Garbage Can at 0.8% ($f=1$) followed by Predominantly Bureaucratic and Loosely Guided both at 2.5% ($f=3$).
Table 15. Frequency and Percent of ODQ Predominant Culture Profile
| Predominantly Four I's (Maturing) | 13 | 10.8 | 10.8 | 10.8 |
|-----------------------------------|----|------|------|------|
| Moderately Four I's (Highly Developed) | 70 | 58.3 | 58.3 | 69.2 |
| High Contrast | 11 | 9.2 | 9.2 | 78.3 |
| Loosely Guided | 3 | 2.5 | 2.5 | 80.8 |
| Coasting | 7 | 5.8 | 5.8 | 86.7 |
| Moderately Bureaucratic (Formal) | 7 | 5.8 | 5.8 | 92.5 |
| Predominantly Bureaucratic | 3 | 2.5 | 2.5 | 95.0 |
| Pedestrian | 5 | 4.2 | 4.2 | 99.2 |
| Garbage Can | 1 | .8 | .8 | 100.0|
| Total | 120| 100.0| 100.0| 100.0|
A One-Way ANOVA was conducted on the ODQ data set to ascertain the variance between the predominant transformational and transactional characteristics demonstrated in comparison to school culture profile. The ODQ Transactional scores were based on all odd numbered questions on the ODQ. The ODQ Transactional scores based on the nine characteristics had a total $N= 120$, and had a range of $n= 70$ for the Moderately Four I’s to $n= 1$ for Garbage Can. Table 16 illustrates the mean and standard deviation for each of the nine characteristics and the transactional scores. Predominantly Four I’s (Maturing) had an $M= -3.54 \ (n= 13)$ on a scale of 0 to -14 and had a standard deviation of 4.99. Moderately Four I’s (Highly Developed) had an $M= -0.53 \ (n= 70)$ on a scale of 0 to -14 and had a standard deviation of 4.59. High Contrast had an $M= 3.91 \ (n= 11)$ on a scale of 0 to -14 and had a standard deviation of 5.79. Loosely Guided had an $M= 6.33 \ (n= 3)$ on a scale of 0 to -14 and had a standard deviation of 3.05. Coasting had
an $M = 2.57$ ($n = 7$) on a scale of 0 to -14 and had a standard deviation of 2.57. Moderately Bureaucratic (Formal) had an $M = 1.29$ ($n = 7$) on a scale of 0 to -14 and had a standard deviation of 8.40. Predominantly Bureaucratic had an $M = 2.33$ ($n = 3$) on a scale of 0 to -14 and had a standard deviation of 5.13. Pedestrian had an $M = 1.00$ ($n = 5$) on a scale of 0 to -14 and had a standard deviation of 3.16. Garbage Can had an $M = 8.00$ ($n = 1$) on a scale of 0 to -14 and had no standard deviation. In totality, the transactional group had a total $M = 0.22$ ($n = 12$) and a standard deviation of 5.24.
The Transformational scores on the ODQ were based on the even numbered of the survey. The ODQ Transformational scores also based on the same nine characteristics had a total $N = 120$ and had a range of 70 for the Moderately Four I’s to $n = 1$ for Garbage Can. Table 16 also illustrates the mean and standard deviation for the transformational scores, in which the Predominantly Four I’s (Maturing) had an $M = 10.62$ ($n = 13$) on a scale of 0 to -14 and had a standard deviation of 5.61. Moderately Four I’s (Highly Developed) had an $M = 9.1$ ($n = 70$) on a scale of 0 to -14 and had a standard deviation of 6.53. High Contrast had an $M = 7.82$ ($n = 11$) on a scale of 0 to -14 and had a standard deviation of 8.80. Loosely Guided had an $M = 6.00$ ($n = 3$) on a scale of 0 to -14 and had a standard deviation of 3.61. Coasting had an $M = 11.71$ ($n = 7$) on a scale of 0 to -14 and had a standard deviation of 5.21. Moderately Bureaucratic (Formal) had an $M = 7.14$ ($n = 7$) on a scale of 0 to -14 and had a standard deviation of 6.69. Predominantly Bureaucratic had an $M = 2.33$ ($n = 3$) on a scale of 0 to -14 and had a standard deviation of 12.50. Pedestrian had an $M = 3.80$ ($n = 5$) on a scale of 0 to -14 and had a standard deviation of 10.10. Garbage Can had an $M = 2.00$ ($n = 1$) on a scale of 0 to -14 and had no standard
The transformational group, on the other hand, had a total $M=8.66$ ($N=120$) and standard deviation of 6.96.
**Table 16. Organizational Description Questionnaire Descriptive Statistics**
| ODQ TA Score | N | Mean | Std. Dev | Std. Error | Lower Bound | Upper Bound | Min | Max |
|--------------|-----|------|----------|------------|-------------|-------------|-----|-----|
| Predominantly Four I's | 13 | -3.54| 4.99 | 1.38 | -6.56 | -.52 | -10.00 | 6.00 |
| Moderately Four I's | 70 | -.53 | 4.59 | .549 | -1.62 | .57 | -8.00 | 12.00 |
| High Contrast | 11 | 3.90 | 5.79 | 1.74 | .02 | 7.80 | -4.00 | 12.00 |
| Loosely Guided | 3 | 6.33 | 3.06 | 1.76 | -1.26 | 13.92 | 3.00 | 9.00 |
| Coasting | 7 | 2.57 | 2.57 | .97 | .19 | 4.95 | .00 | 7.00 |
| Moderately Bureaucratic | 7 | 1.29 | 8.40 | 3.18 | -6.48 | 9.06 | -10.00 | 15.00 |
| Predominantly Bureaucratic | 3 | 2.33 | 5.13 | 2.96 | -10.41 | 15.08 | -2.00 | 8.00 |
| Pedestrian | 5 | 1.00 | 3.16 | 1.41 | -2.93 | 4.93 | -2.00 | 6.00 |
| Garbage Can | 1 | 8.00 | . | . | . | . | 8.00 | 8.00 |
| Total | 120 | .22 | 5.24 | .48 | -.73 | 1.16 | -10.00 | 15.00 |
| ODQ TF Score | N | Mean | Std. Dev | Std. Error | Lower Bound | Upper Bound | Min | Max |
|--------------|-----|------|----------|------------|-------------|-------------|-----|-----|
| Predominantly Four I's | 13 | 10.62| 5.81 | 1.61 | 7.10 | 14.13 | -6.00 | 14.00 |
| Moderately Four I's | 70 | 9.10 | 6.53 | .78 | 7.54 | 10.66 | -14.00 | 14.00 |
| High Contrast | 11 | 7.82 | 8.80 | 2.65 | 1.91 | 13.72 | -14.00 | 14.00 |
| Loosely Guided | 3 | 6.00 | 3.61 | 2.08 | -2.96 | 14.96 | 2.00 | 9.00 |
| Coasting | 7 | 11.71| 5.22 | 1.9 | 6.89 | 16.54 | .00 | 14.00 |
| Moderately Bureaucratic | 7 | 7.14 | 6.69 | 2.53 | .95 | 13.33 | -2.00 | 14.00 |
| Predominantly Bureaucratic | 3 | 2.33 | 12.50 | 7.22 | -28.73 | 33.39 | -12.00 | 11.00 |
| Pedestrian | 5 | 3.80 | 10.11 | 4.52 | -8.75 | 16.35 | -8.00 | 14.00 |
| Garbage Can | 1 | 2.00 | . | . | . | . | 2.00 | 2.00 |
| Total | 120 | 8.66 | 6.96 | .63 | 7.40 | 9.92 | -14.00 | 14.00 |
The ANOVA produced a $F(8, 111) = 3.168$, $p = .003$, for the transactional score, indicating that the transactional group average of $(M= 0.2167)$ of the total ODQ scores for transactional leadership was significant. The transformational score which produced an $F(8, 111) = 1.194$, $p = .309$, group’s average of $(M= 8.68)$ was not significant. Table 17 illustrates the significance value between group differences of transactional and transformational scores.
**Table 17. Organizational Description Questionnaire ANOVA**
| ODQ Transactional Score | Sum of Squares | df | Mean Square | F | Sig. |
|-------------------------|---------------|----|-------------|-----|------|
| Between Groups | 608.31 | 8 | 76.04 | 3.17| .003 |
| Within Groups | 2664.06 | 111| 24.00 | | |
| Total | 3272.37 | 119| | | |
| ODQ Transformational Score | Sum of Squares | df | Mean Square | F | Sig. |
|----------------------------|----------------|----|-------------|-----|------|
| Between Groups | 456.23 | 8 | 57.03 | 1.19| .309 |
| Within Groups | 5300.77 | 111| 47.76 | | |
| Total | 5756.99 | 119| | | |
* The mean difference is significant at the $p < .05$ level
The null hypothesis for this research question was that there would be no statistically significant difference between the transactional and transformational predominant school culture profile as measured by the leaders’ and followers’ scores on the Organizational Description Questionnaire (ODQ). However, the results of the study indicate that there is a significant difference between the predominant school culture profile and the participants’ transactional scores. The results of the ANOVA also demonstrate that there is no statistical difference in the predominant culture profile and transformational scores. Therefore, the null hypothesis is rejected and the hypothesis that there will be a statistically significant difference between transactional and
transformational school culture profiles as measured by the leaders’ and followers’ scores on the Organizational Description Questionnaire (ODQ) is confirmed.
**Research Question 3**
Research Question 3 investigated a connection between the predominant leadership characteristics of educational administrators and teacher-leaders and school culture as determined by an analysis of variance between leader and follower scores on the Multifactor Leadership Questionnaire and the Organizational Description Questionnaire. The purpose of the study was to examine the relationship between the leaders’ nine leadership characteristics and the school culture profile. My study sought to combine the previous two elements of leadership and culture and examined each of the nine characteristics of leadership and the nine characteristics of school culture. Therefore, this section also contains a cross tabulation of results in order to provide an overview of the relationship of the participants’ characteristics of both leadership and culture.
The independent variable in this study was the MLQ Predominant Characteristic of leadership style. The dependent variable was the Culture Profile as evidenced by the leaders’ and followers’ scores on the ODQ. The data was collected and first analyzed based on a frequency and mean based on the MLQ and ODQ that produced identical results to the first two research questions and are exhibited in Tables 10 and 15. A second analysis, the cross tabulation, was completed in order to examine the combinations of variables and the relationship between them. Finally, an ANOVA analysis was completed to study the relationship between the variances of the dependent and independent variables and to determine whether there is a statistically significant relationship between school leadership and school culture. The ODQ Culture Profile produced an $M=2.88$ with
a standard deviation of $SD=1.89$, while the MLQ Predominant Characteristic produced a mean of $(M=3.06)$ with a standard deviation of $SD=2.42$ as table 18 demonstrates.
**Table 18. MLQ and ODQ Descriptive Statistics**
| | ODQ Culture Profile | MLQ Predominant Characteristic |
|------------------------|---------------------|--------------------------------|
| Valid | 120 | 120 |
| Missing | 0 | 0 |
| Mean | 2.88 | 3.06 |
| Median | 2.00 | 2.00 |
| Std. Deviation | 1.89 | 2.42 |
| Variance | 3.56 | 5.85 |
| Skewness | 1.61 | .99 |
| Std. Error of Skewness | .22 | .22 |
The cross tabulation between the MLQ Predominant Characteristics and the ODQ Cultural Profile demonstrate the combination of leadership attributes combined with the cultural attributes. The table has been modified in two manners. First, although SPSS produces the information in one singular table, the cross tabulation table has been split into two different tables for use within this document and can be found in Tables 19 and 20. Second, for ease of interpretation the labels on both the X-axis and the Y-axis of the chart have been labeled with a TA signifying transactional characteristics, or a TF for transformational. The intent is to allow readers to understand the connection between the participants’ answers on both of the instruments.
The cross tabulation results are indicated by the participants’ scores who fall within a particular characteristic on the ODQ, and are cross-referenced with the same participants’ score characteristic on the MLQ-5X. In total, there are 81 possible combinations, 44 of which do not have any singular participant that evidenced both
characteristics. As is evidenced in Table 19, the most common combination was TF Moderately Four I’s (Highly Developed) combined with TF Idealized Influence (Attributes) (N= 30). The next most common combination was TF Moderately Four I’s (Highly Developed) combined with TF Inspirational Motivation (N= 13). Twenty of the combinations had an N=1, and the remaining 15 had combinations ranging from N= 2 to N= 6. A total of 84 participants displayed transformational characteristics on both the Leadership characteristics and the culture profile.
Table 19. MLQ and ODQ Predominant Characteristic Cross Tabulation Part 1
| MLQ Predominant Characteristic | ODQCultureProfile |
|--------------------------------|-------------------|
| | Moderately Four I's (Highly Developed) | High Contrast | Loosely Guided |
| Predominantly Four I's (Maturing) | 3 | 30 | 5 | 1 |
| Idealized Influence (Attributes) | 5 | 5 | 0 | 1 |
| Idealized Influence (Behavior) | 0 | 13 | 2 | 1 |
| Inspirational Motivation | 1 | 0 | 1 | 0 |
| Intellectual Stimulation | 1 | 6 | 2 | 0 |
| Individualized Consideration | 1 | 6 | 0 | 0 |
| Contingent Reward | 1 | 6 | 0 | 0 |
| Management-by-Exception (Active) | 0 | 3 | 0 | 0 |
| Management-by-Exception (Passive)| 1 | 5 | 0 | 0 |
| Laissez Faire Leadership | 1 | 2 | 1 | 0 |
| Total | 13 | 70 | 11 | 3 |
As table 20 illustrates, twenty of the participants had characteristics that were on the transformational continuum for the culture profile, but were transactional on the leadership profile. Conversely, there were 13 participants that scored transactional on the school culture, but displayed transformational characteristics on the leadership continuum. There were 3 participants that displayed transactional characteristics for both the culture profile and the leadership continuum.
Table 20. MLQ and ODQ Predominant Characteristic Cross Tabulation Part 2
| MLQ Predominant Characteristic | Coasting | Moderately Bureaucratic (Formal) | Predominantly Bureaucratic | Pedestrian |
|--------------------------------|----------|---------------------------------|---------------------------|------------|
| Idealized Influence (Attributes) | 5 | 1 | 1 | 3 |
| Idealized Influence (Behavior) | 1 | 1 | 1 | 1 |
| Inspirational Motivation | 1 | 0 | 0 | 1 |
| Intellectual Stimulation | 0 | 0 | 0 | 0 |
| Individualized Consideration | 0 | 3 | 0 | 0 |
| Contingent Reward | 0 | 2 | 1 | 0 |
| Management-by-Exception (Active) | 0 | 0 | 0 | 0 |
| Management-by-Exception (Passive)| 0 | 0 | 0 | 0 |
| Laissez Faire Leadership | 0 | 0 | 0 | 0 |
| Total | 7 | 7 | 3 | 5 |
The ANOVA examining the variance between the ODQ culture profile and the MLQ-5X predominant leadership characteristics, the results showed that the comparison had a total mean of 2.88 (N= 120) with a standard deviation of 1.89. The transformational characteristic of Idealized Influence (Attributes) had a mean= 3.06 (n= 50) and a standard deviation of 2.01. The second characteristic of Idealized Influence (Behaviors) had a mean= 3.00 (n= 15) and a standard deviation of 2.39. Inspirational Motivation had a mean of 2.72 (n= 18) with a standard deviation of 1.56. Intellectual Stimulation had a mean of 2.00 (n= 2) and a standard deviation of 1.41. The last transformational characteristic of Individualized Consideration had a mean of 3.08 (n= 12) and a standard deviation of 1.83. The transactional characteristic of Contingent Reward had a mean of 3.20 (n= 10) and a standard deviation of 2.20. Management-by-Exception (Active) had a mean of 2.00 (n= 3) and a standard deviation of 0.00. Management-by Exception (Passive) had a mean of 1.83 (n= 6) with a standard deviation of 0.41. Finally, the lack of leadership, Laissez Faire Leadership displayed a mean of 2.00 (n= 4) and had a standard deviation of 0.82 as is demonstrated in table 21. The most predominant characteristic is Idealized Influence, in which the leader uses power, confidence and trust to gain the respect of followers. The least predominant characteristic was Laissez Faire Leadership in which the leader delegates heavily and allows followers to make decisions, rather than use the leadership role to guide decision making for the group. Laissez Faire Leadership is the leadership style in which the leader delegates authority and lacks leadership skills. This type of leader avoids making decisions and acts in a reactive role rather than proactively.
Table 21. ODQ Mean and Standard Deviation Descriptive Statistics
| | N | Mean | Std. Deviation | Std. Error | Lower Bound | Upper Bound | Min | Max |
|--------------------------|-----|------|----------------|------------|-------------|-------------|-----|-----|
| Idealized Influence | 50 | 3.06 | 2.01 | .28 | 2.49 | 3.63 | 1.00| 9.00|
| (Attributes) | | | | | | | | |
| Idealized Influence | 15 | 3.00 | 2.39 | .62 | 1.68 | 4.32 | 1.00| 8.00|
| (Behavior) | | | | | | | | |
| Inspirational Motivation | 18 | 2.72 | 1.56 | .37 | 1.94 | 3.50 | 2.00| 8.00|
| Intellectual Stimulation | 2 | 2.00 | 1.41 | 1.00 | -10.71 | 14.70 | 1.00| 3.00|
| Individualized Consideration | 12 | 3.08 | 1.83 | .53 | 1.92 | 4.25 | 1.00| 6.00|
| Contingent Reward | 10 | 3.20 | 2.20 | .70 | 1.63 | 4.77 | 1.00| 7.00|
| Management-by-Exception | 3 | 2.00 | .00 | .00 | 2.00 | 2.00 | 2.00| 2.00|
| (Active) | | | | | | | | |
| Management-by-Exception | 6 | 1.83 | .41 | .17 | 1.40 | 2.26 | 1.00| 2.00|
| (Passive) | | | | | | | | |
| Laissez Faire Leadership | 4 | 2.00 | .82 | .41 | .70 | 3.30 | 1.00| 3.00|
| Total | 120 | 2.88 | 1.89 | .17 | 2.53 | 3.22 | 1.00| 9.00|
The ANOVA comparing MLQ-5X leadership characteristics as the independent variable and the ODQ culture profile as the dependent variable produced an $F(8, 111) = 0.593$, $p = .782$, for the ODQ culture profile, which indicates that the ODQ culture profile is not significantly different than that of the Multifactor Leadership Questionnaire.
Leadership style. Table 22 illustrates the significance value between group differences of the ODQ culture profile and the MLQ-5X.
Table 22. MLQ and ODQ ANOVA
| | Sum of Squares | df | Mean Square | F | Sig. |
|----------------------|----------------|------|-------------|------|------|
| Between Groups | 17.34 | 8 | 2.17 | .593 | .782 |
| Within Groups | 405.78 | 111 | 3.66 | | |
| Total | 423.13 | 119 | | | |
* The mean difference is significant at the p < .05 level
The null hypothesis for this research question is that there would be no statistically significant difference between the organizational culture profile and that of the leadership characteristics as measured by the leaders’ and followers’ scores on the Organizational Description Questionnaire and the Multifactor Leadership Questionnaire (5X Short Form). The research results indicate that there is no significant difference between the leaders’ leadership style and the predominant school culture profile. Therefore the null hypothesis is confirmed, and the hypothesis that there will be a statistically significant difference between administrative leaders’ and teacher-leaders’ predominant leadership style and school culture profile as measured by the leaders’ and followers’ scores on both the Multifactor Leadership Questionnaire (MLQ-5X Short Form) and the Organizational Description Questionnaire (ODQ) is rejected.
Summary
This study was conducted on three research questions in order to seek an understanding of the relationship between the leadership style of school administrative leaders and teacher-leaders, and a school’s culture. There were three distinct levels of study within the research. First was an examination of the leaders’ leadership style and an
examination of the difference between administrative leaders’ and teacher leaders’ styles of leadership. The second level of study was the leaders’ and followers’ perceptions of the culture of the school and an examination of where their perceived school culture falls on the school culture profile. The third was a cross examination of the leadership style and the school culture profile in order to ascertain whether or not there was a significant relationship between the two. The research demonstrated significant findings for two of the three research questions. The results of the study illustrate the connection between transformational and transactional characteristics of school leaders and their perception of the culture of their schools.
CHAPTER V. Conclusions
The field of education is changing. The paradigms that, for centuries, were successful at educating our youth are no longer adequate to meet the rapidly changing needs of our students, our societies, and our global marketplace. Technology has seen advances in the availability of information and the speed with which we can access it. We have been forced to reimagine the educational system in a way that faces these new challenges head on and seeks to redefine the ways in which we teach our youth. So, too, have we had to redefine our leadership practices in order to address the needs of our teachers for improved pedagogy, differentiated instruction, technological education, standardized testing, standards mastery, and a myriad of other new ideologies. Like education, leadership has evolved into a collaborative relationship that is mutually beneficial to both leaders and followers.
This is the crux of transformational leadership; that it allows leaders to capitalize on the cumulative knowledge of followers while also being able to work with those followers to share in the increasing burdens of the educational paradigm. The roles between leaders and followers have shifted into a less transactional and dictatorial role, and into a role of shared work, shared responsibility, and shared success and achievement.
The purpose of this study was threefold. First, to discover whether or not administrative leaders and teacher leaders were leading in a manner conducive to this shared practice. The leaders and followers shared their impressions and opinions that allowed the researcher to understand the primary leadership characteristics that the leaders demonstrated to them and their followers. The second purpose was to uncover the
schools’ primary culture profile according to those leaders and followers. The schools’ culture is pivotal in guiding tradition, motivation, and shared values and beliefs. Therefore, the aim of the second phase of study was to determine the culture profile according to the leaders and followers attitudes about the shared work. The third phase of the study sought to merge these two ideas to ascertain whether or not there was a connection between leadership and school culture. As the summary of findings will demonstrate, there were some significant findings within the three analyses that bear further discussion.
**Summary of Findings**
The research study contained three research questions and hypotheses designed to discover answers to those questions. The following is an overview of each of those questions and the findings that were discussed in the results section of the study. Three different research questions were the focus of the study and were answered throughout the course of the analysis. The investigation found significant results for two of the questions. The following is a summary of the findings.
The first research questions sought to illustrate the primary demonstrated leadership style of the administrator and teacher leader as determined by the leaders’ scores combined with the follower’s scores on the Multifactor Leadership Questionnaire 5X Short Form (MLQ-5X). The results demonstrated that there was a significant difference between the predominant leadership characteristics between administrative leaders and teacher-leaders. This demonstrates that leadership differs between formalized leaders and peer leaders and there is a significant difference between administrative leaders’ and teacher-leaders’ predominant leadership characteristics. Further, the
predominant characteristics are transformational in nature, demonstrating that leaders prefer the types of activities that follow from transformational leadership.
The predominant characteristics shown in Figure 1 clearly illustrate Idealized Influence (Attributes) to be the most common of the leadership styles and Intellectual Stimulation to be the least common of the types of leadership styles.
Of note, both Idealized Influence and Intellectual Stimulation fall within the transformational range, meaning that they encourage input and value a collaborative style of leadership. Idealized Influence (Attributes) is characterized by a willingness to make sacrifices for the good of the group, a charisma in which the followers believe. Those who display Idealized Influence (Attributes) characteristics are often considered to be confident and powerful, instilling a sense of reassurance in their followers. 41.67% of the leaders were found to have this characteristic as their predominant leadership style.
Intellectual Stimulation, on the other hand, the characteristic, which the fewest leaders displayed, is leadership that encourages followers to problem-solve using non-traditional methods, to think creatively, and to reexamine assumptions for problem solving. This type of leadership examines perspectives and the premises upon which those assumptions are made, and calls upon the followers to problem solve in new and unique ways. The results of this study suggest that followers do not interpret their leadership to have these types of factors present. The findings suggest that the followers do not feel that they are encouraged to problem-solve in creative ways that challenge the traditional paradigm.
The other factors that had the most common characteristics were Inspirational Motivation (15.00 %), Idealized Influence (Behavior) (12.50 %), and Individualized Consideration. Interestingly, those attributes that demonstrated the highest percentage of participants are three of the four I’s. The results of the study clearly reveal the value of transformational leadership. The activities of leadership that are displayed throughout these characteristics have shown themselves to be critical in creating positive leadership practices.
Research question 2 identifies the school culture profile as determined by the leaders’ and followers’ scores on the Organizational Description Questionnaire (ODQ). The results of the research indicate that the predominant characteristic demonstrated was Moderately Four I’s (Highly Developed) as shown in Figure 2. A Moderately Four I’s culture is one in which the purpose, vision, and values of the organization is the main driving force of the work. Though primarily transformational, this characteristic is marked by a lack of transactional characteristics, which also demonstrates that there can
be a lack of formalized agreements about this work (Turan & Bektas, 2013). The least demonstrated culture profile was that of Garbage Can, in which the participant perceives that the organization lacks leadership and a clear vision for the school. Garbage Can cultures tend to lack unity and purpose and may not have contractual rules, roles, or obligations (Bass and Avolio, 1993).
The analysis of variance revealed that there is a statistical significance between the scores of the participants on the transactional section of the ODQ and those of the transformational scores. This indicates a strong difference between the school culture profile and transactional leadership. The lack of transactional characteristics in the culture profile hints at a less formalized culture in which the organization may lack some of the processes and contractual agreements. According to Bass and Avolio (1993), a culture of predominantly Four I’s is likely to emphasize employee individuality and potential (1993). In addition, organizations of this nature the individuals are likely to exercise creativity and tend to be highly adaptive (Bass and Avolio, 1993).
Conversely, the results of the study show that the predominant culture profile according to the participants is overwhelmingly transformational in nature. There is no statistically significant difference between the transformational sections of the ODQ. This demonstrates a likeness in the characteristics of the participants that scored high transformational scores on the ODQ. The participants’ opinion of their organizational culture is that their schools demonstrate a strong personal and organizational purpose in their organization and in their own roles within the organization. In these instances, the participants are likely to feel that they have the right to express their needs freely; and therefore, these participants are likely to feel valued within their organization. The fact that there is no statistical significance demonstrates a synchrony between the two ideologies of transformational organizational culture and transformational leadership.
So, when the study turns to research question 3, establishing whether there is a connection between the leadership style of educational administrators and teacher-leaders and school culture as determined by and analysis of variance between leader and follower scores on the MLQ-5X and the ODQ, the research takes on a different meaning. While there was no statistical significance between the predominant leadership characteristics and the school culture profile, it becomes apparent that this is because these transformational activities are already happening.
The results of the study demonstrated no statistical significance between the ODQ Culture profile as the dependent variable and the MLQ leadership style as the independent variable, we see that they seem to be synchronous as well. The significance value was $\alpha = .782$ ($F=0.593$, $p<0.05$), demonstrating that the leadership style that was predominant was transformational in nature, as was the ODQ. Therefore, we would
expect to see no statistical difference between them. In this instance, administrative leaders are indicating transformational practices within their schools and are, in fact, leading their schools to be transformational in culture as well.
The same does not hold precisely true in instances of teacher-leadership where the predominant characteristic was less transformational. Those teacher-leaders are charged with the daily activities of running their departments, leading their teachers, and working within the confines of their own classrooms. Therefore, their activities could be construed as more transactional by their very nature. This could be a reason for the perception that teacher-leaders are not as transformational in their leadership style and bears further examination.
The results of this three-phase study have demonstrated a wealth of opportunity for the research to understand the connection between the different levels of leadership, leadership style, and school culture within the context of the schools in Miami Dade County Public Schools. It is apparent that there is a strong significance in administrative leaders transformational practices, while teacher leaders do not necessarily show such a strong practice. Additionally, school culture has shown itself to be transformational, which is indicative of a strong culture of independence, growth, and adaptation.
**Discussion and Limitations of Results**
Educational leadership is the cornerstone of educational practices within the schools themselves. It is imperative that we work towards a greater understanding of how the style of leadership practiced within each organization impacts those within that school. This study sought to shed light on the style of leadership within the frame of transformational and transactional leadership. It also sought to elucidate the connection
between the particular leadership style of administrators themselves, and their direct subordinates - the teacher-leaders. One of the findings of this study was that there is a significant difference between administrative leaders’ and teacher leaders’ leadership style.
The implications of this finding are many, but the main takeaway from this study is that there is a need for increased attention to the leadership styles of teacher leaders. Their activities are often in direct contact with the teachers and students in their department, therefore it is imperative that leadership training and understanding extend to those teachers in that role (Shelton, 2014). The research is lacking in teacher-leadership practices and there has been a lack of focus on how these teachers can help administrators to solidify the vision of their schools (Angelle & Schmid, 2007). For instance, Mangin (2007) demonstrated that administrators who understood the importance of teacher-leaders were better able to bridge the gaps in education and attainment while working to improve school initiatives. Therefore, this study demonstrates that there is a gap between either the training that administrative leaders and teacher-leaders receive, or there is a difference in natural leadership abilities.
This difference is one of the limitations of this study. The study does not evaluate whether these leadership styles are innate, or learned. Therefore, the study lends itself to a natural progression of research, in that finding out the origin of leadership styles and their development could help us to further understand exactly why some leaders are better at creating success, and why some leaders naturally exhibit transformational or transactional tendencies. This in turn, could help us to better train those teacher-leaders that are so very imperative to a school’s success.
In addition, one of the main facets of the research was the connection made between leaders and their followers. This study demonstrates that the predominant characteristic of the leadership is significantly skewed towards transformational leadership. One of the more interesting conversations revolves around the leaders’ perceptions versus those of their followers. The research results demonstrated that the predominant culture profile was Moderately Four I’s, which is a tendency towards transformational leadership tempered with transactional formalized agreements. It is this formalization that maintains the ordered paradigm of the education system.
It has also become increasingly apparent that a school’s culture is one of the key determining factors in the success and achievement of the school as a whole. Bolman & Deal (2006) highlighted the essential qualities of culture that make for success at a school and Arifin (2014) uncovered the connection between culture and job satisfaction. This study reveals that a transformational school culture is tantamount to transformational leadership in that both of these types of activities are critical to success. The activities that take place at the school are more or less successful depending on the amount of buy-in, engagement, and dedication of those whose job it is to fulfill those functions. School culture plays an important role in that capacity. Those who operate in the culture influence the culture in and of themselves by their very interactions within the school.
Therefore, it is the leadership and the followers that both help to guide the culture of the school and also operate within that culture. One of the implications of this study is that there is an obvious accord between leadership style and school culture. The results demonstrated that there was a significant difference between transactional culture and the
school’s culture, which demonstrates that the schools have shifted away from the codified practices of transactional culture and towards those of flexible and collaborative practice.
One of the limitations of this study is that school culture has several other influencing factors. Issues such as socio-economic standing, community relations, and parent involvement all influence those who operate within the school. This study does not differentiate out those factors in the examination of school culture. It may be that one or more of these other factors have a greater influence on the schools’ culture than leadership.
However, it was precisely this connection that this study sought to highlight; the connection between administrative leadership, teacher-leadership, and school culture. The research has already shown that leadership and culture are connected, but it is unclear why or just how (Aspen Institute, 2014). While the results of this research demonstrated statistical significance, it is of note here that the predominant leadership style was transformational, just as the predominant school culture profile was transformational. The end result is that the reasons for the correlation, while apparent, remains elusive. As previously pointed out, there are many mitigating factors in school culture and also in leadership styles (Veiseh et al., 2014). It may be that any one of those factors has an influence that is more significant.
However, the connection is still clear. Transformational leadership is a chief factor in these schools’ leaders, just as it is in school culture. Therefore, the discussion turns to more a minute examination of the precise practices that make up both of these factors between leadership and culture. This leads to more questions that could further guide researchers in forging a better understanding of leadership and school culture. Are
there particular things that transformational leaders do that create transformational culture? Conversely, are leaders more transformational because of the culture? Each of these questions open up a new avenue of inquiry which could help researchers to better understand this connection between leadership and culture.
This study contributes to the body of research by connecting leadership, teacher-leadership, and school culture. The era of purely transactional leadership is past, but this study shows that effective schools still have some component of those formalized agreements that make for effective processes and efficient organizations. Indeed, the schools surveyed in this research demonstrated components of transactional culture as well as those of transformation. It is this middle ground that will enable real change to take place in that while we understand the need to change the processes and to collaborate and encourage individualistic thinking, we often fall back on the pedagogies that have always been the cornerstone of education. By understanding the school culture, the leaders and followers alike can use the school’s strengths and weaknesses in order to make real change.
One of the main findings in this study demonstrated that there was a significant difference between teacher leaders and followers. Additionally, the teacher leader group demonstrated more transactional characteristics than those of the administrative leadership. This demonstrates a need to focus on teacher leaders’ contributions to the school in order to ascertain the true impact that teacher leaders have on their followers and on the culture of the school. While it is important to note the differing roles that teacher leaders play in the context of the daily activities that they fulfill in terms of the hands on management of those in their department, it is also crucial for us to understand
how teacher leaders obtain their leadership skills. By understanding whether teacher leaders are trained leaders or rather those that display innate leadership characteristics, we will be able to target training practices in which we can leverage these leadership abilities to create a more thoughtful leadership program. By pairing administrative leaders with teacher leaders in a deliberate manner, we can potentially influence the culture of the school.
The relationship between leadership styles and school culture is apparent and bears further scrutiny, and this study opens the door to a wider understanding of this connection. The results of this study demonstrate that transformational practices are alive and well within these schools, and that the symbiosis that exist between teachers and leaders creates a culture that encourages challenge, originality, and capacity building rather than rewarding compliance, assimilation, and passivity. This study is important because it demonstrates that leadership and culture are coexistent and interdependent upon one another. This study shows us that leadership styles help to build a culture; where we find leadership characteristics, we also find culture.
**Suggestions for Further Research**
The research completed within this study sought to fill a gap in the research and create a connection between administrative leadership and teacher-leadership and school culture. The study contributes to a growing body of research that demonstrates that there is a need to broaden the scope of the research being conducted in terms of education and leadership. While studies abound regarding teaching, students, pedagogy, and curriculum, we are beginning to understand the importance of educational leadership and its impact on systemic efforts to educate our youth.
Leadership within the education system is multifaceted with some challenges that are completely unique to leadership. While the results of this study demonstrated a strong transformational connection between administrative leaders and teacher leaders, there may be a need to understand the leadership characteristics of followers. Further study into the followers’ innate or trained characteristics may prove to be beneficial in that it may assist formalized leaders in using leadership practices that are effective and differentiated to the needs of the followers.
In addition, further study may be warranted into effective transactional practices. While transformational leadership is critical to a modern organization, it is also clear that some transactional practices are necessary to maintain roles, obligations, and contractual formalized agreements between leaders and followers. While there is some research that elucidates the benefits of transactional leadership (Moujaes et al, 2012), it may prove useful to research specific best transactional practices that lend themselves to improved transformational leadership and the characteristics of transformational leadership. So, further research into how each of these practices works within the symbiosis between leadership styles and culture may be beneficial for the use of purposeful training and cultivation of characteristics that show themselves to be the most relevant to productivity and motivation.
Interestingly, the thinking portion of Intellectual Stimulation is ingrained within education and is the cornerstone of educational attainment, and so it raises questions about why our leadership would not seek this in followers. Further research could help to elucidate the reasoning behind a paradigm that seeks inventive problem solving in students but not in those whose primary purpose is to teach those same students.
Challenging the paradigm of traditional education is the cornerstone of educational reform practices; therefore, it is the very idea of non-traditional problem solving that will eventually lead to innovative change and practices in a system which is becoming increasingly antiquated for our society and our youth. Examining the means through which we can encourage and implement new, unique, and non-traditional answers to questions and asks that those within a paradigm to reexamine and question previous assumptions may lead to a greater understanding of initial suppositions. By investigating these beliefs, researchers may find a way in which leaders can gain new perspectives and answers to problems within education.
One suggestion for further research into organizational culture is the means through which specific transformational cultures develop and can be nurtured within an organization. Purposeful means through which leaders can build organizations whose culture focuses on those transformational practices would be valuable. Researchers are only now beginning to understand that culture may be purposefully cultivated and teacher-leadership may play an important role in those activities that help promote transformational culture. Practical applications for developing and implementing transformational practices will be essential in creating a purposefully transformational culture.
This research can lead to a “best practices” approach in which we work to research the specific activities of transformational leaders in order to be able to find a best fit for schools that are suffering from a strong transactional culture in which there is little collaboration and little symbiosis between leaders and followers. By placing transformational leaders within a school that is highly transactional, the leader will be
able to introduce some of these best practices for transformational leadership. This in turn will enable the collaborative growth and processes that will unlock innovative ideas leading to transformation.
Conversely, this research demonstrates that an organization that is too transformational can lack formalized agreements and processes necessary for the day to day running of the organization. An organization that lacks these processes tends to focus on the theoretical solution rather than the practical application of the solution. Therefore, a leader that proves themselves to be more transactional in nature can assist in clarifying and implementing the agreements, rules, and roles needed for these visions to become a reality. This research can help to elucidate the needs of the schools by examining the culture profile and then examining the leaders within the school to see whether they are the best fit for the needs of the school environment.
Further, this research was limited to the scope of the schools within Miami Dade County Public Schools that were surveyed. A wider study that encompasses many schools within Miami Dade may yield differing results. Replication of this research may be beneficial in more traditional school systems in which we may be able to understand the implications of smaller paradigms. The question of whether more conservative school districts are more or less likely to practice transformational leadership or transformational culture. In addition, widening the scope of this research to other large districts may elucidate whether the schools within Miami Dade are unique in their leadership practices and components of culture.
Conclusion
Throughout this study, it has become clear that there are many avenues that can be further explored in the connection between school leadership and school culture. By using this research as a keystone research, school systems can adapt their leadership styles to the needs of the specific schools and can select leaders that exhibit the needed characteristics of the school to maximize the potential for achievement and to improve the culture of the school. In addition, they can target training practices within the district in order to deliberately train and place leaders in positions in which they will achieve the greatest improvement results.
This study follows a body of research that seeks to understand leadership and school culture so that educators and educational systems can better address the needs of leaders, teachers, students, and the educational organization. There are a myriad of concerns surrounding the current state of education. The paradigms under which we operate are complicated, confounded, and often comingled in a manner that makes it difficult to gauge the best means through which improvements can be made.
One thing is clear, in the increasingly turbulent systems that govern education, leadership and the roles that all leaders play is ever more important. Understanding how effective administrative leaders and teacher-leaders guide others and their organizations has been the cornerstone of this study. These leaders are the foundation upon which the organization rests; it is their duty to lead teachers and students into achieving their highest potential. The practices that they inhabit influence the future of those they touch, and their example is what makes a school effective.
The habits, visions, and functions of the school dictate on many levels the successes of the school and its students. This basis for shared mission brings together the village that seeks to educate the youth of our society. It is this culture within which these organizations and its people operate, and is truly a microcosm of the societies from which they are borne. And so it is imperative that we continually seek to comprehend the relationships that exist between administrators, teacher-leaders, and school culture.
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Tavares-Silva, & Pessanha, E. C. (2012). Observations of school culture: From theorists to curriculum issues. *International Education Studies, 5*(4), 65-70.
Thoenen, E., Sleegers, P., Oort, F., Peetsma, T., & Geijsel, F. (2011). How to improve teaching practices: The role of teacher motivation, organizational factors, and leadership practices. *Educational Administration Quarterly*. 47, 496–536.
Turan, S., & Bektas, F. (2013). The relationship between school culture and leadership practices. *Eurasian Journal of Educational Research*, (52), 155-168.
Veiseh, S., Mohammadi, E., Pirzadian, M., & Sharafi, V. (2014). The relation between transformational leadership and organizational culture (case study: Medical school of Ilam). *Journal of Business Studies Quarterly, 5*(3), 113-124.
Wang, F., & Zepeda, S. J. (2013). A comparative study of two schools: How school cultures interplay the development of teacher leadership in mainland china. *Creative Education*, 4(9B), 63-68.
Wilmore, E.L., & Thomas, C. (2001). The new century: Is it too late for transformational leadership? *Educational Horizons*, 79(3), 115-123.
Yu, H., Leithwood, K. & Jantzi, D. (2002). The effects of transformational leadership on teachers’ commitment to change in Hong Kong [Electronic version]. *Journal of Educational Administration*, 40(4), 368-389.
MEMORANDUM
To: Dr. Peter Cistone, Principal Investigator
CC: File
From: Eliza Gomez, M.Ed., Coordinator, Research Integrity
Date: September 29, 2016
Protocol Title: "Measuring the Relationship Between Educational Administrators' and Teacher-Leaders' Leadership Style and School Culture"
The Florida International University Office of Research Integrity has reviewed your research study for the use of human subjects and deemed it Exempt via the Exempt Review process.
IRB Protocol Exemption #: IRB-16-0378
IRB Exemption Date: 09/29/16
TOPAZ Reference #: 105090
As a requirement of IRB Exemption you are required to:
1) Submit an Event Form and provide immediate notification of:
- Any additions or changes in the procedures involving human subjects.
- Every serious or unusual or unanticipated adverse event as well as problems with the rights or welfare of the human subjects.
2) Submit a Project Completion Report Form when the study is finished or discontinued.
Special Conditions: In conducting research in the Miami-Dade County Public Schools System (M-DCPS), upon receiving this FIU IRB Approval, the Investigator must submit her application to the M-DCPS Research Review Committee which must include a copy of the FIU IRB Approval letter. This application complies with the School Board rule 6Gx13-6A-1.38 which states that "Any request from people outside the public school system, or from employees seeking university degrees, must be submitted to the Research Review Committee (RRC)." The application forms and contact information can be found at http://oer.dadeschools.net. Upon approval from M-DCPS RRC, the investigator must submit a copy of the M-DCPS RRC approval letter to the FIU IRB Office (Office of Research Integrity) to complete the process.
For further information, you may visit the IRB website at http://research.fiu.edu/irb.
COLLABORATIVE INSTITUTIONAL TRAINING INITIATIVE (CITI PROGRAM)
COURSEWORK REQUIREMENTS REPORT*
* NOTE: Scores on this Requirements Report reflect quiz completions at the time all requirements for the course were met. See list below for details. See separate Transcript Report for more recent quiz scores, including those on optional (supplemental) course elements.
- Name: Kristina Garcia (ID: 1402988)
- Email: firstname.lastname@example.org
- Institution Affiliation: Florida International University (ID: 970)
- Institution Unit: English
- Phone: 305-323-5249
- Curriculum Group: Responsible Conduct of Research
- Course Learner Group: Social and Behavioral Responsible Conduct of Research Course
- Stage: Stage 1 - RCR
- Description: This course is for investigators, staff and students with an interest or focus in Social and Behavioral research. This course contains text, embedded case studies AND quizzes.
- Report ID: 18672078
- Completion Date: 02/15/2016
- Expiration Date: N/A
- Minimum Passing: 80
- Reported Score*: 100
| REQUIRED AND ELECTIVE MODULES ONLY | DATE COMPLETED | SCORE |
|-----------------------------------|----------------|-------|
| Research Misconduct (RCR-Basic) (ID: 16604) | 02/09/16 | 5/5 (100%) |
| Data Management (RCR-Basic) (ID: 16600) | 02/09/16 | 5/5 (100%) |
| Authorship (RCR-Basic) (ID: 16697) | 02/10/16 | 5/5 (100%) |
| Peer Review (RCR-Basic) (ID: 16603) | 02/10/16 | 5/5 (100%) |
| Using Animal Subjects in Research (RCR-Basic) (ID: 13301) | 02/11/16 | 5/5 (100%) |
| Conflicts of Interest (RCR-Basic) (ID: 16599) | 02/11/16 | 5/5 (100%) |
| Collaborative Research (RCR-Basic) (ID: 16598) | 02/15/16 | 5/5 (100%) |
| Research Involving Human Subjects (RCR-Basic) (ID: 13566) | 02/15/16 | 5/5 (100%) |
For this Report to be valid, the learner identified above must have had a valid affiliation with the CITI Program subscribing institution identified above or have been a paid Independent Learner.
CITI Program
Email: email@example.com
Phone: 305-243-7970
Web: https://www.citiprogram.org
**NOTE:** Scores on this Transcript Report reflect the most current quiz completions, including quizzes on optional (supplemental) elements of the course. See list below for details. See separate Requirements Report for the reported scores at the time all requirements for the course were met.
- **Name:** Kristina Garcia (ID: 1402988)
- **Email:** firstname.lastname@example.org
- **Institution Affiliation:** Florida International University (ID: 970)
- **Institution Unit:** English
- **Phone:** 305-523-5249
- **Curriculum Group:** Responsible Conduct of Research
- **Course Learner Group:** Social and Behavioral Responsible Conduct of Research Course
- **Stage:** Stage 1 - RCR
- **Description:** This course is for investigators, staff and students with an interest or focus in Social and Behavioral research. This course contains text, embedded case studies AND quizzes.
| REQUIRED, ELECTIVE, AND SUPPLEMENTAL MODULES | MOST RECENT | SCORE |
|---------------------------------------------|-------------|-------|
| Responsible Conduct of Research (RCR) Course Introduction (ID: 1522) | 09/16/09 | No Quiz |
| Using Animal Subjects in Research (RCR-Basic) (ID: 13301) | 02/11/16 | 5/5 (100%) |
| Research Involving Human Subjects (RCR-Basic) (ID: 13566) | 02/15/16 | 5/5 (100%) |
| Authorship (RCR-Basic) (ID: 16597) | 02/10/16 | 5/5 (100%) |
| Instruction in the Responsible Conduct of Research Archived 1248 (ID: 1248) | 09/16/09 | No Quiz |
| Collaborative Research (RCR-Basic) (ID: 16598) | 02/15/16 | 5/5 (100%) |
| Conflicts of Interest (RCR-Basic) (ID: 16598) | 02/11/16 | 5/5 (100%) |
| Data Management (RCR-Basic) (ID: 16600) | 02/09/16 | 5/5 (100%) |
| Peer Review (RCR-Basic) (ID: 16603) | 02/10/16 | 5/5 (100%) |
| Research Misconduct (RCR-Basic) (ID: 16604) | 02/09/16 | 5/5 (100%) |
| Responsible Conduct of Research (RCR) Course Conclusion (ID: 1043) | 09/17/09 | No Quiz |
For this Report to be valid, the learner identified above must have had a valid affiliation with the CITI Program subscribing institution identified above or have been a paid Independent Learner.
CITI Program
Email: info@email@example.com
Phone: 305-243-7970
Web: https://www.citiprogram.org
Superintendent of Schools
Alberto M. Carvalho
October 24, 2016
Mrs. Kristina Garcia
12333 SW 104th Lane
Miami, FL 33186
Dear Mrs. Garcia:
I am pleased to inform you that the Research Review Committee (RRC) of the Miami-Dade County Public Schools (MDCPS) has granted you approval for your request to conduct the study: “Measuring the Relationship Between Educational Administrators’ and Teacher Leaders’ Leadership Style and School Culture” in order to fulfill the requirements of your dissertation at Florida International University.
This RRC approval is granted with the following conditions:
1. **Participation in this study is at the discretion of the principal of each targeted school.**
Please note that even with the approval of the RRC, it is still the responsibility of the Principal as the gatekeeper of the school to decide whether to participate or not. As stated in the Board rule, “…the principal of the individual school has the privilege of deciding if RRC-approved research will be conducted within his/her school.”
A copy of this approval letter must be presented and/or shared with the Principal of each targeted school.
2. The participation of all subjects (such as students, faculty, or staff) is **voluntary**. The anonymity and/or confidentiality of all subjects must be assured.
3. As you stated in section 23 of your application, participant consent forms must be secured for ALL targeted subjects prior to their participation in the study.
4. The purpose of this study is to demonstrate a comprehensive research model that leads to a better understanding of leadership style based on an enhanced use of the “Full Range Model” that includes an examination of the perceptions of followers.
5. The study will involve the **voluntary** participation of approximately 15 principals and 1,000 teachers in a paper and pencil survey of approximately 45 Likert-type questions. The Multifactor Leadership Questionnaire has two forms: a Leader Form and a Rater Form.
6. Disruption of the school’s routine by the data collection activities of the study must be kept at a minimum. Data collection activities must not interfere with the district’s testing schedule.
7. ALL research activities must be conducted with the knowledge and approval of the Principal of each targeted school. All efforts should be made to minimize any negative impact on the learning environment.
It should be emphasized that the approval of the Research Review Committee does not constitute an endorsement of the study. It is simply a permission to request the voluntary cooperation in the study of individuals associated with MDCPS.
It is your responsibility to ensure that appropriate procedures are followed in requesting an individual’s cooperation, and that all aspects of the study are conducted in a professional manner. With regard to the latter, make certain that all documents and instruments distributed within MDCPS as a part of the study are carefully edited.
The approval number for your study is 2168. This number should be used in all communications to clearly identify the study as approved by the Research Review Committee. The approval expires on 06/30/2017. During the approval period, the study must adhere to the design, procedures and instruments which were submitted to the Research Review Committee. Finally, as indicated in your application, please submit to the RRC an abstract of the research findings by December 2017.
If there are any changes in the study as it relates to MDCPS, the RRC must be notified in writing. Substantial changes may necessitate resubmission of the request. Failure to notify me of such a change may result in the cancellation of the approval.
If you have any questions, please call me at 305-995-7091. On behalf of the Research Review Committee, I want to wish you every success with your study.
Sincerely,
Tarek Chabbi, Ed. D.
Chairperson
Research Review Committee
APPROVAL NUMBER: 2168
APPROVAL EXPIRES: 06/30/2017 *
(*) F.L.U. IRB -16-0378 (Exempt)
Note: The researcher named in this letter of approval will be solely responsible and strictly accountable for any deviation from or failure to follow the research study as approved by the RRC. M-DCPS will NOT be held responsible for any claim and/or damage resulting from conducting this study.
August 22, 2016
**Title of Study:** Measuring the Relationship Between Educational Administrators’ and Teacher-Leaders’ Leadership Style and School Culture
**Principal Investigator:** Peter J. Cistone, Major Professor, Leadership and Professional Studies, Florida International University
**Student Principal Investigator:** Kristina K. Garcia, Doctoral Candidate/ Dissertation Author, Leadership and Professional Studies, Florida International University
I, Kristina K. Garcia, student researcher and doctoral candidate, from the Department of Leadership and Professional Studies, Florida International University, invite you to participate in a research project entitled *Measuring the Relationship Between Educational Administrators’ and Teacher-Leaders’ Leadership Style and School Culture*.
The purpose of this research project is to examine the leadership styles of principals and teacher-leaders in your school and to evaluate your school’s culture. Participation in this research study is voluntary. Should you choose to participate, you and your faculty will be asked to complete two short surveys based on leadership styles and school culture.
The expected duration will be 25-35 minutes for instructions and the completion of the surveys.
This research should benefit the school and its leaders by defining a relationship between school culture and the leadership styles of the principal and teacher-leaders within the school, which will assist leaders in decision-making and goal setting activities at the school.
This study consists of research conducted at multiple school sites and uses surveys that were developed by Bernard Bass and Bruce Avolio (1997). This research is conducted in partial fulfillment of the requirements for a doctoral degree in Education Administration and Supervision.
If you have any pertinent questions about your rights as a research participant, please contact the Florida International University Research Ethics Officer 305-348-2494, [firstname.lastname@example.org](mailto:email@example.com)
If you have any questions, please feel free to contact me (see below for contact information).
Thank you,
[Insert Principal Investigator’s Signature]
**Kristina K. Garcia**
*Student Researcher, Doctoral Candidate*
305-323-5249
[firstname.lastname@example.org](mailto:email@example.com)
**Peter J. Cistone**
*Major Professor, Faculty Supervisor*
305-348-2665
[firstname.lastname@example.org](mailto:email@example.com)
This study has been reviewed and received ethics clearance through Florida International University’s Research Ethics Board file number 105090 and Miami Dade County Public School Research Review Committee.
Oral Script for Request for Participation
Good afternoon,
Thank you for having me. My name is Kristina Garcia. I am an Assistant Principal at Miami Palmetto Senior High and a doctoral candidate at Florida International University. My dissertation is on Educational Leadership styles and school and I am focusing on principals and teacher-leaders. The purpose of this study will be to evaluate the relationship between leadership styles and school culture. The outcome of this study may assist administrators and leaders in making decisions that will positively affect the culture of the school and will enable to them to set goals that will allow for the betterment of educational efforts.
I am requesting your participation in evaluating the school culture and one leader at this school. Participation in this study is voluntary. No names will be collected with the research. All research will be kept confidential and anonymous and all data will be kept in a secured location.
You will be evaluating your principal, your department or grade level chair, or another formal teacher-leader here at your school such as the test chair, or instructional coach. Each of you will be provided with and envelop containing an informed consent, a random leadership assignment, and two surveys, one for leadership styles and one for school culture. I am asking you to complete these surveys to the best of your ability. The expected total time for completion of both surveys will be 15-25 minutes.
Thank you for your time and participation. Are there any questions?
ADULT CONSENT TO PARTICIPATE IN A RESEARCH STUDY
Measuring the Relationship Between Educational Administrators’ and Teacher-Leaders’ Leadership Style and School Culture
PURPOSE OF THE STUDY
You are being asked to be in a research study. The purpose of this study is to examine the leadership style of current principals and teacher-leaders in order to assess the relationship between their leadership style and school culture.
NUMBER OF STUDY PARTICIPANTS
If you decide to be in this study, you will be one of 1000 people in this research study.
DURATION OF THE STUDY
Your participation will require 30-45 minutes.
PROCEDURES
If you agree to be in the study, we will ask you to do the following things:
1. Evaluate the assigned leader or teacher-leader one time by answering 45 survey questions of the Multifactor Leadership Questionnaire Self or Rater (5x Short form) in a paper and pencil format.
2. Evaluate the current leadership culture of your school one time by answering 28 survey questions on the Organizational Description Questionnaire in a paper and pencil format.
RISKS AND/OR DISCOMFORTS
The following risks may be associated with your participation in this study: There are no known risks associated with this study.
BENEFITS
The following benefits may be associated with your participation in this study: Your school will receive a school culture profile and leadership profile which will allow the school leaders to make informed decisions about goal setting and improvements to educational leadership activities for the benefit of the school, teachers, and students.
ALTERNATIVES
There are no known alternatives available to you other than not taking part in this study. However, any significant new findings developed during the course of the research and which may relate to your willingness to continue participation will be provided to you.
CONFIDENTIALITY
The records of this study will be kept private and will be protected to the fullest extent provided by law. In any sort of report we might publish, we will not include any information that will
make it possible to identify a subject. Research records will be stored securely and only the research team will have access to the records. However, your records may be reviewed for audit purposes by authorized university or other agents who will be bound by the same provisions of confidentiality.
**COMPENSATION & COSTS**
You will receive no payment or monetary compensation for your participation. You will not be responsible for any costs to participate in this study.
**RIGHT TO DECLINE OR WITHDRAW**
Your participation in this study is voluntary. You are free to participate in the study or withdraw your consent at any time during the study. Your withdrawal or lack of participation will not affect any benefits to which you are otherwise entitled. The investigator reserves the right to remove you without your consent at such time that they feel it is in the best interest.
**RESEARCHER CONTACT INFORMATION**
If you have any questions about the purpose, procedures, or any other issues relating to this research study you may contact Kristina K. Garcia at 12233 SW 104th Lane Miami, Florida 33186, phone: 305-323-5249, email: firstname.lastname@example.org.
**IRB CONTACT INFORMATION**
If you would like to talk with someone about your rights of being a subject in this research study or about ethical issues with this research study, you may contact the FIU Office of Research Integrity by phone at 305-348-2494 or by email at email@example.com.
**PARTICIPANT AGREEMENT**
I have read the information in this consent form and agree to participate in this study. I have had a chance to ask any questions I have about this study, and they have been answered for me. I understand that I will be given a copy of this form for my records.
_________________________________________ _________________________
Signature of Participant Date
_________________________________________
Printed Name of Participant
_________________________________________ _________________________
Signature of Person Obtaining Consent Date
Participant Demographic Information
Location #: ________________________________
Dear Participant,
Thank you for your participation in this study. Please answer all questions in the Multi Factor Leadership Questionnaire Rater about the following leader:
Your Principal
Name of Principal: ___________________________________________________________
Demographic Information:
These questions are about you, your education and the time you have spent in teaching. In responding to the questions, please mark the appropriate box.
1. What is your gender?
- Female
- Male
2. How old are you?
- 21-29
- 30-39
- 40-49
- 50-59
- 60+
3. What is your employment status as a teacher?
- Full-time
- Part-time (50-90% of full-time hours)
4. What is your employment status as a teacher with MDCPS? Please do not consider the probationary period of a contract as a separate contract.
- Continuing contract
- Professional contract
- Annual contract
5. What is the highest level of formal education that you have completed?
Please mark one choice.
- Bachelor’s
- Master’s
- Specialist
- Doctorate
6. How many years have you been working as a teacher? Where possible exclude extended periods of absence (e.g. career breaks).
- 1-5
- 6-10
- 11-15
- 16-20
- 21-30
- 31+
7. How many years have you been working as a teacher at this school? Where possible exclude extended periods of absence (e.g. career breaks).
- 1-5
- 6-10
- 11-15
- 16-20
- 21-30
- 31+
APPENDIX G
Multifactor Leadership Questionnaire Permission and Survey Sample
For use by Kristina Garcia only. Received from Mind Garden, Inc. on November 6, 2016
Permission for Kristina Garcia to reproduce 501 copies within one year of November 6, 2016
Multifactor Leadership Questionnaire™
Instrument (Leader and Rater Form)
and Scoring Guide
(Form 5X-Short)
by Bruce Avolio and Bernard Bass
Published by Mind Garden, Inc.
firstname.lastname@example.org
www.mindgarden.com
IMPORTANT NOTE TO LICENSEE
If you have purchased a license to reproduce or administer a fixed number of copies of an existing Mind Garden instrument, manual, or workbook, you agree that it is your legal responsibility to compensate the copyright holder of this work – via payment to Mind Garden – for reproduction or administration in any medium. Reproduction includes all forms of physical or electronic administration including online survey, handheld survey devices, etc.
The copyright holder has agreed to grant a license to reproduce the specified number of copies of this document or instrument within one year from the date of purchase.
You agree that you or a person in your organization will be assigned to track the number of reproductions or administrations and will be responsible for compensating Mind Garden for any reproductions or administrations in excess of the number purchased.
This instrument is covered by U.S. and international copyright laws as well as various state and federal laws regarding data protection. Any use of this instrument, in whole or in part, is subject to such laws and is expressly prohibited by the copyright holder. If you would like to request permission to use or reproduce the instrument, in whole or in part, contact Mind Garden, Inc.
© 1995 Bruce Avolio and Bernard Bass. All rights reserved in all media.
Published by Mind Garden, Inc., www.mindgarden.com
MLQ Multifactor Leadership Questionnaire™
Leader Form (5x-Short)
My Name: ____________________________________________ Date: ________________
Organization ID #: ___________________________ Leader ID #: ______________________
This questionnaire is to describe your leadership style as you perceive it. Please answer all items on this answer sheet. **If an item is irrelevant, or if you are unsure or do not know the answer, leave the answer blank.**
Forty-five descriptive statements are listed on the following pages. Judge how frequently each statement fits you. The word “others” may mean your peers, clients, direct reports, supervisors, and/or all of these individuals.
Use the following rating scale:
| Not at all | Once in a while | Sometimes | Fairly often | Frequently, if not always |
|------------|-----------------|-----------|--------------|--------------------------|
| 0 | 1 | 2 | 3 | 4 |
1. I provide others with assistance in exchange for their efforts.................................................0 1 2 3 4
2. I re-examine critical assumptions to question whether they are appropriate ..................................0 1 2 3 4
3. I fail to interfere until problems become serious ...........................................................................0 1 2 3 4
4. I focus attention on irregularities, mistakes, exceptions, and deviations from standards ....................0 1 2 3 4
5. I avoid getting involved when important issues arise .......................................................................0 1 2 3 4
6. I talk about my most important values and beliefs ..........................................................................0 1 2 3 4
7. I am absent when needed..................................................................................................................0 1 2 3 4
8. I seek differing perspectives when solving problems ........................................................................0 1 2 3 4
9. I talk optimistically about the future.................................................................................................0 1 2 3 4
10. I instill pride in others for being associated with me ......................................................................0 1 2 3 4
11. I discuss in specific terms who is responsible for achieving performance targets .........................0 1 2 3 4
12. I wait for things to go wrong before taking action ...........................................................................0 1 2 3 4
13. I talk enthusiastically about what needs to be accomplished..........................................................0 1 2 3 4
14. I specify the importance of having a strong sense of purpose .......................................................0 1 2 3 4
15. I spend time teaching and coaching.................................................................................................0 1 2 3 4
Continued =>
© 1995 Bruce Avolio and Bernard Bass. All rights reserved in all media.
Published by Mind Garden, Inc., www.mindgarden.com
MLQ Multifactor Leadership Questionnaire
Rater Form (5x-Short)
Name of Leader: ____________________________________________________________ Date: ____________
Organization ID #: ___________________________ Leader ID #: ___________________________
This questionnaire is to describe the leadership style of the above-mentioned individual as you perceive it. Please answer all items on this answer sheet. **If an item is irrelevant, or if you are unsure or do not know the answer, leave the answer blank.** Please answer this questionnaire anonymously.
**IMPORTANT** (necessary for processing): Which best describes you?
___ I am at a higher organizational level than the person I am rating.
___ The person I am rating is at my organizational level.
___ I am at a lower organizational level than the person I am rating.
___ I do not wish my organizational level to be known.
Forty-five descriptive statements are listed on the following pages. Judge how frequently each statement fits the person you are describing. Use the following rating scale:
| Not at all | Once in a while | Sometimes | Fairly often | Frequently, if not always |
|------------|-----------------|-----------|--------------|--------------------------|
| 0 | 1 | 2 | 3 | 4 |
**THE PERSON I AM RATING...**
1. Provides me with assistance in exchange for my efforts ..........................................................0 1 2 3 4
2. Re-examines critical assumptions to question whether they are appropriate ................................0 1 2 3 4
3. Fails to interfere until problems become serious ........................................................................0 1 2 3 4
4. Focuses attention on irregularities, mistakes, exceptions, and deviations from standards ............0 1 2 3 4
5. Avoids getting involved when important issues arise .....................................................................0 1 2 3 4
6. Talks about their most important values and beliefs ....................................................................0 1 2 3 4
7. Is absent when needed ..................................................................................................................0 1 2 3 4
8. Seeks differing perspectives when solving problems ......................................................................0 1 2 3 4
9. Talks optimistically about the future .............................................................................................0 1 2 3 4
10. Instills pride in me for being associated with him/her ..................................................................0 1 2 3 4
11. Discusses in specific terms who is responsible for achieving performance targets ....................0 1 2 3 4
12. Waits for things to go wrong before taking action .........................................................................0 1 2 3 4
13. Talks enthusiastically about what needs to be accomplished .......................................................0 1 2 3 4
14. Specifies the importance of having a strong sense of purpose ....................................................0 1 2 3 4
15. Spends time teaching and coaching ...............................................................................................0 1 2 3 4
Continued =>
© 1995 Bruce Avolio and Bernard Bass. All rights reserved in all media.
Published by Mind Garden, Inc., www.mindgarden.com
For use by Kristina Garcia only. Received from Mind Garden, Inc. on November 6, 2016
Permission for Kristina Garcia to reproduce 501 copies within one year of November 6, 2016
Organizational Description Questionnaire Instrument and Scoring Guide
by Bernard M. Bass and Bruce J. Avolio
Published by Mind Garden, Inc.
email@example.com
www.mindgarden.com
IMPORTANT NOTE TO LICENSEE
If you have purchased a license to reproduce or administer a fixed number of copies of an existing Mind Garden instrument, manual, or workbook, you agree that it is your legal responsibility to compensate the copyright holder of this work -- via payment to Mind Garden -- for reproduction or administration in any medium. Reproduction includes all forms of physical or electronic administration including online survey, handheld survey devices, etc.
The copyright holder has agreed to grant a license to reproduce the specified number of copies of this document or instrument within one year from the date of purchase. You agree that you or a person in your organization will be assigned to track the number of reproductions or administrations and will be responsible for compensating Mind Garden for any reproductions or administrations in excess of the number purchased.
Copyright © 1992 Bernard Bass and Bruce Avolio. All Rights Reserved.
© 1992 Bernard Bass and Bruce Avolio. All Rights Reserved.
Published by Mind Garden, Inc., www.mindgarden.com
ORGANIZATIONAL DESCRIPTION QUESTIONNAIRE (ODQ) [FORM A]
Name of your organization ____________________________________________________________
INSTRUCTIONS For items 1 through 28, circle “T” for a true statement, “F” for a false statement, or “?” if you are undecided or cannot say about the team, department, or organization you are leading or representing.
IN MY TEAM, DEPARTMENT OR ORGANIZATION...
| | | | |
|---|---|---|---|
| T | F | ? | 1. We negotiate with each other for resources. |
| T | F | ? | 2. People go out of their way for the good of the team, department and/or organization. |
| T | F | ? | 3. Decisions are often based on precedents. |
| T | F | ? | 4. There is continuous search for ways to improve operations. |
| T | F | ? | 5. Rules and procedures limit discretionary behavior. |
| T | F | ? | 6. Mistakes are treated as learning opportunities. |
| T | F | ? | 7. You get what you earn — no more, no less. |
| T | F | ? | 8. When you are unsure about what to do, you can get a lot of help from others. |
| T | F | ? | 9. There is strong resistance to changing the old ways of doing things. |
| T | F | ? | 10. We trust each other to do what’s right. |
| T | F | ? | 11. It’s hard to find key people when you need them most. |
| T | F | ? | 12. We are encouraged to consider tomorrow’s possibilities. |
| T | F | ? | 13. Bypassing channels is not permitted. |
| T | F | ? | 14. New ideas are greeted with enthusiasm. |
| T | F | ? | 15. One or two mistakes can harm your career. |
| T | F | ? | 16. Individual initiative is encouraged. |
| T | F | ? | 17. Decisions often require several levels of authorization before action can be taken. |
| T | F | ? | 18. We strive to be the best in whatever we do. |
| T | F | ? | 19. Agreements are specified in advance on what each of us must do to complete the work. |
| T | F | ? | 20. Stories are shared of the challenges that we have overcome. |
| T | F | ? | 21. People are hesitant to say what they really think. |
| T | F | ? | 22. The unwritten rule is to admit mistakes, learn from them, and move on. |
| T | F | ? | 23. We have to compete with each other to acquire resources. |
| T | F | ? | 24. You advance or achieve depending on your initiative and ability. |
| T | F | ? | 25. Deviating from standard operating procedures without authorization can get you into trouble. |
| T | F | ? | 26. We share the common goal of working toward the team, department and/or organization’s success. |
| T | F | ? | 27. People often try to avoid responsibility for their actions. |
| T | F | ? | 28. We encourage a strong feeling of belonging.
Thank you for your cooperation in completing this questionnaire.
© 1992 Bernard Bass and Bruce Avolio. All Rights Reserved.
Published by Mind Garden, Inc., www.mindgarden.com
VITA
KRISTINA K. GARCIA
Born, Oakland, California
1998-2002 B.A., English
Florida International University
Miami, Florida
2003-2005 Teacher, Mater Academy Charter School
2005-2014 Teacher, Felix Varela Senior High
2008-2011 M.A., English
Florida International University
Miami, Florida
Thesis: Examining the Proximity of Power Structures in Dystopian and Anti-Utopian Literature
2015-2017 Assistant Principal of Curriculum, Palmetto Senior High
2018-2019 Teacher, Milton High School
2011-2020 Doctoral Candidate
Florida International University
Miami, Florida
2019-Current Assistant Principal, Riverwood International Charter School
|
WHAT IS REAL PRESENCE?
Jesus is present to us in many ways, but only in the Holy Eucharist is He uniquely present - Body, Blood, Soul, and Divinity. This is the “Real Presence of Jesus Christ in the Holy Eucharist.”
The priest celebrating Mass is acting in the person of Christ. When he consecrates the bread and wine, it is transformed by the power of the Holy Spirit into the body and blood of Christ.
The transformed, or “transubstantiated,” bread and wine are not merely symbols. They continue to look like bread and wine but they are not; the substances change.
They truly are the Body and Blood of Christ.
The Real Presence of Jesus Christ in the Holy Eucharist is an inexhaustible mystery that the Church can never fully explain in words.
Sadly, many Catholics believe the bread and wine are merely symbols, and not actually Jesus’ Body and Blood, according to a nationwide survey.
During the Year of the Real Presence, parishes, schools and the Diocese will emphasize, catechize (teach), and promote the Catholic belief in the Real Presence.
Rite of Christian Initiation of Adults
Have you or someone you know expressed interest in becoming Catholic? Are you a baptized Adult Catholic but have not received the sacraments of Holy Eucharist or Confirmation?
We invite you to a RCIA information night on Thursday, September 2nd, at 7:00 PM in the Parish Meeting Rooms located in the school. We will explain the RCIA Process and how you can learn about the Catholic Faith and prepare for the Sacraments.
Please contact Sheryl Lanciano at 610.678.0676 or email email@example.com for information. A commitment is not required to attend this session.
Logos and Lagers
An engaging Catholic Bible Study consisting of a reflection and discussion of the upcoming Sunday Mass readings and fellowship.
Readings will be provided.
All young adults of Berks County ages 18-35 (21 to drink) single, married, Catholic & non-Catholic, are welcomed.
We meet monthly at St. Ignatius and St. Catharine’s.
Our next event will be Wednesday, September 1st at 6:30 PM outdoors next to St. Ignatius Loyola Rectory (2810 St. Albans Dr., 19608). BYOB and BYO chairs/blankets to sit.
Led by Fr. Philip Maas, Assistant Pastor - St. Ignatius firstname.lastname@example.org AND Fr. Steve Isaac, Assistant Pastor - St. Catharine’s email@example.com
Launching 8YM – Volunteers Needed!
8YM (8th Grade Youth Ministry) will be launching this year for all 8th Graders in the St. Ignatius PREP program. These events will be focused on building community, encountering Christ, and living out the faith.
We are looking for volunteers to be a part of the 8YM Core Team. The Core Team Members will walk with the 8th graders throughout the year, build relationships with them, and help lead small group discussions.
8YM events will be held Sundays at 4 PM twice a month.
If you are interested or want more information, please contact Tim Wood at 610.223.5908 or by email at firstname.lastname@example.org.
EXCITING NEWS TO SHARE!!
PREP
!! PREP CORNER !!
CALLING ALL PREP FAMILIES!
DON’T FORGET OUR KICKOFF EVENT ON AUGUST 29TH FROM 2-4 PM!!
Stop by to pick up your workbooks & room numbers! We’ll have some fun games and light refreshments for you all to enjoy. See you there!
FIRST AM PREP SESSION IS ON SEPTEMBER 12TH AT 10:30AM AND THE FIRST PM PREP SESSION IS AT 4:00PM AT THE SCHOOL!
Currently, we are in need of some additional teen helpers to assist in our classrooms and adult Greeters to monitor our halls and doorways. If interested, please call Kari Mallozzi @ 610.655.5443!
BELOVED HEARTS PROGRAM HAS OPENINGS FOR THREE NEW STUDENTS.
This is a great program that works with kids with special needs to learn about our faith and get their Sacraments. If interested, call Kari Mallozzi at 610.655.5443.
MARK YOUR CALENDARS:
STATIONS OF THE NATIVITY
Stations of the Nativity is a beautiful Advent journey that chronicles events in salvation history leading up to and celebrating Christ’s birth. PREP will be recruiting students to participate in the service this fall. Anyone interested in working with us to plan this great event please call the RELIGIOUS EDUCATION OFFICE @ 610.678.0676.
We are looking for people who could help make props, provide music, and have fun!
EMPLOYMENT OPPORTUNITY
Job openings in St. Ignatius Loyola School:
Part-time Computer teacher
Substitute teachers Extended Care workers
Please contact Mrs. Wood by phone at 610.678.0111 or by email email@example.com.
**Announced Masses for the Week**
*Monday, August 30th - Sunday, September 5th*
**Monday, August 30**
- 6:30 a.m. Hildegard Ciabattoni
- 8:00 a.m. Jim Eaman
- 9:00 a.m. St. Ignatius Faculty, Staff and Students
**Tuesday, August 31**
- 6:30 a.m. Grazia Brigandi
- 8:00 a.m. Amelia Filippek
**Wednesday, September 1**
- 6:30 a.m. Stanley Romanowski
- 8:00 a.m. Peggy Madigan
**Thursday, September 2**
- 6:30 a.m. Mary Dolmovich
- 8:00 a.m. James Eaman
**Friday, September 3 - St. Gregory**
- 6:30 a.m. Sybil Andred
- 8:00 a.m. Carlos L. Laceda, Jr. - 1st Anniversary of Death
- 7:00 p.m. St. Ignatius Memorial Society Members
**Saturday, September 4**
- 8:00 a.m. Gene Klinger
- 4:00 p.m. Bill Guidici - 2nd Anniversary of Death
**Sunday, September 5 - Twenty-third Sunday in Ordinary Time**
- 7:30 a.m. Martha Rakoski
- 9:00 a.m. Don Springer
- 10:30 a.m. Joseph & Rose Gontarchick
- 12:00 noon Rose Marie Calvaresi
- 5:30 p.m. Richard McCarthy
---
**GOSPEL MESSAGE**
Through observance of the Lord’s commands, we shall experience the fullness of life. Living in conformity with God’s will frees us from all dilemma about good and evil. We are called to welcome God’s word and to let it take root in our hearts.
**STEWARDSHIP MESSAGE**
“Every worthwhile gift, every genuine benefit, comes from above,” says St. James in the second reading. But, he reminds us, true worship of God involves *using* those good gifts to benefit the less fortunate. Good stewardship is not optional; it is the hallmark of our faith.
**SCRIPTURE READINGS FOR SEPTEMBER 04/05**
Is 35: 4 - 7a / Jas 2: 1 - 5 / Mk 7:31 - 37
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**THIS WEEK... LET US PRAY.... For those who are imprisoned, may they be treated with the respect due to every human person.**
---
**Catholics in our Diocese are once again Obligated to Attend Mass on Weekends & Holy Days.**
Bishop Alfred Schlert has joined bishops around Pennsylvania in determining that the obligation for Catholics to attend Mass resumed on August 15.
---
**The Annual Membership Meeting of the St. Ignatius Seniors will be held**
*Wednesday, September 1 - 10:00 AM*
*Parish Education Center Meeting Rooms.*
Membership is open to anyone over the age of 50.
Dues are $7.00 per year.
*Join us as we begin a new year of fellowship, travel, social and educational programs.*
For information call Barb Kunder 610.763.1383.
---
**ADDICTION AWARENESS AND SUPPORT**
We need to begin to view the 40+ million Americans who are harmfully using substances through the same lens that we use for other chronic diseases. We need to consider a *relapse* as a recurrence of the disease that should be addressed through a new treatment plan, much like our approach to cancer.
*There is help and there is hope.*
Please reach out to the following agencies for help.
*For treatment contact:*
- **Caron Treatment Center** 800.854.6023
- **Reading Health System (Tower Health)** 484.628.8186
- **AA** 610.373.6500
To speak to someone from this Ministry, please call the Rectory at 610.678.3767.
---
**Please join the Diocese of Allentown Catholic Women’s Society of Giving for our Sip, Savor and Share evenings.**
Our goal is to unite as women from all over the Diocese and support organizations and ministries that need our help.
Please join us at one of our information sessions to learn more about our society, enjoy female fellowship and refreshments!
Your involvement will make a difference!
**Sip, Savor and Share**
*Wednesday, September 8th*
*St. Ignatius, 6:30 - 7:30 PM*
*Parish Education Center Meeting Rooms*
*Thursday, September 16th*
*Assumption BVM Colesville, 6:30 - 7:30 PM*
*Thursday, September 16th*
*St. Ambrose, Schuylkill Haven, 6:30 - 7:30 PM*
*Wednesday, September 22nd*
*Sacred Heart, Palmerton, 6:30 - 7:30 PM*
Please RSVP by calling 800.831.4443 or email firstname.lastname@example.org
Knights of Columbus Light of Christ Council 2nd Annual Golf Tournament Saturday, September 25, 2021
The Manor Golf Club, 153 Bran Road, Sinking Spring
In support of the St. Ignatius Loyola School Scholarship Fund
12:30pm Shotgun Start, Scramble Format $75.00/golfer, $300.00/foursome
Price includes greens fees, cart, range balls, food and drink
Hole-in-One Contest sponsored by Bob Fisher Chevrolet
Prizes: Top 3 Teams, Closest to the Pin, Longest Drive, 50/50 Drawing
For Sponsorship and Donation opportunities, contact Fred Henrich at 610.741.8487. Sponsorship deadline is September 10.
For Registration information, contact Ron Keating at 610.223.5386. Registration deadline is September 17.
Now accepting Sponsorships And Prize Donations
Volunteers needed to Help with events.
Once again words could never describe the generosity of the parishioners of Saint Ignatius Parish in our campaign to help the homeless boys of Mary’s shelter.
Boxes of socks, shirts, hats, sandals, and personal toiletries are just a few of the things that you have so generously donated.
God bless you for your love and kindness.
St. Ignatius Columbiettes
OVERNIGHT ADORATION HAS RESUMED
May you prayerfully consider filling a vacant spot during our overnight adoration hours.
Our goal is to have at least three adorers during each overnight hour.
WEDNESDAYS
1 - 2 AM: one or two adorers needed
3 - 4 AM: one adorer needed
7 - 8 AM: one adorer needed
8 - 9 AM: one adorer needed
Please call the Rectory 610.678.3767 to sign up.
The Catholic Woman’s Club of Berks County
is celebrating their 100th Anniversary with a luncheon and program at the Double Tree Hotel of Reading on
DATE CHANGE - Sunday, October 24, 1:00 - 4:00 PM.
For information: Marcia - 484.794.0680 or email@example.com.
The LEAD Men’s Ministry
is changing up the format for the summer. We will be discussing C.S. Lewis’ classic work, “The Screwtape Letters,” a couple chapters at a time on Mondays evenings 6:30 - 8:00 PM in the JPII Room. All are welcomed. Attend any or all of the discussions. For more information, contact Steve Henshaw at 484.706.2206.
WIN $10,000 CASH!!
The Berks Catholic High School Extravaganza Cash Raffle tickets are now available. The drawing will be held on Saturday, October 9th. Donation $100.
To buy raffle tickets, please send your check with return address and phone number to:
Berks Catholic Extravaganza,
955 E. Wyomissing Blvd., Reading, PA 19611.
For more information on Extravaganza, please contact Danielle Fowler at 610-374-1695 or e-mail firstname.lastname@example.org.
Saints
Berks Catholic High School has openings available for students in Grades 9-12 for the 2021-22 school year. Please contact Nicky Smith for information on how to Be A Saint and preparing young men and ladies to be college and life ready. All inquiries are confidential.
email@example.com or 610.374.8361 ext. 244
REDNER’S SAVE-A-TAPE
Thank you to all who are submitting Redner’s register receipts to benefit CENTER FOR CHILDREN’S JUSTICE.
Please remember that to receive credit your save-a-tape number must be visible on submitted receipts.
DATES
THE CELEBRATION OF 40 HOURS DEVOTIONS at St. Ignatius SEPTEMBER 26, 27 & 28 Guest Homilist Each Evening Rev. Stephan Isaac
Best Catholic Content... All In One Place ...
For free access: - go to the Formed.org website - enter our parish code: CNWD7V - fill out the one-time brief profile
INTRODUCING SPRINGS IN THE DESERT
Springs in the Desert is a Catholic community dedicated to spiritually accompanying those experiencing infertility and loss to discover the fruitfulness God has planned for their lives and marriages.
The ministry was founded in 2019 by Kimberly Henkel, PhD and Ann Koschute, MTS, graduates of the Pontifical John Paul II Institute for Studies on Marriage and Family.
Springs in the Desert is supported by Team Members and Contributors including Sydnee Blackburn, parochian at St. Ignatius. Sydnee serves as a blog and social media content contributor.
For more information about Springs in the Desert, visit www.springsinthedesert.org. Sydnee Blackburn can be reached at firstname.lastname@example.org.
ST. IGNATIUS LOYOLA MEMORIAL SOCIETY
After the death of a loved one, more and more people are considering a lasting memorial gift given to their parish in memory of the deceased. Memorials also may be given in lieu of flowers or other charity. For details please call the Rectory.
ST. IGNATIUS SCHOOL TUITION ANGEL SPONSOR
Help a St. Ignatius student in need of tuition assistance.
If you would like to donate:
Donate any amount in memory of someone who has died, in honor of a special occasion or just make a charitable donation to help defray the cost of tuition for a St. Ignatius student. Donations payable to St. Ignatius School.
FRIENDS OF ST. VINCENT de PAUL SOCIETY
The mission of the FOSVDP Society at St. Ignatius is to help our parishioners and neighbors who may need temporary financial assistance. Please contact the Rectory to request assistance / refer a family in need. All information is held in the strictest confidence.
God’s Plan For Giving
Our readings today call us to pause for a moment and consider how we respond to God’s love for us each day.
Our Gospel recounts a dialogue between the Pharisees and Jesus. The Pharisees questioned why Jesus’ disciples did not practice the ritual washing before eating a meal.
Jesus’ response reminds us to ask ourselves: ‘Why? Why do we remain faithful to God’s commands? Why do we pray or go to Mass? Why do we participate in the Sacraments? Why do we love others?
Often, we are living our faith a certain way out of obligation, fear, or duty. But Jesus reminds us that the greatest way to live out our faith is through love. Our faith has obligations to provide us opportunities to love, honor, and praise the Lord. They are meant to aid us on our personal journey with Jesus Christ.
St. James reminds us that every moment of each day is an opportunity to respond to God’s infinite love for us with love and gratitude in return.
If we approach our relationship with Jesus with this in mind, then we begin to realize that the gift of the Mass is an opportunity to worship God, the sacraments are ways to draw us closer to Him and His commandments are opportunities to love Him more faithfully.
And if we approach our day-to-day moments with this in mind, then we begin to see just how many blessings God has given us. Looking at life through the lens of gratitude helps us to see each moment as a gift with endless opportunities to respond in love.
This is how we ought to live our lives as Christian stewards - by recognizing our lives as a gift and an opportunity to love God in response to how He has loved us.
Thank you for your continued support and donations!
PLEASE NOTE: The Sacrament of Penance has resumed utilizing the confessionals Saturday - 3:00 - 4:00 PM.
Please note the businesses advertising on the last pages of our bulletins. We thank them for their support and ask you to consider patronizing them.
ALTAR FLOWERS
Please call Clare Hollenbacher at 610.678.0864 to make arrangements to donate flowers in memory of or honor of someone or for a special occasion.
HELP SUPPORT St. Ignatius School & Church SHOP WITH AMAZON SMILE
0.5% of all eligible purchases will be donated to St. Ignatius Loyola Regional School! Register Today!
Visit: www.smile.amazon.com
Login & Select: St. Ignatius Loyola Church & School as your charitable organization... Start Shopping!
MASS SCHEDULE
Saturday: 4:00 PM Vigil Mass
Sunday: 7:30, 9:00 & 10:30 AM, 12 Noon, & 5:30 PM
Daily: Monday through Friday: 6:30 & 8:00 AM YEAR-ROUND
5:30 PM Advent/Lent ONLY
Saturday: 8:00 AM
First Friday: 7:00 PM ~ 5:30 PM during Advent / Lent
EUCHARISTIC PRAYER / ADORATION - CHAPEL
Tuesdays Exposition of the Blessed Sacrament after 8:00 AM Mass until 10 PM AND
Wednesdays Exposition of the Blessed Sacrament 6:00 AM until 7 PM Evening Prayer & Benediction
Reconciliation/Confession:
Saturday - 3:00 - 4:00 PM - Church Confessionals
Baptism: By Individual Family and By Appointment
Baptism Seminar: Currently via ZOOM by appointment. Seminar attendance is required for parents before Baptism. Please call the Rectory at 610.678.3767 to register for the Seminar.
DIOCESAN SAFE ENVIRONMENT INFORMATION
OFFICE OF SAFE ENVIRONMENT
Pamela J. Russo, M.S.W, M.S.
Secretary, Youth Protection and Catholic Human Services
P.O. Box F, Allentown, PA 18105-1538
610.871.5200 ext. 2204 or email@example.com
VICTIM ASSISTANCE COORDINATOR
MRS. WENDY S. KRISAK KALAMAR
DIRECT LINE: 1.800.791.9209
CATHOLIC BISHOP ABUSE REPORTING SERVICE
If you have an allegation of abuse against a bishop, please contact the Catholic Bishop Abuse Reporting Service at www.ReportBishopAbuse.org or phone 800-276-1562.
PASTORAL STAFF
Rev. Thomas P. Bortz, Pastor
Rev. Zachary R. Wehr, Associate Pastor
Rev. Philip J. Maas, Associate Pastor
Deacon Frederick J. Lanciano
Deacon Edward L. Sanders
Deacon Thomas J. Devaney
Mrs. Carolyn Wood, Principal
St. Ignatius Loyola Regional School – 610.678.0111
Mrs. Sheryl Lanciano - Director of Parish Life 610.678.0676
Mr. Tim Wood - Youth Ministry Director ~ 610.678.0676
Mr. Michael Adams - Music Coordinator ~ 610.914.9607
Mrs. Joan Skolny - Parish Secretary ~ 610.678.3767
Mrs. Debbie Pilliod
Parish Safe Environment Coordinator - 610.678.3767
CAREGIVERS WANTED!
HIGHEST PAY AROUND + OVERTIME
Medical, Dental, Vision & Life Insurance Provided
AFFORDABLE HOME CARE
Hablamos Espanol
www.AHcare.net
610-984-1100
Mallory’s Army Foundation
United Together In The Fight Against Bullying...
Don’t Just Teach Kindness...
BE KINDNESS!
www.MallorysArmy.org
(973) 440-8657
firstname.lastname@example.org
It’s easy to join our mailing list!
Just send your email address by text message.
Text MALLORYSARMY to 22828 to get started.
Message and data rates may apply.
St. Anne’s Retirement Community is a Continuing Care Retirement Community located in the beautiful Lancaster County, PA!
We offer:
1. No Initiation Fees
2. Low Entry Fees
3. Maintenance-free living
4. Move-in ready apartments
Call 717.285.6197 to schedule a tour!
3952 Columbia Ave,
West Hempfield Twp., PA 17512
717-285-5443 | www.StAnnesRC.org
Kuhn Funeral Home, Inc.
Proudly Serving Our Community for 80 Years
Edward J. Kuhn • Michael R. Kuhn
610.374.5440
739 Penn Avenue, West Reading
SINGLES 6 PACKS
12 PACKS CASES
Buying Aluminum Cans
230 PENN AVE. WEST LAWN
DeLuxe
WINDOW & DOOR
Owned by the Dennis Family
610-678-2654
Heim means Home
in Berks County
Now, more than ever,
Home is Important.
Peter Heim
Associate Broker, Parishoner
610-745-3378
www.peterheimrealtor.com
Personally serving Berks County’s Real Estate needs since 1984!
BERKSHIRE TRAVEL AGENCY
Parishoner
2 Woodland Rd. • Wyomissing
610-374-4538
email@example.com
Est. 1991
METROPOLITAN PAINTERS
610-603-6200
Free Estimates
Tom Carmello - owner/operator
ELITE
FIRE & WATER RESTORATION.
484-RESTORE
Insurance Claim Specialists
24 HOUR EMERGENCY SERVICE
www.elitefirewater.com
Parishoners
Ryder & Company
Taxes • Accounting • Payroll • Bookkeeping • Individuals & Business
RON RYDER, CPA (610) 670-6170
PARISHONER
VISION INSURANCE
Auto & Home Insurance Specialists
Wyomissing, PA
610.375.8562
www.visioninsns.com
KARRICK HEATING & A/C LLC
“Count on Karrick your comfortable choice”
Rick Korczykowski
President
Erie Insurance
Jay Lemelin, Parishoner
AMERICAN INSURING GROUP, LTD
All Types of Insurance
Quote 25 Companies With One Call
610-775-3848
www.aigltld.com
David Ross, Parishoner
BLINDS AND Design
Residential Commercial
CUSTOM WINDOW TREATMENTS
826 PENN AVENUE
WYOMISSING, PA 19610
(610) 374-9392
BOB & CAROLYN CRULEY
• Parishoners •
HunterDouglas
S A M I
STOP AGED HURCH EVERYWHERE
Ask “WHAT’S YOUR NAME BEFORE YOU GET IN A BIG SHARE
Our 40th Year
DESIGNING, INSTALLING &
MANAGING PREMIER LANDSCAPES
Complete Landscape Services
610.777.5159
www.waterfallgdns.com
Tom Wambaugh, BS – Penn State University – Industry Certified – Parishoner
Waterfall GARDENS
BEAN FUNERAL HOME
Kevin M. Bean, FD
Joseph G. McCullough, FD
David J. Burawski, Supv.
3825 Penn Ave.
Sinking Spring, PA 19608
www.BeanFuneralHomes.com
HAHN EXTERIORS
Decks • Fences • Sunrooms
Windows • Siding
Honest High Quality Work For St. Ignatius Families
3617 Kutztown Rd., Laureldale
610-929-2832
www.hahnexteriors.com
Handyman
No Job Too Big or Too Small
Kitchen • Bathroom • Carpentry • Re-painting
Finished Basements • Free Estimates
Call Roman 484-335-7229
Parishoner
First Catholic Slovak Ladies Association
A Non-Profit Corporation
A Fraternal Benefit Society (similar to BlueCross) in BerksCounty, PA
For more information, please contact FCSLA’s Agent
Merrill Lynch
James E. Geosits
Certified Financial Mgr.
610-320-5459
CAROLYN BAZIK
610-207-0748
firstname.lastname@example.org
JUD FIRESTONE PLUMBING
SERVICE REPAIR SPECIALISTS
PARISHONER
610-678-9080
NOW SCHEDULING! Gynecology & Urogynecology
Stephen H. Fehnel, MD
740 Penn Ave., Reading, PA 19611
610-376-3700
Mon.-Tues. 7:30am-4:30pm, Thurs.-Fri. 7:30am-4:30pm
PRACTICE LIMITED TO ENDODONTICS
SCOTT BRAM, D.M.D.
BRIAN FREY, D.M.D.
CHARLES GLOSSON, D.M.D.
1150 Berkshire Blvd.
Suite #120
Wyomissing PA 19610
610-376-1536
Berks Endodontics
SALON Sophia
120 WEST LANCASTER AVE.
SHILLINGTON, PA 19607
(610) 777.1111
HAIR & NAIL ARTISTRY FOR WOMEN & MEN
235 St. Ignatius of Loyola, Sinking Spring, PA (B)
John Patrick Publishing Co., Inc. 1.800.333.3166 • www.jppc.net
|
Migratory patterns of cloned neural crest melanocytes injected into host chicken embryos
(migration/pigment cells/injection technique/differentiation)
MARIANNE E. BRONNER* AND ALAN M. COHEN†
*Thomas C. Jenkins Laboratory, Department of Biophysics, The Johns Hopkins University, Baltimore, Maryland 21218; and †Department of Cell Biology and Anatomy, School of Medicine, The Johns Hopkins University, Baltimore, Maryland 21205
Communicated by David Bodian, January 15, 1979
ABSTRACT Cloned quail melanocytes grown in tissue culture for 8 days or more were injected into 3½-day-old chicken embryos. The pigment cells were placed directly into the somite lumen by means of an injection micropipette. This technique for introducing marked neural crest cells into host embryos causes far less damage than previous methods which require extirpation and replacement of the neural tube. In addition, small numbers of homogeneous cells can be implanted by this procedure without disrupting the host's somitic tissues, cultured pigment cells migrated along the ventral neural crest pathway. Three days after injection the melanocytes had migrated ventral to the dorsal root ganglia and prevertebral and primary sympathetic chain ganglia and were seen associated with the adrenal gland and aortic plexi. Melanocytes were frequently found in or adjacent to the gonads and often had migrated as far as the gut.
In studies of cell differentiation and migration, the neural crest has been a system of particular interest. This temporary embryonic structure originates on the dorsal side of the closing neural folds; its cells subsequently migrate along well-defined pathways in the vertebrate embryo. In the trunk region, the crest gives rise to several derivatives, including spinal ganglia, sympathetic ganglia, Schwann cells, and melanocytes. Differentiation of these cells has been studied in previous reports by replacing the neural tube with a graft of cells identified by radioisotopic or biological markers (1–3). The objective of this study is to describe a technique for introducing small numbers of homogeneous crest cells back into the embryo without inflicting the damage associated with previous microsurgical approaches to this problem.
The routes of neural crest migration have been well documented in the avian embryo (1–4). After closure of the neural tube in the trunk region, the crest cells emigrate from the dorsal aspect of the tube in two distinct streams: a dorsolateral stream, which migrates just under the ectoderm and eventually differentiates into melanocytes, and a ventral stream of cells, which migrates between the neural tube and the somites. The cells choosing the ventral pathway differentiate into sensory and sympathetic neurons, adrenomedullary cells, and supporting cells. These crest cells localize in three main areas (Fig. 1): some cells settle in a dorsal position, between the neural tube and the somites, to form sensory ganglia; others migrate lateral to the notochord and give rise to the primary sympathetic chain; and some cells migrate still further ventrally, lateral (or both) to the dorsal aorta and differentiate into the adrenal medulla, aortic plexi, and some cells of the metanephric mesenchyme (5).
Previous methods for studying the migration and localization of neural crest cells in situ subjected the embryo to severe trauma. In the chicken embryo, a length of the neural tube and sometimes notochord was extirpated and replaced with one whose cells were suitably marked so that the migrating crest cells could be identified (1–3). Onset of neural crest migration is usually delayed several hours after such a transplant is made (1). To circumvent this problem and other possible traumatic consequences of neural tube transplantation, we introduced crest cells back into the embryo by means of an injection method. The behavior of cloned melanocytes returned to the early embryo by the injection technique is described here.
MATERIALS AND METHODS
Preparation of Cells. Primary cultures of neural crest cells were prepared from neural tubes of Japanese quail (*Coturnix coturnix japonica*) embryos as described (6). Embryos were incubated for 47 hr at 38°C, at which time their developmental age was comparable to chicken stages 14–15 (7). Neural tubes were isolated from surrounding tissue by brief trypsinization. Five to eight neural tubes were then placed in collagen-coated petri dishes containing culture medium (Eagle’s minimum essential medium, horse serum, embryo extract, and gentamycin). Crest cells began migrating away from the neural tubes after 2–3 hr. After 24 hr the neural tubes were carefully scraped away, the growth medium was changed, and the cultures were allowed to grow for another 24 hr. For those experiments in which somite cultures were used, somites were isolated from neural tube and surrounding tissue by brief trypsinization and plated on collagen-coated petri dishes. Cultures were allowed to proliferate for 24–72 hr before injection (see below for dissociation and injection techniques).
Preparation of Neural Crest Secondary Cultures. Forty-eight hours after the primary cultures were established, the neural crest cells were dissociated by washing cultures twice with calcium- and magnesium-free phosphate-buffered saline (NaCl/P$_b$) and then incubating at 37°C for 3 min in 0.25% trypsin in NaCl/P$_b$. The reaction was stopped by rinsing with culture medium containing endogenous trypsin inhibitors. Cells were suspended by gentle pipetting and counted in a Petroff-Hausser hemocytometer chamber. Clones were then injected with 25–50 cells into 60-mm Falcon petri plates coated with a thin layer of gelatin. Cultures were fed 5 ml of fresh medium every 3 days.
Clones of neural crest cells were allowed to proliferate for 8 days or longer. By this time a majority of clones was pigmented (6). These were encircled with porcelain penicylinders stuck to the petri plates with sterile stopcock grease. These cloned cells were removed by washing twice with NaCl/P$_b$, followed by mild trypsinization in NaCl/P$_b$. After dissociation, the cells were pelleted and then resuspended in approximately 5 μl of medium. In later experiments, cells were removed by
Abbreviation: NaCl/P$_b$, calcium- and magnesium-free phosphate-buffered saline.
washing with NaCl/Pi alone and gently pipetting. Migration of the pigment cells injected back into the embryo was not influenced by the method of secondary dissociation.
**Injection Techniques.** The cell suspension was back-filled into fine glass micropipettes with openings of approximately 50 μm. These were prepared from glass capillary tubing with drawn-out, beveled ends. After filling, micropipettes were mounted on an electrode carrier and connected to a forced-air injection apparatus. The cell suspension was then injected into the desired location of the embryo. White Leghorn chicken embryos, incubated at 38°C until stage 14–17 (7), were used as hosts in all experiments. Embryos were fixed for histologic examination in Zenker’s solution and subsequently embedded in paraffin. Serial sections were cut at 10 μm and stained by the Feulgen-Rosenbeck method for DNA. This method permits us to distinguish between quail cells and those of the chicken based on nucleolar chromatin patterns seen in the interphase nucleus (2).
**RESULTS**
Pigmented cells were injected as marker cells into several sites in the trunk in order to determine the feasibility of this technique for introducing small numbers of cells into the embryo. Four injection sites were tested: the space between the neural tube and somites, the lumen of the neural tube, the cavity of the somite, and the intermediate mesoderm; the space between the host and grafted somites was ruled out first because quail cells normally move through this area while migrating ventrally. When injected into this area, pigmented cells could not be found in histological sections in any of the four embryos examined immediately after injection. Possibly, the force of the injection dispersed the cells. This seems likely since the embryo in this region is very loosely organized. The cavities of the neural tube or somites were tested next as injection sites to circumvent dispersion of the cells. The neural tube was not satisfactory since upon injection it usually ruptured along its dorsal surface, releasing the newly introduced melanocytes. In the two cases where melanocytes were retained, they failed to migrate out of the lumen. The somites, however, proved a suitable site to prevent scattering of the injected cells. The seven embryos sectioned immediately after injection showed pigment cells only within the somitic lumen (Fig. 2a) or, infrequently, an additional few cells were seen dorsally in the needle track. In no instances were cells seen ventral or lateral to the somites just after injection. When cells were injected lateral to the somites in the intermediate mesoderm, in none of the seven cases could pigment cells be found. Again, the cells seemed to be forced from the site as a consequence of the injection itself.
The somites were therefore chosen as a site for the injection of quail neural crest cells; in particular, the posterior somites offered several advantages. At the time of injection they are epithelial sacs with a cavity suitable for initially retaining the injected cells. In the course of normal somitic development the cells of the outer layer and of the inner epithelium disperse, exposing the injected pigment cells to the central pathway of host neural crest cell migration. In the embryos considered in the following experiments, cloned pigment cells were injected into one of the last six somites (Fig. 2a). In the majority of instances, however, cells were injected into the second or third to last somite. At this level, host crest cell migration had not yet begun. Normally, crest migration occurs as a wave which starts at the anterior of the embryo and moves progressively posteriorly. The posterior limit of migrating crest cells is usually one to three segments from the most recently formed somites (8) in the stages used here. Therefore, the injected clones of melanocytes were released from the somites and exposed to the ventral pathway at approximately the same time as the endogenous neural crest cells were starting to leave the neural tube.
Damage to the host embryo, and somite in particular, was minor when the injection was performed properly. The injection micropipette, with an opening of about 50 μm, pierced the ectoderm and underlying somite. The melanocytes and a small volume of fluid were released from the needle with a quick pulse of forced air, causing the somite to expand slightly and subsequently to return to its previous size. After withdrawal of the micropipette, a small puncture wound remained in the roof of the somite and overlying ectoderm which healed quickly. The number of injected cells varied from a few to several hundred per somite. Care was taken not to lower the needle too far, to prevent passing through the somite and possibly damaging the subjacent dorsal aorta.
The behavior of pigmented quail cells injected into chicken embryos demonstrates the feasibility of this technique for reintroducing small numbers of cloned cells into the embryonic environment. Pigment clones grown for 8, 11, 15, and 24 days *in vitro* survived and migrated in chicken embryos. A few hours after injection, the rounded melanocytes began extending processes, demonstrating their viability and suggesting the initiation of migration. The possibility of confusing injected and host melanocytes was ruled out since the cloned melanocytes were reproduced 3 days before the melanogenesis. Furthermore, the experiments were terminated before the beginning of host melanin production and host melanocytes die shortly after they form, the consequence of a lethal mutation affecting these cells (9). The injected clones of melanocytes migrated along a route corresponding to the ventral route followed by endogenous neural crest cells in the avian embryo (see Fig. 1). The location of quail cells was examined at various times after injection in serially sectioned embryos. The duration of time spent in clonal culture did not affect the route or the time course of migration, so data from different ages of injected clones were considered collectively (Table 1). The cells were injected into somites of 2½-day-old hosts, at which time there was little or
Fig. 2. Light photomicrographs of transverse sections demonstrating the ventral migration of quail pigment cells (P) injected into the somites of chicken embryos and fixed at progressively older stages of development (Pentax, x100; Pentax, x235.) (a) Immediately after injection into somites, melanocytes are limited to the somitic cavity. (x235.) (b) Within 24 hr after injection, pigment cells have migrated to the region of the adrenal gland. (x235.) (c) Forty-eight hours after injection, pigment cells are found further ventrally in the region of the gonad and ganglia. (x75.) (d) Seventy-two hours after injection, melanocytes have continued to progress ventrally and are seen in the area of the adrenal gland (A). (x75.) (e) Sixty-six hours after injection, some pigment cells remain near the adrenal gland while others have migrated either to the gonads (G) (x75) or (f) to the region of the gut, shown here by a pigment cell adjacent to the ganglion of Remak (RG) (x260).
Table 1. Location of pigmented neural crest cells at various times after injection
| Location of cells | No. of embryos |
|-------------------|---------------|
| | Day 1 | Day 2 | Day 3 | Day 4 |
| Area 1 | 4 | | | |
| Area 2 | 2 | 2 | | |
| Area 3 | 6 | 8 | 6 | 3* |
| Area 4 | 3* | | | 3 |
| Total embryos | 12 | 10 | 9 | 6 |
Area 1, sensory ganglia; area 2, primary sympathetic chain; area 3, adrenal gland, preaorticothoracic mesenchyme; area 4, gut.
Day 1, 24 hr after injection; day 2, 48 hr after injection; day 3, 72 hr after injection; day 4, 96 hr after injection.
* One embryo has pigment cells in both area 3 and area 4.
† One embryo had a single cell in area 2 though its sister cells migrated more ventrally.
no indication of donor cell migration. By the next day (day 1), the pigment cells in a few embryos migrated to an area corresponding to the site of the future dorsal root ganglia (area 1). In most embryos, however, the cells had migrated further to the site of the sympathetic ganglia (area 2) or adrenal gland (area 3). Two days after injection, most melanocytes were found only in area 3, although a few pigment cells were seen in area 2. Three days after injection, melanocytes in all embryos had migrated at least as far as the ventral surface of the aorta, the site of the sympathetic aortic plexus. In some instances cells migrated as far as the gut. Generally, however, implanted melanocytes were seen in regions where endogenous crest cells normally localized. Melanocytes were usually found in area 3 located below and lateral to the dorsal aorta. They also settled in regions that gave rise to the preaortico plexus, the cortical body, and suprarenal gland. It should be emphasized that on day 0, no injected melanocytes were observed in these ventral positions. By the fourth day, a larger percentage of pigment cells had reached the gut (Table 1) and were seen adjacent to the visceral musculature, the ganglion of Remak (Fig. 2f), or the dorsal mesentery. Pigment cells also were frequently seen both adjacent to and within the gonads. In only one instance was an injected pigment cell seen still dorsal to the aorta by day 4 though its sister cells had migrated to area 3.
In order to examine the migratory pattern of non-crest neural cells, somite cells were injected in combination with melanocytes into chick hosts. In five of five cases the quail somite cells remained in a dorsal position while the melanocytes migrated ventrally as in previous experiments. This supports the premise that the ventral migratory behavior is a phenomenon specific to neural crest cells.
DISCUSSION
The results demonstrate the utility of the injection technique for introducing cultured quail crest cells back into the developing chicken embryo. Not only do the cells survive, but they also migrate ventrally along the pathway normally taken by precursors to the sensory, sympathetic, and Schwann cell derivatives. The cultured melanocytes originally injected into the somites continued to progress ventrally until they localize in the area of the adrenal medulla/aortic plex or enter the dorsal mesentery and migrate to the gut.
Quail cells can be distinguished from chicken cells when stained by the Feulgen-Rosenbeck method because of the condensed heterochromatin unique to the quail cells (2). In embryos injected with cloned melanocytes, no unpigmented quail cells were identified. This indicates that none of the melanocytes lost or altered their phenotype during the migration.
Injection of crest cells offers several advantages over previous methods for studying migration and localization of the neural crest in living embryos. First, injection causes only minor damage to the host. This is in contrast to transplantation techniques involving extirpation of a length of host neural tube and its replacement by a labeled donor tube. The implanted neural tube and accompanying crest cells are marked biologically or radioisotopically (1–3) in order to distinguish them from the host. The microsurgery required for this operation is traumatic and is probably responsible for the delay in onset of crest migration associated with this technique (1). After injection, however, the onset of migration of the injected cells appears to coincide with local crest migration. A second problem with the transplantation technique is the poor survival rate of older embryos and of operations performed in more developed anterior levels (8). The hemorrhaging caused by microsurgery at these stages is circumvented when cells are introduced by injection. Another advantage of the injection technique is that small numbers of endogenous cells derived clonally or otherwise can be implanted into the embryo. This will be particularly useful when the developmental fate of cloned neural crest cells (6) is tested by exposing them to the embryonic milieu.
Normally, presumptive pigment cells migrate laterally under the ectoderm, and one might expect that mature pigment cells, should they migrate at all, would do the same. The injected melanocytes, however, migrate ventrally rather than laterally. One possible explanation for this is that the injected pigment cells are released from the ventromedial aspect of the somite at a site adjoining the ventral pathway of neural crest migration. Therefore, initial orientation of the cells is onto the ventral route; this might exclude them from the dorsolateral pathway, which presumptive melanocytes normally follow. This idea is supported by preliminary observations that frank skin melanocytes from 11-day quail embryos also follow the ventral pathway when introduced into the somites. An alternative explanation for the ventral direction taken by the cultured, neural crest-derived melanocytes is that these cells might in fact represent modulated neuronal or Schwann cells that would normally migrate ventrally. Cowell and Weston (10) found that sensory ganglia produce large numbers of pigment cells in the ganglia and released shortly after their formation. In addition, Nichols and Weston (11, 12) observed a population of small cells they thought to be precursors of supportive cells that underwent melanogenesis in cultures of sensory ganglia and peripheral nerves. Whether these cells were pluripotent neural crest or cells restricted to two possible fates (i.e., to become supportive cells or pigment cells, depending upon environmental interactions) was not clear. Environmental conditions similar to those encountered in our cultures influenced melanogenesis in the foregoing studies. The more dispersed the ganglion, the greater the percentage of pigmented cells; permissive medium and the nature of the substratum also affected melanin synthesis. In our clonal cultures, neural crest cells were grown under highly dispersed conditions and fed with medium containing many factors common to those considered "permissive" for melanogenesis. Consequently, injected melanocytes might be derived from small supportive cells produced in similar cultures described by Nichols and Weston. This could explain migration of these cells along the ventral pathway as opposed to the dorsolateral pathway followed by presumptive melanocytes.
The extensive migration of crest cells in the embryo reflects the natural migratory tendency of these cells and the ability of the environment to encourage migration. That the environment promotes migration is supported by our results. Pigmented cells
that are not motile *in vitro*, as shown by time-lapse cinerhotomicrography (unpublished observation) and direct observation (13), migrate enthusiastically when injected back into the embryo and exposed to the ventral crest pathway. LeDouarin *et al.* (14) also observed a similar onset of migratory behavior from previously nonmotile crest derivatives when they implanted parasympathetic ganglia alongside the neural tube at the time of ongoing host neural crest migration. The ganglionic cells, even though beginning to acquire cholinergic traits, migrated ventrally and localized in ortho- and parasympathetic sites normally populated by crest cells. Whether the migrating cells were in fact differentiating cholinergic neuroblasts or a population of pluripotent stem cells has not been resolved. The migratory behavior of both the pigment cells and ganglion cells suggests that the ventral route influences initiation, direction, and localization of not only immature crest cells, but also their derivatives.
Little is known about mechanisms regulating distribution and ultimate localization of migrating neural crest cells. Certainly the environment plays a critical role in distribution of the cells. Noden (15) demonstrated that the unique patterns of crest distribution in the head region of avian embryos are largely directed by environmental factors. Patterning of dorsal root ganglia in Amphibia is conditional upon previous patterning of the somites (16). LeDouarin *et al.* (17) have shown that crest from midtrunk levels will migrate as crest from vagal levels when implanted in that area. In other words, their distribution is influenced by the environment in which they migrate. We know little about the influence of local cues on crest cells. Cessation of migration might be due to intrinsic changes in the crest cells themselves, alterations in the migratory pathway, or a combination of the two. Brauer (18) suggested that physical obstructions in the pathway, such as large blood vessels or nerves, influenced localization of the migrating cells. Surprisingly, the injected melanocytes were found associated with presumptive ganglioblasts of the aortic plexi and adrenal medullary cells. In addition, some of the melanocytes continued into the dorsal mesentery and eventually populated the gonads, kidney, and intestine. The orthosympathetic and enteric sites normally are not populated by pigment cells in the quail (donor) or White Leghorn (host) although the enteric sites are pigmented in several strains of pigmented chickens (19). The nonrandom distribution of the injected pigment cells suggests they respond to environmental cues that direct the localization of undifferentiated crest cells. The extent of ventral migration by the injected cells is also noteworthy. Crest cells from midtrunk levels normally migrate only as far ventrally as the orthosympathetic para-aortic ganglia, certainly not into the mesenteries or beyond (20). When vagal neural crest cells are implanted in place of midtrunk crest cells, however, they migrate as far ventrally as the gut and contribute to the enteric ganglia but do not differentiate into pigment cells. The extensive migration of injected melanocytes into the gut might represent trophic influences or, alternatively, modifications of the cell surface permitting migration beyond that normally seen for midtrunk crest cells.
The research was supported by U.S. Public Health Service Grant HD-07389 and a Basic Research Grant from The National Foundation—March of Dimes awarded to A.M.C. and U.S. Public Health Service Predoctoral Training Grant 5T32GM07231 to M.E.B.
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4. Rawles, M. E. (1947) *Physiol. Zool.* 20, 248–266.
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6. Cohen, A. M. & Koniigberg, I. R. (1975) *Dev. Biol.* 46, 262–280.
7. Hamburger, V. & Hamilton, H. L. (1951) *J. Morphol.* 88, 49–92.
8. Weston, J. A. & Butler, S. L. (1966) *Dev. Biol.* 14, 246–266.
9. Rawles, M. E. (1948) *Proc. Natl. Acad. Sci. USA* 34, 673–680.
10. Nichols, D. H. & Weston, J. A. (1976) *Dev. Biol.* 51, 682–697.
11. Nichols, D. H. & Weston, J. A. (1977) *Dev. Biol.* 60, 217–225.
12. Nichols, D. H. & Weston, J. A. (1977) *Dev. Biol.* 60, 236–237.
13. Hamilton, H. L. (1940) *Anat. Rec.* 78, 525–547.
14. LeDouarin, N. M., Teillet, M. A., Ziller, C. & Smith, J. (1978) *Proc. Natl. Acad. Sci. USA* 75, 2030–2034.
15. Noden, D. M. (1975) *Dev. Biol.* 42, 106–130.
16. Detwiler, G. B. (1972) *Anat. Rec.* 173, 93–94.
17. LeDouarin, N. M., Renaud, D., Teillet, M. A. & LeDouarin, G. H. (1975) *Proc. Natl. Acad. Sci. USA* 72, 728–732.
18. Brauer, A. (1932) *J. Morphol.* 53, 277–325.
19. Fox, M. J. (1949) *Physiol. Zool.* 22, 1–22.
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Bringing Our Full History Into Focus
At a time when few scholars were interested in the historical accounts of local Black lives, Lillian Williams was—and passionately so
When Lillian S. Williams set forth to study local Black history as a graduate student at UB in the 1970s, her professors said there were no sources to support her research.
Williams, now an associate professor in UB’s Department of Africana and American Studies, realized that couldn’t be true. “We knew there were sources, that there were primary records,” she says. “The question was: Have they been collected by the repositories in the area? They had not. And what we did was to collect them.”
Her determined search yielded a wealth of material. “We discovered there were major collections, in people’s garages, in their attics, and they saved them. So it was almost as if they were waiting for us to come along and ask for those records,” Williams says.
She and her fellow historians worked closely with members of the community at every stage of the effort. Over time, the team microfilmed a colossal number of documents: photographs, letters, scrapbooks, leaflets, event programs, newsletters and more, including a trove of papers from the Michigan Avenue YMCA and the J. Edward Nash collections.
Those efforts helped to catalyze the 1974 formation and subsequent growth of the Afro-American Historical Association of the Niagara Frontier. This project has had a tremendous impact upon the academy. Scholars from across the United States and abroad have come to Buffalo to study and to disseminate the work done by Williams and others.
“Today, the resources are there,” Williams says, “because we created them.” ◆
Did you know?
The Afro-American Historical Association of the Niagara Frontier holds over 600,000 pages of documents chronicling local African American people and organizations. Learn more at aahaf.org.
Keep walking the walk
Last summer’s Igniting Hope conference kicked off with a two-mile “Freedom Walk” from the Michigan Street African American Heritage Corridor archway to the Freedom Wall at the corner of Michigan Avenue and East Ferry Street. The conference is an annual summit that brings together community members, researchers and other stakeholders to better understand racial disparities in health care.
A ‘Freedom Walk’ along Michigan Ave., the kickoff for the Igniting Hope conference in August, symbolized the togetherness of people in the community.
Happy anniversary to our favorite ‘tooligans’
The Tool Library, a nonprofit tool-lending library located in University Heights, just celebrated its tenth year, having grown from a small storefront operation to a regional resource center.
Looking good
It’s great to see the street murals that now grace the landscape near the Buffalo Niagara Medical Campus, including artist Muhammad Zaman’s colorful work, “Let’s Walk Together,” which leads to BNMCC’s Innovation Center at 640 Ellicott Street.
Thanks for the info
New signage in Minnesota Linear Park, which highlights the natural and cultural treasures that can be found in this small but popular greenway, includes facts on the history of Buffalo railroads and the rails-to-trails movement.
UB Through the Years
One Hundred Years of Spirit
A notable milestone was celebrated this year by an integral part of the UB community: the marching band. The marchers marked their 100th anniversary with a celebration that brought former members back to campus for homecoming weekend to reminisce about their good old band days.
The first mention of a UB band appeared in the university yearbook in 1920, as shown here. In that year, the two dozen or so participants, commended for their “natty uniforms,” played at football games, basketball games and in concerts.
Test of Time: What is the current nickname of UB’s marching band? (Find the answer on the back cover.)
The nonprofit GiGi’s Playhouse provides free educational programming for individuals with Down syndrome, their families and the community through a playhouse model. Last fall, the organization’s Buffalo facility partnered with UB to offer students an opportunity to earn credit toward internship or professional teaching certifications by tutoring preschool and elementary-age children with Down syndrome.
The pilot program, an independent study course, was designed to address a critical gap in the preparation of future teachers. Most get little experience educating children with disabilities, even as schools are increasingly integrating students with learning differences into regular classrooms, says co-instructor Claire Cameron, associate professor of learning and instruction at the Graduate School of Education.
“Most students who qualify for special education spend 80% or more of their time in typical classroom settings. Decades of classroom-based research show that students with disabilities benefit from inclusion, or learning alongside their typically developing peers, whenever possible,” says Cameron. “With the nationwide wave of retiring teachers, there is a shortage of special education teachers. Colleges must prepare professionals, including teachers, to work effectively with exceptional people.”
The GiGi’s Playhouse Experiential Learning course syllabus was co-developed by Krystal Starke, a doctoral candidate in the Graduate School of Education and classroom instructor at UB’s Early Childhood Research Center.
Through the course, students reviewed research literature on educating children with Down syndrome, then turned their knowledge into practice by volunteering in the GiGi’s Playhouse One-on-One Literacy Tutoring Program.
“There are certain skills, such as behavior management, and tailoring curriculum and instruction styles to unique student profiles, that are limited during formal instruction. Experiential learning teaches our future teachers these skills by allowing them to observe and practice them in real time,” says Starke, whose dissertation will explore neurological functioning during play-based learning in both young children with autism spectrum disorders and young children with Down syndrome.
Cameron and Starke hope to expand the partnership to include other community locations specializing in teaching youth with special needs, thus opening the program to dozens more UB students. They will also conduct research that measures the effectiveness of the program.
“Exceptional individuals are an integral part of our society,” says Cameron. “We can do more to educate all members of society about the gifts and advantages to everyone when exceptional people are meaningfully included in our classrooms, workplaces and communities.”
Doctoral student Krystal Starke works with a student at GiGi’s Playhouse.
Advancing Our Economy, One Tech Job at a Time
UB’s Buffalo Institute of Genomics and Data Analytics has had a significant impact on job creation in the region.
In 2014, the UB Buffalo Institute of Genomics and Data Analytics (BIG) was launched with a $47.5 million grant from the state. The goal: to create hundreds of high-tech jobs in Western New York.
A news conference this past summer revealed that BIG has exceeded expectations, not only boosting the regional economy with the creation of 530 local jobs, but also contributing to major advances in life sciences that benefit society as a whole.
The announcement was made outside the Amherst offices of KSL Biomedical, a medical diagnostics startup that has leveraged the resources of UB’s BIG to create approximately 100 jobs since the company’s founding three years ago.
“We had big ideas, and we needed resources like BIG to realize them,” said Kevin Lawson, CEO of KSL. “I look at it like the old physics lesson about potential energy. There’s the big rock on top of a hill. You need the lever to get it down the hill. BIG has provided that [lever].”
KSL is one of 16 companies that currently have agreements with the UB program, which provides state-of-the-art facilities, technical expertise, a world-class computing infrastructure, next-generation genetic sequencing and more.
Christina Orsi, then-UB associate vice president for economic development, noted how companies working with BIG refocused their businesses to respond to the COVID-19 pandemic. KSL, for example, developed diagnostic tests and worked on clinical validation of prognostic tools to improve patient care. Resources provided by BIG, said Lawson, allowed the company to make that pivot.
“We made strategic investments in critical research, state-of-the-art equipment and funding to support the discovery and development of new medical technologies in partnership with industry members throughout Western New York,” Orsi said. Rick Gardner now leads UB’s efforts within BIG.
In a statement, UB President Satish K. Tripathi praised the important role BIG plays in the regional economy as well as in helping to develop medical innovations that benefit society, especially those in need. “The success of BIG is another example of UB’s impact on the communities we serve,” he said.
A new family medicine clinic has been operating on Buffalo’s West Side since late last summer, with 12 UB medical residents helping to provide patient care.
The two-floor facility, operated by the Jericho Road Community Health Center, is located around the corner from Jericho Road’s Barton Street health center. It offers primary care, women’s health care and maternity care, with a special focus on refugee and underserved patient populations.
Since 2019, Jericho Road has welcomed four residents per year from the Family Medicine Residency Program at the Jacobs School of Medicine and Biomedical Sciences at UB. These family medicine resident physicians treat outpatients and Jericho Road patients admitted to Buffalo General Medical Center. They see their own patients and review treatment plans and strategies with their attending physicians, who oversee the residency track at Jericho Road.
“This partnership with UB is really big for us,” said Myron Glick, a Jacobs School alumnus and Jericho Road’s founder and CEO. “As Jericho Road has grown, we’ve put a lot of priority on not only advancing quality and affordable patient care, but also training, equipping and investing in the next generation of family physicians. Our purpose is certainly to sustain the mission of Jericho Road, but, more so, to build a better health care system overall. Without UB’s commitment alongside us, we would not be nearly as able to inspire new medical providers to spend their careers in safety-net medicine, serving patients who are often not cared for elsewhere.”
At the grand opening in August, Jennifer M. Corliss, clinical assistant professor of family medicine, director of the family medicine residency program and physician with UBMD Family Medicine, noted the local and national shortage of primary care physicians. “As of June 2022,” she said, “four residents per year will graduate from this training track. We are delighted to hear that the majority of [them] plan to remain within the community after completion of their training.
“These physician graduates,” she continued, “will make a direct and immediate impact by providing quality health care and expanding access to care for patients in Western New York.”
For more information regarding the medical services provided at the Jericho Road Community Health Center, please visit jrchc.org.
UB HEALS focuses on foot care
UB HEALS, run by UB medical students, delivers medical care to the unhoused population of Buffalo while providing hands-on experience to students. A clinic held last fall at Holy Cross Shelter on Niagara Street focused on an often overlooked component of health care that’s critical to people experiencing homelessness: foot care. Physicians and med students also supplied new boots, socks and donated clothing from the UB HEALS clothing drive. Erie County Department of Health staff were on hand to offer vaccinations against COVID-19, hepatitis A and the flu.
Have You Heard...
Good news worth sharing
Joyce has arrived.
Last summer, UB unveiled a 36-foot-tall mural in downtown Buffalo celebrating renowned Irish author and poet James Joyce. The university has launched a fundraising campaign to create a museum on the South Campus for its James Joyce collection, widely recognized as the largest in the world.
We’re honored to be so green.
UB was named to The Princeton Review’s 2022 Green College Honor Roll, earning the highest possible score. The rankings assess how well a school is preparing students for employment in the clean-energy economy of the 21st century—as well as for citizenship in a world now defined by environmental issues—and how environmentally responsible a school’s policies are, among other factors.
It happened in a flash.
Legendary DJ Grandmaster Flash was in residence at UB this past fall, working live and in-person with students as part of a semester of hip-hop-inspired programming presented by the university’s Arts Collaboratory. The project was the first time Flash has worked directly with university students, and word is that he plans to return annually to continue the collaboration.
Questions for Marcus Lolo, UB music student
It would be an understatement to call “Epopée Impromptue,” the original piece pianist Marcus Lolo played at UB President Satish K. Tripathi’s State of the University address last October, a nice accompaniment.
“I would call it ‘knocking it out of the park,’” Jonathan Golove, chair of UB’s Department of Music, said of the performance. The composition paid homage to UB’s 175-year history through an improvised blend of classical and jazz elements with influences from Lolo’s French Haitian upbringing.
It wasn’t the first time Lolo, 27, has stood out for a job well done. He was profiled by JazzBuffalo following the 2020 release of his single “Lafimen,” dedicated to Haitian musician Manno Charlemagne. He shines as music director at Emmanuel Temple Seventh-day Adventist Church on East Ferry Street and as band leader at Macedonia Baptist Church on East North Street. And he is the music director at the Love Supreme School of Music, a small but growing effort that provides free lessons to children and young adults from underserved neighborhoods locally.
Here, Lolo talks about how his love for music hits many notes.
When did you first become interested in music?
“When I was five years old, I was fascinated with the pianist at church and jumped at the first opportunity he gave me to play a few notes. My father then bought me a two-octave toy piano upon which I reproduced the melodies of hymns I had heard at church. My interest in playing grew from there.”
You grew up in Haiti. What brought you to Buffalo, and what are your plans following graduation?
“I came to Buffalo in 2015 as a transfer student in civil engineering. I planned to pursue music later as a secondary interest. As I have come to learn, life is rarely if ever that linear. Now my goal is to finish my music program and then pursue a master’s degree in jazz studies at the Eastman School of Music, as I continue expanding the Love Supreme School of Music with the help of my amazing staff and collaborators. Then my goal will be to finish that bachelor’s in engineering.”
How did you become involved with the Love Supreme School of Music?
“It was a result of my participation as a performer in the 2018 Pappy Martin Legacy Masten Jazz Festival. My ensemble, the Marcus Lolo Septet, got to be the first act under the recommendation of Professor George Caldwell. There, I met Dawn Martin Berry-Walker, CEO of the Pappy Martin Legacy Jazz Collective, who was looking for an assistant director and piano instructor for the school. I seized the opportunity and found a home there.”
What does your work at the school mean to you?
“It has exposed me to the great need that persists for quality music education in Buffalo’s communities and to the power that resides in arming children and young adults with the skills to navigate their own creativity. Music isn’t just a tool for the arts—it’s a tool for life. It has been one of the most powerful forces in my life to date, and I have every intention to share this gift with every student who walks through our doors.”
Last year, two staffers in UB’s School of Public Health and Health Professions were inspired to turn a ho-hum spot on the southwest corner of the South Campus into a garden.
And not just any garden. Inspired by the school’s focus on health and well-being, the pair planted five varieties of herbs known for their medicinal and aromatic qualities, along with sunflowers and a modified version of the “three sisters” of Native American agriculture (corn, squash and beans).
Of course, as with most gardens, this one, outside Cary Hall, is about more than its produce.
“It’s important for our mental health,” said web designer Caryn Sobieski-VanDelinder, who spearheaded the project along with program director Nicole Klein. “Not only does this garden provide time for relaxing the mind, but it also creates a space for asking questions and positive conversation. It’s a safe space for faculty, staff and students to work together.”
Following the success of their first harvest, the gardeners are considering adding a leafy green such as kale or Swiss chard to the next crop. Also under consideration: more gardens on South Campus, including one managed by students.
Learn more about the five varieties of herbs selected and their potential health benefits.
**Lavender**
Its calming fragrance is popular for alleviating stress and promoting restful sleep. It tastes great too!
**Lemon verbena**
The leaves and flowers of this perennial have a distinctly lemony scent and taste. It’s reputed for treating indigestion and easing muscle soreness.
**Tarragon**
Often used in infused vinegars, this powerful herb may help to reduce inflammation and improve insulin sensitivity.
**Mint**
This fresh-tasting plant is a rapid grower. It has long been a go-to for soothing headaches and increasing alertness.
**Rosemary**
A hardy evergreen shrub, rosemary is said to stimulate energy and possibly support immune function.
The Big Picture
Reaching New Heights The royal blue poles stand upright, like birthday candles on a cake—only these candles are 86 feet tall. → Visible from Maple Road and the I-990, the poles support a massive enclosed netted complex in the parking lot of Crofts Hall on UB’s North Campus, where faculty, students and partners can conduct experiments on uncrewed aerial vehicles (UAVs), more commonly known as drones. → The 24,000-square-foot research facility is thought to be the third-largest outdoor, enclosed drone-testing facility in the nation. Dubbed SOAR, short for Structure for Outdoor Autonomy Research, it supports UB’s position at the forefront of research and education in a technology that could address some of society’s most challenging issues in everything from commerce and agriculture to emergency response. ◦
|
GUIDEBOOK FOR
ENGINEERING DIVISIONS
AND
OTHER TECHNICAL ACTIVITIES
The Institution of Engineers (India)
(An ISO 9001:2008 Certified Organization)
8, Gokhale Road, Kolkata 700 020
Printer and Publisher
Secretary and Director General
The Institution of Engineers (India)
8 Gokhale Road, Kolkata 700 020
e-mail: firstname.lastname@example.org
Revised Edition Printed on May 2014
FORWARD
The technical activities of the Institution, organized mostly under the aegis of different Division Boards / Committees, are in a sense the public face of the Institution through which we reach out not only to the greater engineering fraternity but also to the general public. It is, therefore, essential that these activities follow basic norms so as to maintain the status / image of our premier engineering professional body in the country.
This revised edition of the “Guidebook for Engineering Divisions and Other Technical Activities”, as recommended by CATE and approved by Council, will go a long way to help the Division Boards and the Centres spread all over the country, in organizing technical activities according to the approved norms and rules that address the changing needs of the Institutions.
May 2014
Ashok Kumar Basa, FIE
President, IEI
# CONTENTS
| Section | Page |
|------------------------------------------------------------------------|------|
| Historical Background | 1 |
| The Council | 3 |
| Committee for Advancement of Technology and Engineering (CATE) | 4 |
| Division Board | 4 |
| Objectives of a Division Board | 4 |
| Responsibilities of a Division Board | 4 |
| Attachment of Corporate Members | 5 |
| Administration | 5 |
| Financial Management | 5 |
| Technical Activities of Centres | 6 |
| Indian Engineering Congress | 6 |
| Division-Sponsored Activity | 12 |
| Guidelines for Instituting Awards and Memorial Lectures | 23 |
| IEI Convocation and Technicians’ / Students’ Convention | 25 |
| International Congress / Conference / Seminar / Workshop | 29 |
| Other Technical Events | 32 |
| Procedure for Vetting Technical Paper | 34 |
| Major Duties and Responsibilities of Technical Department at the HQrs | 34 |
| Prizes and Awards | 35 |
| Appendix I: Recommended Sub-Groups in Engineering Divisions | 37 |
| Appendix II: Schedule of Publication | 39 |
| Appendix III: Guidelines for the Core Group of the All India Seminars and National Conventions | 40 |
| Appendix IV: Financial Norms for Allocation of Funds | 41 |
| Appendix V: Technical Activity Report Format | 42 |
| Appendix VI: Memorial Lectures at Indian Engineering Congress | 46 |
| Appendix VII: Seating Plans | 51 |
| Appendix VIII: Format of Invitation Cards | 54 |
| Appendix IX: Memorial Lectures at National Conventions | 55 |
| Appendix X: Modalities for IEI Young Engineers Award | 64 |
| Appendix XI: Time Slot for the National Conventions | 65 |
| Appendix XII: Proposal from Centres for Holding Technical Activities | 66 |
| Appendix XIII: Standard Brochure | 67 |
| Appendix XIV: Report of the Convention | 70 |
| Appendix XV: Technical Activity Carried out by Centres / Overseas Chapters | 73 |
| Appendix XVI: Flow Process Chart and Charter of Responsibilities for Processing Technical Papers | 74 |
| Appendix XVII: Prizes For Best Paper Published in IEI-Springer Journals | 75 |
| Appendix XVIII: List of Prizes for IEI Convocation | 79 |
1.0 HISTORICAL BACKGROUND
As India embarked on its industrial development, the status of the engineering profession became a matter of higher importance and it received public prominence in the Report of the Industrial Commission 1916-18. There were endeavours to advance an industrial society to safeguard and assure the status of the profession.
Sustained efforts by a group of Indian and British engineers brought “The Institution of Engineers (India)” into being and the Institution was registered on September 13, 1920 under the Indian Companies Act of 1913 with Madras as the “Province of Registration”. The Registered Office was shifted to Calcutta on November 11, 1920.
In his Presidential Address at the formal inauguration of the Institution on February 23, 1921, Sir Rajendra Nath Mookerjee said, “The Institution of Engineers (India) which came into being on the September 13, 1920 is the result of general desire of those engineers in India who are members of the great parent Institution in England — the Institution of Civil Engineers, Mechanical Engineers and Electrical Engineers, to form a corporate body which should protect their interest, provide means of exchange of views on professional engineering matters and medium of expression of authoritative opinions on engineering problems of public interest ………”.
Subsequently, The Institution of Engineers (India) was incorporated by Royal Charter in 1935 with the following objectives (as per Clause 2 of the Royal Charter).
“to promote and advance the science, practice and business of Engineering in all its branches (hereinafter referred to as “Engineering”) in India”.
“to establish, subsidize, promote, form and maintain Local Associations of members belonging to the Institution and others engaged or interested in Engineering so as to assure to each individual member as far as may be possible equal opportunity to enjoy the rights and privileges of the Institution”.
“to diffuse among its members information on all matters affecting Engineering and to encourage, assist and extend knowledge and information connected therewith by establishment and promotion of lectures, discussions or correspondence; by the holding of conferences; by the publication of papers, periodicals or journals, books, circulars and maps or other literary undertaking; by encouraging research work; or by the formation of a library or libraries and collection of models, designs, drawings and other articles of interest in connection with Engineering or otherwise howsoever”.
“to promote the study of Engineering with a view to disseminate the information obtained for facilitating the scientific development of Engineering in India”.
“to establish, acquire, carry on, control or advise with regard to colleges, schools or other educational establishments where students and apprentices may obtain a sound education and training in Engineering on such terms as may be settled by the Institution”.
Amended in 123rd Meeting of CATE and 676th Meeting of Council (Ranchi, June 2013); 124th Meeting of CATE and 677th Meeting of Council (Simla, September 2013) and 125th Meeting of CATE and 678th Meeting of Council (Coorg, March 2014)
“to encourage, regulate and elevate the technical and general knowledge of persons engaged in or about to engage in Engineering or in any employment-manual or otherwise in connection therewith and with a view thereto to provide for the holding of classes and to test by examination or otherwise the competence of such persons and to institute and establish professorships, studentships, rewards and other benefactions and to grant certificates of competency whether under any Act of the Government of India or the Local Governments regulating the conduct and qualifications of Engineers or otherwise howsoever”.
“to give the Government of India, the Local Governments and Municipalities and other public bodies and others, facilities for conferring with and ascertaining the views of Engineers as regards matters directly or indirectly affecting Engineering and to confer with the said Governments, Municipalities and other public bodies and others in regard to all matters affecting Engineering”.
“to encourage inventions and investigate and make known their nature and merits”.
“to arrange and promote the adoption of equitable forms of contracts and other documents used in Engineering and to encourage the settlement of disputes by arbitration and to act as or nominate arbitrators and umpires on such terms and in such cases as may seem expedient”.
“to promote efficiency and just and honorable dealing and to suppress malpractice in Engineering”.
“to do all such other acts and things as are incidental or conducive to the attainment of the above objects or any of them”.
In order to fulfill its basic objectives, the Institution has always endeavored to synthesize an amalgam of academic and practical training with experiences. In order to perform better, the Institution grouped its members into Divisions according to their expertise in a particular discipline of engineering. The Institution now has fifteen Engineering Divisions, namely,
- Civil Engineering Division
- Electrical Engineering Division
- Mechanical Engineering Division
Established in 1954
- Chemical Engineering Division
- Electronics and Telecommunication Engineering Division
- Mining and Metallurgical Engineering Division (bifurcated to Mining Engineering Division and Metallurgical and Materials Engineering Division in 1984)
Established in 1961
- Public Health Engineering Division (now known as Environmental Engineering Division)
Established in 1962
- Aeronautical Engineering Division (now known as Aerospace Engineering Division)
- Agricultural Engineering Division
- Architectural Engineering Division
- Marine Engineering Division
- Textile Engineering Division
Established in 1978
- Computer Engineering Division
- Production Engineering Division
Established in 1984
These Divisions have the mandate to devote their efforts, individually or jointly with one or more other Divisions, towards the search of common knowledge and product technologies within their respective or an interdisciplinary domain. These Divisions are directed to take active steps to establish close liaison between the Institution and its members and the policy makers. In order to broaden and strengthen the service of the Institution to the technical community and the public, these Divisions are also directed to actively encourage research and developmental programmes through various promotional aids like lectures, seminars, workshops and other educational programmes.
A Division Board may also recommend formation of Sub-Groups (APPENDIX I) to the Council through the Committee for Advancement of Technology and Engineering (CATE).
Technical publications of Engineering Divisions form one of the most important tools of communication designed to bridge the gap between the latest developments and the available existing knowledge in the respective fields of engineering and technology.
The Journal of the Institution, which was being published to contain articles on various disciplines, was subsequently segmented to deal on the disciplines of engineering having Divisions and one part for interdisciplinary matters. To augment the quality of the Journals, the Institution has signed the Co-publishing Agreement with Springer (India) Pvt. Ltd., New Delhi, on August 10, 2011. Both the Institution and Springer have agreed for the common cause of improvement in the quality of journals, impact factor, citation index and also to bring the Journals within the reach of one and all in all corners of the globe.
All the fifteen engineering divisional journals have been clubbed into five series as follows:-
Series A : Civil, Architectural, Environmental and Agricultural Engineering
Series B : Electrical, Electronics & Telecommunication and Computer Engineering
Series C : Mechanical, Aerospace, Production and Marine Engineering
Series D : Metallurgical & Materials and Mining Engineering
Series E : Chemical and Textile Engineering
The schedule of publication is given in APPENDIX II.
Besides this, with the objective to disseminate the technical knowledge and information pertaining to IEI, monthly tabloid in the form of IEI News is brought out. Also a theme based flagship magazine “Technorama” published for engineering profession and decision makers. A Division Board may also bring out special publications such as Monographs on topics of current interest, proceedings of seminars / symposia, etc. Besides, for the benefit of Technicians / Senior Technicians / Students, the ‘Technicians’ Journal and Students’ Newsletter are also published.
2.0 THE COUNCIL
The Governance and control of the Institution and its affairs vest with the Council and the said Council is required to function with intent to give effect to the provisions of the Royal Charter and the Bye-Laws of the Institution. The Council is empowered to constitute Committees and Division Boards for smooth functioning in all spheres and to frame rules to be followed by these Committees and Division Boards in order to fulfill the objectives of the Institution in an organized and uniform fashion.
3.0 COMMITTEE FOR ADVANCEMENT OF TECHNOLOGY AND ENGINEERING (CATE)
The Council is also required to constitute a Committee for Advancement of Technology and Engineering (CATE) to give particular attention to: promotion of research; development of appropriate technology; building up design talent; development and promotion of engineering information services; formulation and implementation of norms and standards for technical activities including publications of the Institution; continuous vigilance on science and technology policies of the nation; coordination of technical education with research and industrial development; and coordination of interdisciplinary activities.
4.0 DIVISION BOARD
The Council of the Institution comprises, inter alia, members representing the Divisions and the Centres. The Bye-Laws of the Institution require the Council to constitute Division Boards with the members of the Council as members according to their attachment to the Divisions. In the event of the strength of a Board being less than three, the Council may co-opt Corporate Members attached to that Division to make-up the strength. One of them shall be nominated as the Chairman of the Board for a term not exceeding two sessions.
5.0 OBJECTIVES OF A DIVISION BOARD
The objectives of a Division Board are:
(i) To develop a closer and more effective relationship among engineers — those who educate the profession as well as those who are being educated;
(ii) To maintain and expand the competence of the members and promote various inter-disciplines in engineering by organizing continuing education of engineers on subjects of identified priorities; and
(iii) To encourage the members and other engineers to participate in deliberations and actions devoted to community welfare through beneficial applications of engineering.
6.0 RESPONSIBILITIES OF A DIVISION BOARD
A Division Board has the following major responsibilities as in the discharge of its duties:
(i) Interact with National Bodies where Institution is represented.
(ii) Maintain liaison with the Government agencies and Groups relevant to the scope of the Divisions and thereby monitor the development of national plans and policies on technical matters of interest to the Divisions.
(iii) Keep a strict vigil on the national standards (pertaining to Divisions) and arrange to forward the views of the Divisions on these standards to the BIS through the appropriate Institution’s representatives.
(iv) Locate and point out specific fields where Indian Standards pertaining to the Divisions either do not exist or are inadequate.
(v) Liaise with MHRD, AICTE, UGC, CSIR, DST, ICAR, NRDC, UNESCO, etc to identify foreign technical experts visiting India and involve them in technical activities of the Divisions as far as practicable.
(vi) Sponsor National Conventions, All India Seminars, One Day Seminars / Workshop, Symposia, Round Tables, Panel Discussions, etc; monitor the resolutions, conclusion and recommendations of those activities and ensure that necessary follow-up actions on such resolutions, conclusion and recommendations are taken at appropriate levels.
(vii) Organize at least one All India Seminar every year dealing with on-going national activities in addition to National Convention each year.
(viii) Monitor regular publication of IEI-Springer Journal with quality publications depicting original research in thrust areas, design, product and process development, future trends in R&D and development work along with review and state-of-art papers and “R&D Focus”.
(ix) Each Division Board will form a Core Group consisting of eminent engineers from all over the country and abroad in that particular discipline, who may or may not be Member of IEI. Detailed guidelines for constituting Core Group have been attached as APPENDIX III.
7.0 ATTACHMENT OF CORPORATE MEMBERS
The Corporate Members shall be attached to one Division only based on their educational qualifications approved by the Council and the field of engineering in which they practice at the time of their admission to the Institution. But, if so qualified for attachment to more than one Division, a Corporate Member shall be allowed to select and change to the Division to which he/she would like to be attached. The Council may, however, at its discretion, allow the transfer from one Division to another provided the member establishes to its satisfaction that he/she deserves such transfer on account of change in the field of his/her practice of engineering subsequent to his/her election as a member. The responsibility of the Council is vested with the Board of the Division to which the member seeks transfer.
8.0 ADMINISTRATION
A Division Board, constituted as per provision of Bye-Laws, shall be responsible to manage, supervise and guide the activities under the Division in accordance with the rules laid down from time to time by the Council. The Council shall have the power to vary the rules, as they may deem fit, subject always to the provisions of the Charter and the Bye-Laws.
9.0 FINANCIAL MANAGEMENT
The Council allocates funds to the Division Boards for utilization through its activities as per the norms given in APPENDIX IV.
However, all activities organized by a Centre of the Institution under the auspices of one or more Division Boards should not only be self-financing but also generate surplus to add to the funds of the Centre. The grant, if any, from the funds allocated to the Division Board should, therefore, be supplemented with those raised by way of registration fees and contributions from governments, local industries, etc.
The grant from the funds of the Division Boards shall be utilized only for activities exclusively of technical nature [for example, publication of pre-prints of articles, proceedings, memorials lecture(s), etc] and no part of it shall be utilized, under any circumstances for defraying expenses incurred for travelling or general purposes.
N.B.: All payments should be made in the favour of “The Institution of Engineers (India) ................................................................. (name of respective State / Local Centres)” where the Technical Activity will be organized. Funds will be managed in accordance with Bye-Laws 111 and Regulation 49 of the Institution. The quantum and mode of release of grant from Division Board will be in accordance with APPENDIX IV or as decided time to time by Council.
10.0 TECHNICAL ACTIVITIES OF CENTRES
The Centres shall organize, on regular basis, lectures to be delivered by experts available locally.
In addition to Division sponsored activities, the Centres may also organize the following activities without any financial support from a Division Board and involve only the support and the participation as may be available from their respective geographical boundaries.
➢ Seminar
➢ Workshop
➢ Round Table
➢ Panel Discussion
➢ Continuing Education Course
Each Centre is required to submit a report on its technical activities every quarter (April-June, July-September, October-December, January-March) in prescribed format, given in APPENDIX V and based on the same, consolidated report for all quarters are prepared by the HQrs in prescribed format for submission to CATE.
11.0 INDIAN ENGINEERING CONGRESS
The Council of The Institution of Engineers (India) decided, at its 529th Meeting held at Bombay on June 9, 1985, to organize every year “The Indian Engineering Congress” at one of its Centres with the intention of having an enlarged participation of engineers from within the country and abroad and to provide a forum for effective and purposeful interaction amongst the member and non-member engineers and public and diffusion of knowledge as well as experience to infuse new thinking.
11.1 OBJECTIVE
The Council shall decide the theme of the Congress and the Congress will precede the Annual General Meeting of the Corporate Members of the Institution. A Seminar on the theme will be organized to provide a forum to bring together engineers belonging to different disciplines and also non-engineers who are interested in the topic for exchange of experiences, to evolve new concepts and to broaden general understanding. The Congress being the apex technical activity of the Institution, an all-out effort should be made to make the event a grand success and for this purpose, a close liaison between the Host Centre and the HQrs is necessary. The Congress is an occasion where delegates
representing foreign professional societies having bilateral relationship with the Institution also participate.
11.2 PROGRAMME STRUCTURE
Indian Engineering Congress comprises the following technical activities:
- Inaugural Session of Congress
- Inaugural Session of Congress Seminar on a theme specified by the Council
- Memorial Lectures (for details, see APPENDIX VI)
- Glimpses of Engineering Personalities
- Technical Sessions of Congress Seminar
- Prize and Awards Ceremony
- IEI Alumni Meet
- Women Engineers Meet
- Engineering Colloquium
- Concluding Sessions of Congress Seminar
- Valedictory Sessions of the Congress
- Engineering Exhibition
On the social side, the Host Centre shall organize cultural programmes, Congress dinner, local sightseeing tours, out-station tours and ladies programmes.
11.3 ORGANIZATION SET-UP
The organizational set-up for the Congress shall comprise the following
- National Advisory Committee
- National Steering Committee
- Organizing Committee
The Council of the Institution shall constitute the National Advisory Committee and the National Steering Committee.
The National Steering Committee shall have the following responsibilities:
(a) Finalization of Patrons;
(b) Approval of the draft programme of Congress;
(c) Finalization of
(i) The Chief Guest
(ii) The Speakers for Memorial Lectures
(iii) Glimpses of Engineering Personalities (to be felicitated at the Congress)
(d) Review of
(i) The venue
(ii) The accommodation
(iii) The registration fees
(iv) Hospitality norms
(v) Publicity arrangements
(e) Review of strategy for resource mobilization
The Committee of the Host Centre shall constitute the Organizing Committee to have one Chairman, one Co-Chairman, one Organizing Secretary and a few members. The Organizing Committee shall constitute several functional committees to look after various components of the entire programme.
Suggested Functional Committees are Registration, Resource Mobilization, Seminar, Souvenir, Accommodation and Transport, Tours, Ladies Programmes, Logistics, Hospitality, Cultural Programme, Volunteer and Medical Aid Committees.
11.4 **Nodal Dates**
The Council of The Institution of Engineers (India) decided to organize Congress during the period of December every year. With the Congress being held in December, the following nodal dates are suggested:
| • | Finalization of Host Centre, dates of Congress and Congress theme | : | Last day of March |
| • | Constitution of National Advisory Committee, Organizing Committee and Functional Committees | : | Last day of March |
| • | Constitution of National Steering Committee | : | Middle of April |
| • | Submission of the draft Information Brochure to the HQrs by the Host Centre | : | Last day of April |
| • | Finalization of Speakers of Memorial Lectures and Personalities to be felicitated at the session of “Glimpses of Engineering Personalities”★ | : | Last day of May |
| • | Preparation and printing of First Information Brochure | : | Last day of June |
| • | Dispatch of First Information Brochure for Congress Seminar | : | Last day of June |
| • | Obtaining clearance certification from the Nodal Ministry, Ministry of External Affairs and Home Ministry, Government of India★ | : | Last day of June |
| • | Obtaining the full text of Memorial Lectures, life sketches of Engineering Personalities★ | : | Last day of September |
| • | Finalization of the Chief Guest★ | : | Last day of October |
| • | Printing of Memorial Lectures and Booklet on “Glimpses of Engineering Personalities”★ | : | Last day of October |
| • | Finalization of Prize and Awards | : | Last day of October |
| • | Finalization of IEI Industry Excellence Award | : | First week of November |
| • | Obtaining the full text of the Address of Chief Guest★ | : | First week of November |
| • | Obtaining the full text of the Address of the President (Elect)★ and printing of the same | : | Middle of November |
| • | Printing of Seminar Articles | : | Last week of November |
| • | Printing of Address of the Chief Guest★ | : | Last week of November |
★ responsibilities of the HQrs
The Organizing Committee shall decide and notify through Information Brochure the nodal dates for the Congress Seminar as suggested below:
| • | Submission of synopsis | : | Last day of July |
| • | Intimation to author in respect of acceptance of synopsis | : | Last day of August |
| • | Submission of full text of the article by the author | : | Last day of October |
| • | Intimating the authors regarding session details | : | Middle of November |
| • | Printing of reprints of the Seminar articles | : | First week of December |
The above items are the sole responsibilities of the Host Centre. For this purpose, the Information Brochure in respect of the Congress Seminar shall provide all details which are to be followed by authors.
11.5 **FUND MOBILIZATION**
The fund for organizing the Congress shall comprise the following
- Grant from the HQrs (APPENDIX IV)
- Registration and other fees
- Co-sponsorship / collaboratorship fees, donations and grants
- Charges of advertisements in Souvenir Volume
- Charges for Exhibition Stalls
11.6 **REGISTRATION FEE**
In order to encourage large participation, the Registration Fees shall be kept as low as possible and more stress should be given by the Host Centre on collecting funds by way of co-sponsorship, collaboratorship fees, donations, government grants, advertisements in the Souvenir volume and exhibitions.
The registration fees should preferably be in categories, namely, Corporate Members and Technician / Student Members of the Institution. Higher scale of registration fees may be fixed for members sponsored by any organization or government departments and for non-members. A separate scale of registration fees should be fixed for guests, spouses of the registered delegates and the authors of technical articles contributing in the Congress Seminar.
Host Centre may consider online registration through a dedicated website for the Congress which will have a link in the IEI’s portal.
### 11.7 SUGGESTED DAY-TO-DAY PROGRAMME
| Day | Time | Event |
|-------|------------|----------------------------------------------------------------------|
| Day 1 | | Registration |
| Day 2 | 1st Half | Registration, Inaugural Session of the Congress, Presentation of IEI Industry Excellence Award, SQF, NDRF Awards and Institution Prizes (four categories only), Sir M Visvesvaraya Memorial Lecture |
| | 2nd Half | Inauguration of Congress Seminar, Engineering Colloquium, Glimpses of Engineering Personalities, Presentation of Prizes, Bhaikaka Memorial Lecture |
| | Evening | Congress Dinner |
| Day 3 | 1st Half | Technical Session I, Sir R N Mookerjee Memorial Lecture, Technical Session II, Nidhu Bhushan Memorial Lecture, Engineering Colloquium, Women’s Engineers Meet |
| | 2nd Half | Technical Session III, Dr A N Khosla Memorial Lecture, Technical Session IV, Adjourned Council Meeting |
| | Evening | Cultural Programme |
| Day 4 | 1st Half | Technical Session V, Dr Amitabha Bhattacharyya Memorial Lecture, Technical Session VI, Prof C S Jha Memorial Lecture, Engineering Colloquium |
| | 2nd Half | Annual General Meeting, Valedictory Session of the Congress |
| | Evening | Meeting of the New Council |
| Day 5 | | Post Congress Tour |
### 11.8 SUGGESTED DETAILED PROGRAMME
The details of programmes related to various technical activities of Indian Engineering Congress are as follows:
#### 11.8.1 Inauguration of the Congress
The structure of the programme of the Inaugural Session of the Congress shall be as follows.
- National Anthem (if President of India / Vice President of India / Prime Minister of India / Governor of the State is / are present)
- Invocation
- Welcome Address by the Chairman of the Host Centre / Organizing Committee
- Address by President, IEI
- Distribution of IEI Industry Excellence Award, SQF and NDRF Awards and Institution Prizes (4 categories only)
- Inaugural Address by the Chief Guest
- Vote of thanks by Secretary and Director General, IEI
*The President, IEI shall chair the Inaugural Session of the Congress.*
11.8.2 Inauguration of the Congress Seminar
The structure of the programme of the Inaugural Session of Congress Seminar shall be follows.
- Welcome Address by the Chairman, Technical Committee
- About the Seminar by the Convenor, Technical Committee
- Address by President, IEI
- Special Lecture on the theme of Congress Seminar
- Inaugural Address by the Chief Guest of the Seminar
- Vote of thanks by the Honorary Secretary of the Host Centre / Organizing Secretary
*The Chairman, Technical Committee, shall preside over this session.*
11.8.3 Memorial Lecture
The structure of the programme of Memorial Lecture Sessions shall be as follows.
- Welcome Address by the Chairman of the Session
- Background of the Lecture and introduction of the speaker by Secretary and Director General, IEI
- Memorial Lecture Presentation
- Vote of thanks by Secretary and Director General, IEI
*The President of IEI or a Corporate Member nominated by him shall chair this session*
11.8.4 Glimpses of Engineering Personalities
The structure of the programme of Glimpses of Engineering Personalities Sessions shall be as follows.
- Welcome Address by President, IEI
- Introduction of Personalities by Secretary and Director General, IEI
- Address by the Personalities
- Vote of thanks by the Secretary and Director General, IEI
*The President, IEI shall chair this session.*
11.8.5 Concluding Session of Congress Seminar
The structure of the programme of Concluding Session of the Congress Seminar shall be as follows.
- Welcome Address by the Chairman, Technical Committee
- Reporting by Rapporteurs of all Technical Sessions
- Finalization of Recommendations
- Vote of thanks by the Convener, Technical Committee
*The Chairman, Technical Committee, shall preside over this session.*
11.8.6 Valedictory Session of the Congress
The structure of the programme of Concluding Session of the Congress Seminar shall be as follows.
- Welcome Address by the Chairman, Organizing Committee
- Reporting by the Organizing Secretary
- Introduction of President by outgoing President
- Response by Delegates (from the floor)
- Address by the President, IEI
- Vote of thanks by the Honorary Secretary of the Host Centre
*The Chairman of the Organizing Committee shall preside over this session.*
For details of Seating Plans and Format of Invitation Cards, please see APPENDIX VII and APPENDIX VIII, respectively.
12.0 DIVISION-SPONSORED ACTIVITY
The activities sponsored by a Division, which may be hosted by a Centre, are National Convention, All India Seminar, One Day Seminar / Workshop, Round Table, Workshop, Panel Discussion and Continuing Education Course.
12.1 NATIONAL CONVENTION
The National Convention of an Engineering Division is the apex technical activity of the Division itself, which is organized annually to a place decided by the Division Board initially and subsequently approved by the CATE / Council.
12.1.1 Objective
The National Convention, sponsored by a Division, is the apex activity held once a year aiming at achievement of technical and professional growth through intensive technical content and mutual interaction. A National Convention shall seek to achieve maximum involvement and participation of members and non-members as well. This is the activity, which also aims at establishing liaison between the Institution, its members and the policy makers. The organization of a National Convention, therefore, requires full attention of the Host Centre and a long-term planning with adequate support from the HQrs and concerned Division Board.
12.1.2 Nomenclature
This activity shall be designated in the following style.
Sixteenth National Convention of Environmental Engineers
or
Sixteenth National Convention of Metallurgical and Materials Engineers
12.1.3 Programme Outline
A National Convention shall be a multi-activity capsule comprising the following elements:-
(a) National Seminar
(b) Memorial Lecture (for details, see APPENDIX IX)
(c) State-of-the-art Lecture
(d) Felicitation of Eminent Engineers (maximum four persons) #
(e) Presentation of IEI Young Engineers Award (maximum three persons) ★
(f) Technical Visit and Technical Exhibition
(g) Workshop / Round Table / Panel Discussion
(h) Setting up of IEI Information Desk displaying various categories of Membership Forms, copies of IEI publications, IEI Publicity Brochure etc. These materials will be supplied by the HQrs.
(i) Division Board Meeting
(j) Maximum 3 to 4 Eminent Engineers should be felicitated in the National Convention ✽
(k) All the Eminent Engineers who will be selected for felicitation should make a technical presentation in the Convention ✽
(l) Besides Souvenir / Abstract Book, a Technical Volume may be in the form of hard copy or CD should be published in the Convention containing the full text of the technical papers presented during the Convention ✽
(m) The Young Engineers who will be getting the Award in the Convention also should be requested to present a technical paper in the Convention ✽
(n) The Technical Volume / CD should be forwarded to the respective Editor-in-Chief of IEI-Springer Series Journals through IEI Technical Department, so that Editor-in-Chief with its Editorial Board can find out good articles from the technical volume and request the concerned author(s) to upload this paper for journal publication through peer review process ✽
(o) Additionally, CATE has recommended that soft copy of the Proceedings should be sent by the Centres to Headquarters, who in turn will send those to the Members of that Division Board and will also display it in the website of IEI” ✽
# The names of the Eminent Engineers and Speaker(s) of the Memorial Lecture are to be finalized by the Host Centre in consultation with the Chairman of the respective Division Board. The formal invitation to the Eminent Engineers and Speaker(s) of the Memorial Lecture should be made by the Host Centre with a copy to the Technical Department at IEI HQrs. No TA / DA will be provided from the HQrs to the Eminent Engineers and Speaker of the Memorial Lecture for attending the Convention.
As a customary, plaques are presented to the Eminent Engineers and Speaker(s) of the Memorial Lecture. These plaques are prepared by the HQrs as per the prescribed design and format. The Centre should forward details of the Speaker(s) of Memorial Lecture and Eminent Engineers for preparation of the plaque. The cost of the plaques will be borne from the grant of the National Convention.
★ This Award was instituted in 2008 with a view to promote the pursuit excellence in the field of engineering. The Award consists of Rs.10,000/- and a Certificate for each awardee. The recipients of IEI Young Engineers Award are eligible for
reimbursement AC-3 tier fare by train in the shortest route. (if no AC-3 tier ticket is available then AC-2 tier fare will be reimbursed). Cost of Awards, Certificate and Train Fare will be borne by the HQrs [Modalities and guidelines of IEI Young Engineers Award given in APPENDIX X]
(j) to (o) have been approved at the 680th Meeting of the Council, Coorg, Karnataka, held during March 22-23, 2014.
12.1.4 Planning
Proposal for holding a National Convention will emanate from a Centre and shall be processed by the concerned Division Board and the final decision shall be taken by CATE / Council.
The Centre desiring to hold the National Convention shall submit the proposal to the concerned Division Board at least six months prior to the proposed dates of the Convention. The proposal shall contain the following for consideration of the Board.
- Venue (city / town)
- Date (the Council has decided the designated months for organizing the National Convention for each engineering division. Details given in APPENDIX XI)
- Theme, Sub-themes of the National Seminar, and a short write up on the theme
- Other activities (Workshop / Round Table / Panel Discussion) to be held concurrently with the Convention
A format for sending proposal is given in APPENDIX XII.
12.1.5 Responsibility
The primary responsibility for planning and organizing a National Convention shall rest with the Host Centre. Implicit support of the Chairman of the concerned Division Board and the HQrs will be available.
For smoothness in organization of this national event, the Host Centre shall constitute the following Committees.
- National Advisory Committee
- Organizing Committee
- Technical Committee
The Host Centre may organize the National Convention in association with reputed Engineering Colleges / Institutes.
National Advisory Committee
This Committee comprises President of IEI as its Chairman, the Chairman of the Division Board as its Co-chairman and a Corporate Member (attached to the Host Centre and also the concerned Division) as its Convenor.
The members of the Committee shall be nominated by the Host Centre from amongst persons of all India status and shall include all members of the concerned Division Board and the Honorary Secretary of the Host Centre (if he/she is not the Convenor).
This Committee shall provide guidance for structuring the technical programmes, selection of Session Chairmen, Keynote Speakers, State-of-the-art and Memorial Lectures’ Speakers and the persons to be honoured at the Convention under the banner “Felicitation of Eminent Engineers”.
This Committee may not meet frequently and the suggestions of the members may be made through correspondence only.
**Organizing Committee**
The Organizing Committee shall be constituted with the Chairman of the Host Centre as its Chairman and one Corporate Member (attached to the Host Centre and also the concerned Division) as the Organizing Secretary. The members of the Committee shall include local Corporate Members.
To make this Committee effective, representatives of the government departments, public bodies, industries, educational institutions, etc should be co-opted in it.
This Committee shall be responsible for all works related to the Convention.
The Chairman of the concerned Division Board and the HQrs shall be kept informed about major details of the programme as may be finalized by the Organizing Committee from time to time.
**Technical Committee**
A Technical Committee shall be constituted by the Organizing Committee to scrutinize the synopses of the articles as may be received from authors. The decision of the Technical Committee shall be communicated to those authors whose synopses are accepted and they shall submit the full text with all tables, diagrams, etc to the Host Centre well ahead of the dates of National Convention.
### 12.1.6 Resource Mobilization
- Grant from the Division Board *(Appendix IV)*
- Registration fees to be paid by delegates
- Contributions of other organizations as Patrons, Co-sponsors, Collaborators, Donors or Associates
- Charges collected from the advertisers in the Seminar Volume / Souvenir, published by the Host Centre
- Technical Exhibition
12.1.7 Convention Document
A publication containing the proceedings/e-proceedings should be brought out. The detailed report with photograph of the Convention should be sent to the HQrs within 15 days after completion of the Convention. The Host Centre may also publish a souvenir / Proceedings on the occasion.
12.1.8 Programme Structure
The duration of National Convention may be two or three days and the programme shall include the following:-
(i) Inaugural Session to have
- Welcome Address by the Chairman of the Host Centre
- Address by the President, IEI (if present)
- Address on the theme of National Seminar by the Convenor
- Address by the Chairman of the Division Board
- Address by the Special Guests (if any)
- Inaugural Address by the Chief Guest
- Felicitation of Eminent Engineers
- Presentation of IEI Young Engineers Award
- Vote of thanks by the Organizing Secretary/Honorary Secretary of the Host Centre
This session shall be presided over by the Chairman, Division Board
(ii) Memorial Lecture and State-of-the-art Lecture shall follow the Inaugural Session
- Technical Sessions of the National Seminar
- Workshop or other technical events.
(iii) Valedictory / Concluding Session to have
- Welcome Address by the Chairman of the Host Centre or the Technical Committee
- Reporting on the Technical Sessions by Rapporteurs / Session Chairmen
- Finalization of Recommendations
- Vote of thanks by the Organizing Secretary / Honorary Secretary
This session shall be presided over by the Chairman of the Host Centre and the Chairmen of the Technical Sessions shall be present on the dais. For each Technical Session, there shall be one Chairman, one Co-chairman (Optional) and one Rapporteur.
12.1.9 Publicity
Publicity for a National Convention shall be made primarily through web and the IEI News. The Host Centre may, however, adopt other avenues for publicity of the Convention at the national and state levels by contacting various government departments, public bodies, industries, educational institutions, etc. Participation should also be initiated from foreign societies with which the Institution has bilateral agreements or any other formal relationship. After obtaining the approval of the proposal by Division Board / CATE / Council, the Centre will prepare the First Information Brochure as per the format given in APPENDIX XIII (Standard Brochure / First Information Brochure) and will forward 5 copies of the same to Technical Department for further action.
12.1.10 Selection of Articles for National Seminar
The persons desirous of presenting articles may be advised to submit synopses of their articles to the Host Centre, which will be scrutinized and finalized by the Technical Committee.
12.1.11 General
The Host Centre must send a complete report of the Convention on the prescribed format (APPENDIX XIV) and a few photographs within 15 days from the date of culmination of National Convention to the HQrs.
A detailed report of the Convention highlighting the technical content of the speeches delivered by the dignitaries, such as, Chief Guest, Guest-of-Honour, Keynote Speaker, Memorial Lecture Speaker, etc, along with photographs and copies of Souvenir / Proceedings should be sent to the HQrs for publication in the IEI News.
The recommendations emanated from the Convention be forwarded to the Core Group constituted by the concerned Division Board and approved by CATE / Council. The approved Guidelines for constitution of Core Group is given in APPENDIX III.
For details of Seating Plans and Format of Invitation Card, please see APPENDIX VII and APPENDIX VIII, respectively.
12.1.12 Grants Available for National Convention
The grant for the National Convention is Rs 1,50,000/- for each Division. Out of this grant, a sum of Rs 1,05,000/- shall be given as the grant to the Centre hosting the National Convention and the balance Rs 45,000/- shall be at the discretion of the Chairman of the Division Board for meeting such expenses, connected with the National Convention, as are found to be necessary.
The grant shall be released in two installments to the Host Centre as follows: Rs 55,000/- on receipt of printed information brochure and Rs 50,000/- at the time
of the Convention. The Chairman’s Discretionary Fund amounting to Rs 45,000/- will be released to the Host Centre after completion of the Convention and after deduction of the expenses incurred by the HQrs for the Convention (e.g. preparation of plaques for Speaker of Memorial Lecture and Eminent Engineers etc) and conformation of necessary formalities.
No part of this grant shall be used for travelling.
The quantum of grant may be revised by Council time-to-time.
12.2 **All India Seminars**
The All India Seminar is one of the sponsored technical activities of a particular Engineering Division, under the aegis of which the activity will be organized.
12.2.1 **Planning**
Proposal for holding All India Seminar will emanate from a Centre and shall be processed by the concerned Division Board and the final decision shall be taken by CATE / Council.
The proposal from a Centre should be submitted as per format given in **APPENDIX XII** to the concerned Division Board at least three months prior to the proposed dates of the Seminar. The proposal shall contain the suggested theme, dates and venue (city / town) of the Seminar.
After obtaining the approval of the proposal by Division Board / CATE / Council, the Centre will prepare the first information brochure as per the format given in **APPENDIX XIII** and will forward the same to Technical Department for further course of action.
The recommendations emanated from the All India Seminar be forwarded to the Core Group constituted by the concerned Division Board and approved by CATE / Council. The approved Guidelines for constitution of Core Group is given in **APPENDIX III**.
12.2.2 **Responsibility**
The primary responsibility for planning and organizing All India Seminar shall rest with the Host Centre. Implicit support of the HQrs will be available.
For smoothness in organization of the event, the Host Centre shall constitute the Organizing Committee. The Host Centre may organize the National Convention in association with reputed Engineering Colleges / Institutes other Professional Organizations.
12.2.3 Organizing Committee
The Organizing Committee shall be constituted with the Chairman of the Host Centre as its Chairman and the Honorary Secretary of the Host Centre or one Corporate Member (attached to the Host Centre) as its Organizing Secretary. The Members of the Committee shall include local Corporate Members.
12.2.4 National Advisory Committee
The Members of the Committee shall be nominated by the Host Centre from amongst persons of all India status and shall include all members of the concerned Division Board and the Honorary Secretary of the Host Centre (if he/she is not the Convenor). The Council Member elected from a State shall be included as a member in National Advisory Committee of the AIS conducted by the Centres in the respective State.
This Committee shall provide guidance for structuring the technical programmes, selection of Session Chairmen.
N.B.: For organizing All India Seminar, formation of National Advisory Committee is not mandatory.
12.2.5 Resource Mobilization
The Organizing Committee shall plan resource mobilization and the income may comprise the following:
- Grant from the Division Board (for Two-Day activity not to exceed Rs. 30,000/-)
- Registration fees to be paid by delegates
- Contributions of other organizations as Patrons, Co-sponsors, Collaborators, Donors or Associates
- Charges collected from the advertisers
- Technical Exhibition
12.2.6 The Structure of the Programme of an All India Seminar shall be as follows:-
220.127.116.11 Inaugural Session to have
- Welcome Address by the Chairman, Host Centre
- Address by the President, IEI (if present)
- Address by the Chairman, Division Board (if present)
- Address on the theme of technical sessions by the Honorary Secretary / Organizing Secretary / Convenor
- Address by the Special Guests (if any)
- Inaugural Address by the Chief Guest
- Vote of thanks by the Honorary Secretary of the Centre
18.104.22.168 Technical Sessions
Articles, received on the theme of the All India Seminar, are presented in Technical Sessions.
*Each of the Technical Session to be presided over by a Session Chairman and assisted by one Rapporteur.*
22.214.171.124 Concluding / Valedictory Session to have
- Welcome Address by the Chairman of the Host Centre
- Reporting by Rapporteur of each session
- Finalization of Recommendations
- Vote of thanks by the Organizing Secretary / Honorary Secretary
*The Chairman of the Host Centre shall preside over both the Inaugural and the Concluding / Valedictory Sessions.*
The report on an All India Seminar including the recommendations shall be sent to the HQrs within 15 days from the date of culmination of the Seminar together with two copies of the preprints of articles (as published) and a few photographs as per format given in APPENDIX XV for possible inclusion as a report in IEI News.
12.3 Round Table / Workshop / Continuing Education Course / Panel Discussion
The general features of the Round Table, Workshop, Continuing Education Course and Panel Discussion may be organized by a Centre, the details of which are as follows:-
12.3.1 Round Table
A “Round Table” is a forum for discussion on problems of common interest to ensure business like discussion.
A Round Table presidium should consist of a Chairman, a Rapporteur and a panel of experts from the government and private sectors to cover technical, social-economic and administration aspects of the problem.
The Chairman of a Round Table will initiate the discussion by presenting a brief background and exact nature of the problem and invite the panel members to present their views for effective discussion.
The delegates may participate in the discussion. For this, they may write down their point in a “Discussion Slip” and submit the same to the Chairman of the session. The Chairman will reserve the discretion to allow the participants to speak.
At the end of the discussions, the Rapporteur will sum-up the proceedings and the Host Centre will submit a report on the event to the HQrs soon after the culmination of the event.
12.3.2 Workshop
Workshops are thought of as meetings for formal discussions on topics or theories, exchange of ideas, demonstration of methods and practical application of skills and principles employed in a field.
One of the most important aspects of the workshop is to examine not only the success of the investigation but also discussion of the failures in these investigations so that one could have a clear picture on the topics of Workshops. For this reason, there should be experts with different ideas both for and against the investigation, theory, etc.
A Group Leader, who will make an introduction to the theme, will lead the workshop. There will also be a moderator who will allow the intervention of the participants, keeping the form of an open discussion.
The Host Centre shall submit a detailed report on the same to the HQrs soon after the culmination of the event.
12.3.3 Continuing Education Course
Endeavours must be made to structure the course in such a way so as to integrate the latest theory and seasoned practice.
The Course Director may utilize one or more of the following techniques for the conduct of the course.
- Lecture
- Group Discussion
- Case Study
- Project Work
- Demonstration
- Film Show
- Factory / Site Visit
The Course Director will open the discussion with an address explaining the scope of continuing education programmes and outlining the procedure to be adopted in the conduct of the course.
A detailed report including opening/closing remarks of the Course Director shall be sent to the HQrs for future reference and record soon after the culmination of the course. A certificate may be issued to participants in this effect.
12.4 GUIDELINES FOR ONE DAY SEMINAR / WORKSHOP
[Approved by the Council at its 675th Meeting held at Hyderabad during March 23-24, 2013]
The One Day Seminar / Workshop is one of the sponsored technical activities of a particular Engineering Division, under the aegis of which the activity will be organized.
12.4.1 Planning
Proposal for holding Seminar / Workshop will emanate from a Centre and shall be processed by the concerned Division Board / Chairman of the Division Board. The proposal from a Centre should be submitted to the concerned Division Board at least one month prior to the proposed dates of the Workshop. The proposal shall contain the suggested theme, brief write up on the theme, date and venue (city/town) of the Seminar / Workshop.
12.4.2 Responsibility
The primary responsibility for planning and organizing the Seminar / Workshop shall rest with the Host Centre. Implicit support of the HQrs will be available. For smoothness in organization of the event, the Host Centre shall constitute the Organizing Committee.
Organizing Committee
The Organizing Committee shall be constituted with the Chairman of the Host Centre as its Chairman and the Honorary Secretary of the Host Centre or one Corporate Member (attached to the Host Centre) as its Organizing Secretary. The Members of the Committee shall include local Corporate Members.
12.4.3 Resource Mobilization
The Organizing Committee shall plan resource mobilization and the income may comprise the following:
- Grant from the Division Board @Rs 10000/;*;
- Registration fees to be paid by delegates;
- Contributions of other organizations as Patrons, Co-sponsors, Collaborators;
- Donors or Associates.
* Approved at the 680th Meeting of the Council, held at Coorg, Karnataka on March 2014.
12.4.4 The grant will be released from the HQrs after receipt of report and photographs as per the format provided in APPENDIX XV.
12.4.5 The structure of the programme of One Day Workshop shall be as follows:
(i) **Inaugural Session to have**
- Welcome Address by the Chairman, Host Centre
- Address by the Chairman, Division Board (if present)
- Address on the theme of technical sessions by the Honorary Secretary / Organizing Secretary / Convenor
- Address by the Special Guests (if any)
- Inaugural Address by the Chief Guest
- Vote of thanks by the Honorary Secretary of the Centre
(ii) **Technical Session**
The Organizing Committee shall invite the renowned professionals, having expertise in the relevant field to deliver Lectures during the Technical Sessions. Apart from that, Articles, received on the theme of the Workshop, will also be presented during the Technical Sessions.
(iii) **Concluding / Valedictory Session to have**
- Welcome Address by the Chairman of the Host Centre
- Reporting of Technical Sessions
- Vote of thanks by the Organizing Secretary / Honorary Secretary
*The Chairman of the Host Centre shall preside over both the Inaugural and the Concluding / Valedictory sessions.*
13.0 **GUIDELINES FOR INSTITUTING AWARDS AND MEMORIAL LECTURES**
13.1 **GUIDELINES, MODALITIES FOR INSTITUTING MEMORIAL LECTURES**
(Approved by the Council at its 633rd Meeting held at Dehradun during June 25-26, 2005)
| Memorial Lectures to be organized by the HQrs at National Level with the approval of the CATE / Council | 1. Person in whose name the Memorial Lecture is organized should be an engineer by education and profession and must have made distinguished contribution to engineering at the National and/or the International level. |
| --- | --- |
| 2. Minimum endowment fund required would be Rs.10.00 lakhs. Fund to be held at the HQrs. |
| 3. To be routed through CATE for approval of the Council. |
| Memorial Lectures to be organized by Division Boards during National Conventions / All | 1. Person should be an engineer by education and profession and must have made significant contribution to engineering services at least at the National level in his/her relevant field of engineering expertise. |
| --- | --- |
| 2. Minimum endowment fund required would be Rs.6.00 lakh. |
| India Seminars | Fund to be held at the HQrs |
|---------------|----------------------------|
| | 3. The number of Memorial Lectures for delivery at the National Conventions would be maximum two per division, with each to be delivered every alternate year |
| | 4. The recommendation from the Division Boards for establishing Memorial Lectures whether delivered at the National Convention or at other locations during All India Seminars would be routed through CATE / Council for approval. |
| Memorial Lectures to be organized by State Centres | 1. Person should be an engineer by education and profession and must have provided distinguished engineering services at least at the state level. |
|---------------------------------------------------|---------------------------------------------------------------------------------|
| | 2. Minimum endowment fund required would be Rs.4.00 lakhs. |
| | 3. This fund would be held with the State Centre. |
| | 4. The approval of the Memorial Lecture proposal will be done by the State Centre Committee with information to the HQrs. The timing and location of the lecture would be decided by the State Committee. |
| Memorial Lectures to be organized by Local Centres | 1. Person should be an engineer by education and profession and must have provided distinguished engineering services at least at the Local Centre level. |
|---------------------------------------------------|---------------------------------------------------------------------------------|
| | 2. Minimum endowment fund required Rs.2.5 lakhs. |
| | 3. This fund would be held with the Local Centre. |
| | 4. The approval of the Memorial Lecture proposal, its timing and location will be done by the Local Centre Committee with information to State Centre and the HQrs. |
### 13.2 GUIDELINES, MODALITIES FOR INSTITUTING AWARDS BY STATE AND LOCAL CENTRES OF IEI (Approved by the Council at its 661st Meeting held at Ranchi during September 25-26, 2010)
| Award to be instituted by State Centres | 1. Person in whose name the award to be instituted should be an engineer by education and profession and must have provided distinguished engineering services at least at the State Centre level. |
|----------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| | 2. Minimum endowment fund required would be Rs.2.00 lakhs. |
| | 3. This fund would be held with the State Centre. |
| | 4. The approval of the Award proposal will be done by the State Centre Committee with information to the HQrs. The award should contain a plaque and citation which should be approved at the State Committee level. The award may preferably be given during the Engineers Day Celebration. The awardee should be an Engineer and preferably IEI Corporate Member. The selection of awardee is to be decided and approved at the State Centre Committee level, with information to Secretary & Director General, IEI. |
| Award to be instituted by Local Centres | 1. Person in whose name the award to be instituted should be an engineer by education and profession and must have provided distinguished engineering services at least at the Local Centre level |
|----------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| | 2. Minimum endowment fund required Rs. 2.00 lakhs. |
| 3. This fund would be held with the Local Centre |
|-----------------------------------------------|
| 4. Person in whose name the award to be instituted should be an engineer by education and profession and must have provided distinguished engineering services at least at the Local Centre level. |
**Scholarships**
1. Scholarships for IEI T/ST Members can be instituted at State and Local Centres from donations/endowment fund in the name of donor. Adequate fund should be deposited by the donor for the scholarship to be funded out of interest of such donation.
2. The selection of beneficiary should be based on merit or merit-cum-need as decided while instituting the scholarship fund.
3. The selection of beneficiary needs to be made at Centre’s Committee level with information to the Secretary and Director General.
### 13.3 Guidelines, Modalities for Instituting Awards by Individuals
(Approved by the Council at its 668th Meeting held at Bangalore at December 18, 2011)
| Awards to be instituted by Individual | 1. No award should be instituted in the name of a living person and awards to be instituted by any individual should be posthumous only. |
|--------------------------------------|-----------------------------------------------------------------------------------------------------------------------------|
| | 2. Person in whose name the award to be instituted should be an engineer by qualification and by profession and also should have made substantial contribution either at the national or international level and the Award be given for the sake of inspiring the students appearing in Section A and Section B Examinations during the Convocation. |
| | 3. Minimum endowment fund required would be Rs.5.00 lakhs |
| | 4. This fund would be held with the IEI HQrs |
| | 5. The Awardee should be the topper of Section B Examination in the field of Chemical Engineering considering results of both Summer and Winter Examinations |
| | 6. The award should contain a cash Award of amount Rs 10,000/-, a gold plated silver medal 2 inches diameter and 50 gm weight and a certificate. The award may be given during the IEI Convocation and Students and Technicians Convention every year. The award should also cover the conveyance allowance for the Awardee by AC-3 tier train fare by the shortest route. |
### 14.0 IEI Convocation and Technicians’ / Students’ Convention
The IEI Convocation is held once a year aiming at achievement of technical and professional growth through technical content and mutual interaction amongst the Technician / Student Members. The Convocation shall seek to achieve maximum involvement and participation of Technician /Student Members. This is the activity, which also aims at establishing liaison between
the Institution, its Technician / Student Members and the policy makers. The organization of Convocation, therefore, requires full attention of the Host Centre and an adequately long-term planning.
14.1 NOMENCLATURE
Concurrently with the IEI Convocation, the Technicians’ / Students’ Convention shall also be held.
The activity shall be designated in the following style:
“Ninth IEI Convocation and Technicians’ / Students’ Convention”
14.2 PLANNING
Proposal for holding IEI Convocation and Technicians’ / Students’ Convocation will emanate from a Centre and shall be finalized by the Council. The Centre desiring to hold the IEI Convocation and Technicians’ / Students’ Convocation shall submit the proposal to President of IEI at least ten months prior to the dates of the activity, which shall be finalized by the Council. This prestigious activity shall preferably be held in the month of October / November each year.
14.3 NODAL DATES
With the IEI Convocation and Technicians’ / Students’ Convention being held at the end of October / November each year, the following nodal dates are suggested:
| Decision to be taken by the Council in respect of Host Centre and also the theme of Seminar | End of April of the year in which the activity should be held |
|-----------------------------------------------|-------------------------------------------------------------|
| Announcement in Technicians’ Journal and publication of theme, etc | End of May |
| Printing and dispatch of Information Brochure | End of June |
| Last date for submission of articles for Seminar and Technical Session | Middle of July |
| Intimation to Chapter Members (whose articles are accepted for presentation) | Middle of August |
| Registration | End of September |
14.4 ORGANIZATION
For smooth organization of this national event, the Host Centre shall constitute an Organizing Committee with the Chairman of the Host Centre as its Chairman and one Corporate Member attached to the Host Centre as the Organizing Secretary. The members of the Committee shall include local Corporate Members. This Committee shall be responsible for detailed work related to the event. The President shall be kept informed about various details of the programme as may be finalized by the Organizing Committee from time to time.
14.5 RESOURCE MOBILIZATION
The Organizing Committee shall plan resource mobilization and the income may comprise grant from the HQrs (APPENDIX IV), registration fees to be paid by delegates, contribution of other organizations, charges collected from advertisers in the Souvenir published by the Host Centre.
In order to attract larger participation from all sections of Students / Technicians of the Institution, the registration fee should be kept as low as possible and preferably the fee shall be in the categories, namely, Corporate Members and Technician / Student Members of the Institution.
14.6 PROGRAMME STRUCTURE
The duration of IEI Convocation and Technicians’ / Students’ Convocation may be for two days and the programme shall include the following:
14.6.1 Inaugural Session of the IEI Convocation to have
- Welcome Address by the Chairman of the Organizing Committee
- Address by President, IEI
- Exhortation by President, IEI
- Convocation Address by an Eminent Personality
- Inaugural Address by the Chief Guest
- Reports of Seminar and Technical Session by the Chairmen of AISC and AITC
- Presentation of Prizes and Trophies
- Presentation of Prizes to Authors
- Vote of thanks by Secretary and Director General, IEI
*This session shall be presided over by the President of IEI in which the certificates shall also be distributed to “Graduates” (who passed the examinations held in the Winter / Summer of the preceding year.*
14.6.2 Seminar / Technical Session
The Seminar shall consist of presentation of selected articles on the approved theme and the Technical Sessions shall consist of presentation of approved articles by Technician / Senior Technician and Student Members of Engineering College Students’ Chapter and Polytechnic Students’ Chapter on the topic of their own choice.
*The sessions shall normally be presided over by the Chairman of AITC (in case of Seminar Session) and Chairman of AISC (in case of Technical Session) and there shall be a jury comprising three members to select prizes.*
14.6.3 General Session
The Session shall be conducted by Secretary and Director General of IEI. The Student/Technician Members may put their questions in this session, which will
be answered by Secretary and Director General of IEI. Therefore, this session will be in the form of a question-answer mode.
14.6.4 Valedictory Session to have:
(a) Welcome Address by the Chairman of the Host Centre
(b) Reporting of the Technical Sessions by the respective
(c) Chairman of AITC or AISC
(d) Presentation of Prizes to Authors
(e) Vote of thanks by the Organizing Secretary / Honorary Secretary of the Host Centre
14.7 PUBLICITY
The publicity for IEI Convocation and Technicians / Students’ Convocation shall primarily be made through the publication of the Institution and through all other possible means by the Host Centre.
14.8 STUDENTS’ / TECHNICIANS’ SEMINAR AND TECHNICAL SESSION
The Technician/Student members desirous of presenting articles shall be advised to submit the same in triplicate to the HQrs with a CD containing text, figures, tables, etc. A Scrutiny Committee shall be constituted by the Secretary and Director General. The decision of the said Committee shall be communicated well ahead of the dates of the Convention to those authors whose articles are accepted. Adequate instruction shall be communicated to authors so as to have the articles with uniformity in respect of notation, symbols, etc.
Each of the Seminar and Technical Session shall be divided into three groups, namely, (i) Senior Technicians / Technicians Group; (ii) Students of Engineering College Chapter Group; and (iii) Students of Polytechnic Chapter Group. There shall be three prizes for each group, based on the marks obtained in the preliminary scrutiny and marks obtained for presenting the articles.
There shall also be awards for Best Engineering College Students’ Chapter; Second Best Engineering College Students’ Chapter and Third Best Engineering College Students’ Chapter and also Best Polytechnic Students’ Chapter; Second Best Polytechnic Students’ Chapter and Third Best Polytechnic Students’ Chapter in addition to Best Technicians’ Chapter, Second Best Technicians’ Chapter and Third Best Technicians’ Chapter on the recommendation of the empowered Sub-Committee of All India Students’ Committee and All India Technicians’ Committee, respectively duly approved by the President of IEI. These prizes, including those for proficiency in examination, shall be given at the Inaugural Session of the IEI Convocation.
Grant for IEI Convocation and Technicians’ / Students’ Convention — Rs. 4,00,000/-
15.0 INTERNATIONAL CONGRESS / CONFERENCE / SEMINAR / WORKSHOP
15.1 For technical event such as any Congress / Conference / Seminar / Workshop to qualify as an International event, the following criteria should be met:
(i) Offer adequate scope for wide international participation
(ii) Be supported / sponsored / co-sponsored by other professional societies of standing, universities / academic institutions and R&D organizations outside the country and / or supported / funded by international organizations like UNESCO, UNDP, ADB, WFEO, WMC, fib, FEIAP, FEISCA, IPEA etc.
15.2 International Conferences should be proposed after detailed interaction with the concerned functionaries in government, industry and academia as also with the concerned International Professional Bodies, if any.
15.3 The proposals for International Conferences should be routed through the concerned committees of the Institution like WMC etc. and approval obtained from CATE and the Council.
15.4 The programme should be conceived well in time, at least 12 to 18 months’ prior to the event, depending on the size of the event, and time for preparation.
15.5 Immediately after approval, an Organizing Committee should be constituted for acting as nucleus for all planning and implementation. The Organizing Committee should be headed by a senior person from The Institution of Engineers (India) like Past President, Vice President, Chairman of the State Centre etc. It may include heads of government departments and industry, who as individuals, can take interest and can spare time.
15.6 The Organizing Committee shall interact with the appropriate Ministry of the Central Government and obtain its concurrence to become the nodal Ministry for the event.
15.7 To assure success for the event, the organizations / sectors connected with the subject area should be identified and individuals from Government, Public Sector, Private Sector, Academia selected to act as resource persons for finances, and provide organizational and technical inputs. A National Advisory Committee should be constituted with representatives from various interest groups at senior level like Secretaries to the Government of India, Chairmen of organizations etc. A senior government functionary should be requested to act as the Chairman of the National Advisory Committee.
15.8 An International Advisory Committee may be constituted, if necessary, with participation from foreign collaborating organizations and their consent obtained before publishing their names.
15.9 A meeting of the National Advisory Committee should be convened and interest generated amongst all functionaries through members to involve them in contributing their mite in finances, technical contributions, identification of key persons, logistic arrangements and the like.
15.10 A Technical Committee should be set up with an acknowledged and respected technical professional as its leader to set in motion the technical programme.
15.11 Likewise, a Finance Committee should be set up in the early stages to take stock of the financial position, generate funds, regulate and guide the expenses with best practice of financial management.
15.12 The Organizing Committee should work out a detailed budget and orchestrate the activities in consonance with revenue inflows.
15.13 A bank account for the conference should be opened at the earliest. The signatories for the bank account should be by Organizing Secretary of the Conference and a Member of the Finance Committee of IEI stationed at the event venue of the Conference. In case no Finance Committee Member is available at the event venue, another senior Council Member can be nominated.
15.14 All payments to be received should normally be in the form of Bank Draft / Pay Order / Cheque drawn in favour of “The Institution of Engineers (India) ……………… A/C ………………………………………………… International Conference” and payable at the place where the bank account is maintained. All payments received through Cheques / Drafts should be immediately entered in the Cash Book and accounted for properly.
15.15 Reconciliation with the bank should be done regularly on a monthly basis and statement of reconciliation prepared and presented to Organizing Secretary. All receipts including receipt of foreign exchange should be dealt with promptitude and credited in the nominated bank account. Due receipt / acknowledgement for the money received should be given after Cheques / Drafts are credited.
15.16 Power to incur expenditure shall be exercised by Chairman, Organizing Committee and his prior approval for all expenditures is essential. However, both Organizing Secretary and / or Member, Finance Committee may be authorized to incur normal day-to-day expenditure not exceeding Rs.10,000 in each case. All expenditures should be sanctioned by the Organizing Committee. It is necessary to ensure that purchases, services and printing jobs etc. are let out, as decided by the Organizing Committee and in a transparent manner and in the best interest of IEL, in accordance with the rules of IEI.
15.17 **BILLS**
Procedures required for processing and scrutinizing the bills will be as per the extant financial rules of IEI with the following additional guidelines:
(a) No payment in excess of Rs. 2,000 be released, other than by crossed Account Payee Cheque. This can be relaxed in exceptional cases by the Chairman, Organizing Committee.
(b) Income tax should be deducted at source as per Income Tax Act, that is, Contractors etc u/s 194-C, Professionals u/s 194-J of the Income Tax Act, wherever applicable.
15.18 **CAR HIRE AND TELEPHONE / FAX**
(a) Log Book for car hire and diary for ISD / STD telephone calls and fax should be
maintained and the person using the telephone must confirm by signing at appropriate place. In case of international call, prior approval of the Organizing Secretary / Chairman should be obtained.
(b) The person using the car should sign the duty slip of car hire agencies and note the kilometer reading at the time of reporting and releasing the car.
(c) The place and purpose of visit in case of car hire should be noted on the Log Book.
(d) Requisition slips for car hire shall normally be approved by the Organizing Secretary
15.19 Temporary staff should be engaged at reasonable remuneration as decided by the Organizing Committee and the remuneration should be paid out of the conference account. However, wherever possible, such services should be outsourced.
15.20 IEI HQrs may depute its Officer / Internal Auditor, if need be, to examine the accounts and report to the Finance Committee.
(a) Accounts will be maintained broadly as per classification of account heads as per budgetary allocation. If necessary, new classification may be introduced by the Organizing Secretary depending on the nature of the expenses.
(b) Cash balance not exceeding Rs 20,000 shall be maintained by the Organizing Secretary for meeting day-to-day expenses. The limit will, however, not apply during the conference.
(c) The following subsidiary accounts will be maintained under the administrative control of the Organizing Secretary. He may, however, delegate the powers to one or more officers bearers who has requisite experience in this field:
(i) Printing and Stationery
(ii) Technical Publications and Papers
(iii) Postage and Telegram
(iv) Souvenir Kits for Delegates
(v) Consumable Stores
(vi) Fixed Assets
(vii) Transport
(viii) Travel
15.21 TA and DA to the HQrs officers and staff should be borne from the conference accounts, if such officers and staff are requisitioned for assisting / overseeing organizational matters. TA and DA to the Committee Members for attending the Committee Meetings and Conference will be borne from the conference account and such TA and DA will be as per norms and rules for TA and DA to Council Members.
15.22 (a) The Organizing Secretary will be responsible for:
Proper maintenance of Subsidiary Accounts referred to in item 20(d) Sub-Clause (i) to (viii).
(i) Safe custody of stocks in hand.
(ii) Physical verification of stock in hand / fixed assets at the time of audit.
(iii) The evaluation of technical publications and stock of paper and other items which have financial implications and are to be incorporated in the final account.
(iv) Register of registration fees received from delegates.
(b) To write off bad debts / amounts received / exemption for delegates from payment of fee etc should rest with the Organizing Committee.
15.23 Expenditure on local hospitality i.e. board, transport and accommodation etc. to invited speakers and special invitees, President, President-Elect, Past Presidents, Vice Presidents, IEI who are invited by the Organizing Committee, shall be borne out of the conference accounts.
15.24 (a) Immediately after the conference is over, the account should be prepared incorporating all receipts and expenditure as also the amounts still to be received and liabilities to be paid off. This account should be got audited by a Chartered Accountant appointed for this purpose within three months of the event.
(b) Surplus from all International Conference will be transferred to the HQrs to be credited to appropriate heads of accounts of the National Committees such as WFEO / WMC / FIB etc which organized the function and utilized for payment of foreign subscription/delegation fee, statutory international meetings etc and thereafter, the fund will be released by the Finance Committee.
(c) Audited Accounts of the Conference / Seminar shall be submitted to IEI HQrs within six months from the date of completion of the events.
15.25 Efforts should be made to obtain the pending amounts and the liabilities discharged within three months. Separate Statements, showing receipts and remaining liabilities, should be incorporated in the account. These accounts, duly audited, should be furnished to the HQrs.
15.26 A meeting of the Organizing Committee should be held to review the accounts and the outcome of the Conference. Decision should be taken on the modalities of recovering the amounts yet to be received and utilization of the surplus available, if any in consultation with the President, IEI.
15.27 The Conference must produce an end result in compiling the final recommendations to be followed up with concerned Ministries and other authorities. The same be brought to the notice of the Council through CATE.
16.0 OTHER TECHNICAL EVENTS
Besides organizing various technical discourses in diverse fields of engineering in the form of seminar / conference / workshop / round table, the IEI observes a number of days earmarked for specific purposes throughout the country. No Division sponsored activities can be organized by
clubbing with the Statutory events observed by IEI (Approved by Council at its 661st Meeting held at Ranchi during September 25-26, 2010). Followings are the details of such activities.
16.1 **WORLD WATER DAY**
The theme and write-up for the World Water Day which is observed on March 22 every year, are given by United Nations. CATE approved the change in nomenclature from Water Resources Day to World Water Day effective from year 2012 and the same is circulated to all Centres of IEI for observance of the day.
16.2 **WORLD TELECOMMUNICATION AND INFORMATION SOCIETY DAY**
The theme for the World Telecommunication and Information Society Day is obtained from International Telecommunication Union, Geneva, Switzerland and is circulated to all Centres for the observance of the day on May 17 every year.
16.3 **WORLD ENVIRONMENT DAY**
The theme for the World Environment Day is obtained from the HQrs of UNEP and is circulated to all Centres for the observance of the day on June 5 every year.
16.4 **ENGINEERS’ DAY**
The Engineers’ Day is celebrated by all Centres of IEI on the September 15 of every year to commemorate the birthday of Bharat Ratna Sir Mokshagundam Visvesvaraya. The Central Theme of National importance for the day is chosen by the Council of the Institution for celebration by the Centres through Lecture/s, Round Table/s Workshop/s, Seminar/s. The theme and write up on the same is prepared by the HQrs and send to all Centres of IEI before the end of June each year.
16.5 **WORLD HABITAT DAY**
On First Monday of October every year, this day is observed by all Centres of IEI. The theme for the World Habitat Day is obtained from UN-Habitat and circulated to all Centres for the observance of the Day.
16.6 **WORLD STANDARDS DAY**
On October 14 of each year, this day is observed throughout the century by IEI Centres. The BIS, Delhi provides the theme to the HQrs, which is communicated to all Centres by the Secretariat.
16.7 **ENERGY CONSERVATION DAY**
On December 14 of every year, this day is observed by all Centres of IEI as part of national observance of Energy Conservation week observed at various States of India starting from December 14.
17.0 PROCEDURE FOR VETTING TECHNICAL PAPER
For IEI-Springer Journals, all papers are being submitted online by the Author/s and a peer review process has been introduced through the Editorial Manager System.
Detailed procedure for vetting technical papers is given in APPENDIX XVI.
17.1 EDITOR-IN-CHIEF’S
With effect from 2011 the Editor-in-Chief for each series of IEI-Springer Journal were appointed.
17.2 ASSOCIATE EDITORS
Editor-in-Chief may appoint Associate Editors as and when required.
17.3 EDITOR-IN-CHIEF’S REVIEW
The Reviewers are advised to forward their evaluation reports of submitted article directly to the Editor-in-Chief / Associate Editor.
(i) The Editor-in-Chief may agree with the Reviewer’s Comments and approve the paper / article
(ii) The Editor-in-Chief may also suggest revision of the paper / article with specific recommended modifications, in which case the paper / article goes back to authors for modification.
(iii) The Editor-in-Chief may reject a paper / an article, if in his opinion, it is not up to the mark for publication in the Institution’s Journal.
17.4 FINAL REVIEW AND APPROVAL
The Editor-in-Chief finally reviews a paper in light of the Reports submitted by the Reviewers and finally recommends the paper/s for publication or otherwise
8.0 MAJOR DUTIES AND RESPONSIBILITIES OF TECHNICAL DEPARTMENT AT HEADQUARTERS
(a) To arrange the meetings of the Division Boards including preparation of Agenda, Minutes and to take follow-up actions;
(b) To liaise with the Editor-in-Chief and the Chairmen of the Division Board;
(c) To announce the forthcoming technical events in IEI News in several consecutive issues;
(d) To keep in touch with the Centres organizing technical events;
(e) To arrange for receiving proceedings, souvenirs, recommendations / conclusions, a complete report with photographs, etc from the organizers within two weeks after completion of technical events and publish in comprehensive form in IEI News;
(f) To arrange for the reports on National Convention using the laid down format;
(g) To submit quarterly and Annual Report on the Technical Activity of the Divisions to the CATE / Council.
19.0 PRIZES AND AWARDS
The Institution awards every year a number of prizes and awards in various categories as given below:
19.1. PRIZES FOR BEST PAPERS PUBLISHED IN IEI-SPRINGER JOURNALS
Details are given in Appendix XVII.
19.2. IEI INDUSTRY EXCELLENCE AWARD
The IEI Industry Excellence Award has been instituted to recognize industry leaders for their innovation, excellence in engineering operations and thereby, to lead their industry in competitive manner. The benchmarks created by the industries in India have included productivity, quality, safety and performance assurance thereby giving India the rightful place in the global markets. Realizing that such industries can provide the leadership to a large number of other industries in the country, it has been considered appropriate by the IEI Council to launch the IEI Industry Excellence Awards in the year 2008.
19.3. IEI YOUNG ENGINEERS AWARD
With a view to promote the pursuit of excellence in the field of engineering, IEI has instituted “IEI Young Engineers Award”. The Award consists of Rs 10,000/- and a Certificate. The purpose of the Award is to recognize outstanding achievements/contributions made by young engineers in engineering research, excellence in technology development, technology transfer, etc. Any engineer citizen of India not older than 35 years of age as on March 31 is eligible for the Award.
19.4. NATIONAL DESIGN AND RESEARCH FORUM (NDRF) AWARDS
These awards are given on the recommendation of the Expert Selection Committee appointed every year by the NDRF of the Institution.
19.5. SAFETY AND QUALITY AWARDS
The Safety and Quality Awards have been instituted by the Safety and Quality Forum of IEI with a view to encourage professionals from manufacturing and service sectors to strive for excellence.
The Safety and Quality Awards of the Institution would help:
a. Encouraging professionals to make significant improvements in safety and quality practices for maximizing workforce and consumer satisfaction and for successfully facing competition in the global markets;
b. Recognizing the achievements of those professionals who have improved in the field extensively and thereby set an example for others;
c. Establishing guidelines and criteria to evaluate competency of professionals.
19.6. SAIL AWARDS
To mark the special occasion of the Golden Jubilee of the Institution held in February 1970, the Hindustan Steel Limited (now Steel Authority of India Limited), Ranchi, donated two gold medals, known as the “Dr M Visvesvaraya Memorial Gold Medal” and the “Hindustan Steel Gold Medal”, to The Institution of Engineers (India) on a permanent basis. After the merger of the Hindustan Steel Limited with the Steel Authority of India Limited, the above awards are now being called “SAIL Award and Dr M Visvesvaraya Award”. Each of these awards is presented during the Indian Engineering Congress held annually for the best paper invited and received by the Institution on subjects each year by Steel Authority of India Limited through the Institution publications.
19.7. COAL INDIA (J G KUMARAMANGALAM MEMORIAL) AWARD
This prize was instituted in 1990 by Coal India Limited in the memory of J G Kumaramangalam and is given for the best paper invited and received by the Institution on the subject announced each year through the Institution publications. Though the subject broadly pertains to the mining industry, the exact scope of the subject would be decided jointly by the representatives of the Coal India Limited and the Institution for year to year.
19.8. H NANDY MEMORIAL AWARD
This prize was instituted in the year 2010 by the Institution for being the topper in Section B Examination in Materials and Metallurgical Engineering discipline of the Institution considering both Summer and Winter examinations.
Institution also awards prizes to Technician and Student Members on the basis of their proficiency in the Institution Examination each year. These are distributed at the Annual Convocation and Students’ / Technicians’ Convocation (for details, see APPENDIX XVIII).
## RECOMMENDED SUB-GROUPS IN ENGINEERING DIVISIONS
| Engineering Divisions | Sub-Groups |
|-----------------------|-----------------------------------------------------------------------------|
| Architectural | Nil |
| Agriculture | - Surface Irrigation
| - Integrated Watershed Development
| - Percolation Tank
| - Ground Water Recharge
| - Sprinkler and Micro Irrigation
| - Well Technology
| - Irrigation Pumps
| - Farm Power and Machineries
| - Processing of Food Products
| - Post-harvest Technology and Agriculture Process Engineering |
| Aerospace | - Avionics
| - Space Engineering
| - Aircraft Equipments
| - Aerodynamics
| - Propulsion |
| Chemical | Nil |
| Computer | - Algorithms, Programming Paradigms and Compilers, Operating Systems, Performance Evaluation
| - Knowledge Engineering, Computer Communication Network, Data Base System
| - Signal Processing, Image Processing |
| Civil | - Construction Planning and Management, Earthquake Engineering
| - Geo-technical Engineering
| - Hydrology and Hydraulic Engineering
| - Ocean Engineering
| - Structural Engineering, Traffic and Highway
| - Green Building
| - Energy Efficient Building
| - Town Planning
| - Infrastructure Development |
| Electrical | - Electrical Engineering Materials, Electrical Machinery and Power Apparatus, Energy Studies
| - High Voltage Engineering, Illumination Engineering, Instrumentation and Control
| - Legal, Commercial and Safety Aspects of Electrical Engineering Practice, Power Electronics and Drives, Power System Performance |
| Environmental | - Environment Impact of Agricultural Engineering Development Activities
| - Water Supply Engineering
| - Sewage Treatment, Disposal and Solid Waste Management
| - Industrial Waste Treatment, Rural Water Supply and Sanitation and Hygiene
| - Irrigation, Drainage, Water Management, Soil Conservation Practices |
| Discipline | Topics |
|----------------------------------|------------------------------------------------------------------------|
| Electronics and Telecommunication| - Communication Engineering, Electromagnetics, Control Systems and Automation
| | - Circuit and Systems, Electronic Devices and Solid State, Radar and Microwave Engineering
| | - Testing, Evaluation, Quality Control and Measurement |
| Mechanical | - Engineering Design including Vibration and Noise, Thermal Engineering, Cryogenics, Heat Transfer
| | - Non-conventional and Renewable Energy, Fluid Mechanics and Machinery
| | - Optimisation, Simulation and Modelling, Dynamic Systems, Measurement and Control
| | - Reliability, Availability and Maintainability, Tribology including Bearings
| | - Internet Aided Design, Soft Computing, Fuzzy Logic, Neural Network, Virtual Manufacturing Environments and Systems
| | - Artificial Intelligence, Knowledge Intensive CAD / CAM, Computer Aided Product Development, PDM / Enterprise Information Management, Computing Technologies
| | - Bioengineering, Perception Based Engineering, Smart Technology, Mechatronics, Micro Electronics in Mechanical System
| | - Energy Efficiency and Energy Conservation, Power Plant Engineering |
| Marine | Nil |
| Metallurgical and Materials | - Processing, Structure and Properties of Metal and Materials
| | - Nanomaterials Synthesis, Characterization and Applications
| | - Smart Materials
| | - Composite Materials and Biomaterials
| | - Materials Modeling and Simulation |
| Mining | - Wave Processes in Rock Mass and Flow of Hydrocarbons in Mining Blocks, Agronomics and Health Impacts on Miners
| | - Ventilation Systems in Underground Working Places, Environmental Modeling in Open Cast Mines
| | - Automation in underground Mining Systems and Mineral Dressing |
| Production | - Automation, Control and Robotics, Casting and Welding
| | - Human Engineering and Ergonomics
| | - Machine Tools and Tool Design, Machining Process and Metrology, Metal Forming Processes
| | - Industrial Engineering, Production Management and Operations Research |
| Textile | - Fibre Science and Technology, Chemical Processing and Finishing
| | - Yarn Manufacture including Core Yarns, Covered Yarns, Ply Yarns, Fabric Manufacture including Non-woven and Knitted Fabrics
| | - Hosiery and Structural Mechanics of Fabrics, Textile Machine Design, Industrial Engineering, Aerodynamics, Propulsion |
## SCHEDULE OF PUBLICATION
(Approved by the at its 680th Meeting held at Coorg, Karnataka, during March 22-23, 2014)
| Series of IEI-Springer Journals | Number of Issues per Year | Month of Publication |
|---------------------------------|---------------------------|----------------------|
| | | Issue 1 | Issue 2 | Issue 3 | Issue 4 |
| Series ‘A’ (Civil, Architectural, Environmental and Agricultural Engineering) | 4 | January-March | April-June | July-September | October-December |
| Series ‘B’ (Electrical, Electronics and Telecommunication and Computer Engineering) | 4 | January-March | April-June | July-September | October-December |
| Series ‘C’ (Mechanical, Aerospace, Production and Marine Engineering) | 4 | January-March | April-June | July-September | October-December |
| Series ‘D’ (Metallurgical and Materials and Mining Engineering) | 2 | January-June | July-December | — | — |
| Series ‘E’ (Chemical and Textile Engineering) | 2 | January-June | July-December | — | — |
GUIDELINES FOR THE CORE GROUP OF THE ALL INDIA SEMINARS AND NATIONAL CONVENTIONS
(Approved by the Council at its 676th Meeting held at Ranchi during June 29-30, 2013)
1.0 Formation of the Core Group
Each Divisional Board will form a Core Group (Expert Committee) consisting of eminent engineering personalities from all over the country and abroad in that particular discipline, who may or may not be Member of IEI.
2.0 Planning
The number of experts may be limited to five for larger Divisional Boards (CVDB, ELDB and MCDB) and three for smaller Divisional Boards. Chairmen of Divisional Boards will approach the experts to obtain their consent in this regard.
The Divisional Board will prepare a list of persons / organizations whom recommendations will be forwarded.
3.0 Tenure of the Core Group
The tenure of the Core Group will be for at least two years.
3.0 Responsibility
3.1 On completion of National Conventions / All India Seminars, Host Centre will forward the recommendations arising out of the all India activities along with five copies of proceedings, report and photographs to IEI HQrs. Those recommendations will be discussed in the Divisional Board Meetings and after necessary discussion / amendment, same will be sent to the Core Group for their views/comments. After receiving comments from Core Group the same will be finalized by the Chairman of Divisional Board and those will be sent to the persons / organizations (as recommended by Divisional Board) for their perusal and necessary action.
3.2 Recommendations as approved by the Division Boards will be published in IEI News and IEI website for wider visibility.
3.3 Divisional Boards will place those recommendations in CATE Meeting for noting.
FINANCIAL NORMS FOR ALLOCATION OF FUNDS
(Ref Clause No. 22.0 of Financial Norms and Rules of IEI dated August 15, 2013)
GRANTS FOR TECHNICAL ACTIVITIES
The Division Boards are given a grant for
(a) Technical Activities (All India Seminar / Workshop) based on its Membership Strength as follows:
| Corporate Membership Strength | Grant |
|-------------------------------|---------|
| Up to 1000 | Rs 100,000/- |
| 1001 to 2000 | Rs 1,15,000/- |
| 2001 to 5000 | Rs 1,25,000/- |
| 5001 to 10 000 | Rs 1,40,000/- |
| 10 001 and above | Rs 1,50,000/- |
★ as on March 31 of the preceding year
N.B.: However, the grant for Division Board sponsored Two-Day activity will not exceed Rs.30,000/-
and for One Day activity Rs 10000/-
(b) National Convention
The grant for the National Convention is Rs 1,50,000/- for each Division. Out of this grant, a sum of Rs 1,05,000/- shall be given as the grant to the Centre hosting the National Convention and the balance Rs 45,000/- shall be at the discretion of the Chairman of the Division Board for meeting such expenses, connected with the National Convention, as are found to be necessary.
The grant shall be released in two installments to the Host Centre as follows: Rs 55,000/- on receipt of printed information brochure and Rs 50,000/- at the time of the Convention. The Chairman’s Discretionary Fund amounting to Rs 45,000/- will be released to the Host Centre after completion of the Convention and after deduction of the expenses incurred by the HQrs for the Convention (e.g. preparation of plaques for Speaker of Memorial Lecture and Eminent Engineers etc) and conformation of necessary formalities.
No part of this grant shall be used for travelling.
GRANT FOR INDIAN ENGINEERING CONGRESS TO HOST CENTRE : Rs 16,00,000/-
GRANT FOR IEI CONVOCATION AND TECHNICIANS’ / STUDENTS’ CONVOCATION TO HOST CENTRE : Rs.4,00,000/-
The Council may revise the quantum of above grants time-to-time.
TECHNICAL ACTIVITY REPORT FORMAT
Table : A
| NAME OF THE CENTRE | |
|--------------------|---|
| REPORT FOR QUARTER NO. | 1 (Apr-Jun) / 2 (Jul-Sep) / 3 (Oct-Dec) / 4 (Jan-Mar) (Strike out / Delete which is not applicable) |
| YEAR: | 20............. - 20............ |
Table : B Quantitative Summary of Activities of Centre
| Events | Statutory Days | Approved by Divisional Board / CATE |
|--------|----------------|-------------------------------------|
| | National Convention | All India Seminars | One Day Workshop / Seminar |
| Numbers | | | |
| Attendance | | | |
| Events | Local Seminar | Lecture / Paper Meeting under Divisions | Technical Visits | Films Show | International Seminar | Indian Engineering Congress / Council Meeting |
|--------|---------------|------------------------------------------|------------------|------------|-----------------------|-----------------------------------------------|
| Numbers | | | | | | |
| Attendance | | | | | | |
TECHNICAL PROGRAMMES
Table : C Details of Observation of Statutory Days
| Day | Date (dd.mm.yy) | Speakers | Number of Corporate Participants | Number of Non-Corporate Participants | Associate with any Forum |
|------------------------------------------|-----------------|----------|----------------------------------|--------------------------------------|--------------------------|
| World Water Day (22nd March) | | | | | |
| World Telecommunication and Information Society Day (17th May) | | | | | |
| World Environment Day (5th June) | | | | | |
| Engineers' Day (15th September) | | | | | |
| World Standards Day (14th October) | | | | | |
| World Habitat Day (1st Monday of October)| | | | | |
| Energy Conservation Day (14th December) | | | | | |
Table : D Details of Technical Activities Approved by Divisional Board / CATE
| Type of Activity @ | Date (dd.mm.yy) | Events | Division # | Speakers | Number of Corporate Participants | Number of Non-Corporate Participants | Associate with any Forum |
|--------------------|-----------------|--------|------------|----------|----------------------------------|--------------------------------------|--------------------------|
| | | | | | | | |
@ : (All India Seminar : AS; National Convention : NC; One Day Workshop / Seminar : OS)
# : (Agricultural Engg.: AGDB; Architectural Engg.: ARDB; Aerospace Engg.: ASDB; Chemical Engg.: CHDB; Civil Engg.: CVDB; Computer Engg.: CPDB; Electrical Engg.: ELDB; Environmental Engg.: ENDB; Electronics and Telecommunication Engg.: ETDB; Interdisciplinary: ICC; Mechanical Engg.: MCDB; Marine Engg.: MRDB; Metallurgical and Materials Engg.: MMDB; Mining Engg.: MNDB; Production Engg.: PRDB; Textile Engg.: TXDB)
Table : E Details of other Technical Activities (other than approved by Division Board / CATE)
| Type of Activity $ | Date (dd.mm.yy) | Events | Division # | Speakers | Number of Corporate Participants | Number of Non-Corporate Participants | Associate with any Forum |
|--------------------|-----------------|--------|------------|----------|----------------------------------|--------------------------------------|--------------------------|
| | | | | | | | |
$ : (Lecture, Paper Meeting / Local Seminar : LS; Films Show : FS; Technical Visits : TV)
# : (Agricultural Engg.: AGDB; Architectural Engg.: ARDB; Aerospace Engg.: ASDB; Chemical Engg.: CHDB; Civil Engg.: CVDB; Computer Engg.: CPDB; Electrical Engg.: ELDB; Environmental Engg.: ENDB; Electronics and Telecommunication Engg.: ETDB; Interdisciplinary: ICC; Mechanical Engg.: MCDB; Marine Engg.: MRDB; Metallurgical and Materials Engg.: MMDB; Mining Engg.: MNDB; Production Engg.: PRDB; Textile Engg.: TXDB)
Table : F Organization of Programmes in National Languages, if any
| Type of Activity $ | Date (dd.mm.yy) | Events | Division # | Speakers | Number of Corporate Participants | Number of Non-Corporate Participants | Associate with any Forum |
|--------------------|-----------------|--------|------------|----------|----------------------------------|--------------------------------------|--------------------------|
| | | | | | | | |
$ : (Lecture, Paper Meeting / Local Seminar: LS; Films Show: FS; Technical Visits: TV)
# : (Agricultural Engg: AGDB; Architectural Engg: ARDB; Aerospace Engg: ASDB; Chemical Engg.: CHDB; Civil Engg: CVDB; Computer Engg.: CPDB; Electrical Engg: ELDB; Environmental Engg.: ENDB; Electronics and Telecommunication Engg.: ETDB; Interdisciplinary: ICC; Mechanical Engg: MCDB; Marine Engg.: MRDB; Metallurgical and Materials Engg.: MMDB; Mining Engg: MNDB; Production Engg.: PRDB; Textile Engg.: TXDB)
PUBLICATION AND LIBRARY
Table : G Details of Newsletters and other Publications Published during the Report Period
| Numbers | Subject, (If Applicable) | Dates |
|---------|---------------------------|-------|
| Newsletter | | |
| Publications | | |
Table : H Library
| Events | Total as on First Day of Quarter | Addition of the Quarter | Total as on Last Day of Quarter | Grant Received | Amount Spent |
|-------------------------|----------------------------------|--------------------------|---------------------------------|----------------|--------------|
| Books | | | | | |
| Periodicals | | | | | |
| Borrower Cards Issued | | | | | |
| Number of Visitors | | | | | |
PUBLICITY AND PUBLIC RELATIONS
Table : I Details of Press Coverage and Release and PR Activities
| Date (dd.mm.yy) | Newspaper | Item | Remarks |
|-----------------|-----------|------|---------|
Table : J List of Dignitaries visited the Institution
| Date (dd.mm.yy) | Event | Dignitary | Designation | Organization |
|-----------------|-------|-----------|-------------|--------------|
Table : K IEI PR / Information Counter Opened
| Date (dd.mm.yy) | Event | Location | Number of Visitors |
|-----------------|-------|----------|--------------------|
TECHNICIAN CHAPTER
Table : L Technicians’ Chapter
Number of Technicians’ Chapters attached to the Centre:
Summary of Activities of Technicians’ Chapter for the Period
| Events | Common Meeting | Lecture, Paper Meeting | Film | Visits | Seminar / Symposia | Reception | Short Term / Refresher Courses |
|-------------------------|----------------|------------------------|------|--------|-------------------|-----------|-------------------------------|
| Numbers | | | | | | | |
| Attendance | | | | | | | |
Table : M Students’ Chapter
Number of Students’ Chapters attached to the Centre:
Summary of Activities of Students’ Chapter for the Period
| Events | Common Meeting | Lecture, Paper Meeting | Film | Visits | Seminar / Symposia | Reception | Short Term / Refresher Courses |
|-------------------------|----------------|------------------------|------|--------|--------------------|-----------|-------------------------------|
| Numbers | | | | | | | |
| Attendance | | | | | | | |
Table : N Details of Interaction with Engineering College Students’ Chapter / Polytechnic Students’ Chapter
MEMBERSHIP
Table : O Membership Growth
| As on (dd.mm.yy) | Institutional Member | Donor Member | Corporate Members (AM / M / F) | Senior Technician | Technician Members | Total | Quarterly Growth (%) |
|------------------|----------------------|--------------|--------------------------------|-------------------|--------------------|-------|----------------------|
| | | | | | | | |
Table : P Change of Address Reported
| Name | Membership No. | Reporting Date (dd.mm.yy) |
|---------------|----------------|---------------------------|
| | | |
Table : Q List of Expired Members Reported
| Name | Membership No. | Date of Expiry (dd.mm.yy) |
|---------------|----------------|----------------------------|
| | | |
MEMORIAL LECTURES AT INDIAN ENGINEERING CONGRESS
The Institution has founded the following Memorial Lectures, which are annually organized during the Indian Engineering Congress
- Sir Mokshagundam Visvesvaraya Memorial Lecture
- Sir R N Mookerjee Memorial Lecture
- Dr A N Khosla Memorial Lecture
- Nidhu Bhushan Memorial Lecture
- Bhaikaka Memorial Lecture
- Dr Amitabha Bhattacharyya Memorial Lecture
- Prof C S Jha Memorial Lecture
SIR MOKSHAGUNDAM VISVESVARAYA MEMORIAL LECTURE
Sir Moskhagundam Visvesvaraya Memorial Lecture was founded by the Maharasha State Centre of the Institution in 1957-58 and the first few lectures were delivered in Bombay. Later, the lecture was transferred to the HQrs of The Institution of Engineering (India) in 1960, to be delivered during the Annual Convocation of the Institution, which was subsequently redesignated as the Indian Engineering Congress.
Born in 1861 at Chikkabalarpur in former Mysore State, Sir Moskhagundam took the B A degree from Madras University in 1880 and received engineering education at the then College of Science, Pune. Early in 1884, he was appointed as an Assistant Engineer in the Bombay PWD. In 1894, he was called upon to undertake the execution of the water supply and drainage of Sukkur in Sind (now in Pakistan). The construction of another waterworks scheme for Surat City followed. In 1899, he was placed in charge of Poona Irrigation District. The Indian Irrigation Commission of 1901-1903 appointed him to tour the country and advise the Government of India on measures to implement and extend schemes of cultivation by irrigation. He also designed, patented and installed a system of automatic gates in 1903 to raise the storage level of the lake at Khadakvasla permanently without raising the dam height and thus combat the insufficiency of the lake as a source of supply to meet the needs of the Mutha Canal and the water supply requirement of Poona City. In 1906, he was deputed to Aden to prepare a proposal for sanitation, water supply and roads. After 28 years of service, he took voluntary and premature retirement in 1990.
In 1909 at the pressing invitation of the Maharaja of Mysore, he accepted the services in Mysore State as Chief Engineer. His scheme for the Mysore Iron and Wood Distillation Works, Bhadravati using wood charcoal for reduction of iron ore received shape in May 1918. In the words of Gandhiji, “the Krishnarajasagara alone which is one of the largest of its kind in the world would perpetuate the name of Sir Visvevaraya”. At the advance age, he prepared a flood control scheme for Orissa and was called upon to advise on the Tungabhadra Project. One of his last assignments was the selection of suitable site for the rail-cum-road bridge across the Gange in Bihar (the Mokameh Bridge) opened on May 01, 1959.
He received the title of CIE in 1911 of KCIE in 1915 and Bharat Ratna in 1955. He was honoured by a number of universities and he was a recipient of the Durga Prasad Khaitan Memorial Gold Medal awarded by the Royal Asiatic Society, Calcutta. He had the distinction of being the Honorary Life Member of the Institution, Honorary Member of the Indian Science Congress Association and other reputed learned associations. He died in 1962 at the age of 101 years.
To perpetuate his memory, The Institution of Engineers (India) is also observing September 15 each year, his birthday, as Engineers’ Day to inspire the members of the engineering community to his ideals.
SIR R N MOOKERJEE MEMORIAL LECTURE
The Council of The Institution of Engineers (India) decided to institution an Annual Lecture in the name of Sir Rajendra Nath Mookerjee who was the first Indian President of the Institution to commemorate his contributions to the nation as an engineer and is delivered at the Annual Convention of the Institution, redesignated as Indian Engineering Congress. The first lecture was delivered at the Diamond Jubilee of the Institution in 1980.
Sir Rajendra Nath Mookerjee had the vision of an engineer and the comprehension of an intellectual. Born on June 23, 1854, he rose on the Indian scene in the 19th century and continued to serve the engineering profession and the country until the thirties of the 20th century. He died on May 15, 1936. The life story of Sir Rajendra Nath Mookerjee is the story of a great businessman, equally great of heart as of head, generous of instinct and charitable of soul, who brought glory to everything he touched.
Born in a typical middle-class family, Sir Rajendra Nath Mookerjee lost his father when he was six. Having matriculated from the London Missionary Society’s Institution of Calcutta, he joined the engineering department of Presidency College, Calcutta. The satisfactory execution of the construction of Pulta Water Works for the city of Calcutta gave him the confidence and experience that enable this self-made man in later life, to build an industrial colossus and a trading conglomerate. Sir Ranjendra Nath Mookerjee was the President of Science Congress in 1921 and in 1931. The Calcutta University conferred on him the honorary degree of Doctor of Science. He was the first President of The Institution of Engineers (India) during the session 1920-1921. He was knighted after his successful construction of the Victoria Memorial Building at Calcutta.
An abiding and deep interest of Sir Rajendra Nath Mookerjee in all kinds of social welfare work brought into being and sustained many a charitable institutions. Essentially a man of science, Sir Rajendra Nath practiced technology for the development of his country.
DR A N KHOSLA MEMORIAL LECTURE
To perpetuate the memory of Dr Ajudhia Nath Khosla, one of the most distinguished engineer-administrators of the country, this lecture was instituted and the first lecture was delivered at the Second Indian Engineering Congress held in 1988. He was President of The Institution of Engineers (India) for 1948-49 and 1949-50.
Born in 1892 at Jallunder, Dr Khosla graduated from Dayanand Anglo-Vedic College, Lahore in 1912. His first assignment was the survey and investigation connected with the Bhakra Dam Project. The Bhakra Dam has been built on the very axis line marked by him in 1917. During his brief stint with the Mesopotamia Expeditionary Force in Iraq as a Commissioned Officer (1918-20), he made his important contribution to engineering by the invention of Khosla Disc for precision levelling across rivers and wide valleys. During 1921-26, he evolved and introduced precast concrete units for construction of barrages and later was responsible for re-modelling of the Marala headworks and the Upper Chenab Canal works. During this period he also carried out intensive research on the flow of water through subsoil in relation to stability of hydraulic structures. These researches culminated in 1936 in the publication of his treatise on ‘Design of Weirs on Permeable Foundations’.
In 1943, he was appointed Chief Engineer and Secretary to the Government of Punjab followed by appointment as Consulting Engineer to the Government of India and the first Chairman of Central Waterways, Irrigation and Navigation Commission and also the Additional Secretary to the Government of India in the Ministry of Works, Mines and Power. He developed the Poona Research Station at Khadakvasla into the Central Water and Power Research Station. He retired from this post in 1953.
Dr Khosla initiated investigation of the water and power potential of the river valleys as a whole and several individual projects, like the Bhakra, Chambal, Damodar Valley, Hirakud, Kosi, Narmada and Tapti. Special mention is necessary of the Hirakud Project on the Mahanadi river, which he conceived in 1945 soon after assuming charges as Chairman, Central Waterways, Irrigation and Navigation Commission. The Mahanadi Valley Project at Hirkud was completed in early 1957 — a record time of 12 years between conception and completion of a project of this magnitude. Dr Khosla thus may well be called ‘the father of the river valley projects in India.’
In 1953-54 as Special Secretary to the Government of India, he led the Indian delegation to the United Nations for the Indus Water dispute with Pakistan. These negotiations led to the World Bank proposals, which later formed the basis of the Water Treaty between India and Pakistan. He was a member of the *Rajya Sabha* from April 1958 to October 1959 and a member of the Planning Commission in 1959. In 1962, he was appointed the Governor of Orissa. This appointment was a historic event for the engineers of this country.
**Nidhu Bhushan Memorial Lecture**
This lecture was instituted in 1966 by the illustrious metallurgist-philosopher Late Prof Guru Prasad Chatterjee in memory of his father Late Nidhu Bhushan Chatterjee. In Nidhu Bhushan, we find a man who, without being an engineer in the conventional sense, had the urge to serve mankind through his knowledge of science coupled with great inspiration derived from his knowledge of metaphysics. Although he got admission to Bengal Engineering College through a stiff competitive examination, he could not complete his studies on pecuniary ground. He wanted to be an engineer since he believed that one with love for scientific studies should alone become an engineer who has better opportunities to prepare himself for better service to his fellow beings.
With strong determination, Nidhu Bhushan, a science graduate, could raise himself to the position of an Inspecting Accountant in the Finance Division of Central PWD. He continued to serve the society never caring for name or fame. Nidhu Bhushan was a firm believer in the fact that only fundamental discipline in the life can help man to set around from within to face life without fear or frustration.
**Bhaikaka Memorial Lecture**
Taking into consideration the unique contribution of Late Bhailal Bhai Patel, popularly known as Bhaikaka, towards engineering, particularly rural engineering in Gujarat, the Council of the Institution decided to institute an Annual Lecture in his memory. The first lecture was delivered at the 56th Annual Convention held in 1976.
Shri Bhailal Bhai Patel was born at Sersa, Gujarat, in 1880. He saw the famine of 1900 and his heart was filled with grief at the sight of abject poverty, widespread hunger and stark ignorance of people of the ways to mitigate the crisis. His intense desire to remove poverty and ignorance of people arose out of the sad memories of the famine and was the source of inspiration to him in the creation of Vallabh Vidyanagar.
Shri Bhailal Bhai Patel went to Poona in 1908 for engineering studies and took the LCE diploma in 1911. After working for a short period in the then Baroda State, he joined the Public Works Department of the Bombay Presidency. After working for about 12 years in Maharashtra, he was appointed Engineer in the Canal Section of the Sukkur Barrage Plan. An efficient and adventurous young man, he had several opportunities to show his originally of ideas and prowess. He became Executive Engineer of the project in 1936. The successful completion of the Sukkur Barrage Canal brought him an invitation from the Government of Afghanistan to work as Engineering Adviser. However, Sardar Vallabhb Patel insisted his shouldering the responsibility as Chief Engineer of Ahmedabad Municipality and he accepted the post.
During 1942, he resigned from the job of the Ahmedabad Municipality and came to Anand to put into action his plans for education and village uplift and to dedicated the rest of his life to these goals. He became President of Charter Education Society, Anand — an ideal educational institution established by late Motibhai Amin. The Charter Vidyamandal and Charter Cramoddher Sehakeri Mandal Ltd were established in 1945. After many years of hard work, he could establish Sardar Vallabhbhai Vidyapeeth in 1955. As the first Vice-Chancellor of the University, Bhaikaka managed its affairs with least possible expenditure and laid a strong foundation of the Vidyapeeth. Bhaikaka breathed his last in 1970. A man of vision and devoted service, Bhaikaka organized many educational institutions and administered them ably and honestly.
DR AMITABHA BHATTACHARYYA MEMORIAL LECTURE
Prof (Dr) Amitabha Bhattacharyya, President of The Institution of Engineers (India) during 1976-78, occupied the centre stage in the affairs of the Institution over two decades. A many-splendoured personality, Prof (Dr) Bhattacharyya’s untimely death in June 1992 created a void which would take years to fill in. In grateful appreciation of the monumental work done towards furtherance of the cause of the Institution, the National Council, at their 563th meeting held at Hyderabad in July 1992, resolved to institute this Lecture to perpetuate his hallowed memory.
Prof (Dr) Amitabha Bhattacharyya, born on November 12, 1931, was a distinguished mechanical engineer and an eminent educationist and an acknowledged authority in the fields of production engineering, metal cutting and machine tools and had been honoured nationally and internationally for his outstanding contributions to the cause of engineering and humanitarian services.
He was a staunch advocate for the development of indigenous technology for the welfare of the common people. A persuasive teacher and eloquent speaker, he had travelled widely on many professional and academic assignments. An active and constructive social worker, he identified himself with the aims and aspirations of numerous social and cultural organizations and served them with great distinction.
As an ardent advocate for advancement of engineering, Prof (Dr) Bhattacharyya served its cause through various organs and activities of The Institution of Engineers (India) for three decades. During his Presidentship, the Institution’s activities received an impetus and diversified its field of interest in many areas including rural development.
PROF C S JHA MEMORIAL LECTURE
Born on the July 1, 1934 and educated at Patna university (B.Sc. Honours in Physics), Indian Institute of Science, Bangalore (D.Sc in Electrical Technology), Heriot-Watt College, Edinburgh, UK (FH-WC) and Bristol University, UK (Ph.D. in Electrical Engineering), Dr Jha started his professional career as a Design and Development Engineer at the English Electric Company, Broadford (UK) and after a two year spell (1955-57) shifted to academic life as a Lecturer in Electrical Engineering at the University of Bristol (1958-61). He returned to India in 1961 to accept a Readership at the University of Roorkee and a year later joined the Indian Institute of Technology, Delhi where he rose from an Assistant Professorship in 1962 to an Associate Professorship in 1963, a Professorship in 1964 and a Senior Professorship in 1969. He remained on the professorial staff of IIT Delhi till his retirement in June 1994. During his long academic career, he occupied several senior academic and administrative positions becoming Head of Department (1964-67) and Dean of Engineering, IIT Delhi (1966-69), Director of IIT Kharagpur (1974-78), Education Adviser (Technical) to the Government of India (1979-84) and the Vice Chancellor of the Banaras Hindu University (1991-93). On retirement from IIT Delhi in 1994, Prof Jha was appointed Chairman of the Recruitment and Assessment Centre of the Defence Research and Development Organization on a three year contract (1994-97) and later became Honorary Chairman of the Governing Council of the DOEACC Society under Ministry of Information Technology (1997-2001).
Late Prof Jha had several short and long term international assignments, He held Visiting Professorship at the Imperial College, London (1968-69), at the Technische Hochschule, Aachen (Germany) (1969) and at the Pennsylvania State University, USA (1985-87). He gave short term consultancy to UNESCO in 1986 and again in 1988 in the preparation of the Draft Convention on Vocational and Technical Education and for advising Lagos and Ondo State Universities in Nigeria on the organization of their Engineering Faculty (1986). He had also been consultant to AIT, Bangkok, EdCIL, Asian Development Bank, African Development bank, World Bank and Swiss Development Co-operation on different issues of Science and Technology Planning, institutional development and curricular reforms.
Late Prof Jha had been a member of several National and International Policy making committees and had contributed significantly to the planning and management of science and Technology Education. Some of the important membership assignments were National Committee on Science and Technology (NCST) (1975-76), Review Committee on TTTIs (1975-76), High Power Committee to review Post Graduate education in Engineering (1978), Science and Engineering Research Council of DST (1980-84), Chairman AICTE Board of Post graduate Education (1990-93), High Power Swaminadhan Committee to consider
resource mobilization in Technical Education (1993), High power Punnaiya Committee for financing Central Universities (1992-93), UNESCO Working Group on Continuing Education of Engineers (1973-88). Boarding Trustees AIT, Bangkok (1974-86) and International review Team for Colombo Planning Staff College for Technician Education (1983-84).
Late Prof had been a dedicated teacher and researcher and had introduced several innovations in his classroom and laboratory instruction. He has worked consistently to help his students develop creativity and problem solving skills, acquire communication ability and an awareness of quality, safety and reliability standards in their discipline, and retained an attitude for lifelong learning. He had more than 50 research publications in National and International Journals of repute on Electrical Machine Theory and Design and on Power Electronics applications and about 60 papers in National / International Conference on various aspects of Science and Engineering Education.
Late Prof. Jha had been very actively involved in the policy formulations of the Institution of Engineers, India. Since his election as a Fellow in the mid seventies, he had been a member of the Council and of CATE for most of the time except during his absences abroad. He was instrumental in initiating the Annual Engineering Congress and Annual Divisional Conventions concept, thorough revision of the AMIE syllabi in the eighties, initiating the establishment of ESCI, launching and running the mouthpiece journal Technorama for five years, formulation and presentation of Pay revision of engineers to the Fifth Pay Commission, preparation of a Perspective Plan for the Institution, conceptualizing the work of R&D Forum, preparation of the constitution of ESCI, drafting the Engineer’s Bill and the documents for membership of EMF. He had been Chairman of the Delhi State Centre and of various Boards and committees of the Council from time to time including Electrical engineering Division Board and CATE. He had contributed numerous policy papers for the consideration of CATE / Council from time to time.
SEATING PLANS
1. INDIAN ENGINEERING CONGRESS
A. Inaugural Session of the Congress ★
| 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 |
|---|---|---|---|---|---|---|---|---|
| Secretary & Director General, IEI | Chairman, Host Centre | Guest of Honour | President Elect, IEI | Chief Guest of the Session | President in Chair, IEI | Special Guest | Chairman, Organizing Committee | Honorary Secretary, Host Centre |
★ The above arrangement is subject to change depending upon the protocol of dignitaries
B. Inauguration of Congress Seminar
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
|---|---|---|---|---|---|---|
| Convenor, Technical Committee | Chairman, Technical Committee | President, IEI | Chief Guest | Chairman, Organizing Committee | Secretary and Director General, IEI | Organizing Secretary |
C. Memorial Lecture
| 1 | 2 | 3 |
|---|---|---|
| Memorial Lecture Speaker | Chairman of the Session | Secretary and Director General, IEI |
D. Glimpses of Engineering Personality
| 1 | 2 | 3 | 4 | 5 | 6 |
|---|---|---|---|---|---|
| Personality | Personality | President | Personality | Personality | Secretary and Director General, IEI |
E. Concluding Session of the Congress Seminar
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
|---|---|---|---|---|---|---|
| Rapporteur | Rapporteur | Rapporteur | Chairman, Technical Committee | Rapporteur | Rapporteur | Convenor, Technical Committee |
F. Valedictory Session of the Congress
| 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 |
|---|---|---|---|---|---|---|---|
| Organizing Secretary | Past President, IEI | Immediate Past President, IEI | Chairman, Organizing Committee | President, IEI | Chairman, Host Centre | Rapporteur | Honorary Secretary, Host Centre |
2. NATIONAL CONVENTION
A. Inaugural Session
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
|---|---|---|---|---|---|---|
| Organizing Secretary | Chairman, Host Centre | Chairman, Division Board | President, IEI | Chief Guest | Convenor, Technical Committee | Honorary Secretary, Host Centre |
B. Valedictory Session
| 1 | 2 | 3 | 4 | 5 | 6 |
|---|---|---|---|---|---|
| Organizing Secretary | Chairman, Host Centre | Chairman, Division Board | Convenor, Technical Committee | Honorary Secretary, Host Centre |
3. **IEI CONVOCATION AND TECHNICIANS’ / STUDENTS’ CONVENTION**
**Convocation and Inaugural of Convention**
| 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 |
|---|---|---|---|---|---|---|---|---|----|
| Organizing Secretary | Chairman, Organizing Committee | Chairman, AITC | Chief Guest | President, IEI | Speaker | Chairman, AISC | Chairman, Host Centre | Chairman, Organizing Committee | Secretary and Director General, IEI |
4. **INTERNATIONAL SEMINAR / CONFERENCE**
**Inaugural Session**
| 1 | 2 | 3 | 4 | 5 | 6 |
|---|---|---|---|---|---|
| Chairman, IAC | Chairman, Organizing Committee | Chief Guest | President, IEI | Chairman National Committee | Organizing Secretary |
FORMAT OF INVITATION CARDS FOR INDIAN ENGINEERING CONGRESS / NATIONAL CONVENTION OF ENGINEERING DIVISIONS / IEI CONVOCATION AND TECHNICIANS’ / STUDENTS’ CONVENTION
A. **Inaugural Session of the Indian Engineering Congress / IEI Convocation and Technicians’ / Students’ Convention**
The President and the Members of the Council of The Institution of Engineers (India) request the pleasure of your company at the Inaugural Session of Indian Engineering Congress/IEI Convocation and Technicians’ / Students’ Convention at ……………………………… (venue) at ………… am / pm on …………….. (date). …………………………………………. has kindly consented to be the Chief Guest and to deliver the Inaugural Address of the Congress Convocation Address.
RSVP
………………………………………………………
B. **Inauguration of Indian Engineering Congress Seminar**
The President and the Members of the Council of The Institution of Engineers (India) request the pleasure of your company at the Inauguration of the Seminar on “……………………………” being held during the Indian Engineering Congress at ……………………………… (venue) at ………… am / pm on …………….. (date). …………………………………………. has kindly consented to be the Chief Guest and to Inaugurate the Congress Seminar.
RSVP
………………………………………………………
C. **National Convention**
**Inaugural Session**
The Chairman and the Members of ……………………………… Engineering Division Board and the Chairman and the Members of the Committee of the ……………………………… Centre of The Institution of Engineers (India) request the pleasure of your company at the Inaugural Session of the ……… National Convention of ………………… Engineers at ……………………………… (venue) at …….. am / pm on …………….. (date). …………………………………………. has kindly consented to be the Chief Guest and to inaugurate the ……… National Convention of ……………………………… Engineers.
RSVP
………………………………………………………
D. **International Conference / Seminar**
**Inaugural Session**
The Chairman and the Members of the Organizing Committee of the International Conference / Seminar on “……………………………” request the pleasure of your company at the Inauguration of the International Conference / Seminar ……………………………… (venue) at ………… am / pm on …………….. (date). …………………………………………. has kindly consented to be the Chief Guest and to inaugurate the above-mentioned International Seminar.
RSVP
………………………………………………………
MEMORIAL LECTURES AT NATIONAL CONVENTIONS
| Code | Lecture Name |
|------|--------------|
| AG | Rathindranath Tagore Memorial Lecture |
| AR | T S Narayana Rao Memorial Lecture |
| AS | Dr Vikram Sarabhai Memorial Lecture |
| CH | Acharya Prafulla Chandra Ray Memorial Lecture |
| CP | M S Ramanujan Memorial Lecture |
| CV | Dr K L Rao Memorial Lecture |
| EL | M S Thacker Memorial Lecture |
| EN | N V Modak Memorial Lecture |
| ET | Prof S K Mitra Memorial Lecture |
| MC | Dr S C Bhattacharyya Memorial Lecture, Dr S P Luthra Memorial Lecture |
| MM | V Subramony Memorial Lecture |
| MN | Prof S K Bose Memorial Lecture |
| MR | Rear Admiral T B Bose Memorial Lecture |
| PR | G C Sen Memorial Lecture |
| TX | S N Bhaduri Memorial Lecture, Dr B K Chakrabarti Memorial Lecture |
★ Simultaneously
Simultaneously
Alternate year
★ against the J P Jain Endowment Fund
RATHINDRANATH TAGORE MEMORIAL LECTURE
Rathindranath is the son of poet Rabindranath Tagore. He was born in Calcutta on the November 27, 1888. He was one of the first batches of five students at Santiniketan in 1901. Educated at Santiniketan and also privately under the guidance of his illustrious father, he was initiated to the rural development work at Sriniketan. He went to the USA for higher studies and training in agriculture as his father thought it would help him to work in rural India better. Rathindranath graduated in Agriculture from University of Illinois, USA in 1910 and specialized in rural craft besides agriculture. He travelled extensively in England and the USA in 1912 to gather experiences in agricultural extension work. He played a leading role in establishing agricultural and rural extension centre at Sriniketan. In 1921, Rathindranath became the General Secretary of Visva Bharati Society. He became the first Vice-Chancellor of Visva Bharati in 1951 when it was incorporated as a Central University. He retired in 1953 for reasons of health.
He is considered as the first and foremost Agricultural Engineer of the country. He was also a well known artist, craftsman, and author of several books. He breathed his last on the June 3, 1961.
In memory of his dedicated service, The Institution of Engineers (India) instituted an Annual Memorial Lecture in his name during the National Convention of Agricultural Engineers.
T S NARAYANA RAO MEMORIAL LECTURE
T S Narayana Rao was born on the February 7, 1907 in a pastoral family at Arkera, near Mysore City. He graduated in Civil Engineering in 1931 from the Government Engineering College of the erstwhile Mysore State. As an apprentice engineer, he worked in Madras with M/s Gannon Dunkerley and Company and subsequently shifted to Bangalore to work under the personal guidance of the late Lakshmi Narasappa, a reputed Government Architect. He participated in the construction of the Town Hall, Municipal Offices and other highly acclaimed structures in Bangalore.
Backed by a few years of intensive experience in architecture and having an educational commitment to engineering, he felt that it was appropriate to fuse the complementary disciplines of architecture and engineering through private practice. He started practicing as a Consulting Architect and Engineer in 1933 and took the risk inherent in starting a new venture totally foreign at that time to the private sector.
Narayana Rao had the rare privilege of constructing buildings of which Shri Krishna Weaving Mills, Mysore Vegetable Oil Products, Rashtriya Vidyalaya and St Joseph's College Observatory deserve special mention. His work reflected a genetic blend of the architect and engineer in him. His success as a builder and architect was in no small measure due to his capacity to execute masonry, carpentry and plumbing works himself.
He was associated with several Engineering Institutions, ISI (now BIS), etc. As a man, he was highly principled and self disciplined. His honesty and integrity sought expression in his exemplary conduct and behaviour. His services as a man and as a professional are even remembered today with respect.
**In memory of his dedicated service, The Institution of Engineers (India) instituted an Annual Memorial Lecture in his name during the National Convention of Architectural Engineers.**
**Dr Vikram Sarabhai Memorial Lecture**
Dr Vikram Sarabhai was not only an imaginative and creative scientist but also a pioneering industrialist and astute planner. He made significant contributions in the field of cosmic ray physics and in the development of nuclear power and space programmes. He took up the nuclear programmes with a challenge and added fresh dimensions to the space research programmes in 1966 when he became the Chairman of the Atomic Energy Commission.
Dr Sarabhai was born on August 12, 1919 at Ahmedabad in a rich industrialist family. His early education was in a private school and Gujarat College at Ahmedabad. He then went to Cambridge, England and from St John’s College obtained his Tripos in 1939. He came back to India and started research work in the field of cosmic rays with Sir C V Raman at the Indian Institute of Science, Bangalore. In 1945, he went back to Cambridge to carry out further research on cosmic rays and there in 1947 obtained Ph D Degree. It was as early as 1942, Dr Sarabhai conceived the idea of starting the Physical Research Laboratory in Ahmedabad. Soon after his return from Cambridge in 1947, Sarabhai started looking for a place for this project. He got a few rooms at the M G Science Institute to start the laboratory and the laboratory was formally opened in April 1954. Dr Sarabhai made the Physical Research Laboratory virtually the cradle of the Indian Space Programme.
Dr Sarabhai not only encouraged science but also devoted a good deal of time to industry. For over 15 years, he nurtured a pharmaceutical industry.
Dr Sarabhai helped to build the Ahmedabad Textile Industry’s Research Association (ATIRA) in 1947. During 1949-56, he remained an Honorary Director of ATIRA. In 1962, he helped to found the Indian Institute of Management at Ahmedabad and during 1962-65, he remained an Honorary Director of this Institute.
Today the success of space programmes in our country is largely owing to the groundwork prepared by him in this regard. Due to his efforts only, India could launch its first satellite, Aryabhatta just three and half years after his death.
Dr Sarabhai was a world-renowned figure in the field of space research. He was awarded Bhatnagar Memorial Award for Physics in 1962; Padma Bhushan in 1966 and posthumously Padma Vibhushan. He was elected the Vice-President and Chairman of the U N Conference on peaceful uses of outer space in 1968. He also presided over the Fourteenth General Conference of the International Atomic Energy Agency. Dr Sarabhai died on December 30, 1971 at the age of 52 when he was at the peak of his achievements.
**In memory of his dedicated service, The Institution of Engineers (India) instituted an Annual Memorial Lecture in his name during the National Convention of Aerospace Engineers.**
**Acharya Prafulla Chandra Ray Memorial Lecture**
Acharya Prafulla Chandra Ray was born on August 2, 1861 in a village in the District of Jessore (now in Bangladesh). After studying for two years at Metropolitan College, Calcutta, he received a scholarship from the University of Edinburgh where he obtained a B Sc degree in 1885 and two years later, a D Sc degree for his research in inorganic chemistry. In 1889, he got a special appointment as a Lecturer at Presidency College, Calcutta and became Professor of Chemistry soon.
Sir Andrew Pedlar, the then Principal of Presidency College and himself a Chemist encouraged Ray to pursue research and with Pedlar’s help, Ray raised funds to equip a reasonably good chemistry research laboratory and began a search for some of the missing elements in the periodic table. He managed to
precipitate mercurous nitrite, a compound that had been regarded as unstable in crystalline form. For several years thereafter, he and his students carried out a systematic exploration of the properties of mercury salts and a range of nitrite compounds. His findings of an enquiry into the adulteration of oil and ghee were published in 1894 in the Journal of Asiatic Society and the publication was highly acclaimed.
He remained with Presidency College until 1916 when Sir Asutosh Mukherjee summoned him to the University College of Science, Calcutta. There, he continued his teaching and research for next two decades long after he became eligible to retire. His students included Dr Meghanad Saha, Dr P C Mahalanobis and Prof S N Bose.
Ray’s first volume of History of Hindu Chemistry was published in 1902 and the second, in 1908. He was known as the Father of Indian Chemistry. He was knighted in 1919.
Ray was instrumental in laying foundation of chemical and allied industries in India. He motivated to start the Bengal Chemical and Pharmaceutical Works Ltd in 1901. The Bengal Pottery Works, the Calcutta Soap Works, the Bengal Enamel Works and the Bengal Canning and Condiment Works are his creations. These industries, during the next few decades, provided hundreds of technical managers to the industrial establishments all over India. The Jadavpur Technical Institute established in 1921 (developed now into Jadavpur University) had Acharya Ray as its founder President. He formed the Indian Chemical Manufacturers’ Association (ICMA) in 1938.
Intellectual regeneration, industrial development, economic freedom, social reforms and political advancement of the country — all made equally strong appeal to him, as did his teaching and research. Having abandoned western dress and manners on his return to India in 1889, he actively promoted the ideals of traditional Indian culture. He played a significant role in independence movement and motivated his colleagues and students for greater participation in it. He donated all his earnings to students, workers, laboratories and scientific organizations. He expired in Calcutta on June 16, 1944 at the age of 83.
In memory of his dedicated service, The Institution of Engineers (India) instituted an Annual Memorial Lecture in his name during the National Convention of Chemical Engineers.
**M S RAMANUJAM MEMORIAL LECTURE**
Born in 1887, Srinivasa Ramanujam was brought up in an orthodox traditional south Indian environment. He was an enigma to his teachers even at school because of his prodigious memory and unusual mathematical talent, which began to show, even before he was ten. That was the age when he topped the whole district at the primary examination and this procured him a half-fee concession at Town High School, Kumbakonam. He passed the Matriculation examination of the University of Madras in December 1903, secured a first class, and earned for himself the Subramaniam Scholarship in the FA (First Examination in Arts) class at Government College, Kumbakonam.
His research marched on undeterred by environmental factors—physical, personal, economic or social; magic squares, continued fractions, hypergeometric series, properties of numbers—prime as well as composite, partition of numbers, elliptic integrals and several other such regions of mathematics engaged his thought. He recorded his results in his notebooks. Exact facsimiles of these notebooks have now, since 1957, been published in two volumes by the cooperative efforts of the University of Madras, the Tata Institute of Fundamental Research and Sir Dorabji Tata Trust.
Though Ramanujam accepted a clerk’s appointment in the office of the Madras Port Trust, his mathematical work did not slacken. His first contribution to the Journal of the Indian Mathematical Society appeared in 1911. Ramanujam was brought to the University of Madras as a Research Scholar on May 1, 1913 at the age of 26.
Ramanujam thus became a professional mathematician and remained as such for the rest of his short life. He began a correspondence with Prof G H Hardy, the then Fellow of Trinity College, Cambridge and his first historic letter to Prof Hardy in January 1913 contained an attachment of 120 theism all originally discovered by him. Thereafter, he was invited to England in March 1914.
Ramanujam spent four very fruitful years at Cambridge, fruitful certainly to him, but more so to the world of mathematics, published twenty-seven papers, seven of them jointly with Prof Hardy. In 1918, he was elected Fellow of the Royal Society and in the same year was elected Fellow of Trinity College, both honours coming as the first to any Indian. The University of Madras rose to the occasion and made a
permanent provision for Ramanujam by granting him an unconditional allowance of £ 250 a year for five years from April 01, 1919.
Unfortunately, Ramanujam had to spend the fifth year of his stay in England in nursing homes and sanatoria. He returned to India in April 1919 and continued to suffer from his incurable illness. All the time his mind was totally absorbed in mathematics. Thus, arose the so called Lost Notebook of Ramanujam, which contains 100 pages of writing and has in it a treasure house of about 600 fascinating results. Ramanujam’s discoveries and flights of intuition were contained in the four notebooks and also his thirty-two published papers as well as in the three Quarterly Reports, which he had submitted to the University of Madras in 1913-14. These had thrilled mathematicians the world over. More than two hundred research papers had been published as a result of his discoveries. Later Ramanujam died at the unexpected age of 32.
In memory of his dedicated service, The Institution of Engineers (India) instituted an Annual Memorial Lecture in his name during the National Convention of Computer Engineers.
DR K L RAO MEMORIAL LECTURE
Dr Kanuru Lakshmana Rao was born on July 15, 1902. After passing his Intermediate Examination in Science from the University of Madras, he took the B E Degree in Civil Engineering with Honours from the College of Engineering, Guindy in 1925.
His first appointment was as Assistant Engineer in the Visakhapatnam District Board in 1926. He subsequently worked in the College of Engineering, Rangoon and Guindy, and later in the Cauvery – Mettur project. During this period he also qualified for the M Sc (Eng) Degree of the University of Madras by research, being the first recipient of a research degree in engineering from that University. In 1939, he proceeded to England to specialize in reinforced concrete and obtained his Ph D Degree from the University of Birmingham.
Between 1943 and 1945, he was employed as a Senior Lecturer in Loughborough Engineering College, England. On his return to India in 1946, he was appointed by the Madras Government as Design Engineer in the Ramapadasagar Project and in 1951 joined the Central Water and Power Commission at New Delhi as Director (Dams). In 1954, he became Chief Engineer (Planning and Designs), and then became a Member (Designs and Research) in the same Commission.
During these later years, Dr Rao was closely associated with major dam projects in this country, notably Lower Bhavani, Tungabhadra, Hirakud, Malampuzha, Kosi and Umtru and with flood control on the Brahmaputra River at Dibrugarh. His personal contributions to these projects are acknowledged as outstanding.
Dr Rao is the author of a well known standard work ‘Calculation, Designs and Testing of Reinforced Concrete’ published by Sir Isaac Pitman and Sons. His contributions to technical journals are numerous. Dr Rao joined the Institution as a member in 1947 and became its President for two sessions (1958-1960). He was also a Minister of Government of India.
In memory of his dedicated service, The Institution of Engineers (India) instituted an Annual Memorial Lecture in his name during the National Convention of Civil Engineers.
M S THACKER MEMORIAL LECTURE
Prof M S Thacker who was Director of the Indian Institute of Science, Bangalore, was appointed Director General of the Council of Scientific and Industrial Research, Government of India, in succession to the late Sir S S Bhatnagar.
Prof Thacker was the Chairman of the Electrical Section of the Institution, and the Section had vastly expanded under his vivid leadership.
Prof Thacker was the Chairman of the Mysore Centre and later the President of the Institution for 1955-56. He represented the Institution, at the Third Conference of Engineering Institutions of the Commonwealth in London in June 1954, and the Indian National Committee at the Sectional Meeting of the World Power Conference in Rio de Janeiro, Brazil, in July-August 1954. He was also the Chairman of the Papers Committee for the selection of articles from India for the Fifth World Power Conference held in Vienna, Austria in July 1956. He expired on July 6, 1979.
In memory of his dedicated service, The Institution of Engineers (India) instituted an Annual Memorial Lecture in his name during the National Convention of Electrical Engineers.
N V Modak Memorial Lecture
N V Modak received his early education in the Government High School and Ferguson College, and then joined the College of Engineering, Poona and received his BE (Civil) from the University of Bombay in 1911. He then served the Bombay Government until 1918, and then proceeded to England on a State Technical Scholarship for special work in municipal and sanitary engineering.
On his return to India, he was appointed as an Executive Engineer in the Indian Service of Railway Engineers and posted to GIP Railway as Sanitary Engineer. Subsequently his services were requisitioned by the BB and CI Railway as a Consulting Engineer to prepare a Sewerage scheme for Dohad Station. From 1930, he was with the Bombay Municipality, first as Deputy City Engineer and then Hydraulic Engineer and in 1934, he was promoted to the responsible position of City Engineer to the Bombay Municipal Corporation.
His activities in the promotion of engineering profession have been very wide and extensive. He had been the Chairman of the Bombay Centre of the Institution of Engineers (India), and the President of the Bombay Engineering Congress. He was a Fellow of the University of Bombay, a member of its Syndicate and Dean of the Faculty of Engineering. He was also a member of the Advisory Committee of the Poona Engineering College and of the Governing Board of the Victoria Jubilee Technical Institute, Bombay, a member of the Institution of Civil Engineers and the Institution of Municipal and Country Engineers, London and a Fellow of the Royal Sanitary Institute of London.
He was elected as President of The Institution of Engineers (India) by the Council for the year 1940-41 and was re-elected for a second term for the year 1941-42. He was the first member to receive such an honour.
In memory of his dedicated service, The Institution of Engineers (India) instituted an Annual Memorial Lecture in his name during the National Convention of Environmental Engineers.
Prof S K Mitra Memorial Lecture
A renowned scientist, an excellent lecturer and a reputed author, Prof Sisir Kumar Mitra is a pioneer in the field of radio-physics and ionosphere research in the country.
Born in Calcutta on October 24, 1890, Sisir Kumar Mitra had his initial insights into the field of scientific research and development during his stint in Presidency College, Calcutta where he came in close contact with Sir J C Bose and Acharya P C Roy. Sir J C Bose’s equipment for the generation and detection of Herizian waves had left in him an indelible interest in radio physics — a faculty he cultivated later in life.
In 1916, the University College of Science was founded and Mitra joined the Department of Physics. He began researches on the diffraction and interference of light and in 1919 obtained the D.Sc. Degree from the University of Calcutta.
In 1920, he joined the University of Sorbonne where he worked for the determination of wavelength standards of the copper spectrum and received the Doctorate Degree in 1923. Later, he joined the Institute of Radium to work under Madame Curie and subsequently joined the University of Nancy. On his return to India, he was appointed Khaira Professor of Physics in the University College of Science, Calcutta.
While developing teaching and research facilities in the University, he also took active interest in the development of broadcasting in India. His proposal for the establishment of a Radio Research Board was accepted by the newly formed Council of Scientific and Industrial Research, and he was appointed as its first Chairman and continued in this position until 1948.
Prof Mitra’s greatest contribution to scientific knowledge was in the field of ionosphere. His ideas and guidance was at the root of most of the contributions made by the Ionosphere Laboratory of Calcutta. His findings on upper atmosphere ionization and night sky luminescence was presented in a treatise ‘Active Nitrogen – a New Theory’ in 1945.
After his retirement from University service in November 1955, he was appointed Professor Emeritus of the University of Calcutta. Subsequently he assumed the Administratorship of the Board of Secondary Education of the State of West Bengal and was instrumental in the introduction of Higher Secondary Syllabus in the State.
In 1958, he was elected as a Fellow of the Royal Society, London for his contribution to the study of upper atmospheric phenomena. He was the recipient of the King George V Silver Jubilee Medal in 1935, Joy
Kissen Mukherjee Gold Medal of the Indian Association for the Cultivation of Science in 1943, Science Congress (Calcutta) Medal of the Asiatic Society in 1956 and Sir Devaprasad Sarabadhikary Gold Medal of Calcutta University in 1961.
He held many responsible positions including: President, Asiatic Society of Bengal (1951-52); General President, Indian Science Congress (1955) and President, National Institute of Sciences of India (1956-58). He was a member of the Indian National Committee for the International Geophysical Year and was in the Editorial Board of a number of Indian and foreign scientific journals.
Prof Mitra received *Padmabhushan* in 1962 and in the same year was appointed National Research Professor in Physics by the Government of India.
**In memory of his dedicated service, The Institution of Engineers (India) instituted an Annual Memorial Lecture in his name during the National Convention of Electronics and Telecommunication Engineers.**
**Dr S C Bhattacharyya Memorial Lecture**
Dr S C Bhattacharyya, born on August 20, 1894, passed M Sc in Mathematics from University of Calcutta in 1919 and obtained the degree in both mechanical and electrical engineering in 1921 from the Bengal Technical Institute. Almost simultaneously, he passed the final examination in mechanical engineering from the City and Guilds, London. Subsequently, he went to Germany and obtained the degree in mechanical engineering from Berlin Technical University in 1926, and Dr Ing from the same University in 1928. He stood first in his degree examination in mechanical engineering at National Council of Education, Bengal, as well as at the Berlin Technical University.
India was then reverberating with the spirit of nationalism and Dr Bhattacharya, after his return from Germany, had no hesitation in responding to the call of the nation and joining the National Council of Education, Bengal as a teacher in mechanical engineering ignoring tempting offers from other reputed engineering colleges. His entire career was thereafter devoted and dedicated to the service of NCE, Bengal and Jadavpur University and in planning and implementing his ideas in the development of human resources in mechanical engineering till his retirement as Professor and Head of the Department of Mechanical Engineering in 1959. He acted as Vice-Chancellor of Jadavpur University for a short period. After his retirement, he was made Professor Emeritus of Jadavpur University.
Dr Bhattacharyya excelled in whatever subject he touched, be it thermodynamics or applied mechanics, theory of mechanics or strength of materials, machine design or machine tools.
He was not only a pioneer in introducing and advancing mechanical engineering education in the country but also a pioneer Indian author of such engineering textbooks as ‘Engineering Thermodynamics’, ‘Machine Design’, ‘Machine Tools’, etc. Besides being a teacher par excellence during his entire service career, he was associated with various indigenous industries as technical consultant. He left behind an academic legacy virtually beyond comprehension.
**In memory of his dedicated service, The Institution of Engineers (India) instituted an Annual Memorial Lecture in his name during the National Convention of Mechanical Engineers.**
**Dr S P Luthra Memorial Lecture**
Dr S P Luthra, born on April 01, 1912, after a brilliant academic career in India was awarded a Government of India Overseas Scholarship for higher studies and research at the Imperial College of Science and Technology, London and obtained the Ph.D. Degree in Mechanical Engineering in 1949. Earlier, he had received the B.Sc. (Engineering) Degree of Punjab University in 1937 and worked at the North-West Railway Mechanical Workshop at Lahore; Punjab PWD, Hydro Electric Branch; Shaw Wallace and Co Ltd; Siemens India Ltd and VDJH Technical Institute, Lahore.
In 1949, Dr Luthra joined Delhi Polytechnic (now known as Delhi College of Engineering) as Head of the Mechanical Engineering Department. He was also Visiting Professor at the University of Wisconsin, USA, under the Technical Co-operation Mission. Later, he joined the Indian Institute of Technology, Delhi, as Professor and Head of the Department of Applied Mechanics and held the positions of Dean of Students, Dean of Examination, Dean of Faculty of Engineering, and Dean of Administration and finally became its Director. During his professional career, Dr Luthra was connected with various professional, educational and scientific organizations. He was member of the Board of Governors, IIT, Delhi; Chairman, Board of Governors, Gorge College for Women, New Delhi; Chairman, World Conference in Industrial Tribology, New Delhi; and President of the Indian Society for Industrial Tribology.
Dr Luthra was also a recipient of the President of India Award for Best Teacher in Technical Education in 1979 and the prestigious award by the Prime Minister of India for meritorious service rendered to the IIT, Delhi, on the occasion of its Silver Jubilee in 1986, and a silver medal by the President of India for meritorious services rendered to the Indian Institute of Science, Bangalore, on the occasion of its Diamond Jubilee in 1986.
Dr Luthra had long association with The Institution of Engineers (India) having joined it as Corporate Member in 1944. He had served on the Council for twelve years and was Chairman of the Delhi State Centre of the Institution. He expired on July 24, 1993.
In memory of his dedicated service, The Institution of Engineers (India) instituted an Annual Memorial Lecture in his name during the National Convention of Mechanical Engineers.
Endowment Fund for National Convention of Mechanical Engineers:
- Honorarium to the Speakers of Memorial Lecture: Rs.3,000/- each.
- Printing of the text of Memorial Lecture: Rs.2,500/- each.
- Memento to the Speaker of Memorial Lecture: Rs.1,500/- each.
V Subramony Memorial Lecture
Hailing from a well-known family in Quilon, V Subramony had his early education in Quilon before joining Banaras Hindu University for the Graduate Course in Metallurgical Engineering. After graduation, he had his initial training in the USSR and had visited Steel Plants in Japan, West Germany and the USA.
He had a rich and varied career in steel. Joining the Bhilai Steel Plant in 1956, he rose steadily, occupying the posts of Superintendent (Blast Furnaces), Chief Superintendent (Iron Zone), Assistant General Superintendent (Technical Development) and Deputy General Superintendent (DGS). As DGS, he looked after the plant operations and was instrumental in bringing about a number of technological improvements that resulted in higher productivity. He was associated with the expansion of Bhilai Steel Plant to four million tons.
Shri Subramony joined SAIL Headquarter as General Manager (Operations) in June 1978, and subsequently he took over as Director (Technical) in January 1981. On April 30, 1982, he assumed charge as Managing Director, Rourkela Steel Plant. He was also Director, MECON; Nagarjuna Steel Ltd, Hyderabad and Director, Fertilizer Association of India, New Delhi. He was conferred the ‘Distinguished Alumni Award’ by Banaras Hindu University on the November 15, 1983.
Shri Subramony introduced several new management techniques, which ultimately resulted in the Rourkela Steel Plant turning the corner. He won the hearts of everyone by his sense of values, enthusiasm and fairness. A high performer, he was the pride of many. A rising star was cut short cruelly by a quirk of fate on January 23, 1986.
In memory of his dedicated service, The Institution of Engineers (India) instituted an Annual Memorial Lecture in his name during the National Convention of Metallurgical and Materials Engineers.
Endowment Fund for National Convention of Metallurgical Engineers
- Honorarium to the Speakers of Memorial Lecture: Rs.5,000/-
Prof S K Bose Memorial Lecture
Prof S K Bose was born on October 07, 1900 in Burdwan district of West Bengal. After passing his matriculation examination in 1917, he was admitted to Presidency College, Calcutta and secured first position in his B Sc (Geology Honours) Examination in 1921. He continued his study in M Sc (Geology) for one year only. Later, he switched over to mining, joined the Sanctoria Colliery, and took apprentice training.
In 1923, Prof Bose joined the Royal School of Mines, London, under Government of India Scholarship. He passed the ARSM (Mining) examination in 1927 and was placed first in first class. During his period of study abroad, he travelled Europe and visited some large mines in Belgium, Netherlands, Germany and France. He joined as first Professor of Mining at Indian School of Mines (ISM), Dhanbad in 1927. Later, he became Head of the bifurcated Department of Metal Mining and Surveying. He devoted his entire career at ISM, Dhanbad and retired from there in 1956.
After retirement from ISM, he served NCDC in the capacity of Officer on Special Duty (Training) for one year. During his service at ISM, he visited many minefields in India as well as abroad. It is remarkable that most of his visits were undertaken at his own expenses. He visited Ceylon in 1932, South Africa in 1934, and Japan, North Korea, Mongolia and China in 1936 to observe important mines in those countries. He often used to contribute some state-of-the-art short notes to the local weekly 'The New Sketch'.
Through his publication in this weekly, he stressed the need for establishing a Government College of Mining Engineering, similar in status and model to the Royal School of Mines in England and Japan. This eventually led to a resolution being passed by Indian National Congress.
In another publication in one of the special issues of the same weekly on ‘Mining and Civilization’, he emphasized the importance of the part played by mining and geological education in the industrial development of the world and improvement of the social conditions of mankind. He expired on January 15, 1968.
**In memory of his dedicated service, The Institution of Engineers (India) instituted an Annual Memorial Lecture in his name during the National Convention of Mining Engineers.**
**T B Bose Memorial Lecture**
Rear Admiral T B Bose in 1938 started his career as Lieutenant in the Royal Indian Navy and was appointed an Officer on the dockyard staff. He took special interest in the apprentices assigned to the Dockyard of Engineer Cadets to pass out the IMMTS ‘Dufferin’.
Admiral Bose was Principal Officer, Mercantile Marine Department at Calcutta in 1952. Right from the time the new DMET Course was inaugurated in 1949, he identified himself with the new system of training, gave it his full support and, until his retirement from service and even afterwards, became a guiding spirit.
In 1957, when he was Chief Surveyor to Government of India, he was appointed Chairman of a Committee to advise Government on the indigenization of ship-ancillaries. The assignment involved considerable touring, data collection and discussions with shipyards and industrial enterprises. The Report of the Committee led to the formation of a Marine Engineering Division of the then ISI (now BIS) and to the setting up of an indigenous development cell at the Hindustan Shipyard, Vishakapatnam.
Admiral Bose was largely responsible for the development of Naval College of Engineering at Lonavala. Even though he had retired from the Navy, Naval Headquarters had a very high regard for his sagacity and expertise and valued his advice greatly. Even after his retirement from service, he took keen interest in the development of marine engineering and was a constant source of inspiration to all at the Ministry in New Delhi and at the new shipyard at Cochin.
As Vice-President of the Institute of Marine Engineers, London, he was a beacon light to the marine engineers of India. In spite of the high offices he held, he was easily accessible to young marine engineers who found his guidance invaluable. Admiral Bose, during his professional career, was closely involved in shipping, ports, shipbuilding, and ship repair and state policy pertaining to these sectors.
**In memory of his dedicated service, The Institution of Engineers (India) instituted an Annual Memorial Lecture in his name during the National Convention of Marine Engineers.**
**F W Taylor Memorial Lecture**
Inventor and engineer, Frederick Winslow Taylor was born on March 20, 1856 at Philadelphia, the USA.
Educated at preparatory schools at Pennsylvania and New Hampshire, Taylor entered apprenticeship in the trades of pattern maker and machinist in Philadelphia in 1875. In 1878, he was employed by the Midvale Steel Company in their machine shop. In 1881, he introduced his method of increasing the efficiency of production by close observation of individual workers, identifying and eliminating wasted time and redundant motion. He earned a degree in 1883 from the Stevens Institute of Technology, and in 1884, he was elevated to the position of Chief Engineer at Midvale. In 1890, he became the General Manager of the Manufacturing Investment Company. He subsequently became consultant in management in a number of organizations. Having dedicated about forty years in the improvement of production techniques and productivity, Taylor earned the distinction of being the father of modern scientific management. He expired on March 21, 1915.
**In memory of his dedicated service, The Institution of Engineers (India) instituted an Annual Memorial Lecture in his name during the National Convention of Production Engineers.**
G C Sen Memorial Lecture
Gopal Chandra Sen, graduated in mechanical engineering from College of Engineering and Technology, Jadavpur in 1933 and gathered first-hand experience for two years, first in a private firm and then in a distinguished workshop in Howrah. He joined the National Council of Education, Bengal as Instructor in 1935 and became Lecturer in 1940. In 1946, he went on a Government scholarship to the USA for higher studies in engineering. He got the degree of Master’s of Science in Engineering from the University of Michigan. On return, he resumed teaching at Jadavpur University and became Professor of Mechanical Engineering in 1952. In June 1969, he was appointed Dean of the Faculty of Engineering and from August 1970 until his demise on the December 30, 1970, he was the Vice-Chancellor of Jadavpur University.
Prof Sen was the pioneer in India of the teaching of production engineering and was the author of a number of very useful books including textbook on the Principles of Machine Tools and Metal Cutting, which are adored in many universities abroad. Prof Sen belonged to that vanishing ‘tribe’ of teachers who would take up teaching as dedication rather than profession. He was a disciplinarian with a difference.
Apart from his academic brilliance, he was a poet and an artist – one who was an expert in drawing and an adept in drawing pen pictures.
In memory of his dedicated service, The Institution of Engineers (India) instituted an Annual Memorial Lecture in his name during the National Convention of Production Engineers.
S N Bhaduri Memorial Lecture
After gaining considerable experience in the above-mentioned field, he joined ATIRA, Ahmedabad and developed a well-organized team of SQC personnel. He undertook the dual responsibility of training textile mill personnel of western part of the country in SQC and process control techniques and their applications in the mills.
S N Bhaduri obtained his M Sc Degree in Statistics from University of Calcutta and thereafter started working in the field of Statistical Quality Control (SQC) and its application in textile mills.
Adaptation and implementation of the aforesaid techniques not only improved the quality of textile products but also immensely increased the popularity and value of the same in overseas market. Though he was a pioneer in the field of application of SQC and allied techniques in textile mills, he also took keen interest in mechanical processing of textile fibres and development of the same, including textile machines.
In memory of his dedicated service, The Institution of Engineers (India) instituted an Annual Memorial Lecture in his name during the National Convention of Textile Engineers (to be delivered in alternate year).
Dr B K Chakrabarti Memorial Lecture
Dr B K Chakrabarti, an outstanding scholar and researcher, obtained his M.Sc. Degree in Pure Physics from Calcutta University and made commendable research contributions in the fields of optics and spectrometry. He then took up teaching assignment for a short period, and later joined Indian Central Jute Committee (ICJC) (later named as JTRL and currently known as NIRJAFIT) at Tollygunge, Calcutta as a scientist and devoted himself in research and made outstanding contributions in the fields of textile physics and statistical quality control. Thereafter, he obtained his Ph.D. Degree from the University of Calcutta. He also evaluated jute yarn diameter subsequently at ICJC and later joined Institute of Jute Technology (IJT) as Professor and Head, Department of Textile Science and developed a unique silver irregularity tester and introduced 2:1 doubling in the gills in jute finisher drawing machines. He went to the UK on Ghosh Fellowship and was honoured with Fellowship of the Textile Institute, Manchester. Before leaving IJT, he became Principal for a short stint. After retiring from IJT, Dr Chakrabarti became Technical Advisor to a number of jute factories in and around West Bengal.
In memory of his dedicated service, The Institution of Engineers (India) instituted an Annual Memorial Lecture in his name during the National Convention of Textile Engineers (to be delivered in alternate year).
MODALITIES FOR IEI YOUNG ENGINEERS AWARD
1. The applicant should be an Engineer and citizen of India.
2. The applicant should not be older than 35 years of age as on March 31 of the year of notification.
3. The application must be forwarded by the Head of the Organization / Institution.
4. The work considered for the award should have been carried out during the preceding five years and must have been done within India.
5. The work should be related to the design and development of engineering products relevant to national perception.
6. The achievement should have technological / engineering content with or without measurable financial benefits.
7. The number of awards is to be limited to three.
8. The awards should be given away during the National Convention of the respective engineering division.
9. The awardees should be selected by the respective Division Board.
10. The award will consist of Rs.10,000/- and a Certificate.
TIME SLOT FOR THE NATIONAL CONVENTIONS
| Engineering Divisions | Scheduled Month |
|-----------------------|-----------------|
| AGDB | January |
| ARDB | September / October |
| ASDB | November |
| CHDB | September |
| CPDB | February |
| CVDB | October |
| ELDB | November |
| ENDB | August |
| ETDB | October |
| MCDB | September |
| MMDB | January |
| MNDB | December |
| MRDB | August |
| PRDB | May |
| TXDB | February |
| Indian Engineering Congress / Council | December |
| CATE / Council | March, June, September |
| IEI Convocation | October |
N. B.: ➢ Spill over months for National Convention — March, April and July
➢ ENDB (effective from 122nd CATE Meeting at Hyderabad, March 23, 2013)
➢ ARDB (effective from 124th CATE Meeting at Shimla, September 28, 2013)
PROPOSAL FROM CENTRES FOR HOLDING TECHNICAL ACTIVITIES
For use by the HQrs (Programme Code):
| Centre Code | Prog.Type # | Div.Board | Fin.Yr★ | Prog.No. |
|-------------|-------------|-----------|---------|----------|
# (NC / AS / OD) ★ Last two digits of financial year
| Name of the Centre: |
|---------------------|
| Proposed Programme: (strike out which are not applicable) National Convention / All India Seminar / One Day Workshop / Seminar |
| Title of the Programme: |
| Under the aegis of which Divisional Board / Committee: |
| Date : | Venue : |
| Associate organization (if any): |
| Grant requested from the HQrs: Rs. |
| Brief Write-up about the programme (preferably within 300 words): |
For use by Chairman, Division Board, Chairman, CATE and the HQrs:
| Put-up to Chairman, Division Board on: | Comments of Chairman, Division Board received on: |
|----------------------------------------|--------------------------------------------------|
| Comments of Chairman Division Board / Committee: | Approved / Not Approved / To be Revised |
| Suggested Revision (if any) : |
| Put-up to Chairman, CATE on: | Comments of Chairman, CATE received on: |
| Comments of Chairman CATE: | Approved / Not Approved / To be Revised |
| Suggested Revision (if any) : |
Information to Centre about decision or to incorporate suggested revision (if any) on:
Proposals to be sent (a) Six months prior to the proposed dates of National Convention, (b) Three months prior to the proposed dates of All India Seminar and (c) One months prior to the proposed dates of One Day Workshop / Seminar.
Grant available for (a) National Convention: Rs 1,50,000/-, (b) All India Seminar: Maximum Rs. 20,000/-, (c) One Day Workshop / Seminar: Rs. 10,000/-
STANDARD BROCHURE
The Institution of Engineers (India)
“94 Years of Relentless Journey towards Engineering Advancement for Nation-building”
(Name of the Programme)
(Date, Place)
Organised by
The Institution of Engineers (India)
................................. State Centre / Local Centre
Under the aegis of
.......................................................... (Name of Divisional Board), IEI
In association / collaboration with (if any)
(Name and logo of the organization — logo should be smaller than IEI logo)
Venue
About The Institution of Engineers (India)
The Institution of Engineers (India) or IEI is the largest multidisciplinary professional body that encompasses 15 engineering disciplines and gives engineers a global platform from which to share professional interest. IEI has membership strength of above 0.7 million. Established in 1920, with its HQrs at 8 Gokhale Road, Kolkata 700020, IEI has served the engineering fraternity for over nine decades. In this period of time it has been inextricably linked with the history of modern-day engineering.
In 1935, IEI was incorporated by Royal Charter and remains the only professional body in India to be accorded this honour. Today, its quest for professional excellence has given it a place of pride in almost every prestigious and relevant organization across the globe. IEI functions among professional engineers, academicians and research workers. It provides a vast array of technical, professional and supporting services to the Government, Industries, Academia and the Engineering fraternity, operating from over 104 Centres located across the country. The Institution has established R&D centres at various locations in the country and also provides grant-in-aid to its members to conduct research and development on engineering subjects.
IEI conducts Section A & B Examinations in different Engineering disciplines, the successful completion of which is recognized as equivalent to Degree in appropriate field of Engineering of recognized Universities of India by the Ministry of Human Resources Development, Government of India. Every year as many as 90000 candidates appear for these exams. For details, please see: www.ieindia.org.
About the associate organization (if any)
About the programme with objective, theme, sub-themes, call for papers, important dates, registration details, advertisement tariff, accommodation, venue etc.
Payment:
All payments are to be made through crossed Demand Draft / Cheque, drawn in favour of “The Institution of Engineers (India), ....................State/Local Centre”
NATIONAL ADVISORY COMMITTEE
Chairman: President, IEI
Co-Chairman: Chairman of the Divisional Board
Convenor: A Corporate Member (attached to the Host Centre and also the concerned Division)
Members: Name of all members of the concerned Division Board
Persons of all India status
Name of Honorary Secretary of the Host Centre (if he/she is not the Convenor)
ORGANIZING COMMITTEE
Chairman: Chairman of the Host Centre
Organizing Secretary: Honorary Secretary of the Host Centre or one Corporate Member (attached to the Host Centre)
Members: Local Corporate Members
TECHNICAL COMMITTEE
Chairman:
Members:
CONTACT
Name of the contact person:
Address of IEI State / Local Centre:
Phone:
Email:
REGISTRATION FORM / ADVERTISEMENT BOOKING FORM
REPORT OF THE CONVENTION
Part I: Report by the Host Centre
(Within two weeks of completion of the Convention, the Host Centre shall send the Report to the Technical Department at the HQrs along with some photographs.)
(a) Introductory point(s)
(i) Title of the Convention:
(ii) Dates :
(iii) Host Centre :
(iv) Venue of the Convention
(b) Nodal date(s)
(i) Date of receipt of communications from the HQrs confirming to host the Convention
(ii) Date of receipt of Guidelines from the HQrs
(iii) Date of dispatch of materials to the HQrs for announcements in IEI News / Journal / Students’ Newsletter / Technicians’ Journal
(iv) Date of dispatch of First Circular to prospective delegates
(v) Date of dispatch of Last Circular to prospective delegates
(vi) Date of receipt of seed money from the HQrs
(vii) Details of IEI publications as in (iii) carrying announcements
(c) Delegate Fee(s)
(i) Corporate Member
(ii) Non-member
(iii) Sponsored Member
(iv) Spouse
(v) Student / Technician / Research Scholar
(d) National Seminar
(i) Theme of the National Seminar and date:
(ii) Expert Lectures
Name of Speaker Title of Lecture / Address
(a) Memorial Lectures
(b) State-of-the-art Lecture
(c) Keynote Address
(iii) Number of articles received by the organizers from other authors [excluding (ii)]
(iv) Total number of articles selected by the organizers
(v) Number of articles presented at the National Seminar
(vi) Number of technical sessions
(e) Inaugural Session of the Convention
(i) Names of VIPs on Dais (Mention their functions)
(ii) Number of media personnel
(a) Newspapers
(b) AIR
(c) TV
(iii) Total number of persons present _______________________
(f) Number of expert lectures with details _______________________
(g) Number of technical sessions _____________________________
(h) Participation
(i) Number of persons registered ____________________________
(ii) Total number of registered delegates outside the Centre who attended ____
(iii) Number of persons present in first technical session after inauguration ____
(iv) Number of persons present in last technical session ______________
(v) Number of persons present at other events
(a) Workshop ____________________________________________
(b) Technical Exhibition ___________________________________
(c) Round Table __________________________________________
(d) Technical Visit _________________________________________
(e) Valedictory Session _____________________________________
(i) Felicitation of Eminent Engineer(s) (also, highlight the achievements of personalities)
(i) Number selected with names ____________________________
________________________________________________________
(ii) Number attended with names ____________________________
________________________________________________________
(j) Publication(s) (Mention whether printed or cyclostyled)
(i) Souvenir ______________________________________________
(ii) Abstract of articles (included in Souvenir or printed separately) _______
(iii) Proceedings of full articles ______________________________
(iv) Any other publications __________________________________
(k) Name of Representative from the HQrs and work done by him __________
________________________________________________________
(l) Strong/Weak Points
(i) Strong points about the HQrs ____________________________
________________________________________________________
(ii) Weak points about the HQrs ____________________________
________________________________________________________
(m) Press Coverage
(i) Newspapers (Please attach cuttings)_______________________
(ii) AIR _________________________________________________
(iii) TV_________________________________________________
(n) Name of the Members of Core Group________________________
(o) Recommendations _______________________________________
(p) Name of the Organizations / Institutions to whom the recommendations have been sent
(q) Please provide the suggestions (within 200 words) for making the National Convention more successful in future days
(r) Any other remarks _______________________________________
________________________________________________________
Signature with date
Part II: Report by Headquarter Representative
| Name of the invitees who attended the DB Meeting | |
|-------------------------------------------------|---|
| Names of DB members who could not attend the Convention | |
| Where were the strong involvements of the HQrs? | |
| Where was the weak involvement of the HQrs? | |
| Which were the success points of Convention? | |
| Which were the failure points of Convention? | |
| Write within 150 words your plan to make a National Convention more successful in future | |
| Whether IEI Information Desk was installed? | |
| (a) Whether IEI publications were displayed at IEI Information Desk? | |
| (b) Whether Institution Ties were available at IEI Information Desk? | |
| (c) Whether Lapel Pins were available at IEI Information Desk? | |
| (d) Whether Membership Forms of different categories were available at IEI Information Desk? | |
| (e) Whether information regarding reinstatement was available at IEI Information Desk? | |
| Any other remarks | |
Part III: Report by the Chairman
(i) Where was the strong involvement of the HQrs?
(ii) Where was the weak involvement of the HQrs?
(iii) Where was the strong involvement of the host Centre?
(iv) Where was the weak involvement of the host Centre?
(v) Which were the success-points of the Convention?
(vi) Which were the failure-points of the Convention?
(vii) Where were the strong involvement of the Chairman and the DB?
(viii) Where were the weak involvement of the Chairman and the DB?
(ix) Please write within 100 words how you plan to make a National Convention more successful in future
TECHNICAL ACTIVITY CARRIED OUT BY CENTRES / OVERSEAS CHAPTERS
| Name of Centre / Overseas Chapter: | |
|-----------------------------------|---|
| Title of Activity: | |
| Activity under Divisional Board | |
| Date: | Venue: |
(Insert photo) (Insert photo)
Title of photo: Title of photo:
Brief Report (not exceeding 4000 characters – please use Arial 11 point font)
Flow Process Chart and Charter of Responsibilities for Processing Technical Papers
Note: EO – Editorial Office at IEI
EIC – Editor-in-Chief
EB – Editorial Board
EAB – Editorial Advisory Board
EMS – Editorial Manager System
Reminders will be generated by EMS periodically, requesting,
i) EB/EAB/Reviewers for sending assessment report on the assigned papers
ii) authors for submission of modified manuscript
EIC, EB/EAB/Reviewers to be provided login and password by Springer
All publication related assignments would be done by Editorial Office at IEI including the follow up action on Editor-in-Chiefs, Editorial Board & Editorial Advisory Board Members and Reviewers. Editing, Proof readings and layout design will also be done by IEI Editorial Office. Each Technical Officer is being given the overall responsibilities to oversee all the above mentioned activities of each Series of Journals.
PRIZES FOR BEST PAPERS PUBLISHED IN IEI-SPRINGER JOURNALS
The Institution gives away a large number of prizes, awards and certificates to the authors of the papers of high technical standard published in the IEI-Springer Journals of all Divisions and thereby extending recognition to individual achievements and activities in advancing the science and the art of engineering.
All articles written by the members and non-members and published in the IEI-Springer Journals are eligible for awards / prizes except in case where the conditions of the award / prize restrict it to a particular branch of engineering or otherwise.
Preliminary selection of articles for the award of various prizes is done by the Consulting Editors. The Chairman of the respective Division Boards finally vets such selections.
To help the President in arriving at a final decision regarding selection of the best papers / articles for the award of various categories of prizes and awards, an “Award Committee” is formed comprising President, one Division Board Chairman and another Council Member co-opted by the President.
1. **The President of India’s Prize**
This prize was instituted in 1921 as the Viceroy’s Prize and is of historical significance. In declaring the Institution inaugurated on the 23rd February of that year, the Governor General and Viceroy Lord Chelmsford announced an annual prize to be called “The Viceroy’s Prize”, for the best paper presented by a member. The name was changed to “The Governor General’s Prize” in 1947, and again to “The President of India’s Prize” in 1952, reflecting the changes in the political status of the country. It is awarded by the Government of India, on the recommendation of the Institution’s Council, for the best paper published in the Institution’s Journal.
2. **The Institution Prizes (Two Numbers)**
These prizes were instituted in 1953. They are awarded by the Institution’s Council for the best papers published in the Institution’s Journal.
3. **The K F Antia Memorial Prize**
This prize was instituted in 1969 in the memory of Late Shri K F Antia, the then President of the Institution. The prize is given for the best paper published in the Institution’s Journal on any subject related to engineering.
4. **The Corps of Engineers Prize**
This prize was instituted in 1961 and is awarded by the Council of the Institution of Military Engineers for the best paper published in the Institution’s Journal on a subject of common interest to all branches of engineering.
5. **The Institution Prize (Donated by Col G N Bajpai)**
This prize is awarded for the best paper published in the Civil Engineering, Electrical Engineering and Mechanical Engineering parts of the Institution’s Journal in the fields of Marine Structures, Ship-building and such other topics related to Marine Engineering.
6. **The Railway Board’s (First and Second) Prize**
These prizes were instituted in 1931. The prizes are awarded by the Railway Board, Ministry of Railways, and Government of India, for the best two papers published in the Institution's Journal on Railway Engineering or subjects allied to it.
7. **The E P Nicolaides Prize**
This prize was instituted in 1963 by Gammon (India) Ltd to commemorate E P Nicolaides for his pioneering work in the field of Pre-stressed Concrete in India. It is awarded for the best paper on Reinforced and Pre-stressed Concrete published in the Institution's Journal.
8. **The John C Gammon Prize**
This prize was instituted in 1963 by Gammon (India) Ltd to honour the Late John C Gammon for his pioneering work in the field of shell structures in India. It is awarded for the best paper published in the Journal on concrete shell structures.
9. **The Corps of Electrical and Mechanical Engineers’ Prize**
This prize was instituted by the Directorate of Electrical and Mechanical Engineering, Army Headquarter, New Delhi. This prize is to be awarded for the best paper contributed to the Institution's Journal and of relevance to the Army in the field of mechanical, automotive, production, electronics or industrial engineering.
10. **The Surendranath Mukherjee Memorial Prize**
This prize was instituted in 1984 by R G Mukherjee to commemorate his father the Late Surendranath Mukherjee, who served the Irrigation Department of Bengal for thirty-two years and retired in 1935. The prize is awarded to the best research paper pertaining to practical execution of work for: (i) improvement of existing water supply and distribution for human consumption, (ii) improving the irrigation work for cultivation in West Bengal or (iii) improvement of food control in West Bengal.
11. **The Union Ministry of Water Resources : Department of Irrigation Prize**
This prize was instituted in 1958 by the Union Ministry of Irrigation and Power and now awarded by the Department of Energy, Government of India, respectively. The prize is for the best paper on Civil Engineering on aspects of River Valley Development.
12. **The Union Ministry of Energy : Department of Power Prize**
This prize was instituted in 1958 by the Union Ministry of Power (now Ministry of Energy, Department of Power), Government of India, for the best paper published on Power Development and Utilization in the Institution's Journal.
13. **The Sir Arthur Cotton Memorial Prize**
This prize was instituted in 1965 for the best paper published in the Civil Engineering Division Part of the Institution's Journal.
14. **The George Oomen Memorial Prize**
The prize was instituted in 1970 by the friends and admirers of (late) Shri George Oomen who contributed to a memorial fund to establish a prize in his name to be awarded for the best paper published in the Civil Engineering Division Part of the Institution's Journal on topics: (i) Composition, properties and quality plant capacities and layout to suit different site conditions and various types of concrete dams.
15. **The Dr Jai Krishna Prize**
Dr Jai Krishna, a Past President of the Institution (1974-75) and an eminent earthquake engineer donated a sum of Rs 3000 towards instituting a prize to be given by the Institution every year for the best paper on the subject of earthquake engineering (or allied fields in structural dynamics) published in the Journal of the Institution.
16. **The Sir Rajendranath Mookerjee Prize**
The prize was instituted in 1965 for the best paper published in the Mechanical Engineering Division Part of the Institution’s Journal.
17. **The Pandit Madan Mohan Malaviya Memorial Prize**
This prize was instituted in 1965 for the best paper published in the Electrical Engineering Division Part of the Institution’s Journal.
18. **The Sir Thomas Ward Memorial Prize**
This prize was instituted in 1965 and is awarded for the best paper published in the Electronics and Telecommunication Engineering Division Part of the Institution’s Journal.
19. **The Shrimati Saroma Sanyal Memorial Prize**
The donor was H Sanyal, a Corporate Member of the Institution, who in memory of his mother, the Late Shrimati Saroma Sanyal, donated an endowment fund to be used for an award for the best paper on water supply and sanitary engineering published in the Journal.
20. **The Nawab Zain Yar Jung Bahadur Memorial Prize**
The prize was instituted in 1965 for the best paper published in the Environmental Engineering Division. Part of the Institution’s Journal.
21. **The Dr Rajendra Prasad Memorial Prize**
The prize was instituted in 1965 for the best paper published in the Mining Engineering Division Part of the Institution’s Journal.
22. **The Sir Ganga Ram Memorial Prize**
This prize was instituted in 1965 to be awarded for the best paper published in the Chemical Engineering Division Part of the Institution’s Journal.
23. **The Hem Prabha-S N Gupta Prize**
Constituted in 1980 and donated by the Late S N Gupta — a Fellow Member of the Institution, this prize is awarded to encourage studies pertaining to collection and analysis of river data as related to channel geometry, sediment transport and meanders, regime of rivers before and after adoption of river improvement measures, bank erosion control, river bed stabilization and sediment control at estuaries. The prize is awarded for the best paper submitted by a civil engineer on these topics and published in the Civil Engineering Division Part of the Journal.
24. **The Hindustan Zinc Limited Prize**
This prize was instituted in 1981 to be awarded for the best practice-oriented paper in the area of Underground Metalliferous Mining or Rock Mechanics published in the institution’s Journal.
25. **The N K Iyengar Memorial Prize**
This prize was instituted in 1982 on an endowment by the Mysore Technical Education Society to be awarded for the best practice-oriented paper on the machine design published in the Mechanical Engineering Division Part of the Institution’s Journal.
26. **The Dr Triguna Charan Sen Prize**
This prize was instituted in 1982 by the Late Dr Triguna Charan Sen, a Past President of the Institution (1962-64) and is awarded for the best paper published in the Textile Engineering Division Part of the Journal.
27. **The Brij Mohan Lal Memorial Prize**
This prize was instituted in 1981 and is awarded for the best paper published in the Civil Engineering Division Part of the Institution’s Journal.
28. **The Prof R C Singh Prize**
This prize instituted in 1986 by Prof R C Singh (F), is awarded to a paper of the greatest practical importance and published in the Environmental Engineering Division Part of the Institution’s Journal.
29. **The Tata Rao Prize**
This prize was instituted in 1987 by the admirers of Dr Tata Rao (F) and is awarded for the best paper published in the Electrical Engineering Division Part of the Institution’s Journal.
30. **The Rekha Nandi and Bhupesh Nandi Prize**
This prize was instituted in 1991 by Shri Bhupesh Nandi for the Author(s) of the best paper published in the Environmental Engineering Division Part of the Institution’s Journal each year.
31. **The Suchit Kumar Ghosh Memorial Prize**
This prize was instituted by the family members of Late Shri Suchit Kumar Ghosh, an eminent Civil Engineer and also Chief Engineer, Public Works Department, Government of West Bengal, and is awarded for the best paper on Bridge Engineering — Design and / Construction published in the Institution’s Journal. In absence of any such paper, any practice-oriented paper on Civil Engineering Project Execution could be considered.
32. **The Aerospace Engineering Division Prize**
This prize was instituted in 1982 by the Institution for the best paper published in the Aerospace Engineering Division Part of the Institution’s Journal.
33. **The Agricultural Engineering Division Prize**
This prize was instituted in 1982 by the Institution for the best paper published in the Agricultural Engineering Division Part of the Institution’s Journal.
34. **The Architectural Engineering Division Prize**
This prize was instituted in 1982 by the Institution of the best paper published in the Architectural Engineering Division Part of the Institution’s Journal each year.
35. **The Computer Engineering Division Prize**
This prize was instituted in 1987 by the Institution for the best paper published in the Computer Engineering Division Part of the Institution’s Journal each year.
36. **The Marine Engineering Division Prize**
This prize was instituted in 1982 by the Institution for the best paper published in the Marine Engineering Division Part of the Institution’s Journal.
37. **The Metallurgical and Materials Engineering Division Prize**
The prize was instituted in 1987 by the Institution for the best paper published in the Metallurgical and Materials Engineering Division Part of the Institution’s Journal each year.
38. **The Production Engineering Division Prize**
This prize was instituted in 1987 by the Institution for the best paper published in the Production Engineering Division Part of the Institution’s Journal each year.
**APPENDIX XVIII**
**LIST OF PRIZES FOR IEI CONVOCATION**
**SECTION A (DIPLOMA) AND (NON-DIPLOMA)**
(i) For passing the Examination in full securing the Highest Marks amongst the successful candidates of Examination (irrespective of number of attempts the candidate made for passing)
\[ \text{Rs 1000/-} \times 2 \times 2 = \text{Rs 4000/-} \]
(ii) For passing the Examination in full securing the Second Highest Marks amongst the successful candidates of Examination (irrespective of number of attempts the candidate made for passing)
\[ \text{Rs 500/-} \times 2 \times 2 = \text{Rs 2000/-} \]
**SECTION B**
For passing the Examination in full securing the Highest Marks amongst the successful candidates of an Examination (branch-wise)
\[ \text{Rs 1500/-} \times 10 = \text{Rs 15000/-} \]
**S N Ghosh Memorial Prize**
To be awarded additionally to candidate passing under category A(ii) above
\[ \text{Rs 150/-} \times 2 = \text{Rs 300/-} \]
|
Collector-extraordinaire Glen S Miranker tells Adrian Braddy some of the stories behind his vast collection of Sherlockiana and his New York exhibition, Sherlock Holmes in 221 Objects
He has the collection mania in its most acute form,” said Sherlock Holmes of Baron Adelbert Gruner. While he thankfully does not share the many undesirable traits of the unfortunate baron, Glen S Miranker is, according to Leslie S Klinger, “unquestionably maniacal about collecting.”
The esteemed scholar makes the remark in an interview to the catalogue produced to accompany Glen’s exhibition, Sherlock Holmes in 221 Objects, which is made up of some of the greatest objects from his collection – close to 8,000 books, manuscripts, letters, posters and other Sherlockiana.
He stresses that Glen’s mania is not the kind ‘that leads to straitjackets’; rather, it is “a passion” to be admired, even encouraged.
The results of that mania can currently be seen at the historic Grolier Club in New York. It’s situated more than 3,300 miles from my desk. I sadly won’t get to gaze in wonder at the delights on display, but its genial co-curator readily agrees to talk me through the highlights via a transatlantic Zoom call.
As the web camera focuses, I see that the former Apple executive is seated at a table in the middle of a large hall at the club, where the assembly for his exhibition is nearing its completion. He gives me a quick 360-degree view of the gallery before we head to a quieter spot for our chat.
Glen begins by telling me how his love for Sherlock Holmes began when he was at university in the 1970s: “I was in a terrible funk one afternoon. Who knows, I thought I’d blown a test or maybe I’d been turned down for a date. I picked up one of those comic issues when you’re an undergraduate. Anyway, my roommate came into the room and he grabbed this book, which turned out to be the Complete Sherlock Holmes – a big volume containing all fifty-six short stories and the four novels – and tossed it to me and told me to read it instead.
“I was immediately captivated. It wasn’t the stories that I had read the stories, because I read at least some of them as a small child, but that’s what introduced me. And I’m not recalling how but pretty quickly I came to shall we say fell in with a bad crowd. I discovered that there were these groups of like-minded people who got together periodically and talked about stories and enjoyed each other’s company and ate and drank to excess. And so I joined a couple of Sherlock Holmes societies.”
While at grad school, Glen’s collection consisted of that 1954 Doubleday edition of the complete works, but a surprise gift from Cathy, who he had just recently married, was the beginning of the “miracle of it all.”
“Cathy had gone out for a walk on a Saturday and by chance had stumbled into a small antiquarian book fair. And she comes back with a book and says, ‘Look, here’s a present for you up.’ It was an American first edition of The Case-Book of Sherlock Holmes. I opened the book and, like in the casebook, a lightbulb went off.”
Glen came to heaven at the fair the very next day and by luck met Peter Stern, one of the leading antiquarian dealers in detective fiction, and a specialist in Sherlock Holmes literature.
“At the time, he just had a little folding card table and three or four fistfuls of books, as he was just starting out in business,” Glen recalls.
“I also happened to bump into a fellow named Dan Ponsanoby, who’s a gifted collector, a phenomenally generous fellow, and one of those who is scarily knowledgeable about the canon.
“These two chance encounters pretty much cemented my interest in going out and collecting books about the stories.
“These men became lifelong friends. I don’t have close friends like those two gentlemen. One of the things that I so value about collecting, and Sherlock, is your fellow travellers – the people you get to meet, the people who you become friends with, the many who become your friends. And, overwhelmingly, I have found that the people who tend to be drawn into this tend to be people with interests and passions that are not just casual hobbies, but the things that they’re intellectually invested in and study and think about and so forth. And I like that kind of people.”
I mention an article I had read in *The Guardian* that described Glen as a “rival” to a fellow collector of Sherlockiana. Does he really perceive fellow hobbyists as rivals?
“I have found the collecting world, and particularly that of serious collectors, remarkably collegial,” he insists. “It’s not a competition. We all happily coexist and share each other’s stories and collections. I certainly don’t feel any rivalry with anyone. The thought of folks coming to blows over a book in a dusty old shop… I have no doubt that exists, but is absolutely foreign to my personal experience.”
In his exhibition catalogue, Glen says he is “especially excited by bibliographic rarities and oddities which goes beyond the two-dimensional text on the page”. So, what is the driving force behind his collecting?
“One doesn’t collect books *per se* for the books themselves. Take *The Sign of Four*, for example. Except for some typographical changes, or changes when they adapted it into American English, any copy you find has got the same words in it. You can even download the PDF for free.
“So, the interest is in the history of the book, rather than the text itself. *The Sign of Four*, which I just picked at random, is a good example. It was the second Sherlock Holmes story and there are several notable things about its publication. One thing is that Conan Doyle at this point in his career still didn’t have a literary agent. So, he was still peddling his own wares. Second, he was very sensitive to how he got credit for the first ever Sherlock Holmes story, *A Study in Scarlet*, which he had spent almost a year trying to get placed somewhere, until he eventually received the very nominal sum of £25 for the entire copyright.
“The other interesting thing is the US at this time was still not a part of any effective international copyright law.
“In 1890, the US copyright law did not allow copyrights if you weren’t a US citizen. So Conan Doyle did not have copyright protection. And so, as you might imagine, there were these printers and, sometimes, in a more meaningful sense, publishers who publish these books without the author’s permission. And, I think, quite frequently called pirated copies. An attorney might argue no law was broken, but they did not have the copyright holder’s permission; they didn’t have the author’s permission. They just printed the darn books.
“Of course, in the US market, the folks that they most likely to exploit were British authors as there were no restrictions on their work (in the case of Sherlock Holmes) the popularity of the work had already been established. The market has already tested that this is something we should borrow, to put a positive spin on it.
“So this one story fits into an interesting transitional part of Conan Doyle’s life, an interesting part of the publication history. And as a consequence of that, some interesting artefacts. For example, the very first copy of *The Sign of Four* not in a magazine but in a book is a US pirated copy. It beat the US authorised publication by almost three years.”
So, that’s one of the pirates which has some bibliographic importance.”
Tracking the first publication of each Holmes story can be quite a difficult task for collectors, thanks to the inaccuracies of publishing schedules. Many were published roughly simultaneously in the US by *Collier’s* and in the UK by *The Strand*. Glen explains: “And I think that, far more often, the *Collier’s* was the first out by a few months. But if you’re lunatic and want to have the very true first appearance for those stories, you’d have to get in the *Collier’s* magazine and not *The Strand*. Of course, I have both. I mean, I want to keep all my bases covered.”
As Glen built up his collection over more than four decades, he realised that it must be much more difficult now to find objects worthy of inclusion.
“Oh, it’s vastly more difficult,” he agrees. “But just for a moment, I’m going to dwell on the positive.
“The other rewards and items that are interesting to me come up often enough that I’m as excited and stimulated as in the good old days when any random practised antiquarian bookseller likely had something that was a good addition.
“Delving into these other things that I talked about, that are not the acquisition of books, but the understanding of them, and finding the historical context. Finding out about this is what makes it fun and fascinating.
“Sometimes we forget that authors don’t write books. They write depending on what era we’re talking about, manuscripts, typescripts, computer files… And the process of that creative process to a book is rich and involves lots of people and lots of strands.
“For instance, Glen is fascinated by the technological changes that made cheap mass-market fiction books possible, including the introduction of the rotary printing press and the development of plentiful and inexpensive wood pulp paper. And also, the ‘cleverness or skulduggery of the American government’ including John Lovell, who ‘petitioned the Postmaster General in the United States, for a scheme by which books could be characterised as periodicals for postage. So, if anyone wanted to send the papers, they could mail their books for a few pennies, as opposed to a goodly number of dimes. The confluence of those three things, plus stealing from the authors – books – and I have samples of these – which were available by post for two cents. And so, folks who a generation before had been confined to newspapers and the Bible could now add to own popular literature.’
“Although this pulp fiction was produced in large numbers, good-condition copies are hard to find these days, partly because they were so cheaply made.
“Not only were they made on wood pulp paper, but in the early days no one took to mimicking the methods used to thoroughly wash the paper after the pulp had loosened up. You have highly acidic paper and very fragile paper bindings, so they tend to be very tender.”
When not on show at the Grolier Club, Glen’s collection fills three rooms of his San Francisco home, and I wonder how he manages to keep such often fragile artefacts in a stable condition.
“They are kept in a humidity-controlled room. Temperature is important for two reasons. One is the need to be within a particular range to condition the paper. And you’ve seen books get those brownish patches? Well, that’s a mould, that’s a fungus and it is dormant below fifty per cent relative humidity.
“And the second reason is that I invariably closed, and I keep the curtains closed, and the windows are made from UV glass, so I’m very careful about the humidity and the light. Now, if I were more responsible, and could afford it, I would also keep the room at fifty or fifty-five degrees, but it’s actually not much of a problem in San Francisco. I just don’t turn on the heat in those rooms. And most of the year, it is between fifty and sixty degrees anyway.”
Given the need to keep them in good condition, I wonder how often Glen gets to read the stories in his collection.
“Oh, with some frequency. I really do get a visceral satisfaction from reading the books I have in manuscript. It’s a different experience. I get more out of the story. In my mind I can hear Conan Doyle scratching away at the paper.
“You know, with respect to his methods of work, he was very frugal. I don’t believe any of his stories, but essentially all of the Sherlock Holmes stories were done on school exercise books. The handful that were not done in these exercise books were done on foolscap. So very, very modest. I get a great deal of pleasure out of reading from those.”
“Now, of the gazillion books in my collection, there are three fairly distinct hunks of books. There are the early first editions, important editions, of the stories.
“The second area is writings about the writing; critical essays by SC Roberts, by Christopher Meyer, by Vincent Starrett, by the uncountable number of articulate old British scholars. This is another part of my collection I’m particularly fond of, and I can’t say I’ve read absolutely all of those.
“And then the third category is pastiches – either is comicodic or a serious attempt to reproduce the style, or it may be a reasonably successful attempt but an unlikely setting, as in Sherlock Holmes meets Jack the Ripper, or around Freud. And that’s the area which I have most like and that I would say I have certainly read, although I don’t generally revisit them.”
Glen likes to collect in “clumps”, as he puts it in his catalogue, “objects that are more significant in a group than they are individually”.
“For example, I have several letters that Conan Doyle wrote to publishers outside of London, where the publishers were pushing their main line of business, trying to place *The Sign of Four*.”
Other clumps in the collection include a copy of the Barnes Stepping Stones edition of *The Hound*, which Glen owns alongside Conan Doyle’s note agreeing to its publication and the original artwork for its cover.
He also owns a clump of objects that mark the frequent times accompanied the return of the great detective, years after Conan Doyle had attempted to kill him off. This includes a “playful” letter a publisher wrote to PF Collier, and Collier’s reply, which made him an offer he could not refuse.
Similarly, the exhibition is made up of clumps, which has allowed Glen to secure rather more than the 221 advanced objects.
The exhibition is co-curated by Cathy Miranker, the woman who sparked his collecting mania in the first place.
“She actually started it all when she gave me the first book, though I am confident she had no idea what she was starting. I still have that book. Even in its most mundane of presentations, it’s a reasonably ordinary book, but it is in a very nice slipcase and it has this very fancy leather label on it, which was the world’s most expensive book.
“As I started preparing for the exhibition, I was gathering my thoughts and gathering samples of material, trying to settle on literary or bibliographic themes. I wanted the exhibit to tell a story or set of stories, and fairly quickly I became consumed.
“I had written rough drafts, maybe a third of the pieces in the catalogue already, and then, of course, I persuaded her to turn it into English. She was a reporter for a substantial part of her life and is a wonderful writer and editor. And after that experience, we mutually decided that it would be so much more effective and fun if she interviewed me for the balance of the written material and then wrote it up, rather than starting with my screeds.
“And, perhaps because of her journalistic background, she also absolutely insisted that the things that I knew from my experience, that I claimed everybody knows, were researched and I found the reference which proved that the fact was a fact and not speculation.
“Her involvement became so pervasive and so profound that I said, ‘you need to be recognised as co-curator’.
“So, I will claim all the credit, except for the first book, for the collection, but in terms of writing the story of the exhibit tells it, it is absolutely a partnership.
“But does Cathy moderate the excesses of Glen’s collecting at all?
“I would say that for a very long time for up to, say, fifteen years ago, she was unquestionably the moderating influence. And then about fifteen years ago, there was a change. And now when I come up with a ridiculous purchase I want to make, she asks me, ‘How would this make your
---
**Pirated copies of Conan Doyle’s books often used colourful covers and illustrations that bore no relation to the characters or storylines.**
---
“One of the well-worn jokes in the biblio-sphere is that the wife is the natural enemy of the bookseller. But that’s not the case in this household.”
collection better? It’s a perfectly fair question. And I have to say only nine out of ten times do I have a satisfactory answer.
“So, if you call that moderation, fine, I still think that’s unexpectedly supportive. The most common jokes in the bibliography is that the wife is the natural enemy of the bookseller. But that’s not the case in this household.”
If things have been difficult, I suggest, to narrow down which objects to put on display.
“I wanted to tell a story, not just, ‘here are all the first editions and then here are beautiful copies of that…’ It’s not what interests me; that’s not why I collect.
“I wanted to capture the story of the history of the publication of Conan Doyle’s Sherlock Holmes stories. It was quickly obvious that I couldn’t do everything – not treated properly.
“To me, by the most interesting part is from the first story, *A Study in Scarlet* in 1887, to the completion of the publication of *The Return*, which only encompasses, in round numbers, about half of the Sherlockian canon. Post-World War One, the story that I wanted to talk about is fairly thin and so I didn’t feel badly about omitting that.
“And then within that, I certainly had a goodly number of bright spots that I was able to pick up, and I was very happy to pick, and then I just fleshed the story out around them.”
Those bright spots include a copy of *The Adventures of Sherlock Holmes*, which is inscribed by Conan Doyle, along with the cover of *A Study in Scarlet*.
“Well, that’s fascinating because the official publication date is the 12th. Now you have all the facts, I have my speculation, which is that he got a pre-printed copy and had given it to a friend. So, to me, that’s an interesting backstory there.
“I have my copy of *Repton’s Christmas Annual*, including *A Study in Scarlet*, the very first Sherlock Holmes story. They’re very scarce.” (They are indeed scarce. There are only thirty-four recorded copies, most held in libraries and universities. Described as “the most expensive magazine in the world”, a copy sold for $156,000 at Sotheby’s in 2014.)
“Fine, it’s an extraordinary rarity. But my copy has this very curious purple stamp in it, which says the Mechanics Institute and Lending Library of Coburg. So, what does that mean? What is this about? I did a bunch of research and it turns out that there’s only one likely place for this to come and that’s Coburg, Australia.”
After some more detective work, Glen not only held a member of the local historical society in Coburg, who confirmed that a Mechanics Institute was established there in the 1890s, but he also did some digging and gathered the funds to build a library; one never had been built; something seemingly contradicted by the stamp in the copy.
After further research, Glen’s contact found the annual reports for the Mechanics Institute, which showed that although they never built the library, they did acquire some books, including a copy of *Repton’s Christmas Annual* for 1887.
“That’s all the concrete evidence I have, but I insist that’s where this book came from. I have no idea how it made it from London to Coburg, Australia, from Coburg, Australia, to New York. But it did.
“These are the things that I find interesting and dazzling. And during my research I learned a lot about this thing that means to me along the way, about how books are printed, how books are published, how Conan Doyle did financially, and so on.”
I suppose that someone may be unhappy that their copy of the annual carries a library stamp, because that may make it seem imperfect.
“No, I enjoy – and I’m about to put a caveat on this – I enjoy books with character.
“The second and third leaves of the manuscript of *The Hound*, above left. A Conan Doyle’s “lost book”, known as the Norwood Notebook, which contains the famous words “Killed Holmes”, above right. The only known copy of the first edition of *The Adventures* with dust jacket, far right. A signed page from *The Adventures*, dated ahead of its publication, far right. A library stamp in *Repton’s Annual*, left.
“Now, that said, I have the only known copy of the UK *Adventures of Sherlock Holmes* in a dust jacket. And even the jacket itself doesn’t show much evidence of sunning, so you can imagine how the books brand new, like it came off the shelf.
“It is clear that Glen enjoys both the thrill of finding a new addition for his collection and also researching the story behind the book. But which, for him, is the more pleasurable?
“I’m sorry, I’m going to give you a real wimpy answer,” Glen laughs. “The pleasures are so different that they’re incomparable to me. They’re probably just as intense, but they’re extremely different.
“When we’re talking about acquiring a book, it is a moment of joy. These research projects take weeks, sometimes months, of applied effort. They’re not comparable.”
Of course, no collection is ever complete – even one as amazing as Glen’s – and I ask what help he offers to those that has so far remained elusive.
“I would love to have the first page of the manuscript of *The Hound* of the Baskervilles. I have pages two and three. And the issue went to have a page one per se. But the *Hound* story starts in the most beautiful archetypical Baker Street setting. It’s in Baker Street, looking West. You can learn from a walk that Watson’s complaint compelled Holmes to go on. When they return, they discover they have missed their client. Holmes chastises Watson for having left them there in Baker Street. The client has left his walking stick behind, and then Watson to little effect, and then Holmes to great effect, makes deductions about who the client was and what the message was on the basis of the walking stick that he left behind. So, this dialogue is ninety per cent complete, but ten per cent of it is on page one. I would love to have that exchange in its entirety. That’s why I’m eager. But there’s no sign that it exists.
“So, that’s one. And then the other, which is equally unlikely, is to get a copy of the UK *Adventures* in a dust jacket. I have all the other UK first editions and jacket. And besides the fact that *The Hound* is overwhelmingly my favourite story, to have all of them in jackets. Well, there are two known copies in existence. One is in the Bodleian, so it’s not going anywhere. And the other is with a collector in the Midwest, who has already made it publicly known he’s giving his collection in its entirety to his alma mater. So, it’s not to say there isn’t one in somebody’s attic somewhere, but I’m not optimistic.
“Nevertheless, new finds are not plentiful, but they do show up occasionally. And when I find them it is thrilling and exciting.”
Visitors to Glen and Cathy’s exhibition, and readers of the remarkable accompanying catalogue, may well be inspired to begin collections of their own. I ask what he hopes his visitors away from seeing the objects on display.
“I would say that I hope you come away with a realisation that the publication of books, and bringing of stories into the hands of a reader, is a remarkably interesting and varied history process, and that you don’t have to be a collector but they are areas that are definitely worthy of examination and study by themselves.
“Secondly, and this is a kind of a personal subgoal: Generally speaking, I think pirated editions as an object of study, as a collectible, gets their due respect. It’s one of the valuable area of publishing history and a remarkable area to collect. Plus, it’s still relatively affordable.
“The obvious things to collect – the first editions and so on and so forth – which were, twenty-five years ago, merely expensive – are now ridiculous. And not accessible for normal human beings. Pirates are still affordable. And I think definitely worthy.
*Sherlock Holmes in 221 Objects* is showing at *The Griller Club*, New York, until 12 April 2022. For details, see sherlockholmes221objects.org
|
Protected areas in Europe — an overview
ISSN 1725-9177
Protected areas in Europe — an overview
Cover design: EEA
Cover photo: Sintra-Cascais Nature Park, Natura 2000 site, Portugal © Carlos Romão
Left photo: Pingvallavatn National Park, Iceland © Sophie Condé
Right photo: Portofino Marine Protected Area, Natura 2000 site, Italy © Leonardo Tunesi
Layout: EEA/Pia Schmidt
Copyright notice
© EEA, Copenhagen, 2012
Reproduction is authorised, provided the source is acknowledged, save where otherwise stated.
Information about the European Union is available on the Internet. It can be accessed through the Europa server (www.europa.eu).
Luxembourg: Publications Office of the European Union, 2012
ISBN 978-92-9213-329-0
ISSN 1725-9177
doi:10.2800/55955
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## Contents
**Foreword** ................................................................................................................................. 5
**Authors and acknowledgements** ....................................................................................... 6
**Executive summary** ............................................................................................................. 7
1 **The policy and historical context of protected areas** ......................................................... 9
1.1 Historical context of protected areas ........................................................................... 10
1.2 Recent policy developments ...................................................................................... 15
1.3 References .................................................................................................................. 19
2 **Protected areas: the many visions of value** .................................................................. 22
2.1 Theoretical approaches to valuation .......................................................................... 22
2.2 From theory to action ................................................................................................. 23
2.3 Europe ....................................................................................................................... 27
2.4 Conclusions ............................................................................................................... 28
2.5 References .................................................................................................................. 28
3 **The environmental context of protected areas in Europe** ............................................ 30
3.1 A mosaic of landscapes: biogeography and human influence .................................. 30
3.2 Biodiversity under pressure ....................................................................................... 32
3.3 Drivers and pressures impacting on biodiversity ...................................................... 38
3.4 Conclusions ............................................................................................................... 44
3.5 References .................................................................................................................. 44
4 **Protected areas: diverse, multipurpose, multiscale** ....................................................... 48
4.1 Nationally designated areas ....................................................................................... 49
4.2 Different international and regional networks of protected areas .......................... 63
4.3 Conclusions ............................................................................................................... 68
4.4 References .................................................................................................................. 68
5 **The Natura 2000 and Emerald networks** ....................................................................... 70
5.1 The Natura 2000 network .......................................................................................... 70
5.2 The Emerald Network ............................................................................................... 80
5.3 Conclusions ............................................................................................................... 83
5.4 References .................................................................................................................. 83
6 **Complementarity between national designations and Natura 2000** .......................... 86
6.1 General overview ...................................................................................................... 86
6.2 Different countries, different situations .................................................................. 90
6.3 Conclusions ............................................................................................................... 104
6.4 References .................................................................................................................. 105
7 A dive into marine protected areas ................................................................. 107
7.1 Policy developments for marine protected areas since 1992 .......................... 108
7.2 Marine protected areas within European marine regions ............................... 108
7.3 An in-depth look at patterns of marine Natura 2000 designations .................... 114
7.4 The Marine Strategy Framework Directive .................................................. 115
7.5 The challenge ahead: ecologically coherent MPA networks ............................. 116
7.6 Assessing the effectiveness of MPAs ........................................................... 117
7.7 Conclusions .................................................................................................. 120
7.8 References .................................................................................................... 121
8 Assessments related to protected areas .............................................................. 123
8.1 The CBD and new methodologies for assessing protected areas ....................... 123
8.2 National assessments of protected areas in Europe ........................................ 125
8.3 Assessments of protected areas in academic research projects ......................... 126
8.4 Conclusions .................................................................................................. 128
8.5 References .................................................................................................... 129
Protected areas play a vital role in safeguarding Europe’s biodiversity. It is for this reason that the Habitats Directive is so important for Europe. This Directive, which celebrates its 20th anniversary this year, established the Natura 2000 network of protected areas across Europe. Sites in the Natura 2000 network now account for 18% of the EU’s land territory, providing invaluable protection for vulnerable wildlife and habitats. Protected areas more generally (including nationally and locally designated sites) now cover 21% of the land territory of the European Environment Agency’s member countries and collaborating countries.
A common misperception is that the term ‘protected area’ means an area of wilderness stripped of all human influence. But Europe’s protected areas encompass a wide variety of landscapes and management systems. Some of our protected areas are strict wildlife reserves, and even national parks, preserving the unique and precious biodiversity of Europe by means of strict regulations on development and building. Others are managed to ensure that European citizens are able to appreciate the great natural beauty of our mountains, forests and wilderness areas. And many protected areas are established in regions of privately-held land, with the goal of encouraging agricultural practices that respect the natural environment. Often, protected area sites are managed with the aim of achieving a combination of these goals. But at all times, they ensure a sustainable and coordinated approach to the stewardship of nature, our most precious resource.
This EEA report is the first publication of its kind to give a comprehensive survey of protected areas in Europe. It provides an account of the development of protected area policy in Europe, and gives a snapshot of the diversity of our protected areas, highlighting the wide range of benefits they provide.
Great progress has been made in the 20 years since the adoption of the Habitats Directive. However, there is still much more work to be done. Less than 20% per cent of the species and habitats listed by the Habitats Directive have favourable conservation status. We look forward to continuing our working with our partners at European, national and local level in the coming years to help further improve our natural heritage.
Professor Jacqueline McGlade,
Executive Director
Authors and acknowledgements
**EEA lead authors**
Carlos Romão; Johnny Reker (Chapter 7).
**ETC/BD lead authors**
Dominique Richard (MNHN);
Lawrence Jones-Walters (ECNC).
**EEA contributors**
Annamarie Bastrup-Birk, Mette Lund, Oscar Gomez,
Philippe Crouzet.
**EEA production support**
John James O’Doherty, Mona Mandrup Poulsen,
Pia Schmidt.
**European Topic Centre on Biological Diversity (ETC/BD)**
Brian Mac-Sharry, Doug Evans, Jérôme Bailly-Maitre, Muriel Vincent, Otars Opermanis,
Sophie Condé, Zelmira Sipkova — Muséum National d’Histoire Naturelle (MNHN);
Amor Torre Marin, Kristijan Civic, Marcus Zisenis — European Centre for Nature Conservation (ECNC);
Jan Plesník — Agentura ochrany přírody a krajiny České republiky (AOPK CR);
Thomas Ellmauer, Gebhard Banko, Dietmar Moser — Umweltbundesamt, Vienna;
Giulia Mo, Istituto Superiore per la Protezione e la Ricerca Ambientale, Roma.
**Acknowledgements**
**Advisory Committee**
Georg Grabherr, Department of Conservation Biology, Vegetation and Landscape Ecology, Faculty of Life Sciences, University of Vienna;
Henri Jaffieux, Chair of the French Association for the history of nature protection and the environment;
Kerstin Jankte, Universität Hamburg, Research Unit Sustainability and Global Change;
Ian Jardine, Chief Executive, Scottish Natural Heritage;
Stig Johansson, former Regional Chair of IUCN’s World Commission on Protected Areas Europe, Metsähallitus;
Christophe Lefebvre, French Marine Agency on Protected Areas;
Stefan Leiner, Head of the Nature Unit, DG Environment, European Commission;
Marta Mugica de la Guerra, Coordinator, EUROPARC Spain, Fundación Fernando González Bernádez, Madrid;
Mircea STARAS, Scientific Director Danube Delta National Institute.
**Feedback from Eionet**
National Reference Centres for Biodiversity;
Special contributions to Chapter 6: Christian Plössnig (Austria), Lauri Klein (Estonia), Jacques Comolet (France), András Schmidt (Hungary).
**Feedback from the European Commission (DG Environment)**
Frank Vassen and Fotios Papoulias (Nature Unit);
Marco Fritz (Biodiversity Unit);
Juan Pablo Pertierra (Marine Unit).
**Other contributions**
Amy Milam (UNEP-World Conservation Monitoring Centre);
Carol Richie (EUROPARC Federation);
Iva Obretenova (Council of Europe).
Protected areas today cover a relatively large part of Europe, with almost 21% of the territory of EEA member countries and cooperating countries consisting of protected areas. In spite of this widespread presence of protected areas in all European countries, the topic has not received as much attention on a pan-European level as other environmental issues. We hope this report from the EEA — the first we have compiled on the subject — will go some way to redressing the balance. The report provides a comprehensive overview of the current state of protected areas and aims to assist policymakers and the wider public in understanding the complexity of the current systems of protected areas.
This report is especially timely, as 2012 marks the 20th anniversaries of the Convention on Biological Diversity and of the EU Habitats Directive. Both of these legal instruments consider protected areas to be key tools in the maintenance and restoration of biodiversity and ecosystems.
For the purposes of this report, a ‘protected area’ is any site with defined boundaries classified or designated by countries under legislation primarily aiming at nature conservation i.e. at the protection, management and restoration of species, habitats and ecosystems. A protected area can thus be any area of sea, lakes, rivers or land that has been identified as important for the conservation of nature, and managed for this purpose. It is important to recognise that protected areas differ greatly in the extent to which they limit human activity within their boundaries. Some protected areas allow industry, extensive agriculture or fishing to occur within their boundaries, while others prohibit all of these activities. The term is thus very broad in its application.
The report covers all 32 countries that are members of the EEA — 27 European Union Member States, Iceland, Liechtenstein, Norway, Switzerland and Turkey — as well as the seven cooperating countries — Albania, Bosnia and Herzegovina, Croatia, the former Yugoslav Republic of Macedonia, Montenegro, Serbia and Kosovo under the UN Security Council Resolution 1244/99. The overseas protected areas of European countries are not considered in this report.
In Chapter 1, we discuss the policy context of protected areas. Protected areas have taken many forms historically, from medieval hunting reserves, to more modern national parks and nature reserves. These different forms reflected the different needs that protected areas were created to serve, whether it was protecting the resource of wild game, preserving natural beauty or, more recently, safeguarding biodiversity. The last century has seen a great increase in both the number of protected areas and the total surface area that has received protected designation. This increase in the number of protected areas has been accompanied by new international rules and agreements and rules to protect biodiversity through the establishment of protected areas. The most important international legal agreements for protected areas in Europe are the UN Convention on Biological Diversity and the EU’s Birds and Habitats Directives. These last two directives established the Natura 2000 network of protected areas.
Although the protection of biodiversity is one of the principal aims of protected areas today, there are a number of other benefits that protected areas bring. In Chapter 2, we examine these other benefits, and summarise the findings of several European studies on the matter. There is a variety of different approaches to calculating the benefits of protected areas and there is a debate over what precisely to measure when making these calculations. Nevertheless, society is increasingly recognising the social and economic values of protected areas. It is also becoming more aware of the environmental services that protected areas provide beyond preserving biodiversity, such as carbon sequestration, or mitigating the effects of natural disasters such as floods. Recent work done for the European Commission on the contribution of the Natura 2000 sites to the European economy indicates that the benefits of the network can be three to seven times the costs of implementing the network; this can be particularly important for local and regional economic development.
Protected areas encompass a wide variety of natural environments, from Black Sea shoreline to Alpine meadows and from arid shrub-land to rich pasture. In Chapter 3, we explore this diversity in
greater depth, in order to highlight the influence of biogeography and human activities in shaping the landscape and impacting on biodiversity. The European continent is characterised by eleven biogeographic regions, very little of which are wilderness: the mosaic of landscapes is the product of human intervention over many centuries. This context of diversity of biogeographical regions and history of human intervention explains the relatively large number of protected areas in Europe and their relatively small size compared to protected areas in Africa and the Americas. This human intervention has accelerated in recent decades, resulting in greater fragmentation of the landscape due to infrastructure and urbanisation, both of which have made the natural migration patterns of many species more difficult.
The environmental diversity of Europe’s biogeographical regions is matched by the diversity in its protected areas, which vary in size, aim and management approach. In Chapter 4, we give a snapshot of this diversity, introducing the different national and supra-national protected area designations, and comparing them with protected area systems outside Europe. We draw attention to the system of categories developed by the International Union for Conservation of Nature (IUCN). This system describes the management categories of protected areas and the types of human activity that are permitted in each category. This diversity of protected areas has given rise to networks, where groupings of protected areas exchange information and manage their sites according to shared aims, geographies or principles.
Two of the most important European networks of protected areas are the EU’s Natura 2000 and its close relative, the Emerald Network. In Chapter 5, we look in depth at these two networks and summarise their current status and progress in implementation. Natura 2000 currently covers close to 18% of EU land, but only about 4% of the marine waters under jurisdiction of EU Member States. Preliminary investigations into Natura 2000 suggest that that there is now good ‘connectivity’ – spatial and functional – among sites across national borders. However, the overall ecologic coherence could be further improved, namely through wider countryside measures; development of ‘blue’ (marine) and ‘green’ (terrestrial) infrastructures may also play a key role in improving the coherence and resilience of protected areas. The Emerald Network, which applies a Natura 2000-like approach to other countries beyond the EU, is still in its initial phase, and it is therefore too early to make any comprehensive assessment of it.
European designations such as Natura 2000 and the Emerald Network are not the only designation types for protected areas. European countries also have their own national and regional systems of protected areas. In Chapter 6, we look at the complementarity between these national designations and the implementation of Natura 2000. Natura 2000 covers about 70% of the total surface area of protected areas in the EU, and we look at four country case studies (Austria, Estonia, France and Hungary) to illustrate the diversity of national approaches. We conclude that Natura 2000 has both increased the total surface area of lands with protected designation, and strengthened the management of existing protected areas. However, the manner in which this has happened has not been uniform across Europe. In some countries, there is a strong overlap between these nationally designated protected areas and Natura 2000, whereas in other countries, there are large areas with protected status that are not Natura 2000 sites.
There is also a range of protected area policy instruments that apply to the seas. In Chapter 7, we look at marine protected areas, covering the Natura 2000 marine designations, and the EU’s Marine Strategy Framework Directive (MSFD). We also look at the four Regional Sea Conventions, which are smaller international agreements by countries sharing a sea that establish their own Marine Protected Areas (MPAs) outside the Natura 2000 framework. MPAs face a number of challenges. The greatest challenge is the lopsided location of the designations. There is a noticeable trend in locating protected areas close to the shore, with little protection for areas further from the coastline. This means that the network of MPAs as it currently stands omits important habitats and species (such as fish), and is therefore not ecologically coherent. We believe greater harmonisation between aspects of the MSFD and Natura 2000 could help in improving the coherence and representativeness of MPAs.
While progress has certainly been made in designating protected areas, there has been little in the way of comprehensive assessment of protected areas. In Chapter 8, we touch on some of the assessments that have been made so far. Most of these assessments are so-called ‘gap’ analyses, examining places that are important in terms of biodiversity, but which have not yet received protected area designation. However, there have been very few studies examining the actual effectiveness of protected areas themselves in maintaining and restoring biodiversity. This is largely due to the lack of available data on biodiversity status, and work is currently underway to establish new methodologies for the assessment of protected area effectiveness.
1 The policy and historical context of protected areas
Chapter summary
This chapter deals with the history of protected areas and with the most important policy frameworks that govern them today. It is divided into two main parts.
The first part (Section 1.1) discusses the history of protected areas. Protected areas have always existed in European history, and we argue that the evolution of the protected area is primarily the result of two main factors.
The first factor is the ownership or management of the protected area. Historically, ownership of the protected area was usually the domain of the monarch, who used the protected area for his or her personal benefit. But starting in the 19th century, protected areas began to be created by private associations purchasing parcels of land. In the 20th century, ownership of the protected area began to change again, with the modern state taking ownership of the protected area on behalf of its citizens.
The second main factor that determines the character of a protected area is the reason why a protected area is deemed to be of value in the first place. In Europe’s early history, the protected area was valued for either its game or as a resource for timber. But by the 16th and 17th centuries, the natural beauty of an area began to take precedence over the utility of the resources it contained. In the late 19th and early 20th centuries, the logic for protecting areas shifted once more. This time the intrinsic value of nature was emphasised over strictly aesthetic concerns. After the Second World War, the emphasis on nature’s intrinsic value began to give way to a new concern: the importance of maintaining biodiversity in protected areas. Finally, in the past 30 years or so, a more blended model has emerged, in which protected areas are valued for several reasons: as an aesthetic artefact, a repository of biodiversity, and a potential source of economic wealth (provided that wealth is sustainably used).
The second part of the chapter (Section 1.2) discusses the policy framework that governs protected areas today. It focuses on the two most important sources of protected area policy in Europe, the UN Convention on Biological Diversity, and the European Union itself.
Sierra de Guadarrama in the 1930s, Natura 2000 site, Spain
Photo courtesy of EUROPARC-España
Danube Delta National Park, Natura 2000 site, Romania
© Carlos Rômão
Protected areas, coherence and connectivity: a note on terminology
The term ‘protected area’ as used in this report covers a very wide variety of spaces and possible management regimes. The International Union for Conservation of Nature (IUCN) defines protected area as ‘a clearly defined geographical space, recognised, dedicated and managed, through legal or other effective means, to achieve the long term conservation of nature with associated ecosystem services and cultural values’. It can include any area of sea, lakes, rivers or land that has been identified as important for conservation of nature, and managed for this purpose. It is important to recognise that ‘protected areas’ differ in the extent to which human activity is limited within them. Some protected areas allow industry, extensive agriculture or fishing to occur within their boundaries, while others prohibit all of these activities. The term is thus very broad in its application. The evolution of the concept of protected area and a definition of what it means today is discussed in greater detail in the rest of this chapter. A framework of the different types of protected area is discussed in Chapter 4.
Groups of protected areas are often brought together into different networks to facilitate nature conservation where species or habitats are found in more than one geographic location. One of the key goals in establishing such a network is making it ‘ecologically coherent’. For instance, the Natura 2000 network is ecologically coherent if it includes sufficient sites — in number and area — distributed over a wide geographic area to achieve favourable conservation status and covers the full range of variation of habitat types and species mentioned in the European Union’s Habitats Directive.
In addition, migration, dispersal and genetic exchange of individuals between sites should be possible: this important additional feature of ecological coherence is ‘connectivity’ between the sites of the network. Connectivity is here defined as a measure of how much continuity there is in both habitats and species in different protected areas. Connectivity has two components: spatial and functional. The first — often called connectedness — refers to links between elements of the spatial structure of a landscape, and can be described from mapped elements. Thus a network has spatial connectivity if a habitat area that straddles a border designates a protected area on both sides. In this order, a site may have spatial connectivity if only the habitat on one side of the political border was protected. The second component of connectivity is functional connectivity, which measures the processes by which sub-populations of organisms are interconnected across protected areas into a functional demographic unit. An example of functionally connected protected areas would be a network of sites in different countries important to the different life stages of a migrating bird.
1.1 Historical context of protected areas
1.1.1 Early history of the protected area
The concept of protected areas has existed in Europe for several thousand years in the form of areas that were deemed to have significance for spiritual and religious reasons. However, the first formalised protected areas emerged in the feudal era, when land was set aside for the hunting of wild game. When William the Conqueror arrived in Britain from northern France in 1066 to become King of England, he brought the practice of creating hunting forests with him. In 1087, William formally declared a part of the current New Forest as a game-keeping forest.
With this action, William established the principle of drawing a line around an area of land on a map in order to provide for its special management and protection, including measures to punish those who transgressed the laws relating to such areas. Legislation to protect game and royal forests from illegal poaching was introduced widely across 15th century Europe.
Most of these protected areas in medieval and early modern Europe were conceived of as an isolated tool to conserve an individual resource, usually timber or game. For example, Sigismund, king of Hungary and Holy Roman Emperor, protected game in his forests in the 15th century, while many of the forests in Ottoman Turkey were protected to safeguard timber supplies for naval construction as early as the 16th century. The idea of territorial protection as a comprehensive method to preserve nature in a broader sense did not become widespread until much later. A critical step in this process was the emergence of the landscaped garden in the stately homes of the rich and powerful in 17th and 18th century Britain. These gardens mixed elements of ‘wild’ nature with some human design. In this,
they represented an important departure from the highly formalised garden designs that were then popular in contemporary France.
The landscaped garden presented nature in its more refined state as an object of beauty. This wild aesthetic was taken up enthusiastically by the European Romantic movement, which placed great importance on the beauty of such untamed places. In 1819, this romantic aesthetic led the German romantic Alexander von Humboldt to coin the term ‘nature monument’ (Naturdenkmal), for an area that should be protected due to its natural beauty.
The rest of the 19th century saw the emergence of an ever-growing number of civil society organisations, whose express purpose was to protect these areas of natural beauty. The first real protected areas were declared in Germany in the 1820s. This was followed by the creation of protected areas in what was then the Austro-Hungarian Empire (present day Slovenia and the Czech Republic).
### 1.1.2 Private and public
These initial steps toward the creation of protected areas in the 19th century were led mainly by privately funded organisations. But by the early 20th century, the state re-emerged as an actor in protected areas, leading to the creation of publicly funded protected spaces.
One of the early private organisations established to protect parts of the countryside was Britain’s National Trust for Places of Historic Interest or Natural Beauty. The National Trust was founded in England in 1895 with the aim of conserving monuments and natural sites, which the association could acquire on behalf of the nation. The Trust was responding to the desire expressed by the poet William Wordsworth (1770–1850), to create a series of ‘national properties’. Individual philanthropists also helped provide the money for protecting nature in Britain. In 1912, the Society for the Promotion of Nature Reserves (SPNR) was established in the United Kingdom by Charles Rothschild, and in 1910, the yet-to-be-constituted organisation purchased Wicken Fen in order to protect it as a nature reserve.
Similar, privately initiated societies were established in the Netherlands and Switzerland. In 1905 the two Dutch nature conservation pioneers, Jac. P. Thijsse (1865–1945) and Eli Heijmans founded the Vereniging tot Behoud van Natuurnmonumenten (Society for preservation of nature monuments). These private initiatives ran in parallel with early attempts to publicly manage protected areas. Gammelmosen near Copenhagen was made a protected area for scientific study under a Royal Resolution of 1844. Shortly afterwards, the Fontainebleau Forest near Paris was made a protected area in 1853 as a result of a campaign by bohemian artists and poets primarily to preserve its many ancient trees.
### 1.1.3 The era of the national park and the nature reserve
A new way of organising protected areas began to filter through to Europe in the early part of the 20th century. This was the idea of the protected area as a ‘national park’. The concept of the national park was established in the 19th century in North America, where large parcels of undeveloped land were protected from human exploitation or habitation. As an intermediate step, many European countries experimented with creating national parks in their colonies, where the context was perceived to be comparable to that of the New World countries.
National parks were first created in the model of the smaller, privately owned protected areas that had emerged in the 19th century. The increasing popularity of the US-inspired national park concept led to pressure in Germany to create similar national parks. One private initiative led to the foundation in 1909 of the Nature Park Society (Verein Naturschutzpark or VNP). It planned to create parks in the Alps, the Central Uplands and in the north German Geest region. By 1913, the society already had 13,000 members with their associated membership income and donations. The Lüneburg Heath near Wilsede was selected as the location for the north German national park. Using the VNP’s funds, more than 30 km² of heathland were purchased or rented by 1913.
Also in 1909, the Ligue Suisse pour la protection de la Nature (Swiss League for the Protection of Nature) was founded to finance the leasing of land for the future creation of the Basse-Engadine national park.
Both the Swiss and German examples were significant in that the organisations conceived of their project as one of creating a national park. However, in both cases, the organisations were privately run and managed. The first country to establish national parks that were owned by the state was Sweden, when it passed legislation to that end in 1909. Switzerland followed with similar legislation in 1914.
The creation of protected areas in the form of nationally-owned parks took on a new energy after the First World War. National parks were created in Spain in 1918 (Covadonga, Ordesa); Italy in 1922 (Gran Paradiso); Iceland in 1929 (Thingvellir); Poland in 1936 (e.g. Pieniny, Tatra, Babia Gora and Białowieza); and Finland and Greece in 1938 (Olympe and Parnasse).
In Germany and Italy, the governmental responsibility for nature conservation had been a matter of ongoing debate in the early 20th century. But there was no resolution of the debate until 1935 when the *Reichsnaturschutzgesetz* (Reich Nature Protection Act) was passed and immediately implemented. After the annexation of Austria to Germany in 1938, the act also became relevant for that country. By 1940, more than 800 areas had been declared as protected based on this act. Even after the Second World War it still remained in power — more or less modified — constituting the *de jure* backbone of nature conservation in both Austria and Germany up to the 1970s. Nowadays, famous protected areas such as the ‘Rhinedelta’ at Lake Constance, which is an important site for bird migration, or the Karwendel Mountains in Tyrol, have the roots of their governance in the *Reichsnaturschutzgesetz* or its successors.
Most of the European national parks set up just before or shortly after the First World War were consciously following the US model of national parks. Like US national parks, they were originally established in less populated areas. However, the European national parks were typically smaller than those in the United States.
This period also saw the first tentative signs of an internationalisation of the protected area movement. In 1933, several colonial European powers signed the ‘London Convention Relative to the Preservation of Fauna and Flora in their Natural State’ to protect the wildlife and flora of Africa.
Although the number of national parks in Europe continued to grow in the early 20th century, they were not the only type of protected area. Throughout the first half of the 20th century, another way of organising a protected area existed in the form of the nature reserve. Like national parks, nature reserves were conceived as protected areas, but the nature reserve was especially singled out for the quality of its flora and fauna, whereas a national park was considered to be as important for its natural beauty as it was for its plant and animal life.
Thus the trend for creating nature reserves ran alongside that for creating national parks. In 1916, the first Finnish protected area — today called Malla Strict Nature Reserve — was established under Russian rule. In 1932, the first bilateral protected area between Poland and Slovakia was established, a Nature Park in the Pieniny Mountains. Lețea Forest in the Danube River Delta was placed under protection in 1930. In 1938, it was declared a Nature Reserve in order to protect its flora and fauna. This is the oldest natural reserve in Romania and perhaps one of the oldest protected areas in Eastern Europe.
### 1.1.4 Changing perceptions of the protected area
After the Second World War, the biological uniqueness of a protected area began to take on greater policy significance than the simple idea of a protected area as a place of natural beauty. In 1948, the International Union for Conservation of Nature (IUCN) was set up to promote the conservation of nature worldwide and in 1969 they formally defined the term ‘National Park’.
The post-war period also saw the greatest increase in the amount of land accorded protected area status. At the global scale, more than 80% of the world’s protected areas have been established since 1962, when the first World Parks Congress was held. In Europe, both the number of nationally designated protected areas as well as their total size has been growing exponentially ever since (Figure 1.1). In 2009, to commemorate 100 years of national parks in Europe, EUROPARC published a book ‘Living Parks: 100 Years of Protected Areas in Europe’, along with several other activities (EUROPARC, 2009).
The idea that a protected area’s main role was to safeguard biological diversity led to corresponding beliefs about the best way to manage the protected area. Until the 1970s, protected areas were viewed as being independent from their surrounding landscape or seascape, as isolated ‘jewels of the crown’. Societal benefits were mostly considered as incompatible with protected area objectives, and attempts to steer protected areas towards delivering social and economic benefits were largely viewed as compromising nature conservation and landscape protection objectives. Protected areas were primarily a government-driven enterprise — owned by national and sub-national governments, maintained and managed by government staff, and funded through taxes and annual government allocations.
But starting in the 1970s, this constellation of beliefs about the purpose of protected areas and the correct way to manage them began to change (Table 1.1). Planners of protected areas began to acknowledge the importance of local communities, and recognise governance models beyond government-run national parks. They also started to address the need for more systematically — and comprehensively — designed networks of protected areas, applying new ideas in the rapidly developing field of conservation planning.
Protected areas began to be viewed more as social enterprises to be managed with the needs of local communities in mind, often in partnership with social scientists, local communities and other stakeholders. At the same time, the stewardship of protected areas began to be opened up to new partners, including non-governmental organisations. This led to the creation of new forms of protected areas such as ‘community-conserved areas’.
These changes have continued to shape protected area policy to the present day. In the emerging contemporary perception of protected areas, they are viewed as a critical component of a life support system, and they are expected to provide more than they ever have before. They are supposed to do more than simply protect biodiversity or provide habitats and refuges for species. They are now seen as nodes of environmental resilience, enabling humans and wildlife to adapt to the impacts of climate change, by mitigating climate change through the storage and sequestration of carbon. Protected areas are also relied on to provide so-called ‘ecosystem services’: the goods and services that an ecosystem provides such as clean water, temperature regulation and food provision.
Table 1.1 The changing perception of protected areas
| As it was (19th century) Protected areas were: | As it is becoming (21st century) Protected areas are: |
|-----------------------------------------------|-----------------------------------------------------|
| **Objectives** | |
| – Set aside for conservation | – Run also with social and economic objectives |
| – Established mainly for spectacular wildlife and scenic protection | – Often set up for scientific, economic and cultural reasons |
| – Managed mainly for visitors and tourists | – Managed more with local people in mind |
| – Valued as wilderness | – Valued for the cultural importance of ‘wilderness’ |
| – About protection | – Also about restoration and rehabilitation |
| **Governance** | |
| – Run by central government | – Run by many partners |
| **Local people** | |
| – Planned and managed against people | – Run with, for, and in some cases by local people |
| – Managed without regard to local opinions | – Managed to meet the needs of local people |
| **Wider context** | |
| – Developed separately | – Planned as part of national, regional and international systems |
| – Managed as ‘islands’ | – Developed as ‘networks’ (strictly protected areas, buffered and linked by green corridors) |
| **Perceptions** | |
| – Viewed primarily as a national asset | – Viewed also as a community asset |
| – Viewed only as a national concern | – Viewed also as an international concern |
| **Management techniques** | |
| – Managed reactively within short timescale | – Managed adaptively in long-term perspective |
| – Managed in a technocratic way | – Managed with political considerations |
| **Finance** | |
| – Paid for by taxpayer | – Paid for from many sources |
| **Management skills** | |
| – Managed by scientists and natural resource experts | – Managed by multi-skilled individuals |
| – Expert led | – Drawing on local knowledge |
Source: Phillips, 2003.
Protected areas are also expected to provide a host of social benefits, not only sustaining communities in and around their boundaries, but also by significantly contributing to the aims of the UN’s Millennium Development Goals. They are also expected to do more economically, not only by generating revenue to sustain their own operation, but also by bolstering local and national economies through tourism and the supply of minor forest products, fish and other resources. This economic benefit also extends to the more indirect work of provision of ecosystem services such as the regulation of water supplies (Ervin et al., 2010). However, it should be noted that while these economic arguments have gained more weight in recent years, the intrinsic value of protected areas still remains a fundamental raison d’être for their continued protection and management.
The result today is a changed perception of protected areas, which contrasts in almost every respect with that which prevailed 40 or even 30 years ago. The drivers of change behind this contemporary model of protected areas include increased scientific sophistication and understanding, particularly in conservation biology and spatial ecology, as well as a heightened awareness of human rights, including through international conventions such as the Declaration on the Rights of Indigenous Peoples (UN, 2008). The change was also driven by new understandings of the role of civil society, and technological advances such as geographical information systems (GIS), remotely sensed data, and spatial modelling tools.
One international agreement stands out in this period for role in promoting transnational approaches to the conservation of sites: the 1971 Ramsar convention on Wetlands of International Importance, which created a framework for national action and international cooperation for the conservation and wise use of wetlands and their resources.
These changes in the understanding of what a protected area is for have been reflected also in changes of the definition of protected areas used by
many of the representative worldwide associations. In the IUCN’s Guidelines for Protected Area Management Categories published in 1994, the definition of a protected area was: ‘an area of land and/or sea especially dedicated to the protection and maintenance of biological diversity, and of natural and associated cultural resources, and managed through legal or other effective means’ (IUCN/WCMC, 1994). But in their new guidelines from 2008, the IUCN adds to the definition a role for the protected area in the provision of ecosystem services. The guidelines call a protected area: ‘A clearly defined geographical space, recognised, dedicated and managed, through legal or other effective means, to achieve the long-term conservation of nature with associated ecosystem services and cultural values’ (Dudley, 2008).
The changed perception of protected areas has also involved a shift away from conceiving of the protected area as an isolated space, and instead recognising it as part of an ecological network of other protected areas. Together, these networks are conceived of as forming a system of representative natural habitats that form core areas, corridors and buffer zones. The Pan-European Ecological Network (PEEN) set up in 2003 by the Council and Europe and UNEP aimed at providing a unifying framework across Europe to promote such concepts.
Networks of protected areas allow exchange of information and transfer of know-how and experiences. This is why there is an increasing number of social, institutional and learning networks of individuals and organisations involved in protected area establishment and management, either at regional (e.g. EUROPARC, ALPARC, MedPAN) or national level (e.g. Dutch national parks foundation).
At the global level, there are various networks of protected areas meeting certain pre-agreed criteria of excellence, management standards or significance for global conservation (e.g. the network of UNESCO World Heritage sites; or the Ramsar list of Wetlands of International Importance; or the World Network of Biosphere Reserves, created by the UN’s Man and the Biosphere programme in 1977).
### 1.2 Recent policy developments
European policy regarding protected areas is mostly the product of initiatives from two main sources: the United Nations Convention on Biological Diversity, and the European Union itself. In what follows, we give a brief account of the most recent policy developments from these sources.
#### 1.2.1 Protected area policy and the Convention on Biological Diversity
The UN Convention on Biological Diversity is an international treaty to which almost 200 countries are party. The Convention states that, as far as possible and appropriate, parties shall ‘establish a system of protected areas or areas where special measures need to be taken to conserve biological diversity’ (CBD, 2007).
Since the CBD came into force in 1993, the number of protected areas worldwide has almost doubled, and the surface area of all land and seas with protected status has increased by about 60 % (Gidda, 2010).
The 5th World Parks Congress, held in Durban in 2003 under the title ‘Benefits Beyond Boundaries’, aimed to consolidate the role of protected areas in conserving biodiversity, as well as encouraging debate on their role in human development, in the fight against poverty and in moderating the effects of global change. This led to the more formalised process of the CBD’s Programme of Work on Protected Areas, adopted in 2004, and still relevant to policy today. The Programme provides an agreed and formalised framework for the development of ecologically representative and effectively managed systems of protected areas.
It triggered the launch of regional protected area initiatives, and facilitated the documentation of ecological, economic, social and cultural benefits of protected areas. The PoWPA succeeded in moving the international protected area community from policy discussions to implementation, focusing energy and resources on practical measures towards implementation (Gidda, 2010). As a result, protected areas have become a major instrument to reduce the rate of worldwide biodiversity loss, leading to the new subject of ‘protected area management effectiveness’ (PAME).
One of the specific goals of the PoWPA was to help countries meet specific targets on biodiversity. The first set of targets was the CBD 2010 Biodiversity Target agreed in April 2002. This agreement committed the parties to achieving a significant reduction of the current rate of biodiversity loss at the global, regional and national level by 2010. This target was subsequently endorsed by the World Summit on Sustainable Development and the United Nations General Assembly, and was incorporated as a new target under the Millennium Development Goals.
However, this goal was not met, leading to a reformulation of the Biodiversity Target. At a
meeting in Nagoya, Japan in 2010, the CBD adopted the Strategic Plan for Biodiversity 2011–2020, along with a series of new, so-called ‘Aichi Targets’. These targets commit the almost 200 signatory countries to protecting the most biodiverse parts of their national territory, and those parts of their territory that are most crucial for protecting ecosystem services.
Under the targets, countries must ensure that by 2020 at least 17% of their terrestrial and inland water areas, and 10% of their coastal and marine areas are conserved through a system of protected areas. The Aichi Targets also envisage that these protected areas will create social benefits by sustaining communities in and around their boundaries, and by buffering humanity from the impacts of climate change. The protected areas are also expected to make an economic contribution by generating revenue to provide for their own upkeep. They will also make a less visible contribution and through the provision of broader ecosystem services.
1.2.2 Protected area policy in the European Union
At EU level, several directives of the European Council have been particularly important for the creation of protected areas. Like the policy of the CBD, these directives have also seen protected areas as a means of protecting biodiversity and providing a variety of ecosystem services. An early turning point for biodiversity conservation in the EU was the implementation of the Council Directive 79/409/EEC on the conservation of wild birds (more recently updated as 2009/147/EC) — the Birds Directive. The Habitats Directive (Council Directive 92/43/EEC on the conservation of natural habitats and of wild fauna and flora) was also critical.
These two nature conservation instruments of the EU envisage the creation of protected areas as a means of achieving their objectives. The Special Protected Areas (SPAs) classified under the Birds Directive, and Special Areas of Conservation (SACs) designated under the Habitats Directive form the Natura 2000 network, an EU-wide ecological network of protected areas. The establishment of the Natura 2000 network has been an important milestone and a turning point in the history of European protected areas (illustrated and elaborated on in the following chapters). It is the most extensive protected area system worldwide, at the moment comprising more than 26 000 sites.
The Birds and Habitats Directives covered a broad swathe of territories including dry land, wetlands and seas. But the EU has also taken action specifically to protect water and marine environments and their ecosystems. The Water Framework Directive (WFD) (EC, 2000) sets the broad scope for action and ambitious goals for the protection of inland surface waters, transitional waters, coastal waters and groundwater. Article 6 of the WFD requires that all Member States establish a register of designated sites requiring special protection under specific Community legislation for the protection of their surface water and groundwater, or for the conservation of habitats and species directly depending on water.
For the marine environment, on top of the three directives mentioned above, the Marine Strategy Framework Directive (MSFD), which came into force in July 2008, establishes a framework within which Member States shall take the necessary measures to achieve or maintain good environmental status in the marine environment by the year 2020. Article 13 of the Directive states that the measures to be established shall include spatial protection measures, contributing to coherent and representative networks of marine protected areas. The MSFD is the first Community framework instrument aimed specifically at protecting and preserving the marine environment as a whole, and the first attempt by the EU to implement ecosystem-based management of human activities in the marine environment (Fleming-Lehtinen, 2011).
As part of its commitments to the CBD, the European Commission in 2011 also adopted a new biodiversity strategy ‘Our life insurance, our natural capital; an EU biodiversity strategy to 2020’ (1). The strategy also provides a framework for the EU to meet its own independent biodiversity objectives, and it sets out both a long-term vision and a short-term target as follows:
2050 vision
By 2050, European Union biodiversity and the ecosystem services it provides — its natural capital — are protected, valued and appropriately restored for biodiversity’s intrinsic value, and for their essential contribution to human wellbeing and economic prosperity, and so that catastrophic changes caused by the loss of biodiversity are avoided.
(1) http://ec.europa.eu/environment/nature/biodiversity/comm2006/2020.htm.
2020 headline target
Halting the loss of biodiversity and the degradation of ecosystem services in the EU by 2020, and restoring them in so far as feasible, while stepping up the EU contribution to averting global biodiversity loss.
Out of six targets in the biodiversity strategy, two are particularly important for protected areas. One of these targets relates to species and habitats protection and another one to ecosystem protection. The first target is that by 2020 100 % more habitat assessments and 50 % more species assessments under the Habitats Directive should show a favourable or improved conservation status compared to current assessments. This target also seeks to ensure that by 2020, 50 % more species assessments under the Birds Directive should show a secure or improved status. The second target is to maintain, enhance and restore ecosystems and their services by 2020, by establishing green infrastructure and restoring at least 15 % of degraded ecosystems.
Although the EU 2020 biodiversity strategy serves as the main vehicle for EU action to address biodiversity issues, reaching the 2020 headline target will require the full implementation of all existing EU environment-related legislation, as well as action at national, regional and local level.
Table 1.2 Environmental policy instruments important for the establishment of protected areas in Europe
| Conventions at the global level | Year | Description |
|---------------------------------|------|-------------|
| The Convention on Wetlands of International Importance (Ramsar Convention) * | 1971 | The Convention on Wetlands is an intergovernmental treaty signed in Ramsar, Iran, and came into force in 1975. It is the framework for national action and international cooperation for the conservation and wise use of wetlands and their resources. |
| The World Heritage Convention * | 1972 | The World Heritage Convention was adopted by the General Conference of UNESCO, and links nature conservation and the preservation of cultural properties. |
| The Convention on the Conservation of Migratory Species of Wild Animals (Bonn Convention) | 1979 | The Convention on the Conservation of Migratory Species of Wild Animals was signed in Bonn, Germany and came into force in 1983. |
| United Nations Convention on the Law of the Sea | 1982 | The Convention has been ratified or acceded to by more than 150 states and the European Union. It governs all aspects of ocean space from delimitations to environmental control, scientific research, economic and commercial activities, technology and the settlement of disputes relating to ocean matters. |
| Convention on Biological Diversity (CBD) | 1992 | The objectives of the Convention are: conservation and sustainable use of biological diversity, and the fair and equitable sharing of the benefits arising out of the use of genetic resources. The CBD came into force in 1993. |
| Conventions at the pan-European level | Year | Description |
|---------------------------------------|------|-------------|
| The Convention on the Conservation of European Wildlife and Natural Habitats (Bern Convention) * | 1979 | The Bern Convention is a binding international legal instrument in the field of nature conservation, which covers most of the natural heritage of the European continent and extends to some states of Africa. It was opened for signing in Bern, Switzerland, and came into force in 1982. |
| Alpine Convention | 1994 | The Alpine Convention sets out the basic principles and general measures for sustainable development in the Alpine region and includes the Protocol for the Implementation of the Convention in the field of Nature Protection and Landscape Conservation. The Convention entered into force in March 1995. |
| European Landscape Convention (Florence Convention) | 2000 | The European Landscape Convention promotes the protection, management and planning of European landscapes, and organises European cooperation on landscape issues. The Convention was adopted in Florence, Italy, and came into force in March 2004. |
| Carpathian Convention | 2003 | The Carpathian Convention, signed in Kiev, Ukraine, provides the framework for cooperation and multi-sectoral policy coordination, a platform for joint strategies for sustainable development, and a forum for dialogue between all stakeholders in the Carpathian region. |
### Table 1.2 Environmental policy instruments important for the establishment of protected areas in Europe (cont.)
#### Conventions on pan-European seas
| Convention | Year | Description |
|---------------------------------------------------------------------------|--------|--------------------------------------------------------------------------------------------------------------------------------------------|
| Barcelona Convention * | 1976 | The Convention for the Protection Of The Mediterranean Sea Against Pollution came into force in 1978. It was revised in Barcelona, Spain, in June 1995 as the Convention for the Protection of the Marine Environment and the Coastal Region of the Mediterranean. |
| Convention on the Protection of the Marine Environment of the Baltic Sea Area (Helsinki Convention) | 1992 | The Convention entered into force in January 2000. The Helsinki Commission (HELCOM) is the governing body of the Convention, which works to protect the marine environment of the Baltic Sea from all sources of pollution through intergovernmental cooperation between countries. |
| The Convention for the Protection of the marine Environment of the North-East Atlantic (the OSPAR Convention) | 1992 | The OSPAR Convention is the current legal instrument guiding international cooperation on the protection of the marine environment of the North-East Atlantic. It unified, up-dated, and extended the 1972 Oslo Convention against dumping and the 1974 Paris Convention covering land-based sources and the offshore industry. The new annex on biodiversity and ecosystems was adopted in 1998 to cover non-polluting human activities that can adversely affect the sea. |
| The Convention on the Protection of the Black Sea Against Pollution (Bucharest Convention) | 1992 | The Convention was signed in Bucharest, Romania and was ratified by all six Black Sea countries in the beginning of 1994. The Convention has given rise to many schemes for the protection of natural habitats. They include the Black Sea Environmental Programme, which organizes conservation work in habitats that are critical for populations of priority species. |
| Arctic Council | 1996 | The Ottawa Declaration formally established the Arctic Council as a high level intergovernmental forum providing the means for promoting cooperation, coordination and interaction among the Arctic States, with the involvement of the Arctic indigenous communities and other Arctic inhabitants on common Arctic issues, in particular issues of sustainable development and environmental protection in the Arctic. |
#### Directives of the European Union
| Directive | Year | Description |
|--------------------------------------------------------------------------|--------|--------------------------------------------------------------------------------------------------------------------------------------------|
| Directive 79/409/EEC on the conservation of wild birds (Birds Directive) * | 1979 | The Birds Directive is the EU’s oldest piece of nature legislation and one of the most important, creating a comprehensive scheme of protection for all wild bird species naturally occurring in the Union. Following numerous updates over the years, the codified version was published in 2009 (Directive 2009/147/EC). |
| Directive 92/43/EEC on the conservation of natural habitats and of wild fauna and flora (Habitats Directive) * | 1992 | The Habitats Directive forms the cornerstone of Europe’s nature conservation policy. It is built around two elements: the Natura 2000 network of protected sites and the strict system of species protection. |
| Directive 2008/56/EC establishing a framework for community action in the field of marine environmental policy * | 2008 | The Marine Strategy Framework Directive identifies spatial protection measures as a tool for achieving good environmental status. |
#### Other instruments
| Instrument | Year | Description |
|--------------------------------------------------------------------------|--------|--------------------------------------------------------------------------------------------------------------------------------------------|
| The London Convention Relative to the Preservation of Fauna and Flora in their Natural State | 1933 | This Convention had objectives to protect species of value as hunting trophies and to create protected areas in Africa. For the first time at international level the Convention provided a definition of national parks and nature reserves. |
| European Diploma of Protected Areas | 1965 | This instrument of the Council of Europe is awarded to protected areas because of their outstanding scientific, cultural or aesthetic qualities; they must also be the subject of a suitable conservation scheme which may be combined with a sustainable development programme. |
| Man and the Biosphere Programme (MAB) * | 1971 | UNESCO’s MAB Programme is an Intergovernmental Scientific Programme aiming to set a scientific basis for the improvement of the relationships between people and their environment globally, among which through the creation of Biosphere reserves. |
Table 1.2 Environmental policy instruments important for the establishment of protected areas in Europe (cont.)
| European Network of Biogenetic Reserves * | 1976 | The network of Biogenetic Reserves was started by the Council of Europe to encourage Member States to cooperate with a view to conserving representative examples of natural habitats that are especially valuable for nature conservation in Europe. |
|------------------------------------------|------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Global Geoparks Network * | 1991 | The Geoparks initiative was launched by UNESCO in response to the perceived need for an international initiative that recognises sites representing an earth science interest. For the purpose, a new internationally recognised label ‘UNESCO Geopark’ was developed. |
Note: * Instruments marked with an asterisk lead to a specific designation of protected areas.
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2 Protected areas: the many visions of value
Chapter summary
The perception of protected areas has changed greatly in recent years. The earliest motives for protecting an area were probably to safeguard its spiritual significance or its status as a hunting ground. In Europe today, the most common motivation for protecting an area is a blended one and areas are rarely protected for a single reason. Often the rationale is a combination of valuing nature as an intrinsic good, valuing the biodiversity it provides and valuing the economic potential it contains.
This greater emphasis on the socio-economic benefits of protected areas has brought with it a requirement to measure these benefits, and to use these measurements in policy decisions. In this chapter, we examine the issue of how to place a value on nature. Our focus will principally be on monetary value, although we also consider non-monetary forms of valuation. We deal firstly with the theoretical approaches to valuing nature and the problems it presents (Section 2.1). We then turn to the more practical approaches that focus on: what specific benefits are valued, where in geographic terms these benefits are felt, and who receives the benefit (Section 2.2). By way of illustration, we finish with an example of a valuation exercise from the EU’s Natura 2000 network of protected areas (Section 2.3).
2.1 Theoretical approaches to valuation
By defining boundaries around natural areas in order to control what happens inside those boundaries, society places implicit value on biodiversity. But distinguishing ‘value’ in this intrinsic sense from a more concrete or monetary value for nature is a complex challenge. The resulting juxtaposition of nature and development begged many questions about the monetary value of nature. Further European legislation also provided drivers for the valuation of nature. For example, the EIA Directive on Environmental Impact Assessment of the effects of projects on the environment was introduced in 1985. The EIA procedure ensures that the environmental consequences of projects are identified and assessed before authorisation is given. At national level, many countries have developed assessment methodologies within which biodiversity is a consideration (Jones-Walters and Mulder, 2009).
In response to these legislative developments, ecologists and environmental economists have developed an array of tools and methods to quantify and monetise the value of whole ecosystems and the goods and services that they provide. The debate on the monetary value of nature is a complex one. However, some of the main lines of argument can at least be explained relatively briefly.
One key distinction that runs through all attempts at ecosystem valuation is the difference between so-called use and non-use values. Use values provided by ecosystems include the production of goods such as seafood and timber, as well as the production of life-support processes or regulation functions, such as pollination or water purification. Cultural and religious functions are also a type of use value. Non-use values are related to the so-called ‘bequest’ and ‘existence’ functions that can be tied to an ecosystem. A bequest value is the benefit derived from knowing a resource will be passed on to future generations. Ecosystems have value in terms of conservation of options, such as genetic diversity for future use. An existence value arises when individuals value an asset even though they will never see or use it directly.
This variety of different motivations for valuing nature has given rise to a range of different methods for quantifying that value in monetary terms. There are two main approaches for quantifying nature’s value (Jones-Walters and Mulder, 2009):
- The first of these is the stated preference approach. One example of the stated preference approach is the Contingent Valuation Method or ‘willingness to pay’ method. This method is frequently used to give nature an economic value by asking people to place explicit monetary values upon environmental goods.
- The second approach to quantifying nature’s value is the revealed preference approach. This is a more indirect approach that makes it possible to value nature on the basis of consumer behaviour and choices. Examples of revealed preference approaches include: the Travel Cost method (TC), the Hedonic Pricing method (HP), the Averting Behaviour method (AB), the Production Function method (PF), the Prevention Cost method (PC), and the Shadow Pricing Method (SPM).
Both approaches have clear advantages and disadvantages. The advantage of stated preference tools such as CVM is that they can be used to economically measure the full spectrum of use and non-use ecosystem benefits. A disadvantage is that they are based on questionnaires. There is a difference between what people say they value in questionnaires and what people show they value through their daily actions. Also, it is difficult to place an economic value on an ecosystem service through a questionnaire when the general public may be ill-informed or unfamiliar with the subject.
Revealed preference methods also have shortcomings. They can only be used for a limited number of biodiversity value categories, as they do not allow a monetary assessment of non-use values.
Yet another way of calculating the value of an ecosystem is by looking at the monetary sum of all use and non-use values for a good or service provided by a given ecosystem. The so-called ‘Total Economic Value’ (TEV) framework is especially helpful because it focuses on how much of an ecosystem’s economic value is actually reflected in the real economy at present, who are the beneficiaries, and how many jobs are directly and indirectly sustained by it. However, the TEV approach is also problematic in some respects. The principal problem is that the aggregate TEV of a given ecosystem’s functions, or combinations of such systems at the landscape level, may not be equivalent to the total system value. The continued functioning of a healthy ecosystem is a complex process that represents more than the sum of its individual functions or components; there is therefore a hidden value attached to the ‘completeness’ of an ecosystem in terms of the composition of its species and habitats. This makes the TEV approach, like other economic valuation approaches, inherently imperfect in accounting for the full economic value of nature areas and landscapes.
In spite of the theoretical difficulties of valuing nature, researchers are in the process of developing several methodologies to place a financial value on natural assets, biodiversity and the ecosystem services that they provide. One such method is The Economics of Ecosystems and Biodiversity (TEEB) process, and specifically the recommendations within the TEEB for policymakers (TEEB 2011).
### 2.2 From theory to action
The debate over what methodology to use when attempting to value nature will continue. But in practice, only some of the values outlined above can be estimated in terms of money. This leaves policymakers in some difficulty: presented with
such a variety of theoretical valuation approaches, they are aware of the possible shortcomings in each method, but still need to act. Policymakers have thus typically chosen to adopt a less abstract approach, and accept that the final assessment of the overall value of the site is always likely to be a combination of estimates. These estimates are qualitative, quantitative and monetary, and cannot easily be merged into one single euro figure (Kettunen et al., 2009).
In order to assist the more qualitative work of valuing protected areas, we can choose to turn away from the question of the exact monetary benefits of a protected area, and instead examine how these benefits manifest themselves. This allows for a more practical — albeit necessarily imprecise — approach to valuing nature and protected areas. In what follows, we attempt to follow that practical course by looking at what the benefits of nature are, as well as where and who they accrue to. In this respect the recent paper by Larsen et al. ‘Conserving critical sites for biodiversity provides disproportionate benefits to people’ provides an interesting perspective on this issue.
2.2.1 What are the sectoral benefits?
Ecosystem services provided by protected areas consist of different types of benefits ranging from the provision of resources to the fundamental processes that underpin an ecosystem’s whole existence. One of the most important perspectives on ecosystem services in the current European context is the concept of ‘green infrastructure’. In the past, green infrastructure was used to describe natural, connected habitats within urban areas. However, it has recently been used in a broader sense in the European Commission’s EU 2020 European biodiversity headline target and 2050 vision, aimed at halting and reversing the loss of biodiversity across the territory of the Member States, and as a response to the Aichi targets signed at the CBDs COP 10 (EC, 2011).
In this use of the term, green infrastructure describes an approach to the natural environment that recognises the importance of ecosystems, the services they provide and the complex ways in which they are connected to each other and to society. The term also refers to the processes in place to address and mitigate climate change and to improve resilience in the face of natural disasters. For example, a green infrastructure approach would seek to prevent flooding by using ecosystem-based approaches for coastal protection through marshes/flood plain restoration rather than constructing dikes. Green infrastructure helps ensure the sustainable provision of ecosystem goods and services while increasing the resilience of ecosystems. It also promotes integrated spatial planning by identifying multi-functional zones and by incorporating habitat restoration measures and other connectivity elements into various land-use plans and policies, such as linking peri-urban and urban areas or in marine spatial planning policy. Its ultimate aim is contributing to the development of a greener and more sustainable economy by investing in ecosystem-based approaches delivering multiple benefits in addition to technical solutions, and mitigating the adverse effects of transport and energy infrastructure (EC, 2012).
Components of a green infrastructure include protected areas, such as Natura 2000 sites (EC, 2010a). With protected areas at its heart, it can provide environmental, economic and social benefits, mainly by encouraging partnerships and the active involvement of relevant stake- and resource holders on the ground.
Dujin et al. (2008) identified three major types of values related to protected areas: socio-economic, social, and environmental (Figure 2.1). By way of caveat, it must be remembered that ecosystem services are often interlinked, and in many cases the existence of one service is dependent on the existence of some other services. Therefore, assessing the total economic value of a site by simply summing up the different available value estimates can lead to overestimating the total value, a problem called ‘double counting’. Here are some of the sectoral benefits provided by protected areas.
• **Employment and economic support to weak regions**: Protected areas make a significant contribution to a regional economy, including job creation. Often this contribution comes through tourism (Stollton, 2009). The creation of infrastructure and the management of conservation sites also create new jobs. Properly managed Natura 2000 sites support long-term employment, contribute to an economically diverse local economy, and encourage skills retention and development. Many sites attract significant visitor numbers whose spending increases income diversification in economies often reliant on agriculture (BirdLife International, 2011).
• **Marketing agro-biodiversity and protected areas (labelling and branding)**: Protected areas can foster biodiversity in agriculture,
also known as agrobiodiversity. There is tremendous marketing potential for biodiverse agricultural products. Organic production, regional fairs and markets, cooking competitions with regional products and publication of regional recipe books are examples of how conserving agrobiodiversity can be marketed. Protected areas are also important for the conservation of traditional breeds and local crop varieties, which in many cases are better adapted to local conditions and less susceptible to diseases (Grabrijan in Stolton, 2009). Grazing of traditional cattle breeds in protected areas under conservation management with restricted use of pesticides and fertilisers produces high quality meat, healthier and tastier than conventional meat (CEEweb, 2007).
- **Health:** Natural ecosystems are known to play an important role in supporting physical and mental health by providing possibilities for outdoor activities, recreation and relaxation. Recreation in wild areas provides physical health benefits through the prevention of disease associated with exercise, as well as mental health benefits such as the relief of stress, anxiety, and depression and contributing to improved self-confidence and self-esteem (McMorran et al., 2006). Protected areas can also function as ‘green lungs’ supplying clean air to towns and cities. This can in turn reduce incidents of respiratory diseases diminishing health related expenditure (Kettunen et al., 2009).
- **Fisheries:** Evidence is mounting that marine protected areas, where fishing and other human activities are restricted or prohibited, conserve habitats and populations. And by exporting biomass, they may also sustain or increase the overall yield of nearby fisheries (Balmford et al. 2004). Several case-studies on marine reserves suggest that the increase in fish catches in the fishing zone neighbouring the no-take zone can more than compensate for the negative impact of decreasing the size of the fishing zone. They can also reduce the recovery time of the stock after a negative shock and, over time, bring stability in catches by making fish stocks less vulnerable to overfishing. The implementation of a marine reserve may also have different consequences on the price of fish: an impact due to the variation of quantities landed; a ‘quality’ impact due to a shift in the size and species composition landing; and better marketing opportunities. Fisheries may also take advantage of the ‘ecologically correct’ image of the fishing zone of the marine protected area to sell the fish at a higher price (Alban et al., 2006).
- **Drinking water supply:** Well managed protected forests provide benefits to urban populations in terms of high quality drinking water. Ecosystems such as forests and wetlands play an important role in the hydrological cycle, including regulating the provisioning of water, i.e. ‘capturing’ quantities of water for human or other use (including both surface and ground
water) (Dudley and Stolton, 2005; Kettunen et al., 2009).
- **Pollination:** The importance of wild pollinators — principally bees, but also other insects — for agricultural production is becoming increasingly recognised. Evidence exists that wild pollination increases the size and quality of harvests for a number of crops. Wild pollinators may also interact synergistically with managed bees to increase crop yields. Furthermore, a diverse assemblage of native pollinators provides insurance against year-to-year population variability or loss of specific pollinator species, and might better serve flowers because of pollinator-specific spatial preferences to a flowering plant or crop field (Kettunen et al., 2009).
- **Climate change mitigation and adaptation:** Biodiversity is a fundamental component in the carbon sequestration process (i.e. the absorption of carbon from the atmosphere by plant tissue) and it plays an important role in mitigating climate change. The characteristics of different plant species determine how much carbon is taken up from the atmosphere and how much is released into it. Important characteristics are the speed of plants’ growth, which governs carbon inputs, and woodiness, which enhances carbon sequestration (Kettunen et al., 2009). In addition to actively sequestering carbon, ecosystems (e.g. bogs and old forests) are also important stores for carbon captured in the course of time. Whilst undisturbed peat bogs take in and store carbon, damaged peat lands emit greenhouse gases into the atmosphere. When peat bogs dry out or when they are converted to other uses (e.g. agriculture) they quickly begin to lose the stored carbon in form of greenhouse gases, thus contributing to global warming. Conservation and restoration of peat bogs will help keep them in a good ecological state, maintaining carbon levels (CEEweb, 2007).
- **Disaster mitigation:** Protected areas can play a role in disaster mitigation, but the relationship is complex and still needs to be better understood. In terms of individual disasters, the role of protected areas includes mitigating the effects of: flooding; landslides; avalanches and rock falls; tidal waves and coastal erosion; drought and desertification; fire; hurricanes and typhoons; and earthquakes. When properly planned and budgeted, protected areas can play three direct roles in preventing or mitigating disasters arising out of natural hazards (Stolton, 2009):
1) maintaining natural ecosystems such as coastal mangroves, coral reefs, floodplains and forest that may help to buffer against natural hazards;
2) maintaining traditional cultural ecosystems such as agroforestry systems, terraced crop growing and fruit tree forests in arid lands can reduce water flow and soil erosion, thus mitigating extreme weather events;
3) providing an opportunity for active or passive restoration of such systems where they have been degraded or lost. The management of protected areas plays an essential role in their capacity to mitigate natural hazards. The social impacts of disasters include loss of lives and livelihoods, injury and displacement, increased risk of disease, interruption of economic activities and loss of, or damage to, infrastructure, communications and important cultural values and heritage (Stolton et al., 2008).
- **Maintaining genetic and species diversity:** Food production and security depend on the conservation of crop and livestock biodiversity. Crops, livestock and their wild relatives have the genetic variability that provides the raw material for breeding new crop varieties, through classical breeding and biotechnological techniques. The conservation of genetic resources for food and agriculture relies on the preservation of both the variety of domesticated species and their wild relatives. One of the main threats to the genetic diversity of crops and livestock is the marginalisation of traditional production systems and associated local breeds. Protected areas can play an important role in preserving traditional extensive farming systems and supporting the maintenance of genetic diversity (Kettunen et al., 2009).
- **Tourism:** Protected areas are often important destinations for alternative forms of tourism, such as ecotourism (Stolton, 2009). If sensitively developed, ecotourism can help diversity economies, supplement incomes and maintain rural communities (BirdLife International, 2011). Large conservation areas play an important role in attracting day tourists and increasing the added value to the region. Protected areas are prized assets for the tourism industry based on the beautiful natural resources they sustain. The tourist sector is reliant on having beautiful and attractive places, which are a source of wealth for the wider economy. Protected areas provide these special places. Tourism is often
the most sizeable part of the local economy, and therefore protected areas can be regarded as a motor of sustainable regional and rural development (Blackman in Stolton, 2009).
- **Education**: Protected areas can provide an important education resource, both in terms of providing an outdoor laboratory for scientific study, and as a resource for physical activity. Wilderness has been found to promote team-building and cooperation and a greater respect for the environment. A large number of protected areas are engaged in a range of educational activities such as ranger-led walks, in-depth on-site and off-site interpretation, and on-site research and site visits by school groups as well as groups from colleges and universities (McMorran et al., 2006).
- **Spiritual and cultural values**: Several case studies show how important many protected landscapes and seascapes are for the cultural and spiritual values that they contain. Nature has intrinsic values and meanings, including spiritual, and is understood by followers of various faiths and spiritual traditions as a divine manifestation of some deeper, sacred reality. Spiritual values are reflected in a number of European landscapes that have been created and maintained by local communities sharing those values. Various processes have looked at the spiritual and cultural aspects of protected areas including: the year 2000 European Landscape Convention; the 2003 UNESCO Convention for the Safeguarding of the Intangible Cultural Heritage; the 2003 World Park Congress (WPC) — Action Plan + recommendation 5.13; the 2008 IUCN Protected areas definition which includes ‘associated cultural values’ (Mallarach in Stolton, 2009).
### 2.2.2 Geographies of value: where are the benefits of protected areas felt?
According to Kettunen et al. (2009), the benefits created by protected areas can be enjoyed at multiple levels. The key levels where protected areas related benefits can occur are:
- local public benefits: a site’s role in supporting local identity, local recreation, local non-market forest products, and the local ‘brand’, etc.;
- local private benefits: a site’s support to natural water purification resulting in lower pre-treatment costs to the local water supply company, etc.;
- local public sector benefits: a site’s ability to mitigate floods resulting in lower public investment in flood control and/or flood damage, etc.;
- regional and cross-border benefits: regulation of climate and floods, mitigation of wild fires, provisioning and purification of water in transnational river basins), etc.;
- international/global public benefits: a site’s provision of a habitat for a migratory species at some point in its annual cycle, regulation of climate (carbon capture and storage), maintenance of global species and genetic diversity), etc.;
- international private benefits: new pharmaceutical or medicinal products derived via bio prospecting, etc.
### 2.3 Europe
Although the competing methodologies for valuing nature all have shortcomings, the European Commission nevertheless did make an attempt to place a value on some of its protected areas. Recent work undertaken on its behalf has sought to provide an overall monetary figure for the contribution of Natura 2000 sites to the European economy. This research has also investigated the financial benefits that the Natura sites deliver in relation to the tourism industry; and to demonstrate the economic benefits of conservation measures. The research found that the annual costs of implementing the Natura 2000 network were approximately EUR 5.8 billion for the EU-27. However, a number of examples, which considered the wide range of ecosystem services that Natura 2000 sites can provide, demonstrated that the benefits of the network can be between 3 to 7 times the costs. The work emphasised that Natura 2000 sites can be particularly important for local and regional economic development, as they help to attract financing, and offer an important source of direct and indirect employment (Gantolier et al., 2010).
The research also quantified the specific benefits provided by tourism, recreation and employment. Natura 2000 sites receive between 1.2 and 2.2 billion visitor days per annum. Around 21% of the visitors to Natura 2000 are estimated to give importance to the Natura 2000 designation in choosing their destination. Visitor spending was estimated at between EUR 50 and 90 billion; this expenditure
generating additional income in the range of EUR 50 to 85 billion. Within the geographical area designated by Natura 2000, there are roughly 8 million full time equivalent (FTE) jobs. This corresponds to about 6% of the total employment in the EU-27 (BIO Intelligence Service, 2011).
It is important to ensure that the full value of protected areas is incorporated into policy appraisal and decision-making mechanisms in order to ensure the sustainable use of their natural resources and the protection of their natural environments.
### 2.4 Conclusions
Protecting natural habitats is essential to halt the loss of biodiversity. Assigning a monetary value to nature in general and protected areas in particular is problematic in both theory and practice. Nevertheless, the wide variety of benefits provided by ecosystems in protected areas means that policymakers are at least aware of the importance of maintaining the services that these protected area ecosystems provide. These considerations are clearly timely for a number of reasons. The current financial crisis has placed greater focus on the value for money to be extracted from all public policy sectors, and protected areas will not be excluded from these calculations. Regardless of the ultimate political economic decisions made, there is an opportunity to factor in investments in ecosystems as part of the future expenditure programmes of all European countries.
However, this opportunity will only remain viable if results can be measured. Without having an adequate understanding of the net economic benefit of nature areas, a proxy for our global environmental infrastructure, and how many jobs are directly and indirectly sustained, it will remain difficult for governments to justify and incorporate investments in protected areas as part of these packages.
It is therefore to be hoped that the current undeveloped state of nature valuation methods can be addressed. The TEEB process in particular may establish new tools that can provide policymakers with easily digested information that they can trust (and which can contribute to the overall effort in relation to the valuation of ecosystem services). Better informed decision making will assist in the delivery of increasingly sustainable development and should result in an improvement in the outlook for biodiversity, ecosystems and the provision of goods and services, well into the future.
### 2.5 References
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Mallarach, J.M. (ed.), 2008, Protected Landscapes and Cultural and Spiritual Values, Volume 2 in the series Values of Protected Landscapes and Seascapes, IUCN, GTZ and Obra Social de Caixa Catalunya, Kasparek Verlag, Heidelberg (http://data.iucn.org/dbtw-wpd/edocs/2008-055.pdf).
McMorran, R., Price, M.F. and McVittie A., 2006, A review of the benefits and opportunities attributed to Scotland’s landscapes of wild character, Scottish Natural Heritage, Commissioned Report No. 194 (ROAME No. F04NC18) (http://www.snh.org.uk/pdfs/publications/commissioned_reports/report%20no194.pdf).
Stolton, S., 2009, Communicating values and benefits of protected areas in Europe. Results of a seminar organized by BfN and Europan. Federation at the International Academy for Nature Conservation on the Island of Vilm, Germany, Germany Federal Agency for Nature Conservation, Vilm (http://www.bfn.de/fileadmin/MDB/documents/ina/vortraege/2009-Report-values-and-benefits.pdf).
Stolton, S. and Dudley, N., 2009, The Protected Areas Benefits Assessment Tool — A methodology, WWF (http://assets.panda.org/downloads/pa_bat_final_english.pdf).
Stolton, S., Dudley, N. and Randall J., 2008, Natural Security — Protected areas and hazard mitigation. A research report by WWF and Equilibrium (http://assets.panda.org/downloads/natural_security_final.pdf).
Stolton, S., Maxted, N., Ford-Lloyd, B., Kell, S. and Dudley, N., 2006, Food Stores: Using Protected Areas to secure Crop genetic Diversity. A research report by WWF, Equilibrium and the University of Birmingham, United Kingdom (http://assets.panda.org/downloads/food_stores.pdf).
3 The environmental context of protected areas in Europe
Chapter summary
Although they have clear boundaries on maps, protected areas exist as part of the continuum that is the natural environment of Europe. In some cases, they may represent islands of habitats in a highly fragmented landscape. In others, they may be the best parts of areas that are already of generally high nature conservation value. In both cases, they will be directly or indirectly affected by the land use and management practices around them. It is therefore important to give some consideration to the environmental context of protected areas in Europe.
This chapter is divided into three parts. We begin with a discussion of Europe’s ‘biogeography’ — namely the different types of natural environments that exist in the continent’s regions (Section 3.1). We then deal with the state of biodiversity in these areas (Section 3.2), before finally moving on to analyse the causes of declining biodiversity (Section 3.3).
3.1 A mosaic of landscapes: biogeography and human influence
The European continent is characterised by great diversity in its geographical regions. This diversity includes Arctic polar deserts and boreal forests in the north, as well as the arid lands and dense matorral of the south. It stretches from the steppic zones in the east to the extensive heathlands of the west. In total, the continent comprises eleven biogeographic regions (Map 3.1) of varying size, each of them reflecting specific climatic and geological conditions, all of which influence their characteristic biodiversity.
Europe’s coastline is estimated to stretch along almost 185 000 km in 24 European countries (22 coastal EU Member States plus Iceland and Norway), providing large interfaces between land and seas (EEA, 2006).
Europe’s mosaic of landscapes (Map 3.2) is also the product of intense human intervention over many centuries. In Europe, large scale human impacts began in Neolithic times (ca. 3000–1100 BC). Hunting, settlements, and cultivation of cereals, crops and fruits all altered natural ecosystems and shaped the continent’s landscape (Vos and Meekes, 1999). Until the 18th century, however,
European landscapes preserved many remnants and structures of the remote past. But this changed in the 19th century, when industrialisation and technical development fundamentally altered European economies. The corresponding changes in social relations were reflected in a different attitude towards the use of nature and rural landscapes, and in the disappearance of some of the remnants of the remote past. After the Second World War, land use intensified even further in many parts of Europe, and infrastructure development and urbanisation caused landscape ‘fragmentation’, where parts of the landscape were disrupted by roads, railways and canals (Antrop, 2005; Emanuelsson, 2009; Pedroli et al., 2007).
Another important characteristic of land use in Europe is that land often has multiple purposes, and is therefore intensively managed for different things at the same time.
The density of human population in Europe is another important factor that explains patterns and trends visible in the landscape. When compared with other large land areas of similar size (i.e. the Russian Federation, Australia and parts of North America), Europe’s human population density is much higher. This has direct impacts on the type of landscapes and the corresponding biodiversity.
In those EU Member States that border the sea, coastal regions typically host almost half of the human population of those countries. The highest population density is found in the coastal regions of Malta, Belgium, Italy, the Netherlands, Portugal, Spain and the United Kingdom, whereas the lowest population densities are in Estonia, Finland, and Sweden (Eurostat, 2009).
Europe’s mountain areas have lower population densities because much of their area is unsuitable for human habitation. However, densities in
valleys may be as high as in lowland areas. In total, 118 million people live in Europe’s mountain regions (17% of Europe’s population), including 33 million in Turkey. In the EU, 63 million people (13% of the population) live in mountain areas (EEA, 2010e).
Ten European countries have at least half of their population living in mountainous regions: Andorra, Austria, Bosnia and Herzegovina, the Faeroes, the former Yugoslav Republic of Macedonia, Liechtenstein, Monte Carlo, San Marino, Slovenia and Switzerland. With the exception of very small states with the highest population density (Andorra, Liechtenstein, Monte Carlo, and San Marino), population densities in the mountainous parts of countries are always less than those outside the mountains.
### 3.2 Biodiversity under pressure
Europe’s biodiversity has been shaped by the same historical human influences that shaped many of our European landscapes, creating a large variety of so-called ‘semi-natural habitats’. But more recently, some of this biodiversity has come under pressure due to recent drastic changes in land uses and practices.
#### 3.2.1 Forestry
Although in the past, forests in Europe were cut down at a faster rate than they were allowed to grow back, this trend has reversed in recent years. In the past 20 years, forest area in Europe has expanded by 17 million ha, 5.1 million ha of which since 2005. Today, forest area in Europe amounts to 1.02 billion ha, of which 83 per cent is available for wood supply. Europe is the most forest-rich region in the world, with forests covering 45 per cent of Europe’s total land area, mainly due to the forest cover in the Russian Federation.
Forest cover in Europe is very heterogeneous among countries. North Europe and the Russian Federation are the European regions with the greatest amount of forest cover, while south-east Europe is the least forested European region. Forest area has increased in all the European regions since
1990. And Europe is the only region in the world that has experienced a positive net change in forest area for the past 20 years.
Excluding the forests in the Russian Federation, about 87 per cent of European forests are classified as semi-natural. Undisturbed forests are those where the natural forest development cycle has remained or been restored, and that show characteristics of natural tree species composition, natural age structure, deadwood component and natural regeneration and no visible sign of human activity (MCPFE, 2007). In the EEA area, undisturbed forests account for 8 million ha or 4 per cent of the forest area total. In the EU undisturbed forests cover only 4 per cent of forest area or roughly 5.7 million ha. The largest undisturbed forest areas (over 100 000 ha) are found in Bulgaria, Estonia, Finland, Romania, Slovenia, Sweden, and Turkey.
The highest share of undisturbed forests as a percentage of total forest area can be found in the Russian Federation (32 %) and in countries in northern Europe. The share of planted forests as a percentage of total forest cover is highest in the central-west European region (FOREST EUROPE; UNECE and FAO, 2011).
### 3.2.2 Agriculture
Approximately 47 % of land in the Member States is devoted to agriculture, making this sector a major element of land use across the EU (EC, 2010b). From prehistoric times onwards, agriculture and animal husbandry have spread gradually from south-east to north-west Europe. New habitats formed and species populations were enriched by animal and plant species migrating into these agro-ecosystems from neighbouring biogeographical areas such as the Asian steppes. New crop and livestock varieties were raised and actively introduced by humans for agricultural purposes (ELO, 2009). As a result, a large number of highly valued wildlife species and semi-natural habitat types in Europe are dependent on continuing low-intensity agricultural practices.
Although the exact definition may vary among the different countries, areas where farming...
practices are associated with high biodiversity value are often qualified as High Nature Value (HNV) farmland (Map 3.3) (EEA, 2004; Paraccchini et al., 2008). HNV may be farmland with a high proportion of semi-natural vegetation; or farmland dominated by low intensity agriculture. It may also be a mosaic of semi-natural and cultivated land and small-scale features; and/or farmland supporting rare species or a high proportion of European or world populations (Anderson et al., 2003).
A large part of these HNV farmlands are also located in areas designated as ‘less-favoured’ from an economic perspective. Agricultural production or activity is restricted in these areas because of factors such as difficult climatic conditions, steep slopes in mountain areas, or low soil productivity. As a result of these difficult agricultural conditions, there is a significant risk of agricultural land abandonment in less favoured areas. There is therefore a possibility that the biodiversity that depends on this low intensity agriculture will be lost. If this land is abandoned there is also a risk that desertification and forest fires will increase, and that highly valuable cultural landscapes will be degraded.
Protected areas have an important role to play in such areas by enhancing rural development through taking into account their specific environmental and cultural contexts. This could be accomplished though the marketing of quality local farmland products.
### 3.2.3 Areas of wilderness in Europe
In an attempt to assess the extent of remote areas in Europe, Fisher et al. (2010) have developed the Wilderness Quality Index (Map 3.4), based on a combination of data on population density, road density, distance from nearest road, rail density, distance from nearest railway line, naturalness of land cover and ruggedness of the terrain, all of which are proxies for landscape wildness, rather than ecological wildness. In doing so, they make reference to the definition of wild areas and objectives as addressed during the Prague Conference 2009 *Wild Europe and Large Natural Habitat Areas* which is: “large areas of existing or potential natural habitat, recognising the desirability of progressing over time through...
Box 3.1 Wilderness in the southern Carpathians
In Europe, with its long history of human settlement, the southern Carpathians present an anomaly. The area stretching from Djerdap National Park in northern Serbia across the Danube gorge at the Iron Gates, up to the Retezat, Romania’s flagship national park, and across the Fagaras mountains almost to the bend that the Carpathian Mountains make at Brasov is surprisingly well preserved and almost untouched in comparison with most other parts of Europe.
The southern Carpathians represent one of Europe’s very few remaining great wilderness areas. The area totals over 1 million hectares and includes the last intact forest landscape in continental Europe. It is home to abundant wildlife, including brown bears, lynx, wolves and chamois.
Source: Beckmann, 2009.
increased stages of naturalness — via restoration of native vegetation and a moving towards natural rather than built infrastructure.’ (Coleman and Aykroyd, 2009).
Wilderness conditions can be seen in certain high-latitude and high-altitude areas, such as parts of Fennoscandia (Finland, Norway and Sweden) and the mountains of central and southern Europe. In addition, smaller, more fragmented areas with certain wilderness characteristics can be found over a range of intermediate landscapes across the whole of Europe (as indicated by the Wilderness Quality Index, Map 3.4). In these landscapes, the natural ecological conditions have only been slightly modified by grazing, forestry, recreation or isolated human developments (Fisher et al., 2010).
3.2.4 The conservation status of species in Europe
Although the threat of species extinction in Europe is lower than in other parts of the world (as many species have already disappeared) current trends are a concern. Assessments made by IUCN (and Birdlife International for birds) on all species from different taxonomic groups in the EU Member States are shown in Table 3.1.
The first EU-wide assessment on the conservation status of the habitat types and species of Community interest in the EU was published in 2009, and it gave valuable information on the health of many species and habitat types. The information is based on the 6-year period reports that all EU Member States are requested to send to the European Commission under the terms of the Habitats Directive.
The first round of reporting (2001–2006) by EU Member States (Romania and Bulgaria excepted) on the conservation status of 1 182 species targeted by the Habitats Directive showed favourable conservation status in only 17 % of cases, unfavourable status in 52 %, and in 31 % of the cases the status was unknown (Figure 3.1). Similarly, just 17 % of the assessments of the 216 European habitat types targeted by the Directive were favourable (Figure 3.2) (EEA, 2010d).
Marine species and habitat types show an even worse situation. In the same period, only 10 % of the assessments of the marine habitat types and 2 % of the marine species were favourable. Only the habitat types of coastal ecosystems, agro-ecosystems and grasslands were doing worse than marine ones.
The conservation status reports also revealed a particularly large gap in knowledge of marine ecosystems. Over 40 % of the habitat assessments and over 70 % of species assessments were considered unknown, with particularly large gaps in our knowledge of cetaceans such as whales and dolphins (ETC/BD, 2008). By way of comparison, the ecosystem sector with the second highest level of unknowns was the heath and scrub habitat types, where 26 % of the habitats and 40 % of the species had unknown conservation statuses.
There are also differences between the four marine regions (see Figures 3.3 and 3.4).
Pededze floodplains Nature Reserve, Natura 2000 site, Latvia © Otars Opermanis
### Table 3.1 Status of different taxonomic species in Europe
| Group | IUCN red list category | Population trend |
|--------------------------------------------|------------------------|------------------|
| | Threatened (EX, RE, CR, EN, VU) (%) | Data deficient (DD) (%) | Not threatened (NT and LC) (%) | Stable and increasing trend (%) |
| Mammals — marine | 22.2 | 44.4 | 33.4 | 40.0 |
| Mammals — terrestrial | 14.2 | 3.4 | 82.4 | |
| Birds | 12.0 | 0.0 | 88.0 | 62.0 |
| Amphibians | 22.9 | 1.2 | 75.9 | 38.0 |
| Reptiles | 19.4 | 1.4 | 79.2 | 45.0 |
| Freshwater fish | 37.0 | 5.3 | 57.7 | 7.0 |
| Butterflies | 8.5 | 1.0 | 90.5 | 59.0 |
| Dragonflies | 15.0 | 3.6 | 81.4 | 64.0 |
| Saproxylic beetles | 10.7 | 28.3 | 61.0 | 29.0 |
| Molluscs — freshwater | 43.7 | 24.7 | 31.6 | < 1.0 |
| Molluscs — terrestrial | 20.0 | 10.1 | 69.9 | |
| Vascular plants — policy species * | 44.9 | 20.3 | 34.8 | 24.9 |
| Vascular plants — crop wild relatives | 11.5 | 29.0 | 59.5 | 40.9 |
| Vascular plants — aquatic | 6.6 | 16.0 | 77.4 | 65.6 |
**Note:** * Plants listed under European or global policy instruments such as the Habitats Directive, Bern Convention, Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) and the EU Wildlife Trade Regulation.
**Source:** IUCN 2007, 2009, 2010, 2011 and BirdLife, 2004.
### Figure 3.1 Conservation status of assessed species in the EU; left: overall statistics; right: per taxonomic group
- **Geographical coverage:** EU except Bulgaria and Romania.
- **Source:** EEA, 2010d.
In the Marine Atlantic, Marine Macaronesian and Marine Mediterranean regions, more than 70% of the assessments were reported as unknown.
In the marine Macaronesian region, 50% of the assessments of marine habitat types were reported favourable, and it is the only marine region with favourable habitat assessments. In the Marine Atlantic and Marine Mediterranean region, 50–60% of assessments are unknown.
When species assessments in marine ecosystems are divided between mammals, reptiles, fish, and invertebrates, more than 40% of the assessments of each group give an unknown conservation status. Only a few per cent of the fish and mammal assessments report favourable conservation status.
3.3 Drivers and pressures impacting on biodiversity
This section is organised according to the HIPOC framework commonly used to summarise the main pressures and drivers causing biodiversity loss: habitat loss or change, introduced species, pollution, over-exploitation, and climate change.
The text below is not focused on protected areas, but it provides additional elements to understand their environmental context and the general pressures that biodiversity in protected areas is facing. It must be remembered that some of the pressures below have a different importance depending on whether they are measured inside or outside protected areas.
3.3.1 Habitat destruction/degradation
During the period 1990–2006, important net changes in land cover have occurred in the EU-27 as shown in Figure 3.5.
Grasslands and wetlands have continued to decline during the period 1990–2006. In the same period, there was an 8% increase in artificial land surface cover (such as concrete or asphalt), due to urbanisation and infrastructure construction. The increase in land cover by heaths and scrub is partly due to spontaneous afforestation of abandoned lands, and possibly also due to spontaneous reforestation following large-scale tree felling.
Landscape fragmentation caused by transportation infrastructure and buildings has a number of ecological effects. It contributes significantly to the decline and loss of wildlife populations and to the increasing endangerment of species in Europe, for example through the dissection and isolation of populations. It also affects the water regime and the recreational quality of landscapes. Fragmentation has continued to increase during the last twenty years, and many more new transportation and energy infrastructure projects are planned — in particular in Eastern Europe — that will further increase the level of landscape fragmentation significantly (EEA, 2011).
In nearly 30% of EU land, fragmentation is rated as either moderately high or very high, with the highest levels occurring in the lowlands of western Europe (Map 3.5). High land fragmentation has increased the vulnerability of ecosystems to diffuse external pressures such as drainage, eutrophication and acidification. In addition, isolated populations of animals and plants have become more vulnerable to local extinction due to disrupted migration and dispersal opportunities (EEA, 2010c). Other forms of fragmentation (e.g. due to intensification or change in land uses) are not captured in Map 3.5.
River ecosystems have also been affected by the fragmentation of waterways. Fish require free access to river systems, and healthy rivers that offer the different ranges of habitats required to fulfil their life cycles. River fragmentation is understood to be more threatening to fish than pollution (EEA, 2011a). Map 3.6 illustrates the loss of accessibility to rivers for migratory fish due to the building of large dams in the major European river basins in the last 150 years. The figure underestimates the actual inaccessibility of river basins, since it only includes dams more than
Figure 3.5 Land cover change between 1990 and 2006 — area change for major habitat classes
Source: EEA, 2010d.
Map 3.5 Landscape fragmentation in NUTS-X regions in 2009
Note: NUTS = Nomenclature of Territorial Units for Statistics (†).
Source: EEA, 2011.
(†) At the beginning of the 1970s, Eurostat set up the NUTS classification as a single, coherent system for dividing up the EU’s territory in order to produce regional statistics for the Community. For around thirty years, implementation and updating of the NUTS classification was managed under a series of ‘gentlemen’s agreements’ between the Member States and Eurostat. Work on the Commission/Regulation (EC) No 1059/2003, to give NUTS a legal status started in spring 2000. This was adopted in May 2003 and entered into force in July 2003. http://epp.eurostat.ec.europa.eu/portal/page/portal/nuts_nomenclature/history_nuts.
10 meters high, and smaller barriers are sufficient to affect fish migration. However, the figure does not take into account the existence of effective structures for fish passage in the large dams.
Habitats are also being degraded by agricultural intensification. Agricultural intensification was a major trend in west and north-west Europe as recently as 10 years ago. It is now mainly occurring in the Mediterranean region, as evidenced by the comparison between the Corine Land Cover (CLC) report in 2000 and the CLC report in 2006. Together with land abandonment, agricultural intensification remains one of the two greatest pressures on biodiversity in European agro-ecosystems (EEA, 2010a). These developments are driven by a combination of factors. On a ‘macro’ level, these factors include technological innovation, agricultural subsidies, international market developments, climate change, demographic trends and lifestyle.
**Map 3.6 Loss of accessibility for migratory fish due to dams in major European river basins in the last 150 years**
Loss of accessibility for migratory fish due to dams in major European river basins in the last 150 years
- **Orange**: River basins with large dams (at least 10 m high) not allowing normal fish passage
- **Teal**: Unfragmented major European rivers
**Note:** Orange: river basins with large dams (at least 10 m high) not allowing normal fish passage.
**Source:** EEA, 2012.
changes. On a ‘micro’ level, they are caused by reductions in the diversity of crops, simplification of cropping methods, use of fertilisers and pesticides, and the homogenisation of landscapes. The introduction of biofuel crops could lead to further intensification by means of fertiliser and pesticide use, resulting in further biodiversity loss. In addition, there is a fear that biofuel crops will be located on land that is currently marginal for agricultural production, but which has relatively high value for wildlife (EEA, 2008c).
3.3.2 Pollution
Apart from the direct effects of land conversion and exploitation, human activities such as agriculture, industry, waste production and transport cause indirect and cumulative effects on biodiversity; notably through air, soil and water pollution. A wide range of pollutants, including excess nutrients, pesticides, microbes, industrial chemicals, metals, and pharmaceutical products end up in the soil. They also find their way into ground water and surface water. The air we breathe does not escape this indirect pollution either: atmospheric deposition of eutrophicating and acidifying substances, including nitrogen oxide ($\text{NO}_x$), ammonium plus ammonia ($\text{NH}_4^+$) and sulphur dioxide ($\text{SO}_2$) adds to the cocktail of pollutants.
The effects on ecosystems include damage to forests and lakes from acidification, as well as habitat deterioration and algal blooms, both caused by nutrient enrichment. Pollution in the form of pesticides, steroidal estrogens and industrial chemicals like PCBs also causes neural and endocrine disruption in species (EEA, 2010b).
Agriculture is a major source of eutrophication through emissions of excess nitrogen and phosphorous, both used as nutrients to increase the fertility of the soil. The agricultural nutrient balance for many EU Member States has improved in recent years. However, atmospheric nitrogen deposition from agriculture and other sources exceeds ‘critical load’ safety thresholds in more than 40% of sensitive terrestrial and freshwater ecosystem areas (Map 3.7). Agricultural nitrogen
**Map 3.7 Exceedance of critical loads for eutrophication due to the deposition of nutrient nitrogen in 2010**
Source: EEA, 2010b; Data: RIVM-Coordination Centre for Effects.
loads are expected to remain high as nitrogen fertiliser use in the EU is projected to increase by around 4% by 2020.
Much of the freshwater pollutant load is ultimately discharged to coastal waters, making agriculture (also) the main source of nitrogen loads in the marine environment. Nutrient enrichment is a major problem in the marine environment, where it accelerates the growth of phytoplankton. It can change the composition and abundance of marine organisms living in the affected waters and ultimately leads to oxygen depletion, thus killing bottom-dwelling organisms. Oxygen depletion has escalated dramatically over the past 50 years and it is expected to become more widespread with increasing sea temperatures induced by climate change (EEA, 2010b).
3.3.3 Over-exploitation
Over-exploitation causes the loss of genetic diversity within species, and it also reduces the absolute number of species in an area. It can lead to degradation of natural ecosystems and ultimately to the species extinctions. Examples of such phenomena include: the collapse of commercial fish stocks through overfishing, and the decline of pollinators (honeybees and other insects) due (at least in part) to the effects of agricultural intensification. Over-exploitation has also led to reduced water retention and increased flooding risks through the degradation or destruction of upland moorland (which can also lose its peat forming capacity).
Most of the oldgrowth forests in Europe are heavily exploited, particularly in the core forested regions of northern and eastern Europe. However, the total annual wood harvest in European countries has remained well below the annual re-growth, indicating that wood resources as a whole are being sustainably managed (SEBI indicator 17 in EEA, 2010c).
The marine environment is heavily impacted by overfishing (Map 3.8). Fish provide the primary source of income for many coastal communities, but overfishing is threatening the viability of both European and global fish stocks. Overfishing not only reduces the total stock of commercial species, but affects the age and size distribution within fish populations, as well as the species composition of
**Map 3.8 Proportion of fish stocks within and outside safe biological limits**
*Source:* SEBI indicators, 2010 — SEBI indicator 21; ICES, 2008. International Council for the Exploration of the Sea.
the marine ecosystem. The average size of the fish caught has decreased, and there has also been a serious decrease in the numbers of large predatory fish species (EEA, 2010b).
3.3.4 Invasive alien species
Invasive alien species (IAS) represent a threat to the native biodiversity of Europe and can also result in major disruption to ecosystem health, with a resulting loss of goods and services secured by that ecosystem. Ecosystems become more vulnerable to these invasions if they have been previously affected by habitat loss, degradation, fragmentation, over-exploitation and climate change. Globalisation, particularly increased trade and tourism, has resulted in an upsurge in the number and type of alien species arriving in Europe. According to the project *Delivering Alien Invasive Species Inventories for Europe* (DAISIE), more than 90 % of alien species in Europe are introduced unintentionally, mostly by shipping and other forms of transporting goods.
There are more than 10 000 non-native species present in Europe currently, 10–15 % of which are considered to have negative economic or ecological effects (DAISIE, 2008).
In order to gain a better understanding of invasive alien species and their impact on European biodiversity, a list of the worst invasive alien species threatening biodiversity in Europe has been compiled. The list currently contains 163 species or species groups. Species are added to the list if they are very widespread and/or if they create significant problems for biodiversity and ecosystems in their new habitats (EEA, 2009 and SEBI indicator 10 in EEA 2010c).
3.3.5 Climate change
The effect of climate change on biodiversity and ecosystems is now considered likely to be greater than initially forecast (Map 3.9). Although scientists indicate that ecosystems will be able to adapt to a
---
**Map 3.9 Key past and projected impacts and effects of climate change for several biogeographical regions of Europe**
- **Arctic**
- Decrease in Arctic sea ice coverage
- Greenland ice sheet loss
- Higher risk of biodiversity loss
- **North-western Europe**
- Increase in winter precipitation
- Increase in river flow
- Northward movement of freshwater species
- Higher risk of coastal flooding
- **Coastal zones and regional seas**
- Sea-level rise
- Higher sea surface temperatures
- Northward movement of species
- Increase in phytoplankton biomass
- Higher risk for fish stocks
- **Northern Europe (boreal region)**
- Less snow, lake and river ice cover
- Northern migration of species
- More energy by hydropower
- Lower energy consumption for heating
- Higher risk of damages by winter storms
- Increased river flows
- Higher forest growth
- Higher crop yields
- More (summer) tourism
- **Mediterranean region**
- High temperature increase
- Less glacier mass
- Less mountain snowmelt
- Higher risk of rock falls
- Upwards shift of plants and animals
- Less ski tourism in winter
- Higher risk of drought
- High risk of species extinction
- **Central and eastern Europe**
- More temperature extremes
- Less summer precipitation
- More river floods in winter
- Higher water stress
- Higher crop yield variability
- Increased forest fire danger
- Lower forest stability
- **Mediterranean region**
- Decrease in annual precipitation
- Decrease in annual river flow
- Increasing water demand for agriculture
- Lower crop yields
- More forest fires
- Less energy by hydropower
- More deaths by heat waves
- More vector-borne diseases
- Less summer tourism
- Higher risk of biodiversity loss
- Higher risk for desertification
**Source:** Adapted from EEA, 2010b.
certain extent, the combination of human-induced pressures and climate change will increase the risk of losing many ecosystems (TEEB, 2009).
Climate change affects biodiversity through a complex interaction of species and their habitats. Milder winters are responsible for the observed northward and uphill distribution shifts of many European plant species. The timing of seasonal events in plants is also changing, due mainly to changes in climatic conditions (EEA, 2008b). Most notable are changes in species composition in the Alpine region, in which roughly 20% of all native vascular plants in Europe can be found (Väre et al., 2003).
Birds, insects, mammals, freshwater species and other groups are also moving northwards and uphill. Climatic warming has meant that each stage of the life cycles of many animal groups is happening earlier in the year. This trend has been noted in the spawning of frogs and fish, the nesting of birds, the arrival of migrant birds and butterflies and earlier spring phytoplankton blooms (EEA, 2008b).
3.3.6 More on pressures
All these pressures have a cumulative effect on European ecosystems and biodiversity. While ecosystems can buffer themselves from the effects of one impact, they may reach ‘tipping points’ where the cumulative impacts of several pressures interacting together disrupt their functioning in an irreversible way.
The increasing demand for energy is now emerging as a new source of pressure to Europe’s biodiversity and ecosystems. Nor does the development of ‘green energy’ present an easy panacea to this problem. A balance will have to be found between the increased use of renewable energy, such as hydro-power, solar energy, wind farms or biofuels, and the conservation of land for biodiversity purposes (Biemans et al., 2008).
3.4 Conclusions
The European continent is characterised by eleven biogeographic regions. It stretches from the Arctic polar deserts and the boreal forests in the North to the arid or dense matorral in the south, and from the Steppic zones in the east to the extensive heathlands in the West.
Europe’s marine environment is also diverse from a biological, chemical and physical perspective, covering extensive areas of the north-east Atlantic and the Mediterranean, the totality of the Baltic and the Black Seas. Europe’s coastline is estimated to stretch along almost 185 000 km in 24 European countries.
These geographical and biological features have combined with intense human occupation and intervention over several thousand years to shape Europe’s landscapes and its biodiversity. Europe is characterised by the presence of a large variety of ‘semi-natural habitats’ (many of them fully dependent on human activities like mowing and grazing).
Wilderness or natural areas are limited in Europe, mostly to certain high-latitude and high-altitude areas, such as parts of Fennoscandia and the mountain ranges of central and southern Europe.
Fragmentation of the European landscape due to infrastructure and urbanisation has significantly increased in the last decades; however, fragmentation of rivers by dams started more than one century ago.
‘Diversity’, both natural and human-induced, and ‘fragmentation’ are the two main characteristics of Europe’s past and current environmental conditions. This explains the relatively large number of protected areas and their relatively small size in Europe.
Despite the number of pressures that protected areas in Europe are exposed to, it should be stressed that they also have a crucial role to play in the mitigation of and adaptation to these pressures.
3.5 References
Andersen, E., Baldock, D., Bennett, H., Beaufoy, G., Bignal, E., Brouwer, F., Elbersen, B., Eiden, G., Godeschalk, F., Jones, G., McCracken, D.I., Nieuwenhuizen, W., van Eupen, M., Hennekens, S. and Zervas, G., 2003, Developing a high nature value indicator. Report for the European Environment Agency, Copenhagen (http://www.eeep.eu/assets/646/Developing_HNV_indicator.pdf).
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4 Protected areas: diverse, multipurpose, multiscale
Chapter summary
European protected areas comprise a wide spectrum of ecosystems. The administrative frameworks and management processes for these protected areas are equally diverse.
As will be shown in the following pages, there are many types of site designations, each one with a specific aim, spatial boundaries and specific governance. As a consequence, certain sites of high biological value can be covered, partly or totally, by a number of different designation types applied at local, national, regional or international level (¹).
In this chapter we will review the various classification and management systems for protected areas in Europe. The first part (Section 4.1) of this chapter involves a discussion of sites that have been designated as protected areas by national governments. This discussion takes up most of the chapter and touches on the diversity of national designation systems, and the size of these protected areas. It also introduces the classification schemes of the IUCN and CBD. These are international classification systems that national governments can use to describe the way they manage their protected areas. By assigning their protected areas a status according to one of these schemes, national governments can assist researchers and the public to gain an accurate picture of the state of protected areas worldwide. In addition, this section discusses the changes in ecosystems in protected areas, and the governance of nationally designated protected areas.
In the second part of the chapter (Section 4.2), we discuss internationally created networks of protected area. These networks can be organised on a regional or worldwide basis. Unlike the IUCN and CBD classification systems, these networks are established in a more formal way, typically by an international convention.
Marine protected areas as well as the Natura 2000 and Emerald networks have very specific characteristics and policy focus. We will therefore discuss these in more detail in two of the chapters that follow.
Information on protected areas in the overseas regions of European countries is not included in the analysis given the European scope of this report.
(¹) For example, in the United Kingdom, parts of the Cairngorms National Park are also designated at national level as a Special Site of Scientific Interest, National Park, National Nature Reserve, National Forest park and as National Scenic Area. On an international level, parts of the park are designated as a Special Protection Area (under the Birds Directive), Special Area of Conservation (under the Habitats Directive) and Ramsar site.
The Camargue in France is designated at national level as a regional natural park, nature reserve, property of the ‘Conservatoire du Littoral’ and at international level as a Special Protection Area (under the Birds Directive), Special Area of Conservation (under the Habitats Directive), Ramsar site and Biosphere Reserve.
4.1 Nationally designated areas
4.1.1 A wide variety of designation-types
With more than 120 000 nationally designated sites (1) in 52 countries, including over 105 000 in the 39 EEA countries (this designation includes EEA member and collaborating countries), Europe accounts for more protected areas than any other region in the world: European protected areas represent 69 % of the records in the World Database on Protected areas managed by UNEP-WCMC (Map 4.1).
Europe, and the EU in particular, is among the regions of the world with a higher percentage of protected areas. Figure 4.1 compares Europe with other regions of the world in terms of area, population and population density.
The term ‘protected area’ covers a variety of designations given to parcels of land and bodies of water by national legislation. Some of the best known designations are: national park, regional park, nature park, nature reserve, biosphere reserve, wilderness area, wildlife management area, landscape protected area and community-conserved area.
More importantly, the term embraces a wide range of different management regimes, from highly protected sites where few if any people are allowed to enter, through to parks where the emphasis is on conservation but visitors are welcome. Other models of management have much less restrictive approaches where conservation is integrated into the traditional human lifestyles or even takes place alongside limited sustainable resource extraction. Some protected areas ban activities such as food collecting, hunting or extraction of natural resources, while for others it is an accepted and even a necessary part of management. The approaches taken in terrestrial, inland water and marine protected areas may also differ significantly.
Map 4.1 Overview of protected areas as recorded in the World Database on Protected Areas
Overview of protected areas as included in the World Database on Protected Areas
- Protected areas — fully or partially marine
- Protected areas — terrestrial
Source: IUCN and UNEP-WCMC (May, 2012), The World Database on Protected Areas (WDPA) Monthly Release. Cambridge, United Kingdom: UNEP-WCMC.
(1) A given area can be designated under several designations, often with different boundaries. By ‘site’ we mean each individual record of a given area under a specific designation-type.
The extent of the diversity in protected areas can be seen by comparing the two different examples of landscape protected areas in Germany and plant micro-reserves in Valencia in Spain.
Landscape protected areas as applied in Germany cover 28.5% of the country’s land surface. Their aim is threefold. Firstly, they seek to maintain, develop or restore the functioning of the ecosystem and its services, or the regenerative capacity and sustained usability of natural assets. Secondly, they seek to protect the characteristic features and beauty of the area’s natural scenery or its particular historical and cultural significance. Thirdly, they seek to protect the area’s special significance for human recreation.
Plant micro-reserves were originally initiated in the Valencia region of Spain (Box 4.1) and have now been established in Bulgaria, Cyprus, Estonia, Greece (Crete), and Slovenia. They are areas of small size (less than 20 ha), that aim to protect a selected sample of the main subpopulations of the rarest, endemic or threatened plant species. Such micro-reserves may also sometimes be targeted at the conservation of populations of so-called ‘Crop Wild Relatives’. Crop Wild Relatives are the wild ancestors of many of our modern staple crop varieties, and have great genetic and cultural value. Without the creation of these micro-reserves, the conservation of some of these crops would be problematic.
Many of the laws and regulations that govern protected areas have different names. In spite of this, some of these regulations have similar purposes across countries or regions. For example:
- In France, the purpose of regional natural parks is: 1) to protect and manage the area’s natural and cultural heritage; 2) to contribute to spatial planning; 3) to enhance economic, social and cultural development, and quality of life; 4) to grant visitors a suitable welcome, and to provide them with education and information; and 5) to carry out relevant experimental actions and contribute to research projects.
- National parks in Scotland aim: 1) to conserve and enhance the natural and cultural heritage of the area; 2) to promote sustainable use of the natural resources of the area; 3) to promote understanding and enjoyment (including enjoyment in the form of recreation) of the special qualities of the area by the public; and 4) to promote sustainable economic and social development of the area’s communities.
Box 4.1 Micro-reserves protecting genetic diversity in the Valencian Community (Spain)
In 1991, a proposal was made to the Generalitat Valenciana — the autonomous government of the Valencia Community in Spain, that a large network of small protected sites called Protected Micro-Reserves (PMR) should be created in order to ensure the future study and monitoring of the rich endemic flora within the three Valencia provinces: Castellon, Valencia and Alicante.
Studies on the botanical richness of this area, undertaken since 1987, have shown that its vascular flora consists of approximately 3 150 species, of which 350 are Spanish endemic species with 60 of those being exclusive to the Valencia region. However, both national and local policies on nature conservation have previously focused on endangered species. This has resulted in the important role of the non-threatened endemic flora being somewhat overlooked.
By the end of 1997, the legal declaration of the first Valencia PMR was completed. Since that date, 257 PMRs have been created by the Generalitat Valenciana as legally protected sites, covering a total of 1 786 ha. The sites are protected through Orders of the Council of Environment, published in the regional gazette, which incorporates the management plan for each PMR. The management plan designates a few priority plants in each PMR, which are targeted for conservation actions (census, management projects, population reinforcement if required etc.).
Since its creation, the PMR network has become a basic resource to develop plant conservation projects on all kinds of scientific topics such as population biology, plant diversity and reproductive biology.
In the case of countries with a federal-like distribution of powers to regions, such as Austria, Germany, Italy, Spain, and Switzerland, each region may have its own system of protected areas, thus adding regional designation-types to the national level. For instance, in Spain, many designation-types are specific to different autonomous regions (Table 4.1).
| Name of autonomous designation | Applying in |
|--------------------------------|-------------|
| Área natural recreativa | Comunidad Foral de Navarra |
| Área natural singular | La Rioja |
| Biotopo protegido | País Vasco |
| Corredor ecológico y de biodiversidad | Extremadura |
| Espacio de interés natural | Cataluña |
| Humedal protegido | Galicia |
| Paraje natural | Communidad Valenciana
Illes Balears
Andalucía |
| Parque rural | Islas Canarias |
| Parque periurbano | Andalucía |
| Parque regional | Comunidad de Madrid
Castilla y Leon
Region de Murcia |
| Reserva fluvial | Castilla-La Mancha |
| Reserva de fauna | Comunidad Valenciana |
| Reserva natural concertada | Andalucía |
| Reserva natural de fauna salvaje | Cataluña |
| Reserva natural especial | Illes Balears |
| Reserva natural integral | Illes Balears |
Source: Observatory of protected areas EUROPARC-Spain, 2009.
To assess the status of protected areas in Europe, it is thus first necessary to get a good overview of each of these designation-types within each country.
As part of their contribution to the activities of the European Environment Agency within the Eionet network, 39 European countries provide regular information on their nationally designated areas. This information makes up part of the so-called Common Database on Designated Areas (CDDA). This includes a list of the types of protected area designations applied in each country. So far, 685 designation-types have been recorded across the 39 countries concerned by this report.
These designations can be clustered into three main categories:
- statutory designations the main purpose of which is biodiversity conservation;
- statutory designations the main purpose of which is sectoral, for instance forest protection against fire or coastal protection against urbanisation. Although these designations may not aim at biodiversity conservation, they often have a positive effect on biodiversity;
- voluntary designation through private ownership, for instance by NGOs.
Examples of the designation-types are provided in Chapter 6 under specific country case studies.
The CDDA database mostly contains information on statutory designations and does not contain information on voluntary designations such as those areas protected by conservation trusts. This is mainly due to the difficulty of aggregating this type of information from national to European level. The CDDA database also does not include many sites that have local designations, such as those conferred by autonomous regions in Spain or by départements in France. Here too, the reason for exclusion is the difficulties in gathering the information at a European level. However, the importance of these voluntary and regional level protected areas should not be underestimated. They play a crucial role in enhancing connectivity across the territory, and thus potentially contribute to a ‘green infrastructure’.
It should be noted that in some countries, specific ecosystem-types are protected by law throughout the national territory without being specifically mapped. This is the case for instance:
- In Croatia, where, according to the Croatian Nature Protection Act (Croatian Parliament, 2005), all wetland habitats should be preserved in natural or semi-natural conditions. All human activities that could compromise these conditions and/or the biodiversity of these habitats are forbidden.
- In Denmark, as a result of successive amendments to the Nature Conservation Act, beginning in 1969, the list of protected habitat types today includes (presuming they are larger than the size defined by law): public and private watercourses, natural lakes, peat bogs and marshes, wet meadows, dry grasslands, dry stone walls, heathland, salt meadows, and coastal marshes and meadows. The 1992 Act imposes a general prohibition on any modification to the state of these natural areas (Klemm, 2000).
- In Hungary, bogs, mires, alkaline lakes and all caves are protected ex lege.
### 4.1.2 The size of protected areas
While the number of protected areas in Europe is very high, their average size is quite low as compared to other regions of the world, as shown in Figure 4.2. This largely reflects the high degree of fragmentation of the land in Europe (see Map 3.5) due to urbanisation, transport infrastructure and general intensification of land use.
The vast majority of protected area sites in Europe (90 %) have an area of less than 1 000 ha and 65 % range between 1 and 100 ha (Table 4.2). However, there is still a wide range of sizes, ranging from 1 291 047 ha for the Vatnajokulthjodgardur National Park in Iceland down to an individual tree, such as the Kačja smreka in Godovic, Slovenia. Indeed, a number of the smaller sites below 1 ha are individual trees.
| Area | Nationally designated sites in EEA countries |
|---------------|---------------------------------------------|
| < 1 ha | 12 % |
| 1–100 ha | 65 % |
| 100–1 000 ha | 16 % |
| 1 000–10 000 ha | 5 % |
| > 10 000 ha | 2 % |
*Source:* CDDA version 9, June 2011.
Figure 4.3 shows, for four contrasting EEA countries, the range of surface area covered by nationally designated areas: Bulgaria has 80 % of its protected areas under 100 ha and none over 1 000 ha, whereas Greece has 94 % of its protected areas above 100 ha and 7 % over 10 000 ha. Italy and Poland show the largest range of size of protected area between less than 1 ha (Italy: 0.7 %; Poland: 1.5 %) and more than 10 000 ha (Italy: 8 %; Poland: 13 %).
**Figure 4.2 Average size of terrestrial nationally designated areas (in km²) in different regions of the world**
*EEA-39 includes the 32 EEA member countries and seven collaborating countries ([http://www.eea.europa.eu/data-and-maps/figures/political-map-of-eea-member-and-collaborating-countries](http://www.eea.europa.eu/data-and-maps/figures/political-map-of-eea-member-and-collaborating-countries)).*
**Source:** Data from IUCN and UNEP-WCMC (2011) *The World Database on Protected Areas (WDPA): January 2011*. Cambridge, United Kingdom: UNEP-WCMC. [http://www.wdpa.org/Statistics.aspx](http://www.wdpa.org/Statistics.aspx).
**Figure 4.3 Share of the extent of designated areas in four EEA countries**
**Source:** CDDA, June 2011.
4.1.3 The IUCN categories for types of protected area management
While a designation type often provides information about the purpose of a protected area (e.g. the protection of a group of species, or the sustainable management of resources), it does not provide information on the type of management applied in the individual site.
Depending on the specific context of the site (geographical, environmental, socio-economic), strict protection measures may be required. Other sites may apply much less restrictive management approaches. It is possible that two sites that are designated under the same legal instrument (for example a national park designation-type) would have a different degree of management or level of human settlement. Equally, within the same protected site, there may also be a zoning of different levels and types of management.
In an attempt to describe and categorise the different management approaches in individual sites, the International Union for Conservation of Nature (IUCN) has identified seven different protected area categories, based on management objectives (Table 4.3) (Dudley, 2008). The assigned category should be based on the primary management objective(s) of the protected area. The primary management objective should apply to at least three-quarters of the protected area.
| IUCN category | Description |
|---------------|-------------|
| **Ia** Strict Nature Reserve | Strictly protected areas set aside to protect biodiversity and also possibly geological/geomorphologic features, where human visitation, use and impacts are strictly controlled and limited to ensure protection of the conservation values. Such protected areas can serve as indispensable reference areas for scientific research and monitoring. |
| **Ib** Wilderness Area | Usually large unmodified or slightly modified areas, retaining their natural character and influence without permanent or significant human habitation, which are protected and managed so as to preserve their natural condition. |
| **II** National Park | Large natural or near natural areas set aside to protect large-scale ecological processes, along with the complement of species and ecosystems characteristic of the area, which also provide a foundation for environmentally and culturally compatible, spiritual, scientific, educational, recreational, and visitor opportunities. |
| **III** Natural Monument or Feature | Protected areas set aside to protect a specific natural monument, which can be a landform, sea mount, submarine cavern, geological feature such as a cave, or even a living feature such as an ancient grove. They are generally quite small protected areas and often have high visitor value. |
| **IV** Habitat/Species Management Area | Protected areas aiming to protect particular species or habitats, their management reflects this priority. Many Category IV protected areas will need regular, active interventions to address the requirements of particular species or to maintain habitats, but this is not a requirement of the category. |
| **V** Protected Landscape/Seascape | A protected area where the interaction of people and nature over time has produced an area of distinct character with significant, ecological, biological, cultural and scenic value; and where safeguarding the integrity of this interaction is vital to protecting and sustaining the area and its associated nature conservation and other values. |
| **VI** Protected area with sustainable use of natural resources | Protected areas that conserve ecosystems and habitats together with associated cultural values and traditional natural resource management systems. They are generally large, with most of the area in a natural condition, where a proportion is under sustainable natural resource management and where low-level non-industrial use of natural resources compatible with nature conservation is seen as one of the main aims of the area. |
Source: IUCN (http://www.iucn.org).
As suggested by Dudley (2008), IUCN categories can be mapped against a trend line of increasing degree of environmental modification against decreasing naturalness (Figure 4.4).
It should be stressed however, that the IUCN classification does not represent a hierarchy in relation to the value of the protected area categories that it describes. It is simply a categorisation that reflects the area’s management style and goals. IUCN argues that a well-balanced protected area system should consider using all the categories.
IUCN has developed precise guidelines for how to assign these management categories to individual sites. However, the way individual countries apply these categories to their own context is quite variable and is the cause of much debate. For instance:
- As national parks are differently defined by the national legislation in various countries, protected areas called ‘national parks’ can be found in several of the IUCN protected area categories. Examples include (IUCN & UNEP 2012):
- Swiss National Park, Switzerland (IUCN protected area category Ia);
- Everglades National Park, the U.S.A. (IUCN protected area category Ib);
- Białowieża National Park, Poland (IUCN protected area category II);
- Victoria Falls National Park, Zimbabwe (IUCN protected area category III);
- Vitosha National Park, Bulgaria (IUCN protected area category IV);
- New Forest National Park, the United Kingdom (IUCN protected area category V);
- Etniko Ygrotopiko Parko Delta Evrou, Greece (IUCN protected area category VI).
- Estonia has its own interpretation of the IUCN categories. It considers category VI, to be much stricter in terms of biodiversity conservation requirements than category II, which Estonia regards as being a category focused on recreational purposes. The interpretation of category VI in Estonia is therefore much stricter than in many other countries.
In addition, there is a debate on the concept of the IUCN protected area categories V and VI. According to some authors (Locke & Dearden, 2005), these two categories undermine the creation of more strictly protected reserves, and exaggerate the amount of area under protection. They argue that only IUCN categories I–IV should be recognised as protected areas, and suggest that protected areas under category V and category VI should be reclassified as ‘sustainable development areas’.
Other authors choose to take a different perspective, and analyse not the strictness of the category types, but the extent to which each category promotes interaction amongst stakeholders. For example, Mose and Weixlbaumer (2010) consider that Category V in particular represents a dynamic-innovation approach (also called an integration approach’ by the authors), in which cooperation among various stakeholders is a key element. They contrast this integration approach with the static-preservation approach (also called the segregation approach’), which characterises other IUCN categories such as Ia and Ib, where human interaction with the protected area is strictly limited. In some countries, such as Finland, the older set of IUCN criteria is use: for example, large wilderness areas of the north of Finland have been classified as category VI (due to hunting and reindeer herding being permitted in those areas) although in many respects, they would better correspond to category Ib of the current classification.
Despite all these debates, the IUCN management categories framework has so far proved to be the
best tool for providing a comparative picture of protected areas across the world, and also across Europe. IUCN is now encouraging each country to develop a national framework for assignment of IUCN categories, where NGOs as well as national and regional authorities would be involved.
The CDDA database includes information on which IUCN management category applies to nationally designated sites in Europe. So far, this information has been provided for almost 70% of the sites across the 39 EEA countries. However, in the case of the Flemish part of Belgium, parts of Greece, Slovakia, Slovenia, Spain and Turkey, the data are either lacking or incomplete. These data are also lacking or not used at all for very small sites in Scandinavia. In Estonia, IUCN management categories are allocated to each different management area within a designated site.
In spite of these gaps, it is still possible to sketch a general picture of the share of IUCN categories across EEA countries, as shown in the diagram below (Figure 4.5).
- IUCN category IV (protected area managed mainly for conservation through management intervention) accounts for the largest number of protected areas in the 39 EEA countries, with 36 551 sites in total, i.e. over 55%. Category V (protected area managed mainly for landscape/
**Box 4.2 Data quality issues in the CDDA database**
- **Ireland:** The spatial aspect of the CDDA dataset is deficient. Less than 50% of records in the tabular database have associated spatial boundaries.
- **Luxembourg:** There are no spatial boundaries for CDDA sites in Luxembourg. Therefore no analysis of the overlap with Natura 2000 can be undertaken.
- **Spain:** For approximately 50% of the Spanish data, no IUCN category has been reported officially through the Eionet priority data flow.
- **Finland:** The vast majority of Finnish sites have ‘NA’ as the IUCN category — especially for sites below 1 000 ha (95+ % of sites have NA as the IUCN category) (*).
- For the west Balkan countries and Turkey, only a small number of spatial boundaries have been provided in CDDA.
**Figure 4.5 Percentage of CDDA coverage per IUCN category; left: % of the number of sites; right: % of area**
*Note:* Sites in the database without a management category are excluded.
*Source:* CDDA, June 2011.
(*) Finland started in early 2012 a process aiming to assign IUCN categories to all their designated sites.
seascape conservation and recreation) has the next largest number of protected areas with 12 141 sites (over 18 %).
- The largest IUCN category by surface area is category V (near 50 %), which accounts for more than 500 000 km$^2$. Category IV is the next largest with approximately 268 000 km$^2$, i.e. 26 %.
- IUCN category II (protected area managed mainly for ecosystem protection and recreation) sites cover the third-highest surface area with close to 13 %, but this category contains the smallest number of sites at 432.
- IUCN category VI (protected area managed mainly for the sustainable use of natural ecosystems) accounts for over 5 % of both the number and the area of sites (3 526 sites covering 54 100 km$^2$).
- Whilst IUCN category III (protected area managed mainly for conservation of specific natural features) contains 6 800 sites (ca. 10 %), the area covered is relatively low at only 5 800 km$^2$ (less than 1 %).
- IUCN categories Ia (protected area managed mainly for science) and Ib (protected area managed mainly for wilderness protection) number 4 676 (7 %) and 1 984 (3 %) respectively, covering 16 400 and 43 000 km$^2$, i.e. less than 2 % and close to 4 %.
The distribution of protected areas under the various IUCN categories shows different patterns across Europe (Map 4.2). While sites in IUCN categories V are predominantly located in France, Germany and the United Kingdom (countries with the largest population in the EU), IUCN categories Ib and Ia are predominantly distributed in Scandinavia. Although
**Map 4.2 Distribution of nationally protected sites (CDDA) in Europe according to their IUCN category classification**
*Note:* Grey colour means ‘IUCN category not available or not applicable’.
*Source:* CDDA database, June 2011.
Box 4.3 Parco Lombardo del Ticino, (IUCN protected area category V — Protected Landscape)
The Parco Lombardo del Ticino situated in the Lombardy region is the first regional park that was created in Italy. It was established in 1974 with the aim of protecting the Ticino Valley from the adverse effects of industrialisation and from greater urbanisation.
Valle del Ticino is an area characterised by a great variety of environments, including watercourses, conifer forests, plain woodlands, moorlands, wooded areas, wetlands, and agricultural fields, some of which are under very ancient cultivation systems. The consortium managing the park consists of 47 municipalities and three provinces. It controls a territory of over 91 000 hectares, by using a protection system with different rules for natural areas, agricultural and urban areas. The aim is to combine the needs of environmental protection with the social and economic demands of the communities living in the area, which is one of the most densely populated parts of Italy.
Box 4.4 Wilderness in Europe and IUCN categories
In comparing the degree of ‘wilderness’ in Europe as expressed by the ‘Wilderness Quality Index’ (WQI) with the distribution of IUCN protection categories, Fischer and al. (2010) found a high correlation with category I (a & b) and category II protected areas.
Map 4.3 Overlap between wilderness areas and protected areas under IUCN categories I and II
Source: Wildland Research Institute/University of Leeds, ETC/SIA, ETC/BD, CDDA, 2011.
In terms of overall number, Estonia, Norway, Slovakia and Sweden have the most protected areas classified as Category Ia and Ib, and Category II. Albania, Bulgaria, Estonia and Slovenia have the highest number of protected areas under Category III, but not all countries classify protected areas under this category. The United Kingdom is the only country within the 39 EEA member and collaborating countries that has no protected areas in categories I, II or III. No data available for Ireland.
Box 4.5 Retezat National Park (IUCN protected area category Ib — Wilderness Area)
Retezat National Park in Romania is the first Romanian national park, established in 1935. It is located in the Retezat Mountains in the southern Carpathians, encompassing Romania’s highest mountain ranges and one of Europe’s last remaining pristine forests. The Retezat Mountains contain more than 60 peaks over 2 300 metres in height, and over 100 deep glacier lakes. Today the park covers an area of 38 138 ha, of which 48 % are forests and 52 % alpine area, with dwarf-pine, alpine meadows, and rocks. The slopes are covered with screes and rocks or aquatic habitats. 14 215 ha (36.84 % of total area) of the park is considered wilderness area.
There are more than 1 200 superior taxa (1/3 from whole Romanian superior flora) found in the park, including 22 % of the endemic taxa of the country. The park is the genetic centre for the Hieracium and Poa genera. The fauna of the park consists of thousands of invertebrate species, including many butterflies; 11 species of freshwater fish, 11 species of amphibians (more than 50 % of Romanian amphibian fauna), 9 species of reptiles, 120 species of nesting birds, and 55 species of mammal. Altogether, these account for 23 % of European terrestrial species.
the data are not available in the CDDA for Spain, it is well known that IUCN category V is also very important in this country (EUROPARC Spain, 2008).
4.1.4 Main ecosystem-types in nationally designated areas
Based on information from CORINE Land Cover (CLC) 2006, it is possible to estimate the extent of broad ecosystem-types within the total area of protected sites in Europe (Figure 4.6). For this purpose, a clustering of different Corine land cover units was made according to the methodology applied for the EU Biodiversity Baseline 2010.
Forest ecosystems take up the largest share of nationally designated areas in EEA countries, with up to 31.3 % of the land cover. Agro-ecosystems are the next largest, making up about 28.3 % of protected areas. They are followed by grasslands with 9.2 %. Less than 8 % of the area under national
Figure 4.6 Proportion of the surface area of nationally designated sites per type of ecosystem
Note: These broad ecosystem-types represent different ways of clustering CLC units, so there are overlaps between them. For instance, ‘grasslands’ and part of ‘heaths and scrub’ are included in ‘agro-ecosystems’. Similarly, ‘lakes and rivers’ are included in ‘wetlands’. This is why the sum of the ecosystems is over 100 %.
Source: CDDA, June 2011; and CLC, 2006.
designations is covered by marine ecosystems. Given that the EU has committed to designating 10% of marine and coastal areas as protected areas, it appears obvious that significant additional efforts have to be made on this type of ecosystem.
Mountain areas generally offer greater opportunities for designing protected areas because competition for land use is much lower than in plains or in coastal areas. In addition, because they are generally more remotely located, mountain areas are important reservoirs of biodiversity. Figure 4.7 shows the extent
**Figure 4.7 Share of terrestrial protected areas in mountainous, coastal and lowland inland area per country**
*Notes:* Coastal areas defined as within 0–15 km, Mountain regions as defined by the European Environment Agency (2010).
In several countries, part of the coastal areas are also mountainous. Countries are ordered according to the percentage of each country covered by mountains.
*Source:* CDDA, June 2011.
to which countries with mountain areas preferentially designate their protected areas in these regions. The factors leading to the protection of coastal areas are different. They are usually the result of political will to protect areas against urbanisation and infrastructure development (ports, roads, industrial plots), or due to natural limits on land use due to strong natural dynamics such as erosion.
4.1.5 Land cover change in nationally designated areas
An analysis of changes in broad ecosystem-types for the period 2000–2006, both within and outside nationally designated areas, shows the buffering effect of protected areas (Figure 4.8). Decreases in agro-ecosystems including grasslands are more limited in protected areas than outside. The amount of land covered by wetlands, forests and coastal ecosystems increased slightly more in protected areas than outside in the period. The large increase of ‘heaths and scrubs’ during the period, more pronounced outside than inside protected areas, is mainly due to land abandonment (former agriculture areas becoming transitional woodland-shrub areas).
4.1.6 Governance and management of protected areas
The importance of governance in relation to protected areas was strongly recognised at the 5th IUCN World Congress held in Durban in 2003, and later within the CBD Programme of Work on Protected Areas. Although there are many different definitions of protected area governance,
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**Figure 4.8 Changes in broad ecosystem-types between 2000 and 2006 inside and outside nationally designated areas**
*Source:* CLC 2000, CLC 2006, CDDA, June 2011.
there are five commonly agreed-upon elements (Borrini-Feyerabend et al., 2004; Graham et al., 2003):
- **Legitimacy and voice** in protected area management, particularly the level of participation by local stakeholders and the degree of consensus in decision making;
- **Accountability** of the protected area management to local communities, the public and other key stakeholders, including transparency of decision making;
- **Performance** of protected area management, including responsiveness, efficiency, and effectiveness;
- **Fairness** in decision making, including equitable benefit sharing among key stakeholders, and application of the rule of law;
- **Leadership** of protected area policymakers, including strategic vision and clear direction based on the ecological, historical and socio-cultural complexities of protected areas.
Both IUCN and the CBD recognise the legitimacy of a range of governance types. With respect to who holds management authority and responsibility for decision-making about protected areas, IUCN distinguishes four main types of protected area governance:
- **Type A**: Governance by government (at federal/state/sub-national or municipal level). A government body (such as a ministry or park agency reporting directly to the government) holds the authority, responsibility and accountability for managing the protected area. This body also determines its conservation objectives, and develops and enforces its management plan. It often also owns the protected area’s land, water and related resources.
Examples of Type A governance can be seen in several countries, notably in western Europe. These countries have vested most legislative and budgetary responsibilities for nature conservation at sub-national levels (e.g. Bosnia and Herzegovina’s *subdivisions*, Belgian *regions*, German *Bundesländer*, Spanish *comunidades autónomas*, United Kingdom’s *countries*). Many Central and Eastern European countries are still rather centralised, with the national level setting the legislative framework for the sub-national entities.
- **Type B**: Shared governance. Complex institutional mechanisms and processes are employed to share management authority and responsibility among a plurality of (formally and informally) entitled governmental and non-governmental actors. Shared governance, sometimes also referred to as co-management, comes in many forms. One example is ‘collaborative’ management, where decision-making authority and responsibility rest with one agency, but the agency is required — by law or policy — to inform or consult other stakeholders.
Type B governance is visible in those European countries that provide a legal basis for protected areas categories that are designated, set up and managed by the local authorities in partnership with other stakeholders. Management in these cases tends to be locally accountable, with the limited contribution of national level organisations in framework legislation, coordination and capacity building. Examples of this approach include Dutch National Parks, French and Italian Regional Nature Parks, German Nature Parks, Polish landscape parks, all Swiss Parks, and the United Kingdom’s Areas of Outstanding Natural Beauty.
- **Type C**: Private governance. Private governance comprises protected areas under individual, cooperative, NGO or corporate control and/or ownership. In this scenario, the protected area is managed under not-for-profit or for-profit schemes. Typical examples are areas acquired by NGOs explicitly for conservation. Many individual landowners also pursue conservation out of respect for the land and a desire to maintain its aesthetic and ecological values.
Type C governance can be seen in Belgium’s *Natagora* and *Natuurpunt*, the Dutch *Natuurmonumenten*, the Swiss *ProNatura*, or the local wildlife trusts in the United Kingdom. It can also be seen in the partially privatised government enterprises (e.g. Finnish *Metsohallitus* and Dutch *Staatsbosbeheer*). In Central and Eastern Europe this approach is more often the exception rather than the rule.
- **Type D**: Governance by indigenous peoples and local communities. This type includes two main subsets: (1) indigenous peoples’ areas and territories that are established and run by indigenous peoples and (2) community-conserved areas that are established and run by local communities.
Protected area management bodies, in the form of administrative entities that have responsibility for the direct management of a single site, exist in most of these European governance systems. They are usually established in relation to a protected area designation of a certain size or importance (such as national parks, nature parks, biosphere reserves or landscape protected areas). Smaller sites (e.g. natural monuments, nature reserves, Natura 2000 sites) tend to be managed by regional bodies in charge of managing a larger number of sites. There are some countries that have abandoned this system altogether (Albania, Estonia, Hungary, Latvia and Sweden) and are vesting direct responsibilities for the management of protected areas at the regional level.
The governance types above describe the different types of management authority and responsibility that can exist for protected areas, but it must be remembered that these do not necessarily relate to ownership. In some of the governance types, such as state- and private-protected areas, governance and ownership will often be the same. However, in other cases, this will depend on individual country legislation. For example, many indigenous peoples’ protected areas and community-conserved areas are found on state-owned land. In large and complex protected areas, particularly in categories V and VI, there may be multiple governance types within the boundaries of one protected area, possibly under the umbrella of an overview authority. In the case of most marine protected areas, the ownership is with the state, which will either manage directly or delegate management to communities, NGOs or others. There are, however, many marine areas where the customary laws of indigenous peoples are recognised and respected by the broader society. In international waters and the Antarctic, where there is no single state authority, protected areas will inevitably need to be under a shared type of governance (Dudley, 2008).
Private land ownership in and of protected areas is a phenomenon that occurs throughout Europe. However, it is usually a characteristic of ‘less strictly’ protected sites that allow for a degree of sustainable land use (e.g. agriculture and forestry). In these places, the role of the competent authorities is mainly to provide guidance, to interpret legislation, to promote regional identity and to assist in fundraising for conservation activities. ‘Non-intervention’ is also a type of management used in many protected areas or in specific zones of larger protected areas: basically the areas are left to evolve without direct human intervention.
4.2 Different international and regional networks of protected areas
There are a number of frameworks that promote the organisation and cooperation of protected areas within networks. Each of these networks has a specific background and purpose, ranging from the protection of exceptional assets to the conservation of sites of high ecological and functional value, or to sites dedicated to scientific research and sustainable development. They all contribute to the enhancement of biodiversity conservation throughout Europe.
Natural areas are often shared by neighbouring countries making them a common responsibility. In order to effectively implement nature protection at the scale of the whole region, the countries involved often adopt regional Multilateral Environmental Agreements (MEAs) aimed at regional and transboundary cooperation. Neighbouring countries within a region often have different levels of technical expertise, knowledge, capacity and financial resources, and can therefore benefit by combining their respective strengths (Sandwith et al., 2001). Protected area networks allow for a more effective and harmonised management of the shared natural heritage, habitats and species. They also allow for the joint preservation and promotion of cultural values of the region in question. Such protected area networks are usually legally established on the basis of either global or regional MEAs, such as the Alpine or Carpathian Conventions (UNEP Vienna, 2010).
4.2.1 Specific international and regional designation-types
European countries participate and contribute to the three global networks of protected areas, supported by Multilateral Environmental Agreements (MEAs), many of which have significant transnational components to them:
- **Ramsar sites designated under the Ramsar Convention (1971)** are focused on the protection of wetlands, a specific type of ecosystem. These sites are deemed important for the conservation of global biological diversity and for sustaining human life through the maintenance of their ecosystem components, processes and benefits/services.
Ramsar Sites are designated according to nine criteria — eight of which are related to biodiversity. The Convention also provides the tools for making the link between wetland
biodiversity and the ecosystem services upon which people depend such as fish, fruits, wood, medicines, etc.
As of 2011, 874 Ramsar sites have been designated within the 39 EEA countries, among which nine are formally designated transboundary Ramsar sites. These transboundary sites include the North Livonian Transboundary Ramsar Site between Estonia and Latvia, the Trilateral Ramsar Site Floodplains on the Morava-Dyje-Danube Confluence shared between the Czech Republic, Slovakia and Austria, and the Vallée de la Haute-Sûre shared between Belgium and Luxembourg. 20 other transboundary sites are under preparation.
- **World Heritage sites**, designated under the World Heritage Convention (1972) seek to protect and preserve the cultural and natural heritage around the world that is considered to be of outstanding value to humanity. 46 World Heritage sites have been designated so far by the 39 EEA countries. Remarkable examples of transboundary World Heritage sites are the Caves of Aggtelek Karst and Slovak Karst, consisting of 712 caves spread out over a total area of 55 800 ha along the border of Hungary and Slovakia, and the Monte San Giorgio, a wooded mountain at the border between Switzerland and Italy.
- **Biosphere Reserves** are designated as part of the UNESCO Man and the Biosphere Programme. They have three clearly defined functions that are complementary and of equal importance. The first function is conservation, preserving genetic resources, spaces and ecosystems, and landscapes. The second function is promoting sustainable economic and human development. The third function is logistical, supporting and encouraging research, monitoring, education and information exchange related to conservation issues. For this purpose, the Biosphere reserves are divided into three zones: a central zone whose legal status must ensure long-term protection, and where most human activities are prohibited; a clearly defined buffer zone, where only activities compatible with conservation are permitted; and a transitional zone, which does not usually have protected status, and which permits and promotes sustainable use of resources. As of 2011, 130 Biosphere Reserves have been designated by the 39 EEA countries. Six of these 130 are transboundary reserves. Several others are currently being developed, such as the transboundary Biosphere Reserve along the Mura, Drava and Danube rivers.
European countries also participate in networks of marine protected areas. These areas are being
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**Box 4.6 Project for 'Europe’s Amazon'**
On 25 March 2011, five neighbouring countries — Austria, Croatia, Hungary, Serbia and Slovenia — signed a declaration confirming their commitment to the establishment of a transboundary UNESCO Biosphere Reserve. The Declaration paves the way for creating the world’s first five-country protected area, protecting biodiversity along the Mura, Drava and Danube rivers, ‘Europe’s Amazon’, with an overall size of approximately 800 000 ha. This will create Europe’s largest riverine protected area.
During the Cold War, the Mura and Drava Rivers formed part of the ‘Iron Curtain’ border and were a symbol of that divide. Over the last two decades, the transboundary river system has become a lifeline connecting the five countries. The five countries in this region have established a network of about 250 individual river protected areas. This includes the Danube-Drau National Park in Hungary, the Topoški Rit National Park in Croatia, the Gornji Podunavlje Special Nature Reserve in Serbia, and Natura 2000 sites along the Drava and Mura in Austria and Slovenia. Most recently, Croatia declared 88 000 ha of the Drava-Mura a Regional Park. A new transboundary UNESCO Biosphere Reserve will combine various protected areas for effective protection and management of this shared river ecosystem.
With rare floodplain forests, river islands, gravel banks and oxbow lakes, the new five-country protected area spans over 700 kilometres of rivers and 800 000 ha of unique natural and cultural landscapes. The area is home to the highest density of breeding pairs of white-tailed eagle in Europe, as well as to endangered species such as the little tern, the black stork, otters, beavers and sturgeons. It is also an important stepping stone for more than 250 000 migratory waterfowl every year.
The river ecosystem is also vital for the socio-economic wellbeing of the trans-boundary region. It is a major source of: drinking water; natural flood protection; sustainable forestry; agriculture and fisheries. It also has an important role in the promotion of eco-tourism, awareness raising and environmental education in the region (WWF website, 2011).
developed as part of regional marine conventions, which fully or partly cover European marine seas (See Chapter 7).
Two networks of protected areas are specific to Europe: the Natura 2000 network of sites designated under the Birds and Habitats Directives, which only apply to the 27 Member States of the European Union; and the Emerald Network of sites, which is under development as part of the Bern Convention (which applies to 45 European countries, see Chapter 5).
Many of the sites that are designated under these international and regional networks are also designated under one or several national instruments as described before. However, this is not compulsory and depends very much on the specific administrative and policy framework of each country.
Another European initiative for protected areas is the ‘European Diploma of Protected Areas’, an award by the Council of Europe that can be given to sites in 45 European countries. This award applies only to existing nationally protected areas, and may be given to natural or semi-natural areas in recognition of the diversity of their biology, geology or landscapes. It is also intended to recognise exemplary management of the areas that it is awarded to. As of 2011, the European Diploma has been awarded to 64 sites in 23 countries out of the 39 EEA member and collaborating countries.
### 4.2.2 Other regional networks of protected areas
Other policy instruments, although not leading to additional designation-types also seek coherence and cooperation between protected areas within regional networks. A description of these networks follows below.
**The Alpine Convention framework for protected areas**
The Alpine Network of Protected Areas (ALPARC) gathers all categories of protected areas larger than 100 ha within the Alpine Convention area. These include national, regional and natural parks, natural and biosphere reserves and various other types of protected area. Since 1995, ALPARC has promoted and enhanced intensive exchanges between the Alpine parks, nature reserves, biosphere reserves, tranquillity zones and many other kinds of protective designations. It has also promoted exchanges between nature protection institutions, local actors, local communities and scientists.
The signatory countries of this international treaty are Austria, France, Germany, Italy, Liechtenstein, Monaco, Slovenia and Switzerland.
**The Carpathian Convention framework for protected areas**
In 2006, the Contracting Parties of the Carpathian Convention officially founded the Carpathian Network of Protected Areas (CNPA) as a practical means for implementing the Convention’s provisions on conservation. The CNPA coordinates joint projects designed to: improve cooperation between the seven Carpathian countries; facilitate exchanges between the Carpathian protected areas; raise awareness of the fragile ecosystems in the massif; and work to realise practical measures, such as the creation of an ecological network to ensure the survival of endangered species. There is a strong emphasis on cooperation with the Convention’s Alpine neighbours (Map 4.4).
**Danubeparks**
In June 2009, directors of 12 protected areas within eight countries that border the Danube signed the Declaration of Vienna, which established the Danube River Network of Protected Areas. The Danube is one of the most international rivers of the world, and its catchment area includes 19 countries. As a first step, the partnership expands cooperation, coordination, and consultation between the national administrations of protected areas of Danube riparian countries. The protected areas within the network have different protection status and categories. They include: national parks, Biosphere Reserves, special protected areas, Special Zoological Reserves, and Protected Landscape Areas. Many of the areas include more than one category in that specific area. The aims of the network were consolidated by the Declaration of Tulcea (2007). More protected areas partners along the Danube River and its tributaries are invited to join the network.
**The protected areas network in the Barents Euro-Arctic Region BPAN**
This network was set up in 2010 by the Barents Euro-Arctic Council (BEAC), a forum for intergovernmental cooperation in the Barents Region. It involves four countries (Finland, Norway, Russia and Sweden at federal and regional level), and aims to maintain the dynamic biodiversity of the Barents Euro-Arctic.
Towards a Dinaric Arc and Balkan Network of Mountain Protected Areas
In 2009, UNEP and the Environment and Security Initiative (ENVSEC) launched an initiative for transboundary cooperation of mountain protected areas in south eastern Europe. They have called it ‘Towards the Dinaric Arc and Balkan Network of Mountain Protected Areas’ (ENVSEC-UNEP, 2010).
PAN Parks
The PAN Parks Foundation (Protected Areas Network Parks) is a European non-governmental organisation created under the initiative of WWF and supported by the Dutch tourist company Molecaten Group. The aim of this network is to improve nature conservation and the management of protected areas using sustainable tourism as a tool. PAN Parks create a network of protected areas certified in accordance with PAN Parks quality standards. These standards cover relevant wilderness protection, as well as social, economic and cultural aspects. Although PAN Parks seek to welcome visitors, they place greater importance on nature conservation in order to achieve effective habitat protection with the lowest environmental impact (Puchal, 2011).
MedPAN
MedPAN is a network of managers of marine protected areas in the Mediterranean. Set up as a legally independent structure since the end of 2008, MedPAN’s main objective is to improve the effectiveness of marine protected area management in the Mediterranean. The network counts over 38 members, most of whom are managers of marine protected areas from the entire Mediterranean basin. It also includes 22 other ‘partner’ organisations that are keen to contribute to the strengthening of the network. These partners manage more than 30 marine protected areas and are working towards the creation of several new sites.
Box 4.7 Networks of people for protected areas management
Crucial to the functioning of these networks of protected areas are networks of people. These include:
- EUROPARC, which has over 400 members in 36 countries. It aims to facilitate international cooperation in all aspects of protected area management to further improve and conserve a shared natural inheritance.
- Eurosite, the aim of which is to exchange, enhance and promote expertise in the management of nature sites throughout Europe. It brings together governmental and non-governmental organisations, as well as private bodies, in active collaboration for the practical management of Europe’s nature. There are currently 72 members of the Eurosite network from 23 European countries engaged in the delivery of this mission.
Note: These two organisations are discussing the possibility of merging.
MAIA
MAIA is a European cooperation project with the aim of creating a network of MPA managers and stakeholders for marine protected areas in the Atlantic arc.
European Geoparks Network
This network was established in 2000 in order to ‘protect geodiversity, to promote geological heritage to the general public as well as to support sustainable economic development of Geopark territories primarily through the development of geological tourism’. The network involves managers from 43 territories across 17 European countries who seek to exchange ideas, experience and best practice in working towards common goals. Although the Geoparks network is principally concerned with protection of diversity in geology, the network also seeks to promote the natural and cultural heritage of the parks.
4.3 Conclusions
The diversity of different protected area designations is the result of each country — or even regions within countries — having different cultural and administrative starting points to the process.
Although it results in a disparate group of organisations and designations, many of these designations have similar aims in terms of the protection and long-term management of land that has high value for nature.
The expanding role of protected areas as addressed in Chapters 1 and 2 is reflected in the large variety of IUCN management types, including an increased recognition of the role of IUCN category V in supporting the promotion of sustainable development practices. Whether they are in category VI, V, II or IV, protected areas are territories that benefit from a certain level of governance and dedicated management planning. They benefit from dedicated staff that can facilitate dialogue among stakeholders, including on conservation issues and sustainability. In that respect, protected areas are unique platforms for exchange and capacity building on sustainable practices, both within and beyond their boundaries.
The diversity of designations is indeed a strength of the European approach because it allows for a multitude of land uses and management regimes to be incorporated within the boundaries of our protected areas. Each of these land uses and management regimes has national, regional and local relevance. Within this context, there is still a clear desire for coherence to be established between protected areas across national boundaries in order to ensure ‘ecological connectivity’ — the facilitation of movement by species between areas. Such coherence would also provide for the exchange of experience and best practice between administrators and managers. These initiatives can clearly provide a basis for wider international collaboration, the end result of which will be to ensure the long-term sustainability of Europe’s protected areas.
Another feature of protected area management that needs more attention is the appropriate monitoring and assessment of management of protected areas. This would allow for assessments to be made of the conservation outcomes, a practice that is currently difficult to achieve in a comprehensive way across Europe.
4.4 References
ALPARC (http://si.alparc.org/) accessed 9 January 2012.
Altemeier, T. and Cherfose, V., 2009, ‘Was ist die IUCN-Kategorisierung der Schutzgebiete wert?’, Nationalpark, 4/2009, pp. 45–47.
Biosphere Reserves Europe (http://www.unesco.org/mabdb/bios1-23.htm) accessed 9 January 2012.
Borrini-Feyerabend, G., 2004, Governance of protected areas, participation and equity’, in Biodiversity Issues for Consideration in the Planning, Establishment and Management of Protected Areas Sites and Networks, Technical Series no. 15, Montreal: Convention on Biological Diversity.
Carpathian network of protected areas (http://www.carpathianparks.org/) accessed 9 January 2012.
Croatian Parliament, 2005, Nature Protection Act, Official Gazette 70/05, 139/08, 57/11.
DANUBEPARKS (http://www.danubeparks.org) accessed 9 January 2012.
Danube River Protection Convention (http://www.icpdr.org/icpdr-pages/drpc.htm) accessed 9 January 2012.
Dudley, N., 2008, (ed.), 2008, Guidelines for Applying Protected Area Management Categories, Gland, IUCN. x + 86 pp.
European Diploma of Protected Areas (http://www.coe.int/t/dg4/cultureheritage/nature/diploma/default_en.asp) accessed 9 January 2012.
EUROPARC Spain, 2008, Procedure for Assigning IUCN Protected Area Management Categories, Ed. Fundación Fernando González Bernáldez, Madrid, 140 pp.
EUROPARC-España, 2010, Anuario EUROPARC-España del estado de los espacios naturales protegidos 2009, Ed. Fungobe, Madrid, 104 pp.
EUROPARC Federation (http://www.europarc.org/home/) accessed 9 January 2012.
EUROPARC Federation, 2010, Protected Areas Insight, the Journal of the EUROPARC Federation, Vol 2, November 2010, 36 pp.
European Environment Agency, 2010, *Europe’s ecological backbone: recognising the true value of our mountains*, EEA Report No 6/2010, European Environment Agency (http://www.eea.europa.eu/publications/europes-ecological-backbone/at_download/file).
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Fisher, M., Carver, S., Kun, Z., McMorran, R., Arrell, K. and Mitchell, G., 2010, *Review of Status and Conservation of Wild Land in Europe*, Project commissioned by the Scottish Government (http://www.scotland.gov.uk/Resource/Doc/1051/0109251.pdf).
Graham, J., Amos, B. and Plumptree, T., 2003 *Governance principles for protected areas in the 21st century*, paper prepared for the Vth IUCN World Parks Congress, Durban, South Africa, Institute of Governance, Ottawa.
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Joppa L.N., Loarie S.R. and Pimm, S., 2008, ‘On the “protection” of protected areas’, *Proceedings of the National Academy of Sciences USA*, 105: 6 673–6 678.
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Nolte, C., Leverington, F., Kettner, A., Marr, M., Nielsen, G., Bomhard, B., Stolton, S., Pavese, H., Stoll-Kleemann, S. and Hockings, M., 2010, ‘Protected Area Management Effectiveness Assessments in Europe: A review of application, methods and results’, *BfN Skripten*, 271a (http://www.wdpa.org/ME/downloads/Skript_271a.pdf).
Puchala, P., 2011, *Feasibility check of the Tatra National Park potential for PAN Park certification*, Masters Thesis in the Management of Protected Areas Programme, University of Klagenfurt, Klagenfurt, Austria, p. 53.
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5 The Natura 2000 and Emerald networks
Chapter summary
This chapter is divided into two parts, focusing on the two main pan-European networks of protected areas: Natura 2000, and its conceptually similar cousin, the Emerald Network. In Section 5.1, we discuss Natura 2000, focusing firstly on the methodology used to establish the network, its administrative features, and the research to which it has given rise. We then look at the current state of the network, with a brief survey of the number of sites it comprises, and their geographic distribution in Europe. Next, we look at the types of ecosystems in the network, the increase in the size of the network, and the challenge of creating various types of connectedness across the network. In Section 5.2, we discuss the far less developed Emerald Network, which incorporates a wider number of European countries and is still in the early stages of implementation. We discuss the network’s history and recent progress that has been made so far in building the network.
5.1 The Natura 2000 network
5.1.1 The innovative approach of Natura 2000
The approach to designating sites under the Habitats Directive, building the Natura 2000 network and managing it is innovative, and includes several aspects that are unique for a piece of multi-national legislation on protected areas. As a matter of fact, the concept of Natura 2000 builds on, but goes beyond the ‘traditional’ definition of ‘protected area’: on the one hand it is based on strict provisions of an EU directive (hard law), on the other hand, it promotes the sustainable use of resources and the consideration of economic, social and cultural requirements for achieving the nature conservation goals.
The main goal of Natura 2000 is to contribute to the maintenance or restoration of a favourable conservation status for the target habitats (231 different types) and species (over 900 taxa). The notion and definition of ‘favourable conservation status’ is one of the most distinctive and key aspects introduced by the Habitats Directive in European nature conservation policy, and clearly contributes to an outcome-oriented policy.
Another original aspect of Natura 2000 is its use of biogeographical regions. These biogeographical regions are used to both build the network and to identify target species and habitat types. This has been accomplished while recognising the ecological differences within and between EU Member States; a fact that was particularly important after the post-1992 EU enlargement, which greatly increased the geographical area covered by the directives and the network (to the North and the East). The EU now has nine biogeographic regions — Alpine, Atlantic, Black Sea, Boreal, Continental, Macaronesian, Mediterranean, Pannonian and Steppic. In addition to these EU biogeographical regions, there are two non-EU biogeographic regions in Europe: the Anatolian and the Arctic regions (see Map 3.1).
Building a network of sites across Europe on the basis of a common methodology, criteria and set of ecological features favours better ecological coherence than if the networks were only organised within each Member State. A European network helps migratory species, and allows for taking into account genetic diversity and ecological variability. It also facilitates the identification and designation of sites across borders that better take into account the natural distribution of species and habitat types.
This can be illustrated by the case of the crane (*Grus grus*) for which Special Protection Areas — the bird component of Natura 2000 — have been classified across its European range and flyways. These SPAs cover all key areas of the cranes’ life cycle (Map 5.1). This issue of network ‘connectivity’ where protected areas are established and managed to facilitate all keys areas of their life cycle is discussed further ahead in this chapter.
Another unique aspect of the Natura 2000 network is the comprehensive set of provisions introduced by the Habitats Directive concerning conservation measures and assessments of impacts for projects likely to have a significant effect on the sites. The provisions are set in Article 6 of the directive, for which the European Commission has been issuing extensive guidance, from legal interpretation to practical guidance on specific sectors like wind.
**Map 5.1** Special Protection Areas classified for the crane (*Grus grus*) across EU
Source: Natura 2000 database, December 2011.
energy, port developments, etc. ('). In addition, the European Court of Justice has produced several rulings that further clarify the legal interpretation of these provisions ('). However, the practical implementation of the network at the national, regional and local level is flexible, and depends on the legal, administrative and cultural characteristics of each country, region or site.
Another distinct aspect of Natura 2000 compared to other regional networks of protected areas is the way it is financed through different EU mechanisms. The Member States estimate that a minimum of EUR 5.8 billion per year will be needed to effectively maintain and manage the network (EU, 2011). As part of the framework for the future EU budget beyond 2014, the European Commission is looking at the effectiveness of the approach to financing Natura 2000 that has been used so far, namely a mix of funds from the Member States and sectoral EU funds like Rural and Regional Development Policy and the LIFE regulation. Additional and updated information on the financing of Natura 2000 at the EU level can be found on a dedicated webpage from the European Commission (').
Finally, Natura 2000 has been responsible for much research activity over the past twenty years. This research has comprised both applied research to help implement the directives, as well as research that studies the process of implementation itself.
Figure 5.1, based on the Web of Knowledge database (http://wokinfo.com/), shows a clear increase in published papers making reference to Natura 2000, especially since 2000. A search using the phrase ‘habitats directive’ shows a very similar pattern (not shown).
Research related to Natura 2000 can be grouped under several themes. The following aims to give a few examples, but does not aim to be comprehensive.
- **Research theme 1: Gap analysis and other assessments**
This topic is addressed in Chapter 8 — Assessments related to protected areas.
- **Research theme 2: Surveys and monitoring**
Many countries carried out extensive surveys of both habitat types and species in order to select their Natura 2000 sites. Particularly
---
Figure 5.1 *Publications on Natura 2000 per year — based on a search in Web of Knowledge for topic ‘Natura 2000’* (9/01/2011)
Source: Web of Knowledge database (http://wokinfo.com/) (5/04/2012).
(’) http://ec.europa.eu/environment/nature/natura2000/management/guidance_en.htm.
(’) http://ec.europa.eu/environment/nature/legislation/caaselaw/index_en.htm.
(’) http://ec.europa.eu/environment/nature/natura2000/financing/index_en.htm.
noteworthy are the programmes of habitat mapping in Spain and the Czech Republic, and the EUSeaMap project covering the Atlantic, Baltic and western Mediterranean. Our knowledge of the distribution of many species has increased markedly because of the Habitats Directive and the research it engendered, particularly for less well-known species groups such as insects and bryophytes. Monitoring, often linked to reporting requirements under Article 17 of the Habitats Directive, has also been a focus, with EU-funded research projects such as EUMON and EBONE helping to develop tools and common standards. Several groups have investigated the potential of remote sensing techniques for mapping and monitoring Annex I habitats. The Habitatat project has published a useful overview of this (Vanden Borre et al., 2011). There has also been some study of the role played by taxa inventories and so-called ‘long term ecosystem research’ (LTER) sites in understanding long term changes (Metzger et al., 2010; De Biaggi et al., 2010).
- **Research theme 3: Adapting to environmental change**
There have been many studies of how Natura 2000 and other protected areas will be affected by changes in land use or climate, and also of how Natura 2000 may help biodiversity to adapt to such changes.
At present, land use change is probably the single largest driver of biodiversity loss (CBD, 2010). Future changes in land use across Europe have been modelled by several studies (e.g. Rounsevell et al., 2006), and although the changes vary with the socio-economic scenario chosen, major changes are considered inevitable. There is some evidence that protected areas, including Natura 2000, are also being affected, especially by agricultural intensification or abandonment. However, many of the published studies (e.g. Bodesimo et al., 2011; Diogo & Koomen 2010) examine land use changes over periods that start well before the sites were designated as Natura 2000.
- As for how protected areas will be affected by climate change, there have also been studies and publications on how this will affect the species and habitats protected by Natura 2000 and on the consequences for the network itself (e.g. Araújo et al., 2011; Harrison et al., 2006; Verschuuren, 2010). In addition to these studies, several meetings have been dedicated to this topic, most recently in Vilm, Germany (Ellwanger et al., 2012). Vos et al. (2008) have modelled the combined effect of both land use change and climate change for a selection of species. They suggest that the Natura 2000 network will need increased connectivity to allow species to adapt to change and propose a method for identifying ‘ecosystem hotspots’, where climate refugia for a significant set of species coincide.
- **Research theme 4: Implementation**
Implementing Natura 2000 has created tensions in many countries. These tensions have been studied by social scientists, who have assessed problems in single countries, and also made comparisons across two or more countries. The implementation of Natura 2000 in France has been especially well documented (see e.g. Pinton et al., 2007). The governance of biodiversity, and in particular Natura 2000, has also attracted social and political scientists, often in the context of studies on EU enlargement (e.g. Kluvánková-Oravská et al., 2009).
- **Research theme 5: Management**
A better understanding of the ecology of species and habitats is often needed to inform managers of Natura 2000 sites, and there have been many studies of single species or groups of species or of habitat types, often funded by the LIFE programme. The European Commission has also published management guidelines for a limited number of habitat types.
There are an increasing number of papers providing evidence-based recommendations on management. For example, Plassmann et al. (2009) show the importance of controlling grazing in the management of dune habitats. Site size, which varies greatly and often reflects national policy for site selection (Evans, 2012), also has implications for site management. Smaller sites tend to be less resistant to land use changes at a landscape scale and need particular attention, including measures that focus on the wider countryside (Maiorano et al., 2008).
### 5.1.2 Current status of the Natura 2000 network
While the sites classified by Member States under the Birds Directive (Special Protection Areas — SPAs) are automatically included in Natura 2000, the sites designated under the Habitats Directive follow a multi-step process before they are included in the network. The process proceeds as follows:
- Firstly, the sites are identified and proposed by the Member States based on scientific criteria set in the Directive. At this stage, they are called ‘proposed Sites of Community Importance’ (pSICs).
• Secondly, the European Commission assesses, by biogeographical region, the sufficiency of the proposed sites for each target species and habitat type.
• Thirdly, the Community importance of each individual site is assessed according to the criteria set in the Directive, and the European Commission adopts and publishes a Decision with the Union list of Sites of Community Importance (SCIs) for each biogeographic region.
• Finally, the Member States classify their SCIs as Special Areas of Conservation (SACs) after adoption of the required legal, administrative or contractual measures necessary for their management and conservation.
The above process, which has been under way since 1995, involves extensive consultation between the national authorities and the European Commission, with the technical and scientific support of the European Environment Agency and its European Topic Centre on Biological Diversity (ETC/BD). Scientists, nature NGOs, land owners and user organisations (farmers, foresters, hunters, anglers, etc.) are also involved, inter alia through the new process called Natura 2000 Biogeographical Seminars. Detailed information about this process and its outcomes is given in the dedicated web sites of the European Commission (¹) and the EEA-ETC/BD (²).
Given that EU Member States are still classifying and designating sites for the Natura 2000 network, the reader is advised to consult the relevant webpage of the European Commission for the most up-to-date statistics (³). However, the number of new additions to the network is now falling — at least for terrestrial sites — as countries complete their proposals.
The figures, statistics, maps and graphs below are based on the status of the network (both SPAs under the Birds Directive and SCIs/SACs under the Habitats Directive) in December 2011 unless otherwise mentioned. Where relevant, statistics for SCIs/SACs and SPAs are given separately. More detailed information about the marine component of Natura 2000 is given in Chapter 7.
At the end of 2011, the network accounted for over 26 400 sites with a total surface area of about 986 000 km², comprising nearly 768 000 km² of land, and close to 218 000 km² of sea (see Map 5.2). The terrestrial component of the network represents 17.9 % of the EU-27 land territory, whereas the sea component covers only a small part of the marine waters under the jurisdiction of EU Member States (about 4 %).
Figure 5.2 shows that the coverage of the network, namely the sites designated under the Habitats Directive (SCIs and SACs), varies according to the biogeographic region. The Black Sea, Alpine and Macaronesian regions account for the highest coverage by the network (above 37 % of the region). The Atlantic, Continental and Boreal have the lowest coverage with less than 16 %.
Slovenia and Bulgaria account for the largest proportion of their national land territory covered by Natura 2000 sites, with respectively 35.5 % and 34 %, followed by Slovakia (with 29 %) and Cyprus (with 28 %). It is interesting to note that all four countries are among the more recent EU members. Spain and Greece follow closely, with about 27 % of their land territory covered (Figure 5.3). It should be stressed however, that in terms of absolute surface area covered, Spain provides by far the highest terrestrial surface area under Natura 2000. Approximately 139 000 km² of Spain is covered by Natura 2000 sites. The country with the next largest amount of territory covered by Natura 2000 is France, with about 68 000 km².
In terms of marine designations, the United Kingdom provides the highest surface area covered under Natura 2000 in absolute terms, with over 49 000 km² of its seas covered, followed by France with almost 42 000 km² and Germany with over 25 000 km² (Figure 5.3). The relative figures are given in Figure 5.4.
The size of the sites across Europe varies considerably, with almost a third of the sites bigger than 1 000 ha, another third smaller than 100 ha, and the rest between 100 and 1 000 ha. As a curiosity, the biggest marine site is Dogger Bank in the United Kingdom (1 233 115 ha), and the largest terrestrial site is Vindelfallen in Sweden (554 675 ha).
5.1.3 Main ecosystems represented in the network
As shown in Table 5.2, the network covers various types of ecosystems. Forests account for nearly half of the network land cover, and agro-ecosystems for
(¹) http://ec.europa.eu/environment/nature/natura2000/index_en.htm.
(²) http://bd.etionet.europa.eu/activities/Natura_2000/index.html.
(³) http://ec.europa.eu/environment/nature/natura2000/index_en.htm.
Map 5.2 Distribution of Natura 2000 sites across EU-27, 2011
Source: Natura 2000 database, December 2011.
Figure 5.2 Proportion of each terrestrial biogeographical region covered by SCIs/SACs *
Note: * SCIs — Sites of Community Importance; SACs — Special Areas of Conservation.
Source: Natura 2000 database, December 2011.
Figure 5.3 Proportion of terrestrial land covered by Natura 2000
Slovenia
Bulgaria
Slovakia
Spain
Greece
Romania
Hungary
Portugal
Poland
Italy
Luxembourg
Estonia
Cyprus
Germany
Netherlands
Austria
Finland
Czech Republic
Ireland
Malta
Sweden
Belgium
France
Lithuania
Latvia
United Kingdom
Denmark
% of the terrestrial portion of a Member State by Natura 2000
Source: Natura 2000 database, December 2011.
Figure 5.4 Percentage of marine waters covered by Natura 2000
Portugal
Slovenia
Cyprus
Spain
Ireland
Bulgaria
Italy
United Kingdom
Malta
Sweden
Greece
Romania
Finland
Lithuania
Latvia
France
Denmark
Estonia
Netherlands
Poland
Belgium
Germany
% national sea covered
Source: Natura 2000 database, December 2011.
Table 5.1 Percentage of Natura 2000 sites in each area-size class
| Area-size | Natura 2000 sites (%) |
|-----------------|-----------------------|
| < 1 ha | 2 |
| 1–100 ha | 33 |
| 100–1 000 ha | 33 |
| 1 000–10 000 ha | 23 |
| > 10 000 ha | 9 |
Source: Natura 2000 database, December 2011.
more than one-third. These agro-ecosystems include a substantial proportion of regularly cultivated land. Wetlands and grasslands cover slightly more than 10% each.
5.1.4 Progress in the amount of sites designated under Natura 2000
Figure 5.5 gives an overview of the increase in the number of Natura 2000 sites since 1996. Substantial increases between years are mainly due to the accession of new Member States.
Globally, the network is largely complete as far as the terrestrial environment is concerned, meaning that most countries have designated at least the minimum amount of land required of them under the Directive. The marine component of Natura 2000 is still very incomplete and most designations are in inshore waters. However, there have been substantial designations in recent years (see Chapter 7).
Figure 5.6 illustrates the progress in designation of sites under the Habitats Directive by biogeographical region in the last 10 years.
5.1.5 Connectivity across national boundaries
One of the main objectives set out in the Habitats Directive is to build an ‘ecologically coherent’ network. The network is ecologically coherent if it includes sufficient sites — in number and area — distributed over a wide geographic area, representing the full range of variation of the habitat types and species mentioned in the Habitats Directive. An ecologically coherent network should contribute to achieving favourable conservation status of those habitat types and species. An important additional feature of ecological coherence is ‘connectivity’ between the sites of the network (see box p. 10 Protected areas, coherence and connectivity: a note on terminology at beginning of Chapter 1).
An assessment was made of spatial and functional connectivity across 34 terrestrial political borders of the European Union by the EEA’s Topic Centre on Biological Diversity (Map 5.3). This shows that both types of connectivity vary greatly among state boundaries, with good and bad examples in all parts of the European Union (Opermanis et al., 2012).
Table 5.2 Surface (%) of Natura 2000 (SPAs and SCIs together), SPAs (under Birds Directive) and SCIs (under Habitats Directive) covered by different ecosystems
| Ecosystem type | Natura 2000 | SPAs | SCIs |
|---------------------------------------|-------------|--------|--------|
| Agro-ecosystems | 38.0 | 40.5 | 33.0 |
| Regularly cultivated | 17.5 | 20.0 | 11.5 |
| Need extensive practice | 14.0 | 14.0 | 15.5 |
| Complex agro-ecosystems | 6.5 | 6.5 | 6.0 |
| Grassland ecosystems | 11.0 | 12.0 | 10.5 |
| Heath and scrub ecosystems | 16.0 | 15.0 | 18.0 |
| Forest ecosystems | 46.0 | 43.0 | 48.0 |
| Wetland ecosystems | 11.0 | 12.0 | 13.0 |
| Lake and river ecosystems | 4.0 | 4.0 | 4.0 |
| Coastal ecosystems | 3.0 | 4.0 | 3.5 |
Note: It is not possible to add percentages of each column due to overlap between the different CLC classes used as proxies for the ecosystem types. For example some grassland ecosystems are also agro-ecosystems. This means a simple addition would ‘double count’ some areas.
Source: Natura 2000, CLC 2006 for the EU except Greece and the United Kingdom (where CLC 2000 was used).
Figure 5.5 Cumulative surface area of sites designated under the Habitats (SCIs) and classified under the Birds (SPAs) Directives
Cumulative surface (km²)
Source: DG ENV, Natura 2000 Barometer, 2011.
Figure 5.6 Cumulative surface of SCIs designated by biogeographical region
Cumulative surface of SCIs designated by bioregional region
Source: DG ENV, Natura 2000 Barometer, 2011.
Spatial connectivity was measured by a quantified proportion of Natura 2000 sites on the both sides of a boundary against total border length. Functional connectivity was measured by the dispersal success of 192 reptile, amphibian, invertebrate and plant species listed in the Annex II of the Habitats Directive. The functional connectivity was judged to be present if the same species was present in selected site-pairs on political borders where each site represented a different country.
Spatial and functional connectivity was positively correlated. However, a few outlying examples showed that good spatial connectivity does not necessarily bring good functional connectivity and that good connectivity is not always possible because of different habitats and/or different management on both sides of border. In 13 out of 34 (i.e. 38% of) borders, the connectivity measure was 100% and in 11 other borders (i.e. 32%) it was over 50%. Among the possible geographical and political factors that could affect variation in trans-boundary connectivity, only the presence of rivers forming the border was clearly a significant predictor. We must be mindful that each political boundary has its own history with a unique subset of factors influencing Natura 2000 site selection and management, thus resulting in the near-absence of common patterns. Species occurring in a geographically restricted area (i.e. spread between only two or three member states) tended to show the highest levels of connectivity.
In conclusion, connectivity — spatial and functional — across national borders is relatively good, but the overall coherence of the network could be further improved. That would require greater analysis, principally on functional connectivity. The study above did not investigate connectivity for the birds component of Natura 2000.
**Map 5.3a** Spatial connectivity of Natura 2000 sites across political boundaries in different parts of the European Union
Source: Natura 2000 database, December 2009.
5.2 The Emerald Network
The Emerald Network is conceptually similar to the Natura 2000 network, but it incorporates a wider group of countries, including most of the members of the Council of Europe. It is an ecological network of Areas of Special Conservation Interest (ASCsIs) set up by the Contracting Parties to the Bern Convention — the Convention on the Conservation of European Wildlife and Natural Habitats.
A network of this sort was envisaged as early as 1989 (Recommendation No 16), but it was actually only established in 1998 (1). As the European Union is also a signatory to the Bern Convention, the Natura 2000 network is in practice the contribution of the EU to the Emerald Network (Bonnin et al., Council of Europe, 2010a, 2011a).
The Emerald Network works as an extension to non-EU countries of Natura 2000: its concept and implementation aims at a high degree of synergy with the latter.
As well as helping to identify and conserve core areas of the Pan-European Ecological Network (PEEN (2)), the Emerald Network also facilitates the establishment of national networks of protected areas.
The Emerald Network targets some 180 habitat types and over 630 plant and animal species (and sub-species).
According to the Calendar for the implementation of the Emerald Network of Areas of Special Conservation Interest 2011–2020 (Council of Europe, 2010b), there are three phases in developing the network:
a) Phase I — identifying the possible ASCI sites (1996–2014);
(1) Convention on the Conservation of European Wildlife and Natural Habitats, Council of Europe, 1979.
(2) Under the Pan-European Biological and Landscape Diversity Strategy (PEBLDS). http://www.coe.int/t/dg4/cultureheritage/nature/Biodiversity/default_en.asp.
b) Phase II — assessment of proposed Emerald sites during biogeographical seminars and bilateral consultations, followed by the declaration of the sites as Emerald candidate sites (2011–2017);
c) Phase III — official designation of the Emerald Network sites and implementation of management, monitoring and reporting tools within a coherent and effective pan-European network (2013–2020).
The implementation of the Emerald Network consists of an extensive programme of national projects established with a view to developing a pilot database of selected areas in each country. The selected areas in the database include ones that harbour the target species and natural habitat types. National projects also involve the establishment and appointment of national multidisciplinary teams, bringing together various state administration bodies, NGOs, scientific and technical/expert institutions, and other stakeholders.
For the Bern Convention Parties that are European Union Member States, the Emerald Network sites are the Natura 2000 sites. At present, Emerald Network national pilot projects have been implemented in 32 European countries. Before joining the European Union in the rounds of enlargement in 2004 and in 2007 respectively, 14 countries implemented Emerald pilot projects as useful preparatory work to consequently setting up the Natura 2000 network. The other countries engaged in the constitution of the Emerald Network in western Europe are: Iceland, Norway and Switzerland. In central and eastern Europe they are: Belarus, Moldova, the Russian Federation, and Ukraine. In south-eastern and eastern Europe, they are: Albania, Bosnia and Herzegovina, Croatia, the former Yugoslav Republic of Macedonia, Montenegro, Serbia, and Turkey. In the south Caucasus, they are Armenia, Azerbaijan and Georgia. In Africa, the development of the Emerald Network has started with the implementation of pilot projects in Burkina Faso, Senegal and Morocco (Council of Europe, 2011a, see below).
In December 2011, the Standing Committee to the Bern Convention officially nominated as ‘Candidate Emerald sites’ a number of sites proposed by Morocco and Switzerland, as well as six West Balkan countries (Table 5.3).
A three-year joint Council of Europe/European Union (CoE/EU) programme (14) was launched in 2009 with the intention of substantially developing the Emerald Network in the seven following countries: Armenia, Azerbaijan, Belarus, Georgia, Moldova, the Russian Federation (the European part), and Ukraine. The objective of this joint programme is to identify at the end of 2011 all potential sites of the Emerald Network in the three countries of south Caucasus and in Moldova. The objective set for Belarus and the Russian Federation is to identify 50 % of the potential Emerald sites, and in Ukraine, to identify 80 % of the potential sites. Table 5.4 provides an overview of the work done up to the end of 2010 (Council of Europe, 2011d).
| Country | Number of sites | Total area (km²) | % country coverage |
|----------------------------------------------|-----------------|------------------|--------------------|
| Albania | 25 | 5 224.3 | 18.2 |
| Bosnia and Herzegovina | 29 | 2 504.6 | 4.9 |
| Croatia | 957 | 26 667.6 | 38.7 |
| former Yugoslav Republic of Macedonia | 35 | 7 543.8 | 29.3 |
| Montenegro | 32 | 2 400.8 | 17.1 |
| Morocco | 11 | 5 728.2 | 1.3 |
| Serbia | 61 | 10 210.8 | 11.6 |
| Switzerland | 37 | 642.2 | 1.6 |
| **Total** | **1 187** | **60 922.2** | |
Source: Council of Europe, 2011c.
(14) Financed by the European Neighbourhood Policy Instrument (ENPI).
Table 5.4 Proposed Emerald sites identified under CoE/EU Joint Programme
| Country | Number of sites | Total area (ha) | % country coverage |
|--------------------------|-----------------|-----------------|--------------------|
| Armenia | 9 | 2 288.1 | 7.7 |
| Azerbaijan | 10 | 9 925.2 | 11.5 |
| Belarus | 12 | 9 122.4 | 4.4 |
| Georgia | 20 | 5 968.3 | 8.4 |
| Moldova | 17 | 4 142.3 | 12.2 |
| Russian Federation | 740 | 282 254.1 | 7.1 |
| Ukraine | 149 | 43 484.3 | 7.2 |
Source: Council of Europe, 2011d.
The Emerald Network and Natura 2000 are based on the same principles, and are thus fully compatible with each other, helping to develop a coherent approach to the protection of natural habitats in the European continent. Map 5.4 details the extent of Emerald and Natura 2000 sites.
Map 5.4 The Natura 2000 and the Emerald networks
Source: Natura 2000 database, December 2011, Emerald Network (CoE), December 2011.
5.3 Conclusions
Since 1995, when the designation process began, the Natura 2000 network has grown to 26 400 sites with a total surface area of about 986 000 km$^2$, comprising nearly 768 000 km$^2$ of land, and close to 218 000 km$^2$ of sea. Natura 2000 is nearing completion, with the rate of new additions to the network now falling. However, this ‘completeness’ of the network is mainly a formal description to measure the amount of area designated to conserve certain habitat types (231 in total) and species (more than 900 species types in total). Other metrics used to assess conservation effectiveness, such as connectivity and coherence, indicate that the network could still be improved. For example, Natura 2000 sites cover just under 18% of the EU-27 land area, but less than 4% of the EU’s sea area; and over 50% of the Black Sea biogeographic region is covered by Natura 2000 sites, while less than 10% of the Boreal region is covered.
Unlike the more mature Natura 2000, the Emerald Network is only at the beginning stages of a multi-year process of assessing sites and building out the network.
5.4 References
Araújo, M.B., Alagador, D., Cabeza, Nogués-Bravo, D. and Thuiller, W., 2011, ‘Climate change threatens European conservation areas’, *Ecology Letters* 14 (5): 484–492. doi:10.1111/j.1461-0248.2011.01610.x.
Bonnin M., Bruszkik A., Delbaere B., Lether H., Richard D., Rientjes S., Van Uden G. and Terry A., 2007, *The Pan-European Ecological Network: Taking stock*, Council of Europe Publishing, Strasbourg, 116 pp.
Council of Europe, 2010a, *The Emerald Network: A tool to protect Europe’s natural habitats*. Council of Europe, 8 pp. (http://www.coe.int/t/dg4/cultureheritage/nature/EcoNetworks/Documents/Plaquette_en.pdf).
Council of Europe, 2010b, *Calendar for the implementation of the Emerald Network of Areas of Special Conservation Interest 2011–2020*. Convention on the Conservation of European Wildlife and Natural Habitats, Group of Experts on Protected Areas and Ecological Networks, T-PVS/PA (2010) 8 rev, Council of Europe, 3 pp. (https://wcd.coe.int/com.intranet.IntranetServlet?command=com.intranet.CmdBlobGet&IntranetImage=1899295&SecMode=1&DocId=1648126&Usage=2).
Council of Europe, 2010c, *Criteria for assessing the National Lists of proposed Areas of Special Conservation Interest (ASCIs) at biogeographical level and procedure for examining and approving Emerald candidate sites*, Convention on the Conservation of European Wildlife and Natural Habitats, Group of Experts on Protected Areas and Ecological Networks, T-PVS/PA (2010) 12, Council of Europe, Strasbourg, 3 pp. (https://wcd.coe.int/com.intranet.IntranetServlet?command=com.intranet.CmdBlobGet&IntranetImage=1760221&SecMode=1&DocId=165110&Usage=2).
Council of Europe, 2011a, *The Emerald Network — A network of Areas of Special Conservation Interest for Europe. Information document*. Convention on the Conservation of European Wildlife and Natural Habitats, Group of Experts on Protected Areas and Ecological Networks, 3rd meeting, 19–20 September 2011, T-PVS/PA (2011) 7, Council of Europe, Strasbourg, 79 pp. (https://wcd.coe.int/com.intranet.IntranetServlet?command=com.intranet.CmdBlobGet&IntranetImage=1912564&SecMode=1&DocId=1780680&Usage=2).
Council of Europe, 2011b, *Revised Annex I of Resolution 6 (1998) of the Standing Committee to the Bern Convention*, Convention on the Conservation
of European Wildlife and Natural Habitats, Standing Committee, 31st meeting, 29 November–2 December 2011, T-PVS/PA (2011) 15, Council of Europe Strasbourg, 34 pp. (https://wcd.coe.int/com.intranet.InstraServlet?command=com.intranet.CmdBlobGet&IntranetImage=1997314&SecMode=1&DocId=1819252&Usage=2).
Council of Europe, 2011c, Draft List of proposed Emerald Candidate Sites (proposed ASCIs), Convention on the Conservation of European Wildlife and Natural Habitats, Group of Experts on Protected Areas and Ecological Networks, 3rd meeting, 19–20 September 2011, T-PVS/PA (2011) 06, Council of Europe Strasbourg, 33 pp. (http://www.coe.int/t/dg4/cultureheritage/nature/Bern/Institutions/Documents/122011/Draft_TPVS_PA_2011_6E.pdf).
Council of Europe, 2011d, Joint Programme funded by the European Union and implemented by the Council of Europe. State of progress as of 30 August 2011, Convention on the Conservation of European Wildlife and Natural Habitats, Group of Experts on Protected Areas and Ecological Networks, 3rd meeting, 19–20 September 2011, T-PVS/PA (2011) 05, Council of Europe Strasbourg, 33 pp. (https://wcd.coe.int/com.intranet.InstraServlet?command=com.intranet.CmdBlobGet&IntranetImage=1953847&SecMode=1&DocId=1773520&Usage=2).
Convention on Biological Diversity, 2010, Global Biodiversity Outlook 3, Montréal, 94pp. (http://gbo3.cbd.int/the-outlook/gbo3/foreword/foreword-by-the-united-nations-secretary-general.aspx).
De Biaggi, M., Leccia, M.-F., Kroupa, A. and Monje, J.C., 2010, ‘Creating a biodiversity inventory in protected areas to increase knowledge of their natural heritage and to improve land management’, Eco.mont. Journal on Protected Mountain Areas Research, 2(1): 49–52.
EEA, 2009 (http://www.eea.europa.eu/data-and-maps/figures/biogeographical-regions-europe-2005-with-national-boundaries/biogeographical-regions_updated_colour_codes).
Ellwanger, G., Ssymank, A. and Paulsch, C. (eds.), 2012, ‘Natura 2000 and Climate Change — a Challenge’, Naturschutz und Biologische Vielfalt, Bundesauss für Naturschutz, Bonn.
EU, 2011, Investing in Natura 2000: for nature and people (http://ec.europa.eu/environment/nature/info/pubs/docs/brochures/investing%20in%20N2000%20brochure.pdf).
Harrison, P.A., Berry, P.M., Butt, N., and New, M., 2006, ‘Modelling climate change impacts on species’ distributions at the European scale: implications for conservation policy’, Environmental Science & Policy 9 (2) (avril): 116–128. doi:10.1016/j.envsci.2005.11.003.
Kluvánková-Oravská, T., Chobotová, V., Banaszak, I., Slavikova, L., and Trifunovova, S., 2009, ‘From government to governance for biodiversity: the perspective of central and Eastern European transition countries’, Environmental Policy and Governance 19 (3): 186–196. doi:10.1002/eet.508.
Maiorano, L., Falcucci, A., and Boitani, L., 2008, ‘Size-dependent resistance of protected areas to land-use change’, Proceedings of the Royal Society B: Biological Sciences, 275 (1640): 1 297–1 304. doi:10.1098/rspb.2007.1756.
Metzger, M.J., Bunce, R.G.H., van Eupen, M. and Mirtl, M., 2010, ‘An assessment of long term ecosystem research activities across European socio-ecological gradients’, Journal of Environmental Management, 91 (6) (juin): 1 357–1 365. doi:10.1016/j.jenvman.2010.02.017.
Opermanis, O., MacSharry, B., Aunis, A., Sipkova, Z., 2012, ‘Connectedness and connectivity of the Natura 2000 network of protected areas across country borders in the European Union’, Biological Conservation, 153: 227–238. doi: 10.1016/j.biocon.2012.04.031.
Plassmann, K., Laurence, M., Jones, M. and Edwards-Jones, G., 2009, ‘Effects of long-term grazing management on sand dune vegetation of high conservation interest’, Applied Vegetation Science, 13 (1) (février 1): 100–112.
Pinton, F., Alphandéry P., Billaud J.-P., Deverre C., Fortier, A. and Gesniaux G., 2007, ‘La construction du réseau Natura 2000 en France’, La Documentation française, 254 p.
Rounsevell, M.D.A., Regnier, I., Araujo, M.B., Carter, T.R., Dendoncker, N., Ewert, F., House, J.L., Kankaanpää, S., Leemans, R., Metzger, M.J., Schmit, C., Smith, P., Tuck, G., 2006, ‘A coherent set of future land use change scenarios for Europe’, Agriculture, Ecosystems and Environment, 114: 57–68.
Vanden Borre, J., Paelinckx, D., Mücher, C.A., Kooistra, L., Haest, B., De Blust, G. and Schmidt, A.M., 2011, ‘Integrating remote sensing in Natura 2000 habitat monitoring: Prospects on the way forward’, Journal for Nature Conservation, 19 (2) (mai): 116–125. doi:10.1016/j.jnc.2010.07.003.
Verschuuren, J., 2010, ‘Climate Change: Rethinking Restoration in the European Union’s Birds and Habitats Directives’, *Ecological Restoration*, 28 (4) (décembre 1): 431–439. doi:10.3368/er.28.4.431.
Vos, C.C., Berry, P., Opdam, P., Baveco, H., Nijhof, B., O’Hanley, J., Bell, C. and Kuipers, H., 2008, ‘Adapting landscapes to climate change: examples of climate-proof ecosystem networks and priority adaptation zones’, *Journal of Applied Ecology*, 45 (6) (décembre 1): 1722–1731. doi:10.1111/j.1365-2664.2008.01569.x.
6 Complementarity between national designations and Natura 2000
Chapter summary
As can be seen from previous chapters, the system of protected areas in Europe is complex, and in many cases, there is a complementarity and overlap between different designation-types at various levels. This chapter focuses on the overlap between Natura 2000 sites and protected areas that were designated by countries according to their own national procedures.
In Section 6.1, we begin with a general survey of these overlaps, discussing what countries have the largest and smallest degrees of overlap, and what types of areas are likely to be protected in each case. In Section 6.2, we look at four national case studies, examining features of the designation overlaps in Austria, Estonia, France and Hungary.
This chapter will only focus on the spatial overlap and complementarity between nationally designated areas in the EU-27 and the Natura 2000 network. Unfortunately, due to the current incompleteness of computer-modelled ‘GIS’ data on international designation-types (Ramsar, Biosphere Reserves, and World Heritage), it is not yet possible to assess the degree of spatial overlap between these designations and Natura 2000 or nationally designated areas.
6.1 General overview
The relation between the Natura 2000 network and national systems of protected areas provides several avenues for analysis, including:
- the variety of approaches by different EU Member States, depending on their specific legal and administrative systems;
- the remarkable stimulating effect that Natura 2000 has had in increasing the area protected in Europe;
- the way in which national designations can complement, from a spatial point of view, the Natura 2000 network. This can potentially help ensure a more biodiversity-friendly EU territory outside the confines of Natura 2000 sites.
It is important to recall that while the conservation objectives for targeted species and habitats addressed by the Habitats and the Birds Directives are clearly a shared EU responsibility, the means to reach these objectives remain under each EU Member State’s responsibility. And although Member States have the obligation to transpose the designation of Natura 2000 sites into their national system, they also have the flexibility to introduce new designation procedures, adapt existing ones, or underpin the designation by other legal acts. Member States also have a choice in the type of legal act they use, whether it is statutory, contractual or administrative. Finally, they have the freedom to decide at which administrative level (e.g. national or regional) it is most appropriate to formally designate Natura 2000 sites.
In the following sections, we will see to what extent EU Member States have made use of their existing nationally designated areas (which are registered in the Common Database on Designated Areas — CDDA) to underpin the designation of Natura 2000 sites. We will also see to what extent EU Member States have extended Natura 2000 sites to areas beyond these national systems.
The overlap of Natura 2000 boundaries with the boundaries of nationally designated sites shows very different patterns across the EU (Map 6.1, based on the June 2011 CDDA). But it should be stressed that while the Natura 2000 digital maps fully reflect the actual extension of the network, the CDDA digital maps only reflects what countries have reported on a voluntary basis to the European Environment Agency. Moreover, in the case of a few countries, there are issues regarding the completeness of some of the IUCN data they have included in the CDDA database.
**Map 6.1** Degree of overlap between terrestrial Natura 2000 network and nationally designated sites (CDDA) including all IUCN protected areas categories
*Note:* CDDA boundary data missing for a large part of Ireland and Luxembourg.
*Source:* Natura 2000 database, December 2011; and CDDA, June 2011.
Overall, about 1 344 800 km$^2$ are protected across the EU-27’s terrestrial and marine territory under a combination of Natura 2000 and national designations (all IUCN categories considered).
If only the terrestrial portion of the EU is considered:
- about 1 096 800 km$^2$ or 25% of the EU-27 terrestrial land is protected under either Natura 2000 or national designations or some combination of the two;
- Natura 2000 overlaps with nationally designated areas on 8% of the EU land territory;
- Natura 2000 sites that do not overlap with nationally designated protected areas cover close to 10% of the EU land territory;
- Nearly 8% of the EU land territory is only covered by nationally designated areas.
This means that Natura 2000 constitutes 70% of the total surface area of protected areas within the EU-27.
If the whole of the EEA territory is considered (i.e. adding the area covered under national designations in Albania, Bosnia and Herzegovina, Croatia, the former Yugoslav Republic of Macedonia, Iceland, Kosovo, Liechtenstein, Montenegro, Norway, Switzerland and Turkey), the land surface area of EEA countries protected under a combination of Natura 2000 and national designations is about 1 222 725 km$^2$. This represents 21% of the EEA land territory, and is the equivalent of the surface area covered by Belgium, France, Luxembourg, the Netherlands, Portugal and Spain.
As shown in Figure 6.1, there are some countries (such as Austria, Denmark, Estonia, Germany Latvia, Lithuania, Malta, Slovenia, and the United Kingdom) where Natura 2000 nearly always
**Figure 6.1 Share of terrestrial area designated in EU Member States under Natura 2000 and national designations**
**Note:** Ireland and Luxembourg not represented due to incomplete GIS data in the CDDA.
**Source:** Natura 2000 database, December 2011; and CDDA, June 2011.
overlaps with national designations. These countries have few if any Natura 2000 sites that do not overlap with national designations. But the situation is quite different in Bulgaria, France, Greece, Hungary, Italy, and Portugal, where many Natura 2000 sites do not overlap with existing nationally-designated sites.
It is also remarkable to notice how, in some countries (Austria, Belgium, Estonia, France, Germany, Slovenia and the United Kingdom), national designations significantly complement the Natura 2000 network in terms of area covered. Although, as will be shown later, a large part of these national designations are targeted at landscape protection or sustainable territorial development (IUCN categories V and VI) and not specifically focused on biodiversity conservation, the main goal of Natura 2000 sites.
The above analysis was conducted by taking into account nationally designated areas covering all IUCN categories. A further analysis can be done showing the share of spatial overlap between, on the one hand, Natura 2000 and nationally designated sites under IUCN categories I to IV, and on the other hand, Natura 2000 and nationally designated areas under IUCN categories V to VI (Figure 6.2).
The purpose of the Natura 2000 network is primarily to ensure the conservation of targeted species and habitats of European interest. A reasonable supposition might therefore be that, in general,
**Figure 6.2 Share of terrestrial area designated at national level under various IUCN categories overlapping with Natura 2000**
*Note:* Ireland, Spain, and Luxembourg not represented due to incomplete relevant data in the CDDA.
*Source:* Natura 2000 database, December 2010; and CDDA, June 2011.
Natura 2000 sites would mostly overlap with nationally designated sites under IUCN categories I to IV (the categories that aim at protecting ecological processes and biodiversity). However, the Natura 2000 network, especially through the Habitats Directive, also provides the opportunity for sustainable development approaches within protected sites in full partnership with local communities and other stakeholders. This type of sustainable development corresponds more closely to the IUCN categories V and VI. It is thus interesting to see to what extent a significant area of Natura 2000 sites is underpinned by nationally designated areas under IUCN categories V and VI across EU Member States.
In countries such as Cyprus, Malta, the Netherlands, and the United Kingdom, the largest area of nationally designated sites overlapping with Natura 2000 is managed as IUCN categories I to IV. However, in the Czech Republic, Poland, Portugal and Slovenia, more than 60% of the area designated at national level that overlaps with Natura 2000 is managed as IUCN categories V and VI.
We can conclude that close to 8% of the EU-27 land territory is protected under an overlap between national designations and Natura 2000, out of which:
- Nearly 4% of the EU-27 land territory is protected under an overlap between Natura 2000 and national designations under IUCN categories I to IV.
- Nearly 4% of the EU-27 land territory is protected under an overlap between Natura 2000 and nationally designated sites under IUCN categories V to VI.
### 6.2 Different countries, different situations
The differences in approaches by EU Member States to make use of existing national instruments for the implementation of the Natura 2000 network reflects the diversity of historical, geographical, administrative, political and cultural circumstances among these countries. In the following section, we will focus specifically on the relationship between Natura 2000 designations and national designations in four EU Member States with quite different situations: Estonia, Hungary, France and Austria.
**Box 6.1 Important dates in the history of nature conservation in Estonia are:**
- **1297**: Danish King Erik Menevd IV prohibits tree cutting on four islands in the Tallinn Bay. This could be considered as the start of spatial nature conservation in Estonia.
- **1910**: First protected area is established — a bird sanctuary on the islands of Vaika, western Estonia. The islands are still under protection today.
- **1935**: First nature conservation act, mainly focusing on primeval natural assets.
- **1938**: New nature conservation act, which also targets less remote areas.
- **1957**: Adoption of the nature conservation act of the Estonian SSR under the Soviet regime.
- **1991**: Estonia regains independence.
- **1994**: Act on the protection of natural objects, ensuring the continuity of protected areas in the newly independent state (since 1991).
- **2004**: Estonia joins the EU and implements the Birds and Habitats Directives.
- **2004**: Adoption of new nature conservation act.
6.2.1 A small, new EU Member State: Estonia
Estonia joined the EU in 2004, and is one of the Union’s smallest countries in terms of population. It is a lowland country that belongs entirely to the Boreal biogeographical region, with almost half of its terrestrial territory covered with forests. Peatlands account for about 22% of the territory (EEA, 2010), and Estonia also has a long and varied coastline, with several islands.
Estonia has a very specific interpretation of IUCN categories. Unlike most European countries, it does not put national parks under IUCN category II (protected area managed mainly for ecosystem protection and recreation) but rather under category VI (protected area managed mainly for the sustainable use of natural ecosystems). In fact, sites classified under IUCN category VI represent by far the highest proportion of protected areas in this country.
As shown in Figure 6.3, there was a dramatic increase in the number of nationally designated areas prior to the Estonian accession to the EU in 2004. That increase is to a large part due to the designation of large marine protected areas. This suggests that preparation for the implementation of EU legislation has been a powerful catalyst for protected areas designation under national instruments in this country.
According to Estonian law, all Natura 2000 sites have to be supported by a national statutory designation. Sites proposed as Natura 2000 sites were thus designated at national level as national parks, nature reserves, protected landscapes, limited conservation areas or species protection sites. The two latter designation-types were created to fully comply with Natura 2000 requirements after gaps in national legislation were identified. Subsequent amendments to Estonian nature legislation and a large public campaign on Natura 2000 also allowed the country to add one more new designation at that time: natural object protected at municipal level.
Overall (Map 6.2):
- about 18% of the Estonian land territory is protected under a combination of nationally designated sites and Natura 2000 sites.
- Natura 2000 sites cover about 17% of the land territory in the country, and all terrestrial Natura 2000 sites fully overlap with nationally designated sites.
- About 1% of the land territory is protected only under a national designation.
In addition to protected areas, another network of protected areas called the ‘green network’ has been planned at state level. It is now being implemented at different administrative levels through the spatial planning system. Map 6.3 shows the extent of this green network in the country.
### Table 6.1 Nationally designated areas in Estonia
| Designation type | Number | Total area (ha) | IUCN category |
|------------------------------------------|--------|----------------|---------------|
| Nature Reserves | 131 | 258 489.68 | Ia, Ib, IV, V, VI |
| National Park | 5 | 196 809.70 | Ia, Ib, IV, V, VI |
| Protected Landscape (nature park) | 150 | 194 774.04 | Ib, III, IV, V, VI |
| Unzoned Protected Area | 318 | 30 293.60 | III, V, N/A |
| Species Protection Site | 1 206 | 93 992.46 | Ib, IV, VI |
| Limited-conservation Area | 344 | 762 155.56 | VI |
| Protected Nature Monument | 1 212 | 256.63 | III, V |
| Woodland Key Habitat | 4 867 | 9 833.44 | N/A |
| Natural object protected at municipal level | 20 | 3 527.38 | N/A |
**Note:** Estonia also reports in the CDDA IUCN management categories for individual management areas within each designated site. Only site designation types are reported here.
**Source:** CDDA, June 2011 amended by the Estonian Environment Information Centre.
Figure 6.3 Cumulative number and area of nationally designated sites (under all IUCN management categories) in Estonia over time
Note: The surface area that is taken into account is the one at the year of designation of a site, it may have changed later on (decrease or increase) but this is not reflected in the graph.
Source: CDDA, June 2011.
Map 6.2 Spatial overlap between Natura 2000 and nationally designated sites in Estonia (only terrestrial part), all IUCN categories considered
Source: Natura 2000 database, December 2011; and CDDA, June 2011.
6.2.2 A new EU Member State in a specific biogeographical context: Hungary
Hungary also joined the European Union in 2004. It is situated in the Carpathian basin, a region that comes under various climatic influences. This variety of influences has resulted in the formation of a special biogeographical unit, namely the Pannonian biogeographical region, the largest part of which belongs to Hungary (MEW, 2009).
Slightly more than one half of Hungary’s landscape consists of the flat or rolling plains of the Pannonian Basin. The most important plain regions include the Little Hungarian Plain in the west, and the Great Hungarian Plain in the centre and east. Close to 13% of the country’s territory is covered by grasslands of significant nature conservation importance. Forest area — mostly plantations — covers almost 21% of the country. 37% of this forest area is considered semi-natural (Hungarian Agricultural Office, 2011; and MEW, 2009).
Due to the special geographical situation and history of the country, the greater part of Hungary (over 60%) is in agricultural use. Despite this
Box 6.2 Important dates in the history of nature conservation in Hungary are:
- 1426: Holy Roman Emperor Sigismund’s forest protection decree is passed.
- 1935: The first act on forests and nature conservation is passed.
- 1939: First protected area is established.
- 1952: Tihany landscape protected area is created.
- 1973: First national park created at Hortobágy.
- 1989: Declaration of the Republic of Hungary.
- 1996: Nature conservation act passed.
- 2004: Hungary join the European Union and implements the Birds and Habitats Directives
Table 6.2 Nationally designated areas in Hungary
| Designation type | Number | Total area | IUCN category |
|---------------------------|--------|--------------|---------------|
| National Park | 10 | 485 790 | II, V |
| Landscape Protection Area | 36 | 334 497 | V |
| Nature Conservation Area | 152 | 29 173 | IV, V |
| Forest Reserve | 63 | 13 101 | N/A |
| Natural Monument | 1 | 0 | N/A |
| Naturpark | 5 | 260 689 | N/A |
Source: EEA, CDDA, 2011, amended by Ministry of Rural Development (MRD).
fact, and partly owing to extensive agriculture, a unique natural heritage, which is also significant at EU level, has been preserved here. The dominance of agriculture in land use has had a strong influence on the country’s natural habitats. This is the main reason why many Hungarian nationally protected areas are in IUCN category V.
The increase in the area under protection and the total number of protected areas is shown in Figure 6.4. Like Estonia, when Hungary was preparing for entry to the European Union in the mid-to-late 1990s, it saw a significant increase in the area and number of nationally designated areas. However, Hungary’s rate of increase in number and area of nationally designated areas was lower than Estonia’s.
In Hungary, the Habitats Directive is transposed into Hungarian law by two major pieces of legislation: Act No. 53 of 1996 (amended) on the Conservation of Nature, and Government Decree No. 275 of 2004 on Nature Conservation Sites of Community Importance.
Figure 6.4 Cumulative number and area of nationally designated sites (under all IUCN management categories) in Hungary over time
Note: The surface area that is taken into account is the one at the year of designation of a site, it may have changed later on (decrease or increase) but this is not reflected in the graph.
Source: CDDA, June 2011.
(hereafter: Natura 2000 Decree). The actual list of parcel identification numbers falling under the scope of Natura 2000 network is published in *Decree No. 14/2010 (V.11.) of the Minister of Environment and Water on the List of Nature Conservation Sites of Community Importance*.
Unlike Estonia, in Hungary there is no obligation for a national statutory designation to accompany the site designation of a Natura 2000 site (Kruk et al., 2010; Sashalmi, 2008). However, management plans are being prepared to ensure that targeted species and habitats of European interest are well preserved.
As can be seen from Maps 6.4a and 6.4b:
- About 22% of Hungary’s land area is protected under a combination of national designations and Natura 2000 sites.
- Nationally designated areas cover around 9% of the land territory, out of which nearly 3% of the land territory corresponds to IUCN management categories I to IV and just over 6% of the land territory corresponds to IUCN category V (there are no category VI sites in Hungary).
- Natura 2000 sites cover over 21% of the Hungarian territory.
- Natura 2000 overlaps with nationally designated areas on about 8% of the national territory, of which nearly 3% of the national territory is managed under IUCN categories I–IV and close to 6% under IUCN categories V.
- This also means that about 13% of the land territory is designated as Natura 2000 without being supported by a national site designation.
With less than 1% of the land territory remaining only protected under a national designation, it is obvious that Hungary has made a broad use of existing national designations to underpin its Natura 2000 sites. Existing Nature Reserve Management plans as well as Forestry Management Plans are gradually being adapted to Natura 2000 objectives (Kruck et al., 2009).
But the EU Nature Directives also had an important effect in expanding the area dedicated to biodiversity protection beyond existing national site designations (more than 13% of the territory). These Natura 2000 sites are possibly supported by international site designations such as Ramsar sites, or by legally mandated protection of specific ecosystem-types that applies in Hungary for bogs, mires, alkaline lakes and all caves.
**Map 6.4a Spatial overlap between Natura 2000 and nationally designated sites in Hungary, IUCN categories I to IV**
*Source:* Natura 2000 database, December 2011; and CDDA, June 2011, amended by the Hungarian Ministry of Rural Development.
6.2.3 The largest EU Member State: France
France is one of the oldest European Union countries, and with an area of 550 000 km$^2$, it is the largest country in the EU. It extends across four biogeographical regions (Atlantic, Continental, Alpine and Mediterranean), and is bordered by the North Sea to the north, the English Channel to the northwest, the Atlantic Ocean to the west and the Mediterranean to the southeast. Overall, about a quarter of the territory is mountainous, with two high mountain ranges (Pyrenees and Alps). Approximately 29 % of the territory is covered by forests, and the area of broad-leaved forest is the largest in Europe. Agricultural land covers about 53 % of the territory and is managed with contrasting intensity: extensive grasslands in mountain areas, intensive crop and vineyard productions on the plains.
The number and surface area of nationally designated sites in France has increased regularly since 1960, with large areas designated between 1963 and 1979 through six national parks. The subsequent increase in the surface area protected is mainly due to the creation of 21 natural regional parks (IUCN category V) since 1995. The potential influence of the implementation of the Birds Directive (1979) and the Habitats Directive (1992) on national designations is not clear from Figure 6.5, although these instruments have largely influenced nature conservation policy in this country.
As can be seen from Maps 6.5a and 6.5b:
- About 25 % of the French terrestrial land is designated under a combination of Natura 2000 and nationally designated areas (all IUCN categories considered).
- Nationally designated areas cover around 17 % of the land territory, out of which only a bit more than 1 % of the land territory corresponds to IUCN management categories I to IV, and more than 15 % of the land territory corresponds to IUCN categories V or VI (mainly Natural Regional Parks). The national strategy for creation of protected areas (SCAP) aims at raising the percentage of the national territory protected under categories I to IV to 2 % of national territory by 2020.
- Natura 2000 sites cover just over 12 % of the French land territory and overlap with nationally designated areas on about 4 % of the national territory. This overlap includes almost all nationally designated areas under IUCN categories I to IV.
Box 6.3 Important dates in the history of nature conservation in France are:
- 1861: Imperial decree creates the first forest protected area based on artistic value (called ‘séries artistiques’).
- 1887: Law on conservation of monuments and art objects with historical and artistic value.
- 1948: The International Union for the Protection of Nature (further IUCN) is founded in Fontainebleau.
- 1906: Law on protection of natural sites and monuments of artistic value is passed.
- 1909: France hosts the first international congress on landscape protection.
- 1912–1935: creation by NGOs of two coastal and two mountain ‘protected areas’.
- 1930: Law on classified sites is passed to allow the designation of a site even without the owners’ agreement if it is in the public interest.
- 1960: Law on national parks passed, followed in 1963 by the creation of the first official national park at La Vanoise.
- 1967: Governmental decree on the creation of natural regional parks targets sustainable development and protection of natural and cultural heritage. The decree is further supported by the laws of the 7th of January and 22nd of July 1983.
- 1976: Law on nature protection.
- 1979: EC Birds Directive.
- 1992: EC Habitats Directive.
- 2002: Law on national, regional and Corsican reserves.
- 2006: Law on national parks, marine natural parks and natural regional parks.
- 2009: Law Grenelle I foresees the implementation of a national strategy for the creation of protected areas (SCAP), as well as of a green and blue infrastructure.
In addition to these key events, France has also created various specialised protection instruments. These instruments include forest reserves, biotope protection orders, land purchase in outstanding coastal areas by the ‘Conservatoire du Littoral’, land purchases in vulnerable natural areas by departments, and actions of regional conservation trusts known as ‘Conservatoires régionaux des espaces naturels’.
This also means that just over 8% of the land territory is designated as Natura 2000 without being supported by a national site designation (just over 8% of the territory). In addition to the general national protected areas policy, there is the on-going national implementation of the trame verte et bleue (green and blue infrastructure) to ensure ecological connectivity across the territory beyond protected areas.
Close to 13% of the land territory is only covered by a national designation (mainly under IUCN categories V and VI).
France has made broad use of existing national designations to support the designation of Natura 2000 sites, but mainly for those sites that come under IUCN categories I to IV. A significant part of the territory is also designated under Natura 2000 without being underpinned by a national site designation (just over 8% of the territory). An important characteristic of Natura 2000 operational implementation in France is that it largely relies on a contractual, participatory and voluntary process, which involves land users and citizens. A new tool has been developed in support of this approach, the Document d’Objectifs (DOCOB). This provides a framework for coherent public and
### Table 6.3 Nationally designated areas in France
| Designation type | Number | Total area | IUCN category |
|------------------------------------------------------|--------|--------------|---------------|
| National Park — Core Area | 9 | 2 506 140 | II, V |
| National Park — Buffer Zone | 8 | 2 628 857 | V |
| National Park — Integral Reserve | 2 | 752 | Ia |
| National Nature Reserve | 164 | 2 746 510 | III, IV |
| Corsican Nature Reserve | 6 | 83 175 | IV |
| Regional Nature Reserve | 81 | 17 506 | IV |
| Biotope Protection Order | 753 | 175 840 | IV |
| Forest Integral Biological Reserve | 46 | 130 759 | Ia, Ib, IV |
| Forest Managed Biological Reserve | 166 | 28 656 | IV |
| Land acquired by ‘Conservatoire du Littoral’ (National seaside and lakeside conservancy) | 652 | 134 081 | IV |
| Regional Nature Park | 46 | 7 661 147 | V |
| National Hunting and Wildlife Reserve | 9 | 36 173 | IV |
| Marine Nature Park | 2 | 7 174 628 | V |
**Note:** Some sites protected locally through land purchase or contractual agreements at department or regional level are not included in the CDDA due to difficulty of streamlining this information at national level.
**Source:** EEA, CDDA, 2011 amended by SPN-MNHN.
### Figure 6.5 Cumulative number and area of nationally designated sites (under all IUCN management categories) in France over time
**Notes:** Only France’s mainland territory is considered here, overseas departments and territories are not included. The surface area that is taken into account here is that existing in the year that the site was designated. This surface area may have changed later on (decreasing or increasing) but this is not reflected in the graph.
**Source:** CDDA, June 2011.
private conservation measures in each individual site and applies to all sites whether they are supported by an existing national site designation or not. These *Documents d’Objectifs* are not statutory or regulatory documents, but basic working guides to help those involved in managing and monitoring the sites, such as landowners, farmers, local elected representatives, forest managers, anglers/fishermen, hunters, NGOs, municipalities, etc. The *Documents d’Objectifs* constitute part of the terms of reference for a five-year site management contract that is signed between the local stakeholders and the state. In addition to the *Document d’Objectifs*, statutory instruments can be used to limit or restrain activities such as industry or certain types of leisure that might impact the site. A steering committee, set up for each Natura 2000 site, ensures the proper implementation of conservation objectives, as well as the promotion of sustainable development of the area.
**Map 6.5a** Spatial overlap between Natura 2000 and nationally designated sites in France (only terrestrial part) under IUCN categories I to IV
*Source:* Natura 2000 database, December 2011; and CDDA, June 2011.
6.2.4 A mountainous EU Member State with a federal status: Austria
Austria is a federal country made up of nine federal provinces called *Bundesländer*. The country covers a large proportion of the Alps in central Europe. About 60% of Austria’s territory is mountainous, with only 32% of the territory lying below 500 metres above mean sea level. This landscape has resulted in small yet distinct regions, and a close interdependence between natural and cultural landscapes. This interdependence has led to specific types of land use and management, which has direct consequences for the environment and nature conservation (EEA, 2010). Most of the country’s territory is used for agriculture and/or forestry. Compared to other Member States in the EU, agriculture in Austria is small scale, and Austrian farmers are increasingly focusing on ‘green’ farming. With about 20% of the agricultural area under organic farming, Austria has the highest density of organic farms in the European Union.
Nature protection policy, including the establishment and management of protected areas, primarily lies with the legal competence of the nine *Bundesländer*. As a consequence, various different categories of protected areas can be found in Austria. These categories have different criteria concerning the implementation and management of protected areas according to their respective provincial laws (Nouak, 2003).
Significant changes in the number and area of protected areas are noticeable in Figure 6.6.
Box 6.4 Important dates in the history of nature conservation in Austria are:
- 1870: The Vienna Woods or *Wienerwald* is saved from deforestation thanks to the actions of the local politician Josef Schöffel.
- 1924: First law on nature conservation in Austria including provisions for protected areas is proclaimed in the Province of Lower Austria. This is followed by laws passed in Tyrol in the same year, followed by Burgenland (1926), Upper Austria (1927), Salzburg (1929), Carinthia (1931), Vorarlberg (1932), Styria (1935) and Vienna (1935).
- 1938: Replacement of the provincial laws by the German *Reichsnaturschutzgesetz*.
- Post-1945: Each province drafts new nature conservation laws.
- 1970: First European Conservation Year. This triggers the designation of protected areas.
- 1981: Creation of the first Austrian National Park (National Park Hohe Tauern), followed by five others Neusiedlersee-Seewinkler (1993), Donau-Auen (1996), Kalkalpen (1997), Thayatal (2000) and Gesäuse (2002).
- 1995: Austria joins the European Union and implements the Birds and Habitats Directives.
Table 6.4 Nationally designated areas in Austria
| Designation type | Number | Total area | IUCN category |
|------------------------------------------------------|--------|--------------|---------------|
| *Ex lege* protection forest and meadows | 2 | 3 019.21 | V |
| Flora Protection Area | 1 | 451.00 | IV |
| Landscape Protection Area | 249 | 1 254 633.47 | III, IV, V |
| Marshes and springs | 1 | 1 051.00 | IV |
| National Park | 10 | 274 169.81 | II, V |
| Natural Caves | 1 | 3 296.11 | IV |
| Natural Monument or Site | 66 * | 42 267.87 | III, IV, V |
| Nature Park | 48 | 402 042.016 | IV, V |
| Nature Reserve | 453 | 300 431.91 | Ia, IV, V |
| Other Landscape section | 1 | 7 702.32 | IV |
| Poor grassland | 2 | 6 880.89 | V |
| Protected Greenbelt | 1 | 3 795.13 | IV |
| Protected Habitat | 2 | 3.32 | IV |
| Protected Landscape Section | 342 | 8 269.76 | III, IV, V |
| Protected Natural Objects of local importance | 9 | 3 864.32 | IV |
| Rest Area | 1 | 37 669.32 | IV |
| Riparian forests | 1 | 2 950.00 | IV |
| Special conservation areas | 5 | 2 915.99 | IV |
Note: * There are many more sites but no longer integrated in CDDA.
Source: EEA, CDDA, 2011, partly amended by UBA Vienna.
The surface area shown is the surface area of the site at the year of its designation as a protected area. The size of the site may have changed subsequently (either decreasing or increasing) but this is not reflected in the graph.
The spatial distribution of nationally protected areas and Natura 2000 sites is represented in Map 6.6.
In summary:
- About 27 % of the Austrian territory is designated under a combination of nationally designated sites and Natura 2000 (all IUCN categories considered).
- Natura 2000 sites cover nearly 15 % of the Austrian territory and overlap with nationally designated areas on about 11 % of the national territory. This overlap represents 73 % of the Natura 2000 network in Austria, of which about 45 % of the Austrian Natura network corresponds to ‘low’ IUCN management categories V and VI, and nearly 29 % of the Austrian Network corresponds to ‘high quality nature protection’ (national park or nature conservation area, i.e. IUCN categories I to IV).
- About 4 % of Austrian territory is designated as Natura 2000 without being supported by a national site designation. However, these sites are supported by a provincial designation.
- About 14 % of the territory is covered only by national designations, with just over 2 % under IUCN categories I–IV and 11 % under IUCN categories V–VI.
**Figure 6.6 Cumulative number and area of nationally designated sites (under all IUCN management categories) in Austria over time**
*Notes:* Due to the difficulty in streamlining information from provincial to federal level, the Common Database on Designated Areas in Austria is only fully updated every three to five years. The next complete update will be done in June 2012. Figures used are thus subject to further refinement.
*Source:* CDDA, June 2011.
The Birds and Habitats Directives in Austria are implemented through different provincial laws, such as those governing spatial planning, nature protection, fishing and hunting. The main content of the directives are implemented in the nature protection laws of all the federal states of Austria. However, the content of the laws differs among the nine federal states, and for this reason, the degree of implementation varies from federal state to federal state. For Natura 2000, new protected area categories have been implemented in the nature conservation laws. These protected areas are known as *Europaschutzgebiet* in eight provinces and ‘Natura 2000’ in Tyrol.
When Austria entered the European Union in 1995, only about 22% of its territory was under any category of protection, out of which just over 4% of the national territory fell under IUCN I to IV categories. With the accession to the European Union the number, area and quality of protected areas thus increased significantly.
Table 6.5 Summary table showing the proportion of the land territory that is protected in each four EU Member States under different regimes
| | Natura 2000 + National designations % of land territory | National designations % of land territory | Natura 2000 % of land territory | Overlap between Natura 2000 and national designations % of land territory | Natura 2000 only % of land territory | National designations only % of land territory |
|----------------|----------------------------------------------------------|-------------------------------------------|---------------------------------|------------------------------------------------------------------------|-------------------------------------|-----------------------------------------------|
| | Total IUCN I–IV IUCN V–VI | Total IUCN I–IV IUCN V–VI | Total IUCN I–IV IUCN V–VI | Total IUCN I–IV IUCN V–VI | Total IUCN I–IV IUCN V–VI |
| Estonia | 18.0 | Not relevant | 17.0 | 17.0 | Not relevant | 0.0 |
| Hungary | 22.2 | 9.0 2.6 6.4 | 21.4 | 8.3 2.6 5.7 | 13.2 0.7 N | 0.7 |
| France | 25.3 | 16.9 1.4 15.5 | 12.5 | 4.2 1.4 2.75 | 8.4 12.8 N | 12.8 |
| Austria | 28.3 | 24.4 6.7 17.7 | 14.7 | 10.8 4.2 6.6 | 3.9 13.6 2.5 11.1 |
Note: The distinction between IUCN categories I–IV and V–VI is considered as non-relevant in Estonia. N = Negligible.
Source: Natura 2000 database, December 2011; CDDA, June 2011 amended.
6.2.5 Comparing statistics from the four case studies
Table 6.5 above summarises the main statistics from the above case studies, and highlights the main differences between them.
6.3 Conclusions
From this analysis, it appears that the implementation of the Natura 2000 network has significantly changed the picture of protected areas in the EU Member States, by dramatically increasing the area of the sites. Natura 2000 has also forced countries to strengthen their management and protection systems for biodiversity conservation.
The way countries make use of their existing national instruments to support Natura 2000 designations varies. In some countries, Natura 2000 sites have to be supported by a statutory national site designation, which may involve the creation of additional ‘designation-types’ such as in Estonia or in the Austrian provinces. In the United Kingdom, most Natura 2000 sites have first to be designated at national level as Special Sites of Scientific interest (SSSIs) before they are proposed as Natura 2000 sites.
In general, the pre-existing nationally designated areas that focused on biodiversity conservation (IUCN categories I to IV, and also category VI in Estonia) have been broadly used in support of a Natura 2000 designation. However, the overlap between Natura 2000 sites and nationally designated areas under categories V and VI is also significant, particularly in mountainous regions. This supports the idea that the Natura 2000 network is not restricted to nature reserves, and is based on a much broader principle of conservation and sustainable use.
What is not visible from the above analysis is the extent to which other international designations (such as Ramsar, World Heritage, and Biosphere reserves) overlap with and support Natura 2000 designations. Nor is it clear to what
extent the protection at national level of specific ecosystem-types (as in Croatia, Denmark, Hungary) overlaps with these international designations.
What is also striking from the analysis is the important role played by IUCN categories V to VI in protected area sites that are not part of Natura 2000. This potentially provides a more biodiversity-friendly matrix of the territory surrounding Natura 2000 sites.
6.4 References
Austrian General report on Article 17, 2008, http://cdr.eionet.europa.eu/Converters/convertDocument?file=at/eu/art17/envrjbkqg/general-report.xml&conv=rem_26 (in German) accessed June 2011.
EC, 2003, Report from the Commission on the implementation of the Directive 92/43/EEC on the conservation of natural habitats and of wild fauna and flora. COM(2003)xxx (http://ec.europa.eu/environment/nature/knowledge/rep_habitats/docs/membersstates_summary_en.pdf).
EC, 2005, Integrated management of Natura 2000 sites — The contribution of LIFE-nature projects. (http://ec.europa.eu/environment/life/publications/lifepublications/lifefocus/documents/managingnatura_lr.pdf).
EEA, 2010a, *The European environment — state and outlook 2010: Country assessments: Austria* (http://www.eea.europa.eu/soer/countries/at).
EEA, 2010b, *The European environment — state and outlook 2010: Country assessments: Estonia* (http://www.eea.europa.eu/soer/countries/ee/soertopic_view?topic=biodiversity).
EEA, 2010c, *The European environment — state and outlook 2010: Country assessments: France* (http://www.eea.europa.eu/soer/countries/fr).
EEA, 2010c, *The European environment — state and outlook 2010: Country assessments: Hungary* (http://www.eea.europa.eu/soer/countries/hu/soertopic_view?topic=biodiversity).
EEA, 2010a, *10 messages for 2010 — Protected areas* (http://www.eea.europa.eu/publications/10-messages-for-2010-2014/at_download/file).
Estonian General report on Article 17, 2008 (http://cdr.eionet.europa.eu/ee/eu/art17/envreblx/general-report.xml/manage_document) accessed June 2011.
French General report on Article 17, 2008 (http://cdr.eionet.europa.eu/Converters/convertDocument?file=fr/eu/art17/envrdliq/general-report.xml&conv=rem_26) (in French) accessed June 2011.
Hungarian General report on Article 17, 2008 (http://cdr.eionet.europa.eu/Converters/convertDocument?file=hu/eu/art17/envre7qh/w/general-report.xml&conv=rem_26) (in Hungarian) accessed June 2011.
International Workshop on Assessment of Plans under the Habitats Directive, 2009, *Status of Assessment of Plans under the Habitats Directive in different European Member States* (http://www.levett-therivel.co.uk/IW.htm) accessed May 2011.
Justice and Environment (J&E), 2006, *Implementation of the Habitats Directive in EU Member States Collection of Case Studies Natura 2000*, Justice and Environment, European Network of Environmental Law Organisations (http://www.magashakony.hu/szeleromu/JE2006Naturacasestudy.pdf).
Klein, L. (ed.), 2008, *Diversity of Nature in Estonia — Estonian Nature Conservation in 2007*, Estonian Environment Information Centre, Tallinn (http://www.keskkonnainfo.ee/publications/329_PDF.pdf).
Klein, L. (ed.), 2012, *Diversity of Nature in Estonia — Estonian Nature Conservation in 2011*, Estonian Environment Information Centre, Tallinn (http://www.keskkonnainfo.ee/publications).
Kruk, R.W., De Blust, G., Van Apeldoorn, R.C., Bouwma I.M. and Sier, A.R.J., 2010, *Information and communication on the designation and management of Natura2000 sites. Organizing the management in 27 EU Member States. Main report 2*, Alterra-rapport 2044, (This report is part of the DG Environment Contract No: 070307/2007/484411/MAR/B/2, Alterra, Wageningen, Netherlands (http://www.inbo.be/files/bibliotheek/34/213534.pdf).
Martinez, C. (“coord”). Les espaces protégés français. Une diversité d’outils au service de la protection de la nature, Comité français de l’UICN, Paris (http://www.uicn.fr/IMG/pdf/UICN_France_-_espaces_proteges.pdf).
MEW, 2009, *Fourth national report to the convention on biological diversity — Hungary*, Ministry of Environment and Water (MEW), Budapest (http://www.cbd.int/doc/world/hu/hu-nr-04-en.pdf).
Mezőgazdasági Szakigazgatási Hivatal (Hungarian Agricultural Office), 2011, *Erdősziget, erdő- és fagazálkodás Magyarországon*, Budapest.
MEDDTL, 2011a, (French Natura 2000 portal) (http://www.developpement-durable.gouv.fr/-Natura-2000/2414-.html) accessed May 2011.
MEDDTL, 2011b, *La Trame verte et bleue* (http://www.developpement-durable.gouv.fr/-La-Trame-verte-et-bleue,1034-.html) accessed May 2011.
MEDDTL, 2011c, *Grenelle de l’environnement* (http://www.legrenelle-environnement.fr/) accessed May 2011.
Möller, K., 2010, ‘Natura 2000 in Estonia’, Ministry of Environment, Nature Conservation Department, PowerPoint presentation, International Natura 2000 conference ‘Restoring Ecosystem, Benefits and Value’, Tallin, October 2010 (http://www.eramets.ee/static/files/785,Kadri%20Moller,%20Keskloomaministeerium.pdf).
Neumann, F., 2005, ‘Management Plans in perspective of article 6.1 of the Habitats Directive: a common interest binding fishers, ecologists, hunters, port planners and recreationists,’ Institute for Infrastructure, Environment and Innovation, Brussels, in Herrier J.-L., Mees, J., Salman, A., Seys, J., Van Nieuwenhuyse, H. and Dobbelaere, I. (eds.), 2005, *Proceedings ‘Dunes and Estuaries 2005’ — International Conference on Nature Restoration Practices in European Coastal Habitats*, pp. 497–512, Koksijde, Belgium, 19–23 September 2005 VLIZ Special Publication 19, xiv + 685 pp. (http://www.vliz.be/imisdocs/publications/73860.pdf).
Sashalmi, E., 2008, ‘Short overview of the introduction of Natura 2000 network in Hungary and some examples for the coexistence of the Natura 2000 programme and wildlife management’, State Secretary for Nature and Environment Protection, Ministry of Environment and Water, Hungary, PowerPoint presentation, European workshops: Promoting Natura 2000 & Sustainable wildlife use (Hunting and angling), Central European Workshop, June 2008, Vertés Nature Park, Hungary (http://www.facenatura2000.net/Presentations%202008/Central%20European/Shashalmi.pdf).
Szekeres Érdné, R. and Schmidt, A., 2011, ‘Nature conservation in Hungary — Where do we stand?’ PowerPoint presentation at Nature Directors’ Meeting, Balatonfüred, Hungary, 8 June 2011.
WWF, 2003, *Progress on Preparation for Natura 2000 in Future EU Member States: Synthesis and country reports for Bulgaria, Czech Republic, Estonia, Hungary, Latvia, Lithuania, Malta, Poland, Romania, Slovakia, and Slovenia* (http://www.panda.org/downloads/europe/n2000progressmailing20030122.pdf).
Chapter summary
As on land, protected areas in the seas of Europe are subject to several overlapping administrative structures. This chapter will discuss the current state of protected areas in European seas, and the multiplicity of policy instruments that covers them.
In Section 7.1, we introduce the context of marine protected areas. This section also discusses the clarification of the legal uncertainty surrounding the applicability of the Habitats Directive (and by implication, the possibility of Natura 2000 designations) to European marine areas. It also introduces a new instrument that has been developed to protect European seas: the Marine Strategy Framework. In Section 7.2, we move to a discussion of Europe’s four marine regions and their protected areas. This section focuses on the Regional Sea Conventions that exist for each of these seas, and which are responsible for many of the Marine Protected Areas (MPAs) in each of the seas. We also discuss some of the Natura 2000 sites in these regions.
In the next two sections, we look in greater depth at two European Union administrative structures for MPAs. We look first at Natura 2000 marine sites in general, and at patterns of Natura 2000 marine designations in different sea regions (Section 7.3). We then look at the recently enacted MSFD, and discuss how its potential can be improved (Section 7.4).
The subsequent two sections aim to present an evaluation of MPAs in general. In the fifth section (Section 7.5), we discuss the problem of creating ‘ecologically coherent’ protected areas, namely protected areas whose boundaries correspond to areas of genuine biodiversity or ecological vulnerability. The lopsided allocation of protected area designations to inshore waters (with fewer designated sites further from coasts) indicates poor ecological coherence. In the final section (Section 7.6), we raise the issue of the effectiveness of marine protected areas. There is a dearth of comprehensive information about the extent to which marine protected areas are effective in restoring or protecting biodiversity.
School of Goldline fish, Portofino Marine Protected Area, Italy © Leonardo Tunesi
Sea anemones on submarine structure made by leaking gases, Natura 2000 site, Kattegat, Denmark © Karsten Dahl
7.1 Policy developments for marine protected areas since 1992
In 1992, at the Earth Summit in Rio de Janeiro, the Convention on Biological Diversity (CBD) was opened for signature. One of the three main goals of the CBD is the conservation of biological diversity, and it emphasises that policies for the protection of nature must take into account the protection of habitats and ecosystems as well as species themselves.
Europe responded to this global agreement with amendments to its Regional Sea Conventions and by adopting Council Directive 92/43/EEC of 21 May 1992 on the conservation of natural habitats and of wild fauna and flora, also known as the Habitats Directive. This Directive is an EU-wide legal instrument that seeks to guarantee the protection of species and habitats through the establishment of the Natura 2000 network. This network consists of Special Areas of Conservation (SACs) and Special Protection Areas (SPAs) across Europe.
However, the extent to which the Directive could be applied to marine territories became a subject of debate. During the mid- to late-1990s, many Member States argued that the Habitats Directive only applied to their territorial waters, i.e. only extending 12 nautical miles from their coasts. This argument was supported by the fact that very few marine habitats and very few marine species are mentioned in the Directive compared to the number of terrestrial habitats and species. The European Commission always argued that the Directive applied to all waters over which Member States exercised jurisdictional rights. This debate resulted in a court case brought by Greenpeace against the British government in 1999, which confirmed that the Natura 2000 Directive did indeed apply beyond 12 nautical miles under British law. In 2001, the European Council recognised the need for the Directive’s Natura 2000 network to be implemented in the Member States’ Exclusive Economic Zones (EEZ), an area that extends up to 200 nautical miles off a country’s coast. This opinion was formally recognised by the European Court of Justice on 20 October 2005 in a judgement against the United Kingdom.
These intra-European developments occurred against a background of increased concern for marine environment beyond Europe’s borders. In 2002, at the World Summit on Sustainable Development, the international community committed to slow significantly the rate of biodiversity loss by 2010 (CBD, 2002). In 2004, the Seventh Ordinary Meeting of the Conference of the Parties to the Convention on Biological Diversity put forth a global decision for major ecosystems (of which the marine ecosystem is one). The decision proposed that representative and effectively managed Protected Areas (PAs) networks should be established by 2010 so as to effectively conserve 10% of each of the world’s major ecosystems (CBD, 2004; CBD 2006). The EU responded to this commitment through the EU Biodiversity Action Plan (European Commission, 2006), which was replaced in 2011 by the EU Biodiversity Strategy to 2020 (European Commission, 2011).
In addition, the EU created a response that was specifically targeted at the marine environment by its adoption of Council Directive 2008/56/EC of 17 June 2008, which established ‘A Framework for Community Action in the Field of Marine Environmental Policy’ (1). This directive, discussed in greater detail below, establishes a framework within which Member States shall take the necessary measures to ‘achieve or maintain good environmental status’ in the marine environment by the year 2020 at the latest. These measures comprise two main components. The first is to protect and preserve the marine environment, preventing its deterioration or, where practicable, restoring marine ecosystems. The second component is to prevent and reduce inputs in the marine environment to ensure there are no significant impacts or risks to marine biodiversity, marine ecosystems, human health, and legitimate uses of the sea. One specific policy tool that has been adapted to achieve these aims is the establishment of a coherent and representative network of Marine Protected Areas.
7.2 Marine protected areas within European marine regions
The marine waters of the European Union are divided into four broad marine regions, the boundaries of which are defined according to coastal and EEZ boundaries as well as oceanographic/biogeographic characteristics. The marine regions are: the north-east Atlantic Ocean, the Mediterranean Sea, the Black Sea and the Baltic Sea (Map 7.1). The north-east Atlantic Ocean and Mediterranean Sea are both further divided into four distinct sub-regions each (Section 7.3).
(1) Marine Strategy Framework Directive, 2008.
Each of the four marine regions is covered by a Regional Sea Convention.
The Baltic Sea is covered by the 1974 Convention on the Protection of the Marine Environment of the Baltic Sea Area (Helsinki Convention; HELCOM), which was revised in 1992 and entered into force in 2000 (HELCOM, 2012).
The Convention for the Protection of the Marine Environment of the north-east Atlantic (OSPAR) was established at a joint meeting of the previously separate Oslo and Paris Commissions in 1992, although it did not enter into force before 1998 (16).
The Convention for the Protection of the Mediterranean Sea against Pollution (Barcelona Convention) was adopted in 1976 under the framework of the United Nations Environmental Program. An amended version was adopted in 1995 that renamed it the Convention for the Protection of the Marine Environment and the Coastal Region of the Mediterranean. A specific protocol was drawn up in the amended version of the convention. The Protocol deals with specific protection schemes for marine biodiversity in the Mediterranean.
The Convention on the Protection of the Black Sea against Pollution (also known as the Bucharest Convention) was adopted in 1992 and entered into force in 1994.
Map 7.1 European marine regions and the coverage of Natura 2000 sites *
Note: * Disclaimer: The marine regions and sub-regions shown in Map 7.1 and used for generating the statistics in Table 7.1 are identified as MSFD marine regions used for WG DIKE (Working Group on Data, Information and Knowledge Exchange) consultation of EU Member States on the 7 November 2011. A final decision regarding the map was not reached before the publication of this report and changes might occur. The map does not represent any official Member State marine boundaries.
(16) In the case of the Kattegat sea region between Denmark and Sweden, there is an overlap between HELCOM and OSPAR.
Within the 200 nautical mile EEZ of EU Member States, the Regional Sea Convention designations of Marine Protected Areas supplement the designations of the Natura 2000 network. The Regional Sea Conventions can also designate MPAs in the High Seas areas beyond this 200 nm limit, as has been the case with OSPAR. Major overlap exists between Natura 2000 marine sites and sites designated under the Regional Sea Conventions in the national waters of EU Member States. But it is important to realise that EU legislation is only applicable for 54 % of the area of the regional seas around Europe (17). Hence, there is a need for strong regional cooperation with non-EU neighbours through the Regional Sea Conventions to achieve the necessary protection levels as well as to ensure healthy future oceans with a high diversity of habitats and species. Such cooperation should also include finding common grounds for protecting the High Seas as done by OSPAR.
Besides the focus on Regional Sea Conventions and the Natura 2000 network in the following sections, it should be mentioned that some Member States have designated, or are in the process of designating, additional national protected areas. These processes, such as Marine Conservation Zones in UK waters will improve overall protection levels. No coherent European overview exists for these national marine protection efforts, as not all Member States have reported such sites to the CDDA. They will therefore not be considered in detail here.
### 7.2.1 The Baltic Sea marine region
The semi-enclosed Baltic Sea (not including Kattegat) covers 392 000 km² of brackish waters, ranging from almost freshwater to more saline waters. With the exception of Russian national waters, it is almost entirely under the jurisdiction of eight EU Member States. In addition to the Natura 2000 network in the Baltic Sea, there are also the protected areas designated by HELCOM. These HELCOM-protected sites are known as Baltic Sea Protected Areas or BSPAs.
Natura 2000 sites cover just over 12 % of the Baltic Sea marine region, or 44 900 km² out of the 369 000 km² of the waters under EU legislation (18) (Table 7.1). Among all the marine regions’ EEZ, the Baltic EEZ accounts for the highest coverage by Natura 2000 designations with only 5 %. In addition to these designations, there are two Russian BSPA designations comprising a total of 343 km². HELCOM estimates that MPA coverage in the region had increased from close to 4 % to just over 10 % in the six years from 2004–2012. In December 2009, there was a significant overlap between Natura 2000 sites and BSPAs, with 85 % of the BSPA network also designated under Natura 2000. But there are large areas designated as Natura 2000 that are not designated as part of the BSPA network. Despite the good overall coverage of protected areas across the Baltic Sea, HELCOM concluded that of the nine countries sharing the Baltic Sea, Germany is the only contracting party that maintained a balance between areas protected in coastal waters and areas protected in offshore waters. The network of MPAs in the Baltic Sea is thus still not considered to be ecologically coherent, and many of the MPAs still lack proper management (HELCOM, 2010).
### 7.2.2 The north-east Atlantic Ocean marine region
The north-east Atlantic Ocean marine region covers a staggering 7 034 000 km² within 200 nautical miles of coastline of its Contracting Parties. Of this, 4 190 000 km², or four of the seven regional seas inside the region, are (mostly) within the jurisdiction of EU Member States. This jurisdiction ranges from the Arctic cold waters of the Barents Sea in the north, to the warmer, sub-tropical waters around the Azores. Within the north-east Atlantic Ocean, just over 3 % of the waters under the jurisdiction of EU Member States (or 140 200 km² of 4 190 000 km²) is protected by Natura 2000 sites.
In general, EU Atlantic coastal waters (19) appear well covered, with nearly 42 % designated under Natura 2000 (Map 7.1), though there is some variation between the marine sub-regions (Table 7.1). In the territorial waters (between 1 and 12 nautical miles from the coast), Natura 2000 coverage is around 14 %, and thus above the CBD’s target of protecting 10 % of marine ecosystems. However, the seas between 12 and 200 nm from Members State coastlines are far less covered, with less than 2 % of these waters under Natura 2000 designation, making them the largest single gap within the marine Natura 2000 network.
(17) ‘Regional seas’ are calculated as the entire Black Sea, Mediterranean and Baltic Sea, and for the North-East Atlantic Ocean the OSPAR Convention area.
(18) Please note that the MSFD Baltic Sea marine region does not include the Kattegat, whereas the HELCOM region does. This explains why the Baltic Sea marine region has a slightly higher coverage of protected areas compared to the HELCOM region.
(19) For the purpose of analysis, coastal waters were defined as 0–1 nm (nautical miles) from the coast, territorial waters as 1–12 nm, and EEZ as 12 nm to the EEZ outer boundary.
In addition to the Natura 2000 network, the OSPAR Commission is also active in the north-east Atlantic, working towards the establishment of an ‘ecologically coherent network of well-managed MPAs’ in the north-east Atlantic by 2012. As of 31 December 2010, the OSPAR Network of Marine Protected Areas comprised a total of 181 sites, including 175 MPAs situated within the national waters of Contracting Parties, and six MPAs in Areas Beyond National Jurisdiction (ABNJ). Collectively, these sites cover around 439 700 km$^2$, or just over 3 % of the OSPAR maritime area in the north-east Atlantic (OSPAR, 2011). The establishment by the OSPAR Commission in 2010 of a network of six MPAs in the High Seas of the north-east Atlantic beyond national jurisdictions, collectively covering 280 000 km$^2$, has been widely recognised, and set a global precedent. In 2009 for example, the NEAFC (North East Atlantic Fisheries Commission) agreed to temporarily close areas (collectively covering 323 900 km$^2$ of areas in the north-east Atlantic beyond national jurisdiction) to bottom trawling until 2015. Approximately 46 % of the six OSPAR High Seas MPAs are thus subject to the measures implemented by NEAFC. But despite the progress made, the OSPAR Commission in 2010 concluded that the distribution of MPAs across the five OSPAR regions is imbalanced, as is the balance of sites between coastal and offshore waters, resulting in major gaps of the OSPAR Network of MPAs. While the overall coverage of coastal waters by OSPAR MPAs is comparatively high at just over 14 %, coverage by OSPAR MPAs of offshore areas, i.e. the Exclusive Economic Zones of OSPAR Contracting Parties, remains very low at 0.5 % (OSPAR, 2011). If an ecologically coherent network of MPAs in the north-east Atlantic is to be created, further efforts must be made to establish MPAs in offshore areas as well as in the High Seas.
7.2.3 The Mediterranean marine region
The Mediterranean marine region covers 1,534,000 km$^2$, further divided into four marine sub-regions (Table 7.1). Of these, 420,000 km$^2$ are within the national waters of EU Member States. No EEZ has been agreed for the Mediterranean, and only the 0–12 nm band beyond national coastlines is considered to be under national jurisdiction (Map 7.1). Any waters beyond this 12 nm threshold are considered as High Sea. This leaves large parts of the Mediterranean outside Natura 2000 protection schemes. Within the 12 nm coastal band, just over 6% is designated under the Natura 2000 network.
Because the Mediterranean is recognised as a global hotspot for biodiversity, there are numerous MPA network initiatives that exist outside the Natura 2000 network. These include the Emerald Network, Ramsar sites, Man and the Biosphere Reserves, and the Agreement on the Conservation of Cetaceans in the Black Sea, Mediterranean Sea and Contiguous Atlantic Area (ACCOBAMS). New MPA networks are still being formed. One such network is being established as part of an initiative by the Barcelona Convention to identify a *List of Specially Protected Areas of Mediterranean Importance*. This so-called ‘SPAMI’ list will feature sites within territorial waters and in High Seas (UNEP-WCMC, 2008). It will include sites:
- of importance for conserving the components of biological diversity in the Mediterranean;
- that contain ecosystems specific to the Mediterranean area or habitats of endangered species;
### Table 7.1 Natura 2000 coverage in European Seas (using MSFD marine regions and subregions ())
| Marine regions and subregions | Sea surface area km$^2$ | EU part of sea km$^2$ (*) | Area covered by N2K, km$^2$ | Total number of N2K sites | % of EU waters covered by N2K | % of 0–1 nm zone covered by N2K | % of 1–12 nm zone covered by N2K | % of 12 nm to EEZ covered by N2K |
|-------------------------------|--------------------------|---------------------------|-----------------------------|---------------------------|-------------------------------|---------------------------------|---------------------------------|---------------------------------|
| Baltic Sea | 392,000 | 369,000 | 44,900 | 1,030 | 12.2 | 29 | 13 | 5 |
| North East Atlantic Ocean | 7,034,000 | 4,190,000 | 140,200 | 1,806 | 3.4 | 42 | 14 | 2 |
| Celtic Sea | 906,000 | 906,000 | 28,300 | 631 | 3.1 | 31 | 8 | 2 |
| Greater North Sea incl. | 682,000 | 514,000 | 84,800 | 753 | 16.5 | 58 | 26 | 11 |
| Kattegat and English Channel | | | | | | | | |
| Bay of Biscay and the Iberian Coast | 804,000 | 804,000 | 24,600 | 331 | 3.1 | 45 | 15 | 2 |
| Macaronesia | 1,966,000 | 1,966,000 | 2,400 | 91 | 0.1 | 15 | 2 | 0.02 |
| Mediterranean (‡) | 1,534,000 | 420,000 | 26,800 | 831 | 6.4 | 25 | 4 | na |
| Western Mediterranean | 843,000 | 159,000 | 18,900 | 525 | 11.9 | 42 | 9 | na |
| Ionian Sea and Central | 724,000 | 62,000 | 2,900 | 122 | 4.7 | 27 | 2 | na |
| Mediterranean Sea | | | | | | | | |
| Adriatic Sea | 134,000 | 25,000 | 600 | 46 | 2.4 | 13 | 1 | na |
| Aegean-Levantine Sea | 808,000 | 174,000 | 4,500 | 138 | 2.6 | 13 | 1 | na |
| Black Sea | 434,000 | 55,000 | 2,600 | 87 | 4.3 | 75 | 19 | 0.1 |
**Total (‡)** 9,395,000 5,034,000 214,600 3,754 4.3 33 10 2
**Note:**
(†) Natura 2000 information is based on information available from Member States September 2011.
(‡) EU part of the sea is the combined national waters of EU Member States excluding the areas of non-EU Member States. It is used to show how large a percentage of the sea is covered by EU legislation e.g. Natura 2000 directives.
(§) North East Atlantic covers the Iceland Sea, Barents Sea, Norwegian Sea, Greater North Sea, Celtic Sea, Bay of Biscay and Iberian Coast and Macaronesia. It is measured from the coast to 200nm off the coast. High Seas — those areas more than 200 miles off the coast — are excluded.
(¶) It should be mentioned that OSPAR and NEAFC have protected large areas in the High Seas. These are not presented as part of the table.
(§) For the Mediterranean, only 12 nm from the coast is considered EU waters as no EEZ has been agreed upon for the Mediterranean. Some states have declared EEZ for some zones extending beyond 12 nm. These have not been taking into account in this table, as no formally agreed, coherent map was available for the analysis.
(‡) National designations of MPAs are adding additional MPA coverage to the figures presented for the Natura 2000 network.
• with special scientific, aesthetic, cultural or educational interest.
In addition to these international networks, national protected sites have also been designated, adding to the total area covered by internationally agreed MPAs. For example, France operates several categories of MPAs in the territorial waters of mainland France (Mediterranean and Atlantic coasts, Table 7.2).
UNEP-WCMC (World Conservation Monitoring Centre) found in 2008 that the number of MPAs in the Mediterranean depended upon how individual MPAs were defined. The number varied from 21 MPAs on the SPAMI list to 252 MPAs in the World Commission on Protected Areas database, depending on the approach applied for defining the individual MPAs. The different definitions for MPAs used throughout the Mediterranean region, as well as the lack of an updated international database, make it difficult to produce a quantitative and objective assessment of the coverage of the MPA network. In March 2012, there were 32 SPAMI sites officially designated, an increase of 11 from 2008.
A tentative conclusion based on Table 7.1 is that there is progressively higher MPA coverage going from the east to the west, and better coverage in coastal waters compared to further off shore. A similar pattern has been observed from the south to the north, with better MPA coverage observed in northern waters (UNEP-WCMC, 2008). Whether the collective network is representative and ecologically coherent is difficult to assess with the information available, although the area covered by MPAs is larger than is indicated by the Natura 2000 analysis (Table 7.1).
### 7.2.4 The Black Sea marine region
The Black Sea marine region is shared by six countries and covers 434 000 km$^2$, of which 55 000 km$^2$ are within the EEZ of EU Member States. Of these, 2 600 km$^2$, or just over 4 %, has been designated as Natura 2000. However, almost 75 % of the Black Sea coastal waters of EU Member States (waters less than one nautical mile off the coast) are protected as well as just over 19 % of their territorial waters from 1 to 12 nautical miles off the coast. This makes the Black Sea coastal waters of EU states the best protected coastal waters and territorial waters (in terms of Natura 2000 site designations; Table 7.1) of the European regional seas. But more still needs to be done to protect offshore waters.
The regional sea convention for the Black Sea is the Convention on the Protection of the Black Sea against Pollution (also known as the Bucharest Convention). Among other objectives, it aims to preserve representative types of coastal and marine ecosystems, wetlands, and other habitats. A Strategic Action Plan for the Rehabilitation and Protection of the Black Sea was adopted in 1996 and revised in 2002, and in 2003, a Biological Diversity and Landscape Protection Protocol was added to the Convention. The Protocol encourages contracting parties to the Convention to protect and preserve areas of particular biological or landscape value, and to manage these in a sustainable and environmentally sound way. The Commission for the Protection of the Black Sea against Pollution and its Permanent Secretariat acts as the coordinating mechanism for the implementation of the Convention and SAP. The Commission has launched projects to establish and conduct studies on Specially Protected Areas and MPAs. The majority
| Type | Number | Surface (km$^2$) |
|-------------------------------------------|--------|------------------|
| Natura 2000 | 208 | 6 970 |
| National Nature Reserve | 26 | 1 220 |
| Iroise Marine Nature Park (Atlantic) | 1 | 3 550 |
| Port Cros National Park (Mediterranean) | 1 | 13 |
| Coastal Conservatory’s Marine Public Domain | 4 | 55 |
| Biotope Protection Decrees | 3 | 13 |
| Blue Coast Park (Local stakeholder) | 1 | 91 |
**Note:** Geographic overlap exists between different types of MPA designations, and the total area designated is smaller than the sum of figures as indicated by Table 7.2
**Source:** Modified from Bellan et al.
of protected marine and coastal areas (93 %) were declared by individual countries bordering the Black Sea during the 1990s. Romania ranks first in terms of the surface area of protected areas designated during the 1990s (56 %). It is followed by Ukraine (22 %), Bulgaria (10 %) and Georgia (4 %), while Turkey did not declare any protected areas during this period. The dates of designation of Russian sites are not known, and are therefore excluded from these calculations. The total area of Black Sea marine and coastal protected areas by country and MPAs per unit shoreline by 2008 is given in the table below (see Table 11 of BS Biodiversity report, p. 57).
7.3 An in-depth look at patterns of marine Natura 2000 designations
The Natura 2000 network designated under the Birds Directive and the Habitats Directive provides a cornerstone for European designation of MPAs. Since the entry into force of the Habitats Directive in 1992, almost 4 % of European waters have been designated as part of the Natura 2000 network of MPAs (Table 7.1). The analyses on the distribution of Marine Protected Areas in European seas and comparisons with the CBD target and framework are presented in Map 7.1 and Table 7.1. Due to a lack of comprehensive information, namely digital maps with site boundaries, it has not been possible to include national sites in the analysis. Europe might therefore be closer to reaching the CBD target than indicated by the Natura 2000 analysis.
In spite of the strong policy visions and ambitions of the CBD, the global target of effective conservation of at least 10 % of each of the world’s ecological regions by 2010 has not been met in the case of European seas. Global MPA coverage in 2010 stood at only 1 % (Toropova et al., 2010). Due to the implementation of Natura 2000, the situation is better in European seas, where almost 4 % were covered by Natura 2000 sites at the end of 2011 (Table 7.1). While the number of sites is steadily increasing, this global coverage has not been enough to prevent what the CBD considers to be a serious decline in global marine and coastal biodiversity and related ecosystem services. Recognising this, 193 CBD Contracting Parties recommitted in Nagoya in 2010 through the Aichi Targets to conserve at least 10 % of coastal and marine areas (CBD, 2011).
It is clear that progress in identifying, proposing and designating Natura 2000 sites varies greatly between marine regions of Europe (Table 7.1). The Baltic region, the Greater North Sea and western Mediterranean sub-regions have reached the target of designating 10 % of the EEZ of EU Member States (or 10 % of the 0–12 nm coastal band in the case of Mediterranean countries), whereas the remaining regions are barely halfway towards the agreed target. It is also clear that the balance between the areas protected varies a lot between coastal waters, where there is a high degree of protection, and the less-extensively protected areas of territorial and offshore waters (Table 7.1; Figure 7.1).
In general, the coastal zone (less than one nautical mile from the coast of a country) has a high level of protection with an EU average of 33 % inside a protected area. The coastal zones between 1 and 12 nm from the coasts of EU Member States are also meeting the globally agreed targets with 10 %. However, the larger part of EU waters lies between 12 and 200 nautical miles offshore, and unfortunately, less than 2 % of this is covered by Natura 2000 sites. The exception to this is the Mediterranean, for which national jurisdiction in general only extends as far as 12 nautical miles from the coast as no EEZ has been agreed upon. This means that a large part of the Mediterranean is considered as High Seas, and is therefore not covered by the protection schemes offered by Natura 2000 legislation.
The explanation for the gap in offshore Natura 2000 designations is probably several-fold, but three main reasons are apparent. Firstly, offshore designations had generally been put on hold until the court case against the United Kingdom on the geographical extent of the Habitats Directive was resolved in 2005. This court case concluded with the judgement that the Habitats Directive should be implemented within the entire EEZ, extending as far as 200 nautical miles from the coast. Secondly, the Habitats Directive covers a limited number of marine habitat types. This makes it difficult to designate larger offshore MPAs on the basis of habitat types. However, it remains possible to designate large offshore MPAs on the basis of species protection. Thirdly, our knowledge of the distribution of benthic habitats in deeper, offshore
(2) Marine regions are used according to the definitions of the Marine Strategy Framework Directive, as these have been defined according to marine biogeographic patterns. Marine biogeographic patterns are not the same as terrestrial biogeographic patterns, hence the need for Natura 2000 biogeographic regions. This decision has been made partly because it reflects an ecosystem-based approach and partly to support MSFD article 13 processes.
waters is, despite huge efforts by individual Member States, still patchy. Extensive surveys need to be conducted on an area before it can be designated. This makes a formal designation process difficult and costly compared to surveys in coastal waters or on land.
Besides the differences between the marine regions in terms of area protected under Natura 2000, significant differences also exist between Member States. Only 0.1% of the waters within the huge Portuguese EEZ are protected compared with 45.2% of German national waters (Figure 5.4). However, through cooperation with OSPAR, Portugal has managed to establish four large protected areas in the High Seas. These are not Natura 2000 sites.
The Directive’s purview encompasses all organisms present in the marine environment, and all human activities influencing them.
One measure for achieving good environmental status that the Directive identifies is the establishment of a representative and coherent network of Marine Protected Areas. These MPAs should adequately cover the diversity of the constituent ecosystems together with existing MPAs, such as those designated under the Natura 2000 directives, the Regional Sea Conventions or as part of national initiatives. The Directive thus implies that something more comprehensive than the existing marine MPA network (in its current form of implementation) is needed, in order to deliver representative and ecological coherent networks of MPAs.
Another provision of the Directive is a requirement for Member States to coordinate efforts with states with which they share a marine region. The MSFD could thus provide a good opportunity for EU Member States and the Regional Sea Conventions to advance European marine nature protection by merging the Natura 2000 process with a more holistic approach, such as is being implemented in British marine waters (see below). Coherent networks in the waters of neighbouring countries would strengthen national designations, creating
mutual benefits for each Member State and the environment as a whole.
Technical and administrative constraints need to be addressed if such a process is to be successful. National marine designations should be made available by being shared through the CDDA, as there is presently no obligation to do so. In addition, existing reporting processes of the MSFD Marine Regions and sub-regions should be harmonised with the reporting processes for the biogeographic regions of the Habitats Directive. Sharing of experiences is also vital: species do not respect any administrative boundaries, and when striving to apply an ecosystem-based approach to management neither should our measures.
It is important to emphasise that spatial protection measures are just one tool. Other measures such as ensuring less physical disturbance of the seafloor as well as reducing nutrient loads, hazardous substances, and marine litter are also necessary to achieve healthy European Seas. Marine Protected Areas, whether they are Natura 2000, Marine Conservation Zones or some other designation, only help to safeguard specific ecosystem components, and perhaps increase overall resilience to climate change. They are not enough in themselves to halt the loss of marine biodiversity by 2020.
The MSFD thus provides a new opportunity to take the necessary measures to strengthen our MPA networks, and at the same time deal with pressures within and outside MPAs. However, implementing the MSFD will require Member States, environmental managers, and nature conservationists to overcome existing administrative traditions, and combine their efforts with new management practices under the MSFD. It will also require cooperation with the upcoming Common Fisheries Policy. By linking legislative tools and management practices, our chance to halt the loss of marine biodiversity will increase.
7.5 The challenge ahead: ecologically coherent MPA networks
As our knowledge of the seas has improved, our approach to marine nature conservation has changed. Marine conservation has broadened its scope, moving away from a focus on single species or species groups and towards the inclusion of marine habitats. In recent years, the scope has become even broader, including entire marine ecosystems.
But has this broader scope led to more ecologically coherent protected areas that protect areas rich in biodiversity or areas that are especially vulnerable to disruption by human activities? Comprehensive assessments of the ecological coherence of MPA networks has been completed for the Baltic Sea marine region (Andersson et al., 2008; HELCOM 2010), the north-east Atlantic Ocean (OSPAR, 2006; OSPAR, 2011) or parts thereof (Anon, 2010), and the western Mediterranean Sea (Cameron and Askew, 2011).
From these assessments of European waters two general observations are emerging. Firstly, inshore coastal waters have a better coverage of MPAs than further offshore. This conclusion supports the above analysis of the Natura 2000 network. Secondly, and as demonstrated for the western Mediterranean (Cameron and Askew, 2011) and the Baltic Sea (Al-Hamdani and Reker, 2008), habitats that are not recognised in Annex I of the Habitats Directive, such as mud habitats or sand/gravel habitats are significantly less well-protected than habitats that are mentioned in the Habitats Directive. Assessments made by the Regional Sea Conventions reach similar conclusions, arguing that more efforts are needed for existing MPA networks to be considered representative and ecologically coherent. Some Member States have responded to these findings. For example, the United Kingdom has initiated the Marine Conservation Zone Project and the Scottish Marine Protected Areas project (through ‘The Marine and Coastal Access Act’ 2009, and the Marine Scotland Act 2010 respectively). The aim of these projects is to design and designate an ecologically coherent network of MPAs to protect the full range of wildlife in the marine waters around the United Kingdom. These MPAs will be called Marine Conservation Zones (MCZs) in England and Wales, and Marine Protected Areas in Scotland. They will complement the existing MPA network coverage of European marine sites under the Natura Directive (SACS and SPAs).
For English waters, four regional projects initiated by the UK Government have identified a range of potential new Marine Conservation Zones (rMCZs). In the Irish Sea, 16 potential new sites covering 3 962 km$^2$, or 22 % of the project area, have been identified (JNCC/NE, 2011a). For the south-west of England, it could result in an increase in MPA area from the existing 3 174 km$^2$ to a potential of 19 078 km$^2$, covering 20.1 % of the total project area (Lieberknecht et al., 2011). For the south-east of England, 31 potential new sites were identified, covering a total of 4 213 km$^2$ or approximately 22.5 % of the total area (JNCC/NE, 2011b). Lastly, for
the North Sea, a potential 18 recommended MCZs covering a total of 12 594 km$^2$, or approximately 30% of the area has been identified as potential MCZs (JNCC/NE, 2011c). The identification of sites is based upon a mixture of scientific guidance and strong involvement from stakeholders such as fishermen, leisure groups and shipping companies. At this stage, the resulting sites are still only under recommendation, and no final decision on actual designation has been made yet. These initiatives are supported by similar projects in Welsh and Scottish waters. It is thus premature to estimate the exact coverage of MPAs in UK waters.
In conclusion, some Member States, like Belgium, Germany and Poland, have chosen to designate large areas under the umbrella of Natura 2000, whereas others, like France and the United Kingdom, have designated large areas using a mixture of international and national law in order to achieve an ecologically coherent network. Both approaches help achieve the CBD target and assist the efforts to halt the loss of marine biodiversity by 2020. However, in order to provide concise input to EU Policies like Horizon 2020, it would be very helpful if national marine designations were also reported to the CDDA in order to support EU policy advice and experiences shared among Member States sharing the same marine region.
7.6 Assessing the effectiveness of MPAs
At present, it is difficult to make an assessment of the management effectiveness of current protection schemes. No coherent objective information on management schemes or monitoring programmes of MPAs has been reported on a European level. There are also no agreed classification schemes for the protection level of individual sites such as the IUCN categories used for classification of terrestrial sites. For these reasons, we will not discuss the management of MPAs in depth, and only a few good examples will be presented.
In general, many different human activities are allowed inside MPAs, ranging from commercial fisheries to leisure activities. Combined with more diffuse pressures from hazardous substances and climatic change, these all add to the cumulative pressures occurring within the individual MPA. The most frequently reported pressures for Natura 2000 habitat types are pollution, outdoor sports and leisure activities, commercial fisheries and so-called ‘biocenotic evolution’, or changes in the composition of species within a habitat type (invasion by a species is the most often reported pressure). For marine species, the most frequently reported pressures are pollution and commercial fisheries (Figure 7.2).
**Figure 7.2 Ten most frequently reported pressures by Member States for marine species according to 2001–2006 Article 17 reports under the Habitats Directive**
| Pressure | Number of coastal habitat types |
|-----------------------------------------------|---------------------------------|
| Urbanised areas, human habitation | 36 |
| Biocenotic evolution | 30 |
| Outdoor sports and leisure activities | 30 |
| Communication networks | 29 |
| Trampling, overuse | 20 |
| Pollution | 20 |
| Grazing | 16 |
| Discharges | 15 |
| Sport and leisure structures | 15 |
| Sand and gravel extraction | 11 |
*Note:* The pressures listed above were reported by at least 40% of the countries where the habitat type occurs.
In contrast to these multiple-use MPAs in the Natura 2000 network, it has been estimated that less than 1% of European MPAs can be considered ‘strict’ reserves, where extensive limits are placed on human activity. This low number is despite the proven effects of reserves on biomass, age distribution, improved number of species inside the reserve and average size (Fenberg et al., 2012).
Some reserve management practices go beyond simply establishing no-take reserves and actually restore parts of the marine ecosystem. One such example is the LIFE funded BlueReef project (Box 7.1).
Besides individual restoration efforts inside specific Natura 2000 sites, more holistic management approaches are also appearing. These efforts aim to combine nature conservation with sustainable use of natural resources through the cooperation of authorities and local stakeholders, all in the context of international protection schemes and agreements. One such example is the Marine National Park of the Iroise Sea (see Box 7.2).
Such initiatives, whether focusing on a single reef area or spanning a large sea area, show that our understanding of the marine environment has changed. It is no longer perceived as being an inexhaustible resource and is now seen as an exhaustible, vulnerable and sensitive natural resource. This resource needs integrated management of the human activities it hosts in order to be sustained. Now that more and more marine regions are meeting the 10% target, the focus of assessment will shift from the site designation process to evaluating whether Europe is actually getting the benefit from its network of MPAs. This will be considered both in terms of meeting the political ambitions for halting the loss of biodiversity, as well as in terms of maximising the potential socio-economic benefits of a coherent MPA network. While strict management measures could improve the benefits of specific sites, MPAs cannot deliver such ambitions on their own. Activities, pressures and impacts have to be addressed both within and outside MPAs. Such a holistic ecosystem-based approach is at the core of the Marine Strategy Framework Directive.
**Box 7.1 Restoring cave-forming reefs in the Kattegat**
The BlueReef project ran from 2006 to the spring of 2012, and aimed at restoring and maintaining favourable conservation status of offshore reef habitats and their associated species. The project had a total budget of EUR 4.8 million.
Denmark only has surface granite bedrock on the island of Bornholm. Historically, this has meant that mining for marine-related activities such as harbour jetties and coastal defence has often occurred on the cave-forming reefs in shallow waters. Conservative estimates suggest that by the time reef extraction was banned, approximately 34 km² of cave-forming reef had been extracted, with only 5–10 hectares of shallow cave-forming reefs left in Danish waters. Cave-forming reefs in general have a very high biodiversity per area unit, and also function as spawning grounds, juvenile areas, and feeding grounds for many species. The Danish government therefore decided to restore such habitats in a shallow area in the Kattegat, known as Læsø Trindel, located 12 km offshore from the island of Læsø. Læsø Trindel is a Natura 2000 site designated according to the Habitats Directive.
The project has restored 6.5 ha and stabilised another 6 ha of cave-forming reefs. This effectively doubles the amount of shallow cave-forming reef area in the inner Danish waters. The restoration of the reef has been carried out with approximately 60 000 m³ of quarry rock (from Norway) of various sizes, each weighing between 1–6 tonnes. It is considered the first large-scale marine nature restoration project in Denmark.
The restored site in Kattegat will provide a significant contribution to maintaining the populations of species that are dependent on the cave-forming boulder reef in Danish waters. It will also function as a crucial steppingstone within a marine corridor, linking sites within the Natura 2000 network, as well as being a sanctuary for donor populations (i.e. populations that can colonise other areas).
The BlueReef project is run by the Danish Nature Agency in cooperation with the University of Aarhus, and the National Institute of Aquatic Resources, Technical University of Denmark.
*Source:* www.naturstyrelsen.dk.
Box 7.1 The Marine Natural Park of the Iroise Sea
The Iroise Marine Natural Park was created in 2007 off the coast of Finistère between the islands of Ushant, Molène and Sein, and the coasts of the Crozon headland and Douarnenez. The legal category of the Marine Natural Park was created only in April 2006.
Map 7.3 Boundaries of the Marine Natural Park of the Iroise Sea
The Iroise Marine Natural Park is a remarkable area boasting outstanding natural resources and rich biodiversity such as marine mammals, birds and dozens of species of algae. In addition to being listed as a marine nature park, it is also a Marine Protected Area under the Oslo-Paris convention (OSPAR), and a UNESCO biosphere reserve. A large part of it is also listed under the European Habitats and Birds Directives (Natura 2000 Directives).
The Iroise Marine Nature Park is not a mere technocratic framework: it relies on the long-term involvement of elected representatives in the Iroise, government departments, sea professionals, and civil associations, all of whom contribute to its operation. The management council of the Iroise Marine Nature Park is responsible for governance of the area and the implementation of its management plan.
The management plan details management actions to protect the area. These actions and measures are structured around four main themes:
- Improving knowledge of the marine environment and uses;
- Strengthening controls at sea;
- Adapting supervisory measures to the challenges of the Iroise marine environment;
- Facilitating the technical or financial project support measures that contribute to achieving the management plan objectives.
Beyond these management measures, the legislation places great emphasis on the responsibility for good management of the Iroise Sea. Thus, the management council is also required to express its opinion on activities that could significantly alter the marine environment of the Park (*).
Note: *Paragraph 5, Article L334–5 of the French Environmental Code.
Source: Extract from the Management Plan Summary 2012–2025, Pierre Maille, Chairman of the management council.
7.7 Conclusions
From this dive into marine waters it appears that the implementation of the Natura 2000 network has significantly changed the picture of marine protected areas in the national waters of the EU Member States by increasing the area dedicated to biodiversity conservation in these waters.
Adding to this success is the fact that the Baltic Sea region has reached the globally agreed targets of protecting at least 10% of marine waters. And in the coastal waters of all regions (the waters less than one nautical mile from the coast) this target has not only been reached, it has been greatly exceeded (average 32%). For territorial waters in the EU (those areas from one nautical mile to 12 nautical miles from the coast), the 10% CBD target has also just been met. However there are significant differences between northern and eastern waters on the one hand and south-western European waters on the other. For offshore waters (areas beyond 12 nautical miles from the coast) no regions manage to get even halfway to 10% coverage, leaving protection of EU offshore waters the single largest gap in the Natura 2000 network.
National MPA designations contribute to the area covered by the Natura 2000 network. But due to gaps in the information available in the CDDA, it is not possible to provide a quantitative estimate of the extent of this contribution. The current European network of Marine Protected Areas cannot be considered to be either ecologically coherent or representative of the European marine ecosystems and their habitats.
The conservation status of both marine habitats and species targeted by the Directives remains poor. Only 10% of the assessments of the marine habitat types and 2% of the marine species were favourable. The conservation status reports also revealed a particularly large gap in knowledge of marine ecosystems: over 40% of the habitat assessments and over 70% of species assessments were considered unknown.
Within the national waters of the EU Member States, there is a very high overlap between Natura 2000 designations and designated areas under the Regional Sea Conventions. At the same time, the national waters of the EU member States only cover 54% of the area covered by the regional seas surrounding Europe, and even less if the High Seas are considered. In order to achieve an ecologically coherent and representative network of MPAs, strong regional cooperation within the regional sea conventions remains essential. This is especially true for the Mediterranean and Black Sea, where most of the countries sharing the waters are not members of the EU. It is also the case in the north-east Atlantic where approximately 40% of the OSPAR Maritime area is covered by High Seas that are not subject to the Natura 2000 legislation.
In conclusion, while good progress has been made in terms of designating Natura 2000 areas, significant challenges still remain if the European Union and its Member States are to halt the loss of marine biodiversity by 2020. These challenges are:
- **Assessing effectiveness**: in order to evaluate the effectiveness of the European Marine Protected Area network and its management, improved efforts on assessing and reporting on the conservation status for marine habitats and species are needed.
- **Delivering ecological coherence**: the marine Natura 2000 network will not in its current form of implementation be able to deliver an ecologically coherent and representative network of MPAs. This is because it leaves significant elements of the marine ecosystem outside the Natura 2000 protection schemes. These elements include habitats (for example most muddy and deep sand/gravel habitats), as well as functional groups of species, such as fish.
- **Combining multiple approaches**: combining the current Natura 2000 measures with efforts under the MSFD could provide an opportunity to designate a coherent and representative network of MPAs by 2020. It would make it possible for Europe to meet the Aichi target (which is the same as the new EU biodiversity strategy 2020 target) of protecting 10% of its marine waters. It will require a more holistic, ecosystem-based approach to preserving and protecting marine biodiversity rather than focusing on a few habitats and species.
- **Involving national authorities**: in order to achieve well-managed networks of MPAs in the European Seas, it is essential that National Authorities fulfil their protection responsibilities. In areas where activities cannot be regulated nationally, these national authorities must identify and contact the Competent Authorities, such as the IMO for maritime transport and the Common Fisheries Policy.
Europe is standing at a crossroads. It must decide whether to truly protect the marine ecosystem and
its constituent parts, or to continue to focus on specific areas and parts of the ecosystem. The choice we make now will define the legacy of the first 20 years of the new millennium.
7.8 References
Andersson, A., Korpinen, S., Liman, A., Nilsson, P., Piekänen and A. Huggins, 2008, *Ecological coherence and principles for MPA assessment, selection and design*, BALANCE, Technical Summary Report Part 3/4, (www.balance-eu.org).
Bellan, G., Dauvin, J. and D. Bellan-Santini, 2010, Knowledge, Protection, Conservation and management in the Marine Domain: The example of the Mainland French Coast, *The Open Conservation Biology Journal*, No. 4., p.9–18.
California MLPA Master Plan Science Advisory Team, 2011, January, *Methods Used to Evaluate Marine Protected Area Proposals in the North Coast Study Region*. Sacramento, CA, Marine Life Protection Act Initiative.
Cameron, A. and Askew, N. (eds.), 2011, *EUSeaMap — Preparatory Action for development and assessment of a European broad-scale seabed habitat map final report* (http://jncc.gov.uk/euseamap).
CBD, 2002, *Report of the Sixth meeting of the Conference of the Parties to the Convention on Biological Diversity*, The Hague 7–19 April 2002, Decision VI/26 p. 304–309 (http://www.cbd.int/doc/meetings/cop/cop-06/official/cop-06-20-en.pdf).
CBD, 2004, *COP 7. Seventh Ordinary Meeting of the Conference of the Parties to the Convention on Biological Diversity*, Kuala Lumpur, 9–20 February 2004, Decision VII/5, VII/28, VII/30: Protected areas (Articles 8 (a) to (e)), United Nations Environment Programme (http://www.cbd.int/decisions/default.shtml?m=COP-07&id=7765&lg=0).
CBD, 2006, *COP 8 — Eighth Ordinary Meeting of the Conference of the Parties to the Convention on Biological Diversity*, Curitiba, 20–31 March 2006, Decision VIII/15: Framework for monitoring implementation of the achievement of the 2010 target and integration of targets into the thematic programmes of work, Annex 4, United Nations Environment Programme (http://www.cbd.int/decisions/cop-08.shtml?m=COP-08&id=11029&lg=0).
CBD, 2011, *Report of the Tenth meeting of the Conference of the Parties to the Convention on Biological Diversity*, Nagoya, Japan, 18–29th October 2010, Decision X/2 & X/29, (http://www.cbd.int/doc/meetings/cop/cop-10/official/cop-10-27-en.pdf).
Directive 2008/56/EC of the European Parliament and of the Council of 17 June 2008, establishing a framework for community action in the field of marine environmental policy (Marine Strategy Framework Directive), Official Journal of the European Union L164, 19–40.
European Commission, 2006, *Communication from the Commission: Halting the loss of biodiversity by 2010 — and beyond, Sustaining ecosystem services for human well-being*, COM (2006) 216, 22.5.2006 (http://ec.europa.eu/environment/nature/biodiversity/comm2006/2020.htm).
European Commission, 2010, *Options for an EU vision and target for biodiversity beyond 2010* (http://ec.europa.eu/environment/nature/biodiversity/policy/pdf/communication_2010_0004.pdf).
European Commission 2011, Communication from the Commission, *Our life insurance, our natural capital: an EU biodiversity strategy to 2020*, COM (2011) 244.
HELCOM, 2009, ‘Biodiversity in the Baltic Sea — An integrated thematic assessment on biodiversity and nature conservation in the Baltic Sea’, *Baltic Sea Environmental Proceedings*, No. 116B (www.helcom.fi).
HELCOM, 2010, ‘Ecosystem health of the Baltic Sea 2003–2007: HELCOM Initial Holistic Assessment’, *Baltic Sea Environmental Proceedings*, No. 122 (www.helcom.fi).
HELCOM, 2010, “Towards an ecologically coherent network of well-managed Marine Protected Areas — Implementation report on the status and ecological coherence of the HELCOM BSPA network”, Executive Summary, *Baltic Sea Environmental Proceedings*, No 124A.
HELCOM, 2012, HELCOM website on ‘The goals of the Helsinki Commission’ (http://www.helcom.fi/helcom/en_GB/aboutus/).
JNCC/NE, 2010, *Ecological Network Guidance. Marine Conservation Zone Project. Joint Nature Conservation Committee and Natural England* (http://jncc.defra.gov.uk/pdf/100608_ENG_v10.pdf).
JNCC/NE, 2011a, Final recommendations for Marine Conservation Zones in the Irish Sea project area,
Joint Nature Conservation Committee and Natural England. (http://www.irishseacoastconservation.org.uk/MCZ-recommendations) accessed on 20 September 2012.
JNCC/NE, 2011b, Balanced Seas Final Recommendations Report. University of Kent, Kent County Council, Natural England and the Joint Nature Conservation Committee (http://www.balancedseas.org/page/RSC%20Resources.html) accessed 20 September 2012.
JNCC/NE, 2011c, Net Gain Final Recommendations. The Deep, Natural England, Joint Nature Conservation Committee and The Humber INCA (http://webarchive.nationalarchives.gov.uk/20120502152708/http://www.netgainmcz.org/) accessed 20 September 2012.
Lieberknecht, L., Hooper, T., Mullier, T., Murphy, A., Neilly, M., Carr, H., Haines, R., Lewin, S. and Hughes, E., 2011, Finding Sanctuary. Summary of the Final Report and Recommendations (www.findingsanctuary.marinemapping.com).
OSPAR, 2006, Guidance on developing an ecological coherent network of OSPAR Marine Protected Areas, London, OSPAR Commission 2006.
OSPAR, 2010, Quality status report 2010, OSPAR Commission, London 2010. Publication 497/2010.
OSPAR, 2011, 2010 Status Report on the OSPAR Network of Marine Protected Areas, Publication Number 548/2011.
OSPAR, 2011, ‘The challenges of achieving a coherent network of marine protected areas (MPAs) by 2012’, OSPAR meeting on the 20–24 June 2011. OSPAR10/4/4-E.
Toropova, C., Meliane, I., Laffoley, D., Matthews, E. and Spalding, M. (eds.), 2010, Global Ocean Protection: Present Status and Future Possibilities, Brest, France, Agence des aires marines protégées, Gland, Washington DC, New York, IUCN WCPA, Cambridge, UNEP-WCMC, Arlington: TNC, Tokyo, UNU, New York, WCS, 96pp.
UNEP-WCMC, 2008 National and Regional Networks of Marine Protected Areas: A Review of Progress (http://www.unep-wcmc.org/resources/publications/UNEP_WCMC_bio_series/).
8 Assessments related to protected areas
Chapter summary
As indicated at the beginning of this report, while quantitative data are increasingly available on European protected areas, there is a lack of qualitative assessments. Such qualitative assessments could study the effectiveness of protected areas in protecting targeted species or habitats, or the representativeness of a network of protected areas. A representative network is one that includes in its sites a sufficiently large and diverse sample of the species and habitat types targeted by the network. But qualitative assessments could also investigate the degree of acceptance of protected areas by local populations/stakeholders, and the willingness of these stakeholders to participate in the governance of these protected areas. Furthermore, these assessments could ascertain the contribution of protected areas to raising public awareness of biodiversity.
This chapter looks at some of the qualitative assessments of protected areas that have so far been conducted. In Section 8.1, we look at the Convention on Biological Diversity’s Programme of Work on Protected Areas and the impetus it has given to both assess more protected areas and to create new methodologies for these assessments. In Section 8.2, we briefly discuss some initiatives by national governments to assess protected areas on a Member State basis. In Section 8.3, we give a brief précis of recent academic assessments of protected areas.
8.1 The CBD and new methodologies for assessing protected areas
Qualitative assessments of protected areas can be made a part of countries’ national strategies in response to policy commitments such as national biodiversity strategies, or commitments to the Convention on Biological Diversity. Progress towards realising such assessments has been made after the CBD Programme of Work on Protected Areas with Contracting Parties committed itself in 2004 to take action and to report on 16 goals divided across four elements (as shown in Table 8.1).
One of the suggested actions to achieve goal 4.2 is to ensure that ‘more than 30 % of the world’s 120 000 protected areas should be assessed by 2010 (terrestrial) and 2012 (marine), respectively’.
Table 8.1 Elements and goals of the CBD Work Programme on Protected Areas
| 1) Direct actions for planning, selecting, establishing, strengthening, and managing, protected area systems and sites |
|---|
| Goal 1.1: To establish and strengthen national and regional systems of protected areas integrated into a global network as a contribution to globally agreed goals |
| Goal 1.2: To integrate protected areas into broader land- and seascapes and sectors so as to maintain ecological structure and function |
| Goal 1.3: To establish and strengthen regional networks, transboundary protected areas (TBPA)s and collaboration between neighbouring protected areas across national boundaries |
| Goal 1.4: To substantially improve site-based protected area planning and management |
| Goal 1.5: To prevent and mitigate the negative impacts of key threats to protected areas |
| 2) Governance, equity, participation and benefit-sharing |
|---|
| Goal 2.1: To promote equity and benefit-sharing |
| Goal 2.2: To enhance and secure involvement of indigenous and local communities and relevant stakeholders |
| 3) Enabling activities |
|---|
| Goal 3.1: To provide an enabling policy, institutional and socio-economic environment for protected areas |
| Goal 3.2: To build capacity for the planning, establishment and management of protected areas |
| Goal 3.3: To develop, apply and transfer appropriate technologies for protected areas |
| Goal 3.4: To ensure financial sustainability of protected areas and national and regional systems of protected areas |
| Goal 3.5: To strengthen communication, education and public awareness |
| 4) Standards, assessment and monitoring |
|---|
| Goal 4.1: To develop and adopt minimum standards and best practices for national and regional protected area systems |
| Goal 4.2: To evaluate and improve the effectiveness of protected areas management |
| Goal 4.3: To assess and monitor protected area status and trends |
| Goal 4.4: To ensure that scientific knowledge contributes to the establishment and effectiveness of protected areas and protected area systems |
Such an evaluation will be undertaken by the protected area managers and agencies in order to answer some or all of the following questions:
1) Are the management aims being achieved or could progress toward these aims be improved?
2) How can the effectiveness of management be assessed?
3) How can the required resources be secured?
4) How can management of protected areas secure the support of stakeholders? (Stollon, 2008).
In order to answer these questions, a number of assessment methodologies have been developed and are being applied, both at the European and national level. These methodologies include Rapid Assessment and Prioritization of Protected Area Management (RAPPAM), Management Effectiveness Tracking Tool (METT), and Integrative Protected Area Management Analysis (IPAM). A survey performed by Leverington et al. (2010) identified 40 different methodologies in use across Europe to assess protected area effectiveness. The more specific Tool on Conservation Measures was recently developed with support from the European Commission in order to appraise the economic impacts of conservation measures. It will also assess how conservation measures in Natura 2000 sites can influence ecosystem goods and services. This tool describes a process for carrying out an economic valuation of changes in ecosystem goods and services arising from those conservation measures, and was tested in some Natura 2000 sites (ARCADIS et al., 2011).
For its part, the World Commission on Protected Areas of the IUCN is currently working on the establishment of a ‘Green List’, a set of performance indicators to assess the management of individual protected areas.
Recently, the EU Member States reviewed and approved new formats for reporting under the
nature directives. The updates include additional information on the management of the Natura 2000 networks, as well as on the conservation measures implemented. The updated formats also require a broad evaluation of the management of Natura 2000 networks. This information will be available after delivery of the national reports in 2013.
8.2 National assessments of protected areas in Europe
Countries are currently in the process of reporting to the CBD Secretariat on progress in the implementation of the PoWPA. However, with regards to goals 4.2, 4.3 and 4.4, a number of initiatives are already known from a number of countries:
- In 2007–2008, the governments of Albania, Bosnia and Herzegovina, Croatia, Montenegro and Slovenia collaborated with WWF on a regional implementation of the CBD Programme of Work on Protected Areas. The basis of this implementation was the RAPPAM methodology (Rapid Assessment and Prioritisation of Protected Areas).
- In the Czech Republic, the first assessment of the protected areas network was carried out in 1962–1965, and it was repeated in 1982–1985. In 2002–2005, an assessment was completed in preparation for the proposal of Sites of Community Interest under the Habitats Directive, as the country prepared to join the European Union in 2004. A new assessment of the protected areas network is currently being prepared.
- In France, a Strategy for the Creation of Protected Areas is being implemented with the aim to ensuring that 2 % of the land territory is covered with strict national designations by 2020. To assist in this purpose, a gap analysis was performed by the *Muséum national d’Histoire naturelle*, to identify species and habitats for which France has an international responsibility, and for which protection through site designation is relevant but currently insufficient.
- In Germany, criteria and evaluation procedures were set up by the Federal Environment Ministry (BMU) in 2008 for all major protected areas, i.e. national parks, biosphere reserves and nature parks. Effectiveness assessments have revealed that often the landscape quality of ‘nature parks’ in Germany does not significantly differ from other unprotected landscapes (Leverington et al., 2010; Nolte et al., 2010). One reason is the relatively weak protection status of large parts of nature parks such as ‘landscape protection areas’ (Ellwanger et al., 2010). Aggregated analyses are clearly missing on the status of more than 8 000 ‘nature reserves’ in Germany. These ‘nature reserves’ seem to be underrepresented in some federal states in Germany, and ‘national parks’ cover only 0.5 % of Germany’s terrestrial area, amongst the lowest level of national park cover in Europe (Scherfose, 2011).
- In Slovenia, as well as the RAPPAM assessment performed as part of the Dinaric Arc network mentioned above, a project called *Designing an efficient system of protected areas in Slovenia* was implemented by the University of Primorska. Overall, 78 % of the surface area of Slovenian protected areas has been assessed.
As part of a UNDP project, the Turkish Ministry of Environment and Urbanisation has launched a programme called *Strengthening the System of Marine and Coastal Protected Areas of Turkey*. The project aims to facilitate expansion of the national system of marine and coastal protected areas and improve its management effectiveness.
Since 2005 in the United Kingdom, indicators have been put in place to regularly assess the Special Sites of Scientific Interest (SSIs), as well as the Natura 2000 sites (most of which are also SSSI) across the country. Four assessments have been published during the period 2005–2010, showing a slight but regular increase in the percentage of protected areas in ‘favourable’ or ‘unfavourable but recovering’ condition (Figure 8.1).
### Figure 8.1 Cumulative proportion of Areas of Special Scientific Interest (Northern Ireland) and Sites of Special Scientific Interest (England, Wales and Scotland) in ‘favourable’ or ‘unfavourable recovering’ condition
| Percentage of 'favourable' or 'unfavourable recovering' |
|--------------------------------------------------------|
| 90 |
| 80 |
| 70 |
| 60 |
| 50 |
| 40 |
| 30 |
| 20 |
| 10 |
| 0 |
- **SACs**
- **SPAs**
**Note:** SACs — Special Areas of Conservation under the Habitats Directive; SPAs — Special Protection Areas under the Birds Directive.
**Source:** Adapted from JNCC, 2012.
### 8.3 Assessments of protected areas in academic research projects
An extensive analysis made by Gaston et al. (2008) critically assessed the way protected areas have been implemented in Europe against what is recognised by scientists as systematic conservation planning. The analysis looks at six main components: 1) compilation of biodiversity data, 2) identification of conservation goals, 3) review of existing protected areas, 4) selection of additional protected areas, 5) implementation of conservation actions, and 6) maintaining the values of protected areas. This study concluded that: (i) the availability of biodiversity data at the right scale remains a significant constraint on conservation planning; (ii) explicit quantitative goals for the representation and persistence of biodiversity are largely lacking; (iii) assessment of the effectiveness of existing protected area systems is patchy and not well developed; (iv) despite the above limitations, there has been a significant programme aimed at selecting additional protected areas, especially through the Natura 2000 process; (v) this programme, although taking much more time than foreseen is resulting in a substantial expansion of the protected areas system; (vi) there are major concerns about the capacity of existing protected areas to maintain their biodiversity values, mainly due to their small size and the likely impacts of climate change. The Gaston survey also makes use of a large number of scientific and policy papers related to these steps.
Most recent scientific assessments in terms of gap analysis and effectiveness of protected areas, (including within the context of large environmental changes), have been focused on Natura 2000. A selection of these is listed below:
- Through its programme of biogeographical seminars, the Habitats Directive already identifies gaps in national proposals for Sites of Community Interest (Evans, 2012). But the network has also been the subject of study by other groups. Typical recent papers examine the Natura 2000 network in relation to butterflies in Slovenia (Verovnik et al., 2011). This study concluded that Natura 2000 sites in Slovenia cover the majority of areas with high diversity, and also cover the distribution of all but one
Box 8.1 An NGO initiative to foster coordinated public action towards an efficient network of protected areas in the Mediterranean Sea
In 2011, the NGO Oceana completed a survey to assess the possibility of a comprehensive network of Marine Protected Areas for the Mediterranean Sea. This proposed network, called ‘Oceana MedNet’, includes 100 sites distributed throughout the Mediterranean, and covering over 200 000 km$^2$. Recalling countries’ commitments to CBD goals and targets, Oceana argues that the current network of MPAs in the Mediterranean is neither representative nor coherent, being mostly concentrated in coastal areas (except for the 87 500 km$^2$ sanctuary in the Ligurian Sea) and the basin’s northern shore. This leaves the high seas and the southern shore completely unprotected. Oceana’s proposed sites aim to cover those gaps.
The sites for Oceana MedNet were selected systematically using the most important seamounts (mountains rising from the seabed) as reference points. The network was further complemented by the addition of other areas considered especially important in the Mediterranean due to exclusivity, productivity, vulnerability, biodiversity or presence of endangered or threatened species.
According to Oceana, ‘despite being considered one of the planet’s most important areas for marine biodiversity, the Mediterranean (2 500 000 km$^2$) is practically in the same state as the rest of the world’s seas, and currently only 4 % of its area is protected. By adding the proposed area to the existing MPAs, 12 % of the Mediterranean would be protected, slightly exceeding the minimum of 10 % established by the CBD’.
threatened butterfly species. Another recent study looked at the effect of Natura 2000 sites on wetland species across Europe (Jantke et al., 2011). This study evaluated the performance of the Natura 2000 network in covering endangered wetland vertebrate species, and concluded that only two species were fully covered, 61 other species were somewhat covered, and seven species would need additional areas to cover their minimum area and/or habitat requirements).
- Most studies compare the Natura 2000 sites against data on the distribution of the target species or habitat(s). The simplest type of studies is gap analysis, which examines the network to see if all the target species/habitats are covered by the network (Jeeninga, 2000). The extent to which a target species or habitat is covered by a network is dependent on the spatial scale used in the study. Most published studies are at a national scale.
- Some studies have a more ecological perspective, and consider aspects of connectivity and coherence. For example, Johnson et al. (2008) examined the connectivity of protected marine sites in the Atlantic, and suggested that the mean distance between sites was too great for species with small dispersal ranges.
- Authors such as Mariorano et al. (2007) highlight the over-representation of protected sites in highland areas as compared to lowland areas.
- The Habitats Directive aims to protect both habitats (listed in Annex I of the Directive) and species (listed in Annex II of the Directive). Several papers examine how the Natura 2000 network helps protect non-target species. This is important, because the annexes cannot include all species of concern, because many species are still not described by science. Several of the invertebrates listed on Annex II of the Habitats Directive were selected in order to try to protect groups of organisms sharing a given habitat. For example, listing species such as the beetles *Lucanus cervus* and *Osmoderma eremita* should help many other species dependent on old and decaying trees. Similarly, moves to protect the 231 habitat types in Annex I of the Habitats Directive, should not only protect the species in Annex II, but should also protect many non-Annex II species. A study of dung beetles (*Copris* species) in the Iberian Peninsula found that Natura 2000 protected these species better than the sites designated under national legislation. This is even though no dung beetles are listed on Annex II (Chefaoui et al., 2005). Similarly, Martinez et al. (2006) found that the Natura 2000 network in Spain comprises sites that represent most of the threatened species of lichen, although improvement would be possible. However, inclusion in the network (whether a species is named in the Annex, or the species simply happens to be found within a protected area) does not necessarily protect these species unless appropriate management measures are undertaken.
Box 8.2 Positive effects of Natura 2000 site designation on ‘ordinary’ nature in France
A recent survey in France (Pelissier et al., 2012) investigated the extent to which the Natura 2000 network contributes at a national level to the wealth of common bird species and bats. In essence, the study aimed to discover whether Natura 2000 has ‘secondary effects’ on ‘ordinary’ biodiversity beyond its main objective to ensure favourable conservation status of species and habitats of Community interest, i.e. species and habitats mentioned in the Directives. The main results of this survey are that:
- For many common bird species, their population is more abundant within Natura 2000 sites than outside.
- Within Natura 2000 sites, bird species communities are more ‘specialised’ than bird species communities outside Natura 2000 sites. ‘Specialised’ bird types are birds that consume a narrower range of foodstuffs. ‘Non-specialised’ bird species are those that will eat a far wider array of food types.
- Within Natura 2000, bird species communities are also more ‘functional’ than bird species communities outside Natura 200 sites. “Functional” bird species are those that play a more critical role within an ecosystem. The decrease of functional bird species would ordinarily have greater knock-on effects in an ecosystem than a similar decrease in non-functional or ‘generalist’ species.
- Across Europe, both inside and outside Natura 2000 sites, there has been an overall increase in generalist species, indicating the homogenisation of landscapes. However, this trend towards generalist species has recently levelled off in Natura 2000 sites.
- Bat numbers are greater within Natura 2000 sites than would have been expected randomly.
An alternative approach was used by Donald et al (2007), who assessed the functional response of bird populations to conservation measures (i.e. Natura 2000) rather than merely looking at a proportion of populations included within the network. Results of the assessment showed that the species targeted by Annex I of the Birds Directive had benefited from sites designated under this directive.
Other surveys, such as by Cantarello et al. (2008) and Wätzold et al. (2010) investigated respectively cost-effective indicators to assess the conditions for maintaining and restoring habitats in a favourable conservation status, and the cost-effectiveness of Natura 2000 site management. The first study suggests that it may be difficult to develop a general EU approach to monitor Natura 2000 sites, and that it would be better to develop a framework that could be tailored to the specific needs and characteristics of individual sites. The second study investigated the cost-effectiveness of the design and implementation of management measures in Natura 2000 in four countries. It makes recommendations for improving the cost-effectiveness of management in the network sites (e.g. guaranteeing the availability of funds for longer periods, ensuring an appropriate allocation of funds between activities, etc.)
There have also been several studies at the global level, looking at the contribution of protected areas to the maintenance of biodiversity. A recent paper by Butchard et al. (2012) examined areas of comparable biodiversity both within and outside protected areas. The paper argues that species in sites with greater coverage by protected areas experienced smaller increases in extinction risk during the last decades than species in sites not so covered. For instance, the increase was a third lower for birds, mammals, and amphibians restricted to the protected ‘Alliance for Zero Extinction’ sites, compared with partially or totally unprotected sites of the same network.
8.4 Conclusions
As shown in previous chapters, there has been much progress in the designation of protected areas across Europe over the last decades. But only now are the tools to perform qualitative assessments of these protected areas becoming available. A European overview of protected areas is not yet possible.
This progress in designating protected areas is largely due to countries’ commitments to
international frameworks, such as the CBD Programme of Work on protected areas. But for EU Member States, the implementation of the Natura 2000 network has also had a catalytic effect on revisiting pre-existing networks of protected areas, assessing their gaps, and providing a framework for the monitoring and assessment of their effectiveness in conserving species and habitats.
8.5 References
ARCADIS, EFTEC and ECNC, 2011, *Recognising Natura 2000 benefits and demonstrating the economic benefits of conservation measures. Development of a tool for valuing conservation measures. Final report to the European Commission DG Environment* (http://www.ecnc.org/file_handler/documents/original/view/466/2011--recognizing-natura-2000-benefits-and-demonstrating-the-economic-benefits-of-conservation-measures.pdf?PHPSESSID=&e93010a912e5ad32e85eed32f7896e).
BfN, 2011a, *Gesamtflächen ausgewählter Schutzgebietsarten in den Bundesländern und in Deutschland* (http://www.bfn.de/fileadmin/MDB/documents/themen/gebietschutz/Tab_Ausgewaehlte%20Schutzgebiete_10_2011.pdf).
BfN, 2011b, *Landscape Protection Areas. German Agency for Nature Conservation* (http://www.bfn.de/0308_lsg+M52087573ab0.html) accessed 6 February 2012.
BfN, 2012, *Kartenviewer Schutzgebiete in Deutschland* (http://www.geodienste.bfn.de/schutzgebiete/?#centex=3786876.5007¢erY=5649216.210?scale=500000?layers=524) accessed 6 February 2012.
Butchart, S.H.M., Scharlemann, J.P.W., Evans, M.I., Quader, S. and Aricò, S., et al., 2012, ‘Protecting Important Sites for Biodiversity Contributes to Meeting Global Conservation Targets’, *PLoS ONE* 7(3):e32529. Doi:10.1371/journal.pone.0032529.
CBD Secretariat, *Programme of Work on Protected Areas* (http://www.cbd.int/protected/pow/learnmore/intro/#element4) accessed 6 February 2012.
Cantarello, E. and Newton, A., 2008, ‘Towards cost-effective indicators to maintain Natura 2000 sites in favourable conservation status. Preliminary results from Canisiglio and New Forest’, *iForest Biogeoscience and Forestry*, vol. 1: pp. 75–80 (http://www.sisef.it/iforest/contents/?id=ifor0410-0010075).
Chefaoui, R.M., Hortal, J. and Lobo, J.M., 2005, ‘Potential distribution modelling, niche characterization and conservation status assessment using GIS tools: a case study of Iberian Capris species’, *Biological Conservation*, 122: 327–338.
Diogo, V. and Koomen, R., 2010, ‘Explaining land-use change in Portugal in 1990–2000’, *Proceedings of the 13th AGILE International Conference on Geographic Information Science* 2010. 11 p. Guimarães, Portugal.
Donald, P.F., Sanderson, F.J., Burfield, I.J., Bierman, S.M., Gregory, R.D. and Waliczky, Z., 2007, ‘International Conservation Policy Delivers Benefits for Birds in Europe’, *Science*, 317: 810–813.
Evans, D., 2012, ‘Building the European Union’s Natura 2000 network’, *Nature Conservation*, 1: 11–26, doi: 10.3897/natureconservation.1.11808.
Gaston, K.J., Jackson, S.F., Nagy, A., Cantu-Salazar, L. and Johnson, M., 2008, ‘Protected Areas in Europe. Principle and Practice’, *Annals of the New York Academy of Sciences*, 1134: 97–119.
Gruber, B., Evans, D., Henle, K., Bauch, B., Schmeller, D.S., Dziokc, F., Henry, P.-Y., Szabolcs, L., Seppels, R., Margules, C., and Dormann, C.F. ‘Mind the gap — how well does Natura 2000 cover species of European Interest’ *ZooKeys*, 0-0.
Jantke, K., Schleupner, C. and Schneider, U.A., 2011), ‘Gap analysis of European wetland species: priority regions for expanding the Natura 2000 network’ *Biodiversity Conservation*, 2011, 20:581–605. DOI 10.1007/s10531-010-9968-9.
Jeeninga, M.D., 2000, ‘Gap analysis: concepts, methods, and recent results’, *Landscape Ecology*, 15: 5–20.
Johnson, M.P., Crowe, T.P., McAllen, R. and Alcock, A.L., 2008, ‘Characterizing the marine Natura 2000 network for the Atlantic region’, *Aquatic Conservation-Marine and Freshwater Ecosystems*, 18: 86–97.
JNCC, 2012, *UK Biodiversity Indicators in Your Pocket 2012. C1 Protected Sites* (http://jncc.defra.gov.uk/page-4241).
Kimmel, K., Kull, A., Salm, J.-O. and Mander, U., 2010, ‘The status, conservation and sustainable use of Estonian wetlands’, *Wetlands Ecology and Management*, 18: 375–395.
Leverington, F., Kettner, A., Nolte, C., Marr, M., Stolton, S., Pavese, H., Stoll-Kleemann, S. and Hockings, M., 2010, ‘Protected Area Management
— Effectiveness Assessments in Europe — Supplementary Report’, *BfN-Skripten* 271b, Bundesamt für Naturschutz, Bonn (http://www.bfn.de/fileadmin/MDB/documents/service/Skript_271b.pdf).
Mariorano, L., Falcucci, A., Garton, E.O. and Boitani, L., 2007, ‘Contribution of the Natura 2000 Network to Biodiversity Conservation in Italy’, *Conservation Biology* 21: 1 433–1 444.
Martínez, I., Carreno, F., Escudero, A., and Rubio, A., 2006, ‘Are threatened lichen species well-protected in Spain? Effectiveness of a protected areas network’, *Biological Conservation*, 133: 500–511.
Nolte, C., Leverington, F., Kettner, A., Marr, M., Nielsen, G., Bornhard, B., Stolton, S., Stoll-Kleemann, S. and Hockings, M., 2010, ‘Protected Area Management — Effectiveness Assessments in Europe — A review of application, methods and results’, *BfN-Skripten* 271a, Bundesamt für Naturschutz, Bonn (http://www.bfn.de/fileadmin/MDB/documents/service/Skript_271a.pdf).
Opermanis, O., Racinskis, E. and Aunins, A., 2008, ‘EU Birds Directive Annex I vs. national bird protection interests: legislative impact on bird conservation in Latvia’, in Opermanis, O. and Whitelaw, G. (eds.), *Economic, social and cultural aspects in biodiversity conservation*, Press of the University of Latvia, pp. 94–102.
Pellissier, V., Touroult, J., Julliard, R., Siblet, J.-P. and Jiguet, F., 2012, ‘Assessing the Natura 2000 network with common breeding birds survey in France’, internal unpublished report, MNHN, Paris.
Pullin, A.S., Baldi, A., Can, O.E., Dietrich, M., Kati, V., Livoreil, B., Lovei, G., Mihok, B., Nevin, O., Selva, N. and Sousa-Pinto, I., 2009, ‘Conservation Focus on Europe: Major Conservation Policy Issues That Need to Be Informed by Conservation Science’, *Conservation Biology*, 23: 818–824.
Rosati, L., Margignani, M., Blasi, C., 2008, ‘A gap analysis comparing Natura 2000 vs National Protected Area network with potential natural vegetation,’ *Community Ecology* 9: 147–154.
Scherföse, V., 2011, ‘Das deutsche Schutzgebietsystem im Lichte des 2010-Zieles — unter besonderer Berücksichtigung der Naturschutzgebiete und Nationalparke’, pp. 7–19 in: Scherföse, V. (ed.), *Das deutsche Schutzgebietsystem — Schwerpunkt: Streng geschützte Gebiete — Aktivitäten der Bundesländer —*, *BfN-Skripten* 294, Bundesamt für Naturschutz, Bonn (http://www.bfn.de/fileadmin/MDB/documents/service/skript_294.pdf).
Stolton, S. and Dudley, N., 2009, *The Protected Areas Benefits Assessment Tool — A methodology*, WWF.
Sundblad, G., Bergström, U. and Sandstrom, A., 2011, ‘Ecological coherence of marine protected area networks: a spatial assessment using species distribution models’, *Journal of Applied Ecology* 48: 112–120.
Tuvi, E.-L., Vellak, A., Reier, U., Szava-Kovats, R. and Partel, M., 2011, ‘Establishment of protected areas in different ecoregions, ecosystems, and diversity hotspots under successive political systems’, *Biological Conservation*, 144: 1 726–1 732.
UNDP, *Strengthening the system of Marine and Coastal Protected Areas of Turkey: Catalyzing Sustainability of Marine and Coastal Protected Areas* (http://www.undp.org.tr/Gozlem2.aspx?WebSayfaNo=2193) accessed 6 February 2012.
Verovnik, R., Govedic, M., Salamun, A., 2011, ‘Is the Natura 2000 network sufficient for conservation of butterfly diversity? A case study in Slovenia’, *Journal of Insect Conservation*, 15: 345–350.
Verschuuren, J., 2010, ‘Climate Change: Rethinking Restoration in the European Union’s Birds and Habitats Directives’, *Ecological Restoration*, 28 (4) (décembre 1): 431–439. doi:10.3368/er.28.4.431.
Wätzold, F., Mewes, M., van Apeldoorn, R. et al., 2010, ‘Cost-effectiveness of managing Natura 2000 sites: an exploratory study for Finland, Germany, the Netherlands and Poland’, *Biodiversity and Conservation*, 19: 2 053–2 069.
Protected areas in Europe — an overview
2012 — 130 pp. — 21 x 29.7 cm
ISBN 978-92-9213-329-0
doi:10.2800/55955
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Resilience and Adaptation
Annual Report | FY2021
PDPA By the Numbers
342 Postdoctoral scholars (42 non-employee, 300 employee)
81 Advising appointments for postdocs
60 Events for postocs and doctoral students
$2M+ Grants won by postdocs
60 Postdocs attended PDPA orientation
1,924 Participants enrolled in Inclusive STEM Teaching Project
5,000 Registrants for Postdoc Academy
370 Attended AGEP National Research Conference
10 Fellows in Provost Menor’s Fellows Program
2,500+ Downloads of Vitamin PhD Podcast
1,000+ Doctoral students and postdocs attended events
TEAM MEMBER SPOTLIGHT: Alexandra Bunnell
Alexandra is the PDPA Program Manager. She works on the PDPA website to make all the resources for postdocs easier to find. She also organizes the postdoc orientation, manages the non-employee benefits program, all PDPA communications, and handles postdoc data requests. She also helped transition non-employee postdocs to payroll, to help make their stipends and benefit reimbursements easier to receive.
Boston University is committed to providing a supportive and competitive training environment for doctoral and postdoctoral research and scholarship. Professional Development & Postdoctoral Affairs (PDPA) offers programs, resources, and services across both our Charles River and Medical Campus that are tailored to meet the specific needs of doctoral students, postdoctoral scholars (postdocs) and their faculty mentors.
Highlights from this year include the launch of a microcredentialing platform for PhD students called the PhD Pathways, funded by BU’s Digital Education Incubator. We also produced two new massive open online courses - our second Postdoc Academy course called Building Skills for a Successful Career, and a course focused on Inclusive STEM Teaching. Finally, a new paper highlighting our expertise in program evaluation was published in Evaluation and Program Planning.
from the desk of the assistant provost
Finding our stride
Our hybrid work environment did not limit our creativity this year; it feels like this year was our busiest yet. As our on-campus events begin to emerge, I am really looking forward to reconnecting with more members of our community in-person. But many of the virtual tools that we tried during the pandemic were effective, especially since our audience is full of busy folks juggling a lot of things! Postdocs and PhD students will still be able to message us on Slack, attend virtual live workshops or office hours, and enjoy our self-paced learning opportunities in addition to the in-person events we have planned.
Three new team members joined PDPA and have hit the ground running, embedded in projects that are creating exciting new professional development opportunities for PhD students, postdocs, and faculty. I am also pleased and grateful that so many PhD students and postdocs have lented their time to working on projects within our office this year, from developing seasons of our Vitamin PhD podcast to continuing to provide ways for postdocs to socialize and meet new colleagues.
One of the proudest moments of my career so far was being recognized for my advocacy work by receiving the Graduate Women in Science and Engineering 2021 Advocate of the Year award. I hope it is always clear through my work and through the work of our office how committed our team is to ensuring our PhD students and postdocs have a fulfilling and positive training experience.
Sarah Hokanson, Assistant Provost
Our Work on Campus
The work that we do connects to many University-wide initiatives and working groups that support graduate and postdoctoral training.
AAU PhD Education Initiative
Our selection and participation in the Association of American Universities (AAU) PhD Education Initiative was supported with buy-in from the President and University Provost. In addition to financial resources and administrative support within the Office of Graduate Affairs to support our work in this program, six participating departments - Biology, Biostatistics, Classical Studies, Counseling Psychology and Applied Human Development, Pharmacology, and Sociology - are developing and implementing plans to make the full range of careers available to PhDs in their disciplines visible, viable, and valued by students and faculty.
Taskforce on PhD Student Sick Leave
Boston University is committed to supporting the health and wellbeing of our PhD students, and has made strides in recent years to codify that commitment through policies that emphasize and draw attention to supporting students to take appropriate time away from their academic and scholarly responsibilities. Assistant Provost Hokanson led a task force charged with developing guidelines for PhD student sick leave. Recommendations describe the number of days per calendar year that should be granted to PhD students for sick leave, appropriate mechanisms for students to request short-term sick leave, who should be involved in finding coverage for research or teaching related responsibilities, and how disputes over sick leave should be mediated or resolved.
Responsible Conduct of Research
Assistant Provost Hokanson became the Director of our Responsible Conduct of Research (RCR) program for PhD students and postdocs in summer 2020. She has updated the RCR curriculum to integrate required RCR topics with themes such as social justice definitions, setting mentoring expectations, implicit bias, and managing difficult conversations effectively. Session activities also move beyond analyzing and responding to case studies to include activities that require students to develop and apply professional skills in critical thinking, self-awareness, and communication.
Examples of sessions include:
- Co-constructing authorship guidelines and developing strategies to hold researchers accountable to them
- Participating in a social group formation simulation designed to highlight implicit biases
- Role playing difficult conversations with faculty through applying improv techniques.
BU Postdocs: At a Glance
- School of Medicine, 152
- School of Public Health, 26
- School of Law, 3
- Wheelock College of Education, 11
- Sargent College, 25
- School of Social Work, 5
- Univ Professors-Honors, 7
- Academic Insts & Centers, 17
- College of Arts & Sciences, 135
- College of Engineering, 86
- NEIDL, 1
- Goldman School of Dental Medicine, 6
- Other, 16
Salary distribution
The minimum salary for postdocs in FY21 was $50,004.
Quick Stats
- $56,585 Average salary of current postdocs
- 61% Postdocs on Charles River Campus
- 100 New appointments, Charles River Campus
- 1.2 Average years of service for current postdocs
- 51 New appointments, Medical Campus
- $2M+ Grants won by postdocs (based on expenditures)
Country of Origin
BU postdocs represent 52 countries. The most common countries of citizenship are:
- United States 232
- China 70
- India 36
- South Korea 13
Race/Ethnicity
White 232
Asian 167
Black 15
American Indian 1
Multiracial 2
Hispanic/Latino 25
Race data is unreported for 61 postdocs.
Creating Community for Postdocs
Professional development is at the heart of helping our postdocs realize their professional goals, and PDPA offers postdocs opportunities to build their skills through providing tools, resources, and workshop opportunities throughout the year.
Workshops
The programming that we provide is focused on skill-building, specifically on the core competencies identified by the National Postdoctoral Association as being important for all postdocs – discipline-specific knowledge, research skill development, communication skills, professionalism, and leadership and management skills.
Boston University Postdoc Association
The Boston University Postdoctoral Association (BUPDA) supports and advocates for postdocs, organizes events, and liaises with BU administrators, as well as other postdoctoral associations. The group is open to all postdocs on the Charles River and Medical Campuses.
The BUPDA is actively involved in the Boston Postdoctoral Association (BPDA), which is a non-profit organization that includes postdoctoral representatives from Boston and Cambridge institutions. Postdocs from BUPDA are involved in the leadership BPDA, including its Presidency, Board of Directors, and Committee Chairs. They also participate actively in the organization of many events and data collection to the benefit of all Boston postdocs.
Professional Development Awards
Boston University is not the only source for professional development, and we encourage our postdocs to seek opportunities outside the University to network and enhance their skills. PDPA offers six professional development and travel awards per year to support postdocs to present their work at conferences or attend other professional development opportunities.
Business Cards
Business cards are an essential networking tool for postdocs entering the job market or looking to expand their network of peers and mentors. To ensure all postdocs have access to this resource, PDPA works with postdocs to design and order one complimentary box of business cards.
Postdoc Academy is a comprehensive digital and in-person professional development program available to all postdocs to help them develop the transferable skills that will enable their success in a diverse set of careers.
The Postdoc Academy blends interactive online and in-person content built on the National Postdoctoral Association competencies to support skill development throughout postdoc training, from their orientation as a new postdoc to their next career step. Content covers joining a new community of practice, building an actionable career plan, developing work-life resilience, working in an intercultural environment, leadership, becoming a new supervisor, project management, applying teaching skills, strategic communications, and preparing job application materials.
Learning is self-paced, and the project’s free programming includes two massive open online courses, open educational materials, in-person and virtual workshops, and supported learning communities (Postdoc Academy Learning Sessions, or PALS).
This collaborative initiative with Boston University, Northwestern University, Michigan State University, and University of Wisconsin-Madison is funded by the National Institutes of Health Grant No. R25121257.
**Succeeding as a Postdoc**
The project’s first course, The Postdoc Academy: Succeeding as a Postdoc, continued to be offered in fall 2020 and spring 2021 on BUx. Postdocs also could join synchronous Postdoc Academy Learning Sessions at their institution or within their discipline. PALS supplements the online course by providing opportunities for deeper reflection of the material and connects postdocs to a supportive community of their peers.
**Building Skills for a Successful Career**
The project’s new course, The Postdoc Academy: Building Skills for a Successful Career, launched in July 2021 and builds advanced skills to help postdocs navigate their career pathways. Live discussions and networking are available in the first and final weeks of the course for postdocs to engage with and ask questions to course instructors and professionals from various careers.
**Quick Stats**
- **96%** Postdocs Would Recommend
- **22** Postdocs on Camera
- **49** Countries Represented
- **5k+** Registrants
This year, PDPA continued to expand our resources and programming for doctoral students, working on aligning our offerings with the PhD Core Capacities and the PDPA strategic plan. To carry out these efforts we expanded our communication platforms and resources, including reorganizing the PDPA website to create a designated space for doctoral students, creating our Moderated Discussion events, and expanding our social media presence beyond Vitamin PhD.
**Workshops & Events**
This year, we offered all of our workshops and events virtually. The workshops focused primarily on the areas of career development, management and leadership, self-awareness, and communication skills. Others, like the storytelling workshop for our “Things I Wish I Knew” project, organized in partnership with BU URBAN, gave students the tools and opportunity to work on communication skills through developing a short video shared on the Graduate Education website.
In an effort to build community during remote learning, we added a monthly PDPA trivia night, hosted by a current doctoral student. We also participated for the first time in the national Graduate and Professional Student Appreciation Week by hosting a series of wellness and community building for graduate and professional students.
**Quick Stats**
- **60** Events for postdocs and doctoral students
- **1,000+** Event attendees
**Professional Development Grants**
The professional development grant program was established to provide financial support for external professional development opportunities. Two grant recipients were selected and awarded $500 to cover or supplement the cost of their proposed professional development activities this year.
**Drop-In Hours**
Offered remotely throughout the year, drop-in hours provide students with a space to ask PDPA staff questions, receive professional development advice, and learn about available resources.
**Moderated Discussions**
Together with the Office of the Associate Provost for Graduate Affairs, PDPA created the Moderated Discussions as an opportunity for regular communication and dialogue between doctoral students and University administrators. Over the past year we have held 5 moderated discussions on topics including learn from anywhere, the PhD Core Capacities, student health insurance, and the new PhD student sick leave policy.
The Vitamin PhD podcast was created in 2019 to provide another way for doctoral students at BU and beyond to engage in professional development and form a community.
Following seasons 1 and 2, each new season of Vitamin PhD has been hosted by a pair of current doctoral students at BU. Hosts research, plan, and produce a six-episode capsule season focusing on a topic aligned with current PDPA programming. Season 3 included conversations about the challenges of graduate school during COVID-19, with particular emphasis on mental health and wellness.
Season 4 followed up on the “21 Days of Unlearning Racism and Learning Anti-Racism” curriculum from Summer 2020. In conversations with student organizations, faculty members, and staff from across BU schools and colleges, the hosts discussed how these individuals and groups engage in social justice work within their communities. The episode’s conversations sought to guide listeners to resources that will enable them to create and sustain a daily, intentional effort to challenge inequity, and to build a more inclusive BU.
All seasons of the podcast are available on Apple Podcasts and Spotify, which enables a worldwide audience to access it. Listeners can access additional information about the podcast on our website, bu.edu/vitaminphd, and get updates via Twitter: @BUvitaminphd.
**Quick Stats, Seasons 2-4**
- **18** Episodes
- **2.5k+** Downloads
- **163** Downloads per Episode
**TEAM MEMBER SPOTLIGHT: Sasha Goldman**
In her first year as Program Manager for doctoral student professional development, Sasha has vastly expanded the number of workshops and events offered by our office for doctoral students. She has also overseen the new direction for the Vitamin PhD podcast, and designed and executed the development of PhD Pathways, the implementation of the PhD Core Capacities. This included working with the Digital Education Incubator to develop a successful funding proposal, the creation of a professional development curriculum for the PhD Pathways, and the piloting of the Badgr Pro Pathways platform for current BU PhDs.
The PhD Core Capacities are a set of seven skills that build upon the learning outcomes that exist within doctoral programs across the University.
**PhD Core Capacities**
The Core Capacities provide a framework for doctoral students to articulate the skills and knowledge gained through a PhD education to professional audiences. The capacities give doctoral students the language and resources to intentionally develop skills and select experiences based on the requirements of their programs, as well as the expectations and skill sets required for their desired career.
**PhD Progression**
PhD Progression platform is an online digital-badge tracking platform and dashboard that allows BU doctoral students to track the development of skills and their achievement of learning goals connected to the seven core capacities. Through the acquisition of digital badges connected to activities and assessments recorded on the badgr Pro pathways platform, students develop a practice of career planning and lifelong learning.
We piloted the platform in Summer 2021 in the Graduate School of Arts and Sciences (GRS) with the support of the Digital Education Incubator. For the pilot, we created 7 learning pathways, one for each capacity, with 67 available badges. We had 65 active PhD student participants in the pilot. In the three months of the pilot we awarded over 640 badges and students have completed over 50 pathways.
**TEAM MEMBER SPOTLIGHT: Dena Rezaei**
Dena is a Postdoctoral Research Associate for PhD Professional Development. In her role, she collaborates with the PDPA team to develop, implement, research, and evaluate the doctoral professional development curriculum and online learning pathways. Before joining BU, she served as a Research Associate for Center for Stem Learning, CU Boulder for supporting and promoting campus-wide educational transformation efforts toward improving teaching quality.
One of the grant-funded programs within PDPA is a National Science Foundation Alliance for Graduate Education and the Professoriate (AGEP) award, focused on improving the climate within academia for traditionally underrepresented minority doctoral students and postdocs. AGEP awardees develop, implement and study, via integrated educational and social science research, Alliance models to transform the dissertation phase of doctoral education, postdoctoral training and/or faculty advancement, of those that hold historically underrepresented racial identities in STEM and STEM education careers.
Our team received an additional award to host the 2020 and 2021 annual AGEP National Research Conferences. The AGEP National Research Conference advances knowledge about AGEP initiatives and disseminates the outcomes of the educational and social science research. Due to the pandemic, our team shifted our conference design from a two-day conference in 2020 to a series of virtual webinars focused on community development and learning that led up to conferences in November 2020 and June 2021.
We partnered with Events & Conferences to host an interactive poster session as well as our summer 2021 two day conference event. Recordings from the sessions can be found at https://live.bu.edu/agep.
Quick Stats
- **9** Events
- **370** Attendees
- **1** Publication
The Inclusive STEM Teaching Project, a National Science Foundation grant-funded program, is designed to advance the awareness, self-efficacy, and the ability of faculty, postdocs, and doctoral students to cultivate inclusive STEM learning environments for all their students.
The Inclusive STEM Teaching Project offers a six-week Massive Open Online course (MOOC) on edX. In this course, participants engage in deep reflection and discussions around topics of equity and inclusion in learning environments across a variety of institutional contexts. To center the identity of faculty and students, the content employs key features including: embodied case studies, affinity spaces, My Inclusivity Framework portfolio.
The primary sponsor for the Inclusive STEM Teaching Project is the National Science Foundation (NSF), Directorate for Education and Human Resources (EHR), and Division of Undergraduate Education (DUE). This project is supported under DUE grants 1821684; 1821571; 1821528; 1821510; 1821574. The project is a collaboration between Boston University, Northwestern University, University of Michigan, University of Georgia, University of Utah, University of Wisconsin - Madison, and Des Moines Area Community College.
**Quick Stats**
- **1,924** Total Enrolled
- **588** Number Completed
- **31%** Completion Rate
- **9** Learning Communities
**TEAM MEMBER SPOTLIGHT: Lisa Himelman**
Lisa Himelman is the Program Director for Outreach and Communications in Professional Development & Postdoctoral Affairs. In this role, Lisa oversees marketing and visibility efforts, develops engagement strategies, and provides operational support for the Postdoc Academy (NIH grant funded) and Inclusive STEM Teaching Project (NSF grant funded). Lisa joined the PDPA team in March 2021. Prior to BU, she worked at Monmouth University in New Jersey for over a decade.
Provost’s Mentor Fellows Program
Mentoring relationships between faculty and doctoral students and postdoctoral scholars across all fields foster the development of innovative scholarship and the creation of new knowledge. These relationships are also critical to shaping the independence of these early career scholars.
PDPA has developed a model for mentor training called the Provost’s Mentor Fellows program. This cohort-based program sponsored directly by the Provost meets monthly throughout the academic year to promote peer learning across disciplines, highlight mentoring successes among faculty, and collectively commit not just to updating personal strategies for mentorship, but towards enacting changes within others.
PDPA continued the Provost Mentor Fellows program despite the pandemic with faculty who were committed to deepening their mentoring practices, identifying new mentoring strategies, and developing a mentoring plan. Each faculty member also developed a project that represented their learning and skill development within the program. One example project this year focused on establishing a pilot program within the School of Medicine to integrate mentoring goals into the faculty annual performance evaluation process.
Quick Stats
- **10** Total Fellows
- **7** Schools/Colleges
- **20%** Professors
- **20%** Chairs/Prog. Directors
- **30%** Associate Professors
- **50%** Assistant Professors
Our mission is to ensure that Boston University provides a supportive and competitive environment for doctoral and postdoctoral scholarship and training.
**Professional Development**
- In-person workshops, digital course content, and podcast episodes
- Travel awards
- Business cards
- One-on-one advising
**Postdoc Appointments & Onboarding**
- Offer letters
- Postdoc guidebook resource
- In-person and virtual orientation sessions
- Non-employee/trainee benefits
**Creating Community**
- Family-friendly events
- Social events
- Wellness programs
- Postdoc association (BUPDA)
**Research & Scholarship**
Chesniak, O.M., Drane, D., Young, C., Hokanson, S.C., Goldberg, B.B. Theory of Change Models Deepen Online Learning Evaluation. 2021 Apr 15; 88:101945. https://doi.org/10.1016/j.evalprogplan.2021.101945
Young, C., Chesniak, O.M., Drane, D., Campa, H., Green, N., Greenler, R., Maher, J.M., McGee, R., Nunez, A., Goldberg, B.B., Hokanson, S.C. (2020) Improving the design of an online course with virtual focus group feedback. F1000Research, 9:1191. DOI: https://doi.org/10.12688/f1000research.26289.1
Hokanson S.C., Gramnan S., Greenler R., Gillian-Daniel, D.L., Campa, H., Goldberg, B.B. (2019) A Study of Synchronous, Online Professional Development Workshops for Graduate Students and Postdocs Reveals the Value of Reflection and Community Building. Innovative Higher Education, 44: 385–398. https://doi.org/10.1007/s10755-019-9470-6
Hokanson, S.C. and Goldberg, B.B. (2018). Proactive postdoc mentoring. In A. J. Jaeger and A. J. Dinin (eds), The Postdoc Landscape: The Invisible Scholars. London, pp. 91–120. https://doi.org/10.1016/B978-0-12-813169-5.00005-7
**Connect with PDPA**
**In Person**
- Charles River Campus:
1 Silber Way, Room 909,
Boston, MA 02215
- Medical Campus:
72 E. Concord Street,
Boston, MA 02118
**Online**
- bu.edu/postdocs
- bu.edu/grad
- postdocacademy.org
- bu.edu/vitaminphd
- inclusivestemteaching.org
**On Social**
- @postdocacademy
- @buvitaminphd
- @inclusivestem1
- @BU_PhDs
Dena Rezaei
Alexandra Bunnell
Sarah Hokanson (she/her)
Lisa Himelman (she/her)
Sasha Goldman (she/her)
|
Contents
Introduction 4
Sponsors 5
Master and Company 7
Judges 9
Shop at Pewter Live 11
The Open Competition 13
Universities 25
Student Competition: Decorative Arts 26
Architecture 34
Fashion 38
Association of British Pewter Craftsmen 49
Past Winners 51
Statement of Design Rights 53
Medals for Excellence
Call for nominations 2009
Do you know someone who deserves to be in the spotlight? You could put them there by nominating them for a Medal for Excellence.
www.cityandguilds.com/m4x
For more than 600 years The Worshipful Company of Pewterers has actively supported and promoted the pewter trade. The trade has changed enormously in that time but we are now in a renaissance for the material and Pewter Live is its showcase. The competition is now in its 25th year and flourishing as an opportunity for new designers to display their work in the City of London.
There are two competitions: the Student and the Open. The Student competition has three categories each with a brief: Decorative Arts, Fashion - the Total Look and Architectural Fixtures and Fittings. Twelve Universities with over 70 students are taking part this year. The Open competition has attracted a huge amount of interest with 63 entering the preliminary round of which 23 have gone forward to the final. The brief for the Open focuses on Innovation and Design. We are looking for something that will give a strong corporate image while at the same time being attractive, innovative and eye catching.
Pewter Live is all about encouraging innovation in design in order to exploit pewter to its fullest potential and to produce ideas which will stretch the boundaries of this marvellous metal. We wanted the entrants to bring pewter ‘alive’; to demonstrate an understanding of its inherent qualities and contemporary appeal to consumers of all ages and tastes.
The Pewter Live Committee works closely with the Association of British Pewter Craftsmen and its members to achieve a high standard that will inspire designers and manufacturers to produce the very best of British pewter.
THE WORSHIPFUL COMPANY OF PEWTERERS WOULD LIKE TO THANK
Cadman Fine Wines - www.cadmanfinewines.co.uk
CF Day Ltd. - Property Management Consultants
City and Guilds - www.cityandguilds.com
Conran & Partners - www.conranandpartners.com
Esmee Fairbairn - www.esmeefairbairn.org.uk
Giftware Association - www.ga-uk.org
Hopeman Associates
NAG - the National Association of Goldsmiths - www.jewellers-online.org
Neish Trust
Procom Audio Visual Suppliers - www.procom.uk.com
Rathbones - www.rathbones.com
Richmond Creative Event Catering - www.richmondcaterers.com
Speechly Bircham - www.speechlys.com
Splash Printing - www.splashprinting.co.uk
Teamwork European Services - www.teamworkexhibitions.co.uk
The Worshipful Company of Loriners - www.loriner.co.uk
Wildshaw Ltd.
Passionate about fine wine.
CADMAN
FINE WINES
www.cadmanfinewines.co.uk
To order:
Telephone 0845 121 4011 Fax 0845 121 4014
www.cadmanfinewines.co.uk email: firstname.lastname@example.org
SPOT THE DIFFERENCE
How can you spot a jeweller you can trust? N.A.G. jewellers are...
QUALIFIED PROFESSIONAL
INFORMED EDUCATED REPUTABLE FAIR
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...Look out for the N.A.G. Grant of Arms
Welcome to Pewter Live, The Worshipful Company of Pewterers annual design competition and exhibition.
What started, 25 years ago, as a student design competition has now blossomed into the nation’s premier showcase for modern pewter design, attracting not only students, but established designers too.
The Pewterers’ Company has been involved with pewter since the Middle Ages. Members of our craft produced the fine pewterware that graced Royal tables at Hampton Court and domestic items of every description. Later, they produced a fascinating range of decorative items in every style - from Art Deco to the latest contemporary design.
Pewter is a most versatile metal, which combines both warmth and lustre. It is the ideal material for sophisticated presents of quality.
We are delighted that you can join us as we celebrate the enduring beauty of pewter and the best of modern design.
Christopher Arden Peacock FRICS
Master of The Worshipful Company of Pewterers
Company
The Pewterers’ Company is an ancient and continually evolving foundation with medieval origins as a City Guild. The earliest documented reference to it is in the records of the Corporation dated 1348 and the Company’s own records are extant from 1451. The first charter was granted by King Edward IV in 1473. It is number sixteen in the order of civic precedence among over a hundred livery companies.
The history of the Company reflects that of the use of pewter. The first reference to ‘the makers of vessels of pewter’ is dated 1348 when they asked the Mayor and Corporation for approval of articles drawn up for trade governance. It was much later that Edward IV granted the first charter in 1473/4. This gave the Company the right to be self-governing, to hold goods and property in perpetuity and to govern the trade throughout the kingdom. This last is unlike the powers granted to the majority of other companies whose jurisdiction was limited to the City and its environs. Arms were granted to the Company at the same time.
Groups of tradesmen naturally congregate to discuss matters of mutual interest. Since in feudal times any gathering was considered suspect by the authorities, companies usually had a religious affiliation. Ours was to the Virgin Mary, and her symbol, a lilypot, appeared in our original arms. This was changed in 1533, during the Reformation, when the one in present use was granted.
The Company was concerned with trade matters, costs, prices, raw materials, quality of pewterware and training of apprentices, as well as relief to the poor within the trade, funeral expenses, general charity and civic duties. The Company continues to support the trade, charities and the City as well as meeting together in Pewterers’ Hall.
The first Hall, completed in 1496, was destroyed in the Great Fire. The second Hall, on the same site in Lime Street, was demolished in 1932, although from the mid 19th century the premises were let to a firm of hatters. We do however still own the site. The present Hall was opened, on a new site, in 1961.
Last years Lord Mayor of London, Alderman David Lewis with Company member Richard Mullens looking at a piece just made in the Pewtersmithing Marquee 2008.
The Pewterers’ Company is delighted to Welcome Jane Rapley OBE as the VIP guest and Presenter of Prizes for Pewter Live 2009.
JANE RAPLEY OBE. MA RCA FRSA ACSD has been a senior academic at the Central School of Art & Design and subsequently Central Saint Martins College of Art & Design (CSM) since 1987, leading the School of Fashion & Textile Design (including jewellery) as its Dean for seventeen years. She took over as Head of the whole College in January 2006. She is now leading the relocation of the College from its several sites in central London to a unified £160m campus which will provide ‘state of the art’ accommodation for teaching and research and will form the centrepiece of the King’s Cross Regeneration Project.
She was awarded an OBE for services to Higher Education in 2001.
SEBASTIAN CONRAN was born in London in 1956. After gaining Maths, Physics & Chemistry ‘A’ levels at school, he studied Industrial Design Engineering at the Central College of Art & Design where he was treasurer of the Student Union and student representative on the Governing Council and gave the Sex Pistols their first-ever booking. Subsequently he worked with the Clash, designing record sleeves, promotional material, posters, T shirts and other clothing. Sebastian started his own design business in 1986, ‘Sebastian Conran Associates’ (SCA), a product and brand development consultancy that worked with a variety of international businesses to develop healthcare and consumer goods, industrial design, and luxury goods. In 1992 Sebastian started a separate partnership with designer Tom Dixon. In 1999 SCA studio merged with the Conran Group to form Conran & Partners. Sebastian has written several books, articles and papers on design; he was a founding contributor to Blueprint magazine; he has taught furniture design at the Royal College of Art and lectures frequently as well as judging (and sponsoring) many international design awards such as D&AD, Design Week, Red Dot, and the RSA. An active member of several bodies, he is, amongst others, an Honorary Fellow of the Royal College of Art and Fellow of The Royal Society of Arts.
ANNABEL FREYBERG As a child Annabel Freyberg trailed after her mother round countless antique shops and art galleries, and has since found the habit hard to break. She continued to enjoy looking at things while an art student at Kingston Polytechnic and trained her eye further under Min Hogg at The World of Interiors in the early 1990s. At the Independent, she was deputy Obituaries editor (1995-99), and set up and co-edited the paper’s weekly design pages in her last year there as well as writing a book, Living with Ceramics (Laurence King/Rizzoli). An exciting stint as Arts Editor at the Evening Standard during the museum building boom of the Millennium was followed by another at The World of Interiors, this time under the editorship of Rupert Thomas, before becoming Homes Editor at the Telegraph Magazine until last December. All these posts required seeking out the best new designers, a task which Annabel has found enormously enjoyable and rewarding.
GEORGINA GODLEY began her career as a designer and developed into becoming a creative director for international fashion and life-style brands. Having trained as a fine artist at Chelsea School of Art, she was recruited into fashion, and launched two successful labels, CROLLA 1981, and GEORGINA GODLEY 1986. In 1999 she focused on homewares, when she was appointed Style Director and Head of Home Accessories with Tom Dixon at Habitat. In 2004 she was appointed Creative Director at Wedgwood, where she developed their product ranges of ceramics, glass, crystal, metal-ware, jewellery and textiles. She opened new stores and re-positioned the perspective of the brand. Georgina’s reputation rests on her innovative use of materials and unerring forecasting of trends in all areas of fashion, dress, product-design and interiors. She now works in a recently established Creative Consultancy of unique power in the world of international fashion and life-style.
KERRY NICHOLLS joined John Lewis in 1994. Before moving to the buying office she spent eight years on the selling side and managed departments in various product areas including Silverware. Kerry has been buying silverware, cutlery, frames and clocks for five years, working with a wide supply base using diverse materials across a range of product types. Within the silverware area she finds it exciting working with suppliers to develop traditionally handcrafted products using materials like sterling silver and pewter that reflect current design trends.
ED GLOVER with his wife Judy started their pewter company Glover and Smith in 1994. Their award winning designs are manufactured in-house and consist of tableware, jewellery, cupboard handles, giftware and home accessories. Ed also designs for museums and heritage sites. Recent commissions include Highgrove and Glastonbury Abbey.
LAUREN SIZELAND is Head of Business Development and Licensing at the Victoria & Albert Museum. Lauren has 15 years experience as a senior brand developer within the established arts and museum sector. In 1988 she was involved in the pioneering development of retailing at the Royal Academy of Arts and was later recruited to develop ‘Art Room’ - a new concept for retail and mail order. Lauren has also worked as a consultant for the New Millennium Experience Company, BBC Worldwide, British Museum, National Portrait Gallery, RSC and Harrods. She became Head of Retail & Brand Development for NMSI; managing the commercial functions at three UK national museums, achieving marked success with the Science Museum which now has its brand in more than 300 high street stores. As Head of Business Development & Licensing at the Victoria and Albert Museum since 2005, Lauren is responsible for directing the V&A’s international licensing programme. The museum holds an extensive collection of pewter, which is especially rich in European pieces. The licensing programme also has long-term partnerships with pewter manufacturers across the globe.
There will be an impressive range of contemporary pewter for sale at Pewter Live 2009. Here is a preview of some of the items which will be on sale.
Fleur Grenier
email@example.com
www.fleurgrenier.co.uk
Partners in Pewter
www.partnersinpewter.co.uk
Roma Vincent
firstname.lastname@example.org
www.romavincent.co.uk
DEMONSTRATIONS
There will be demonstrations taking place in the marquee. You will have the chance to see Freeman College, www.rmet.co.uk, demonstrating Spinning, Turning and Casting.
Adrian Doble and Fleur Grenier will also be giving demonstrations of pewtersmithing.
Public Opening times 10.30 - 16.30
Wednesday 10 June www.pewterers.org
The brief for 2009 was to design an item for a restaurant table or a bar. Something that will give a strong corporate image whilst at the same time being attractive, innovative and eye catching. It can be anything from the light fittings for a cocktail bar, logo napkin rings for a new restaurant or even an item which could be presented as a corporate award.
With silver items there is the automatic added value of the perception of the material. The costs of the manufacture of the piece, even if made by hand, are negligible when accounted for in the overall price. In past Pewter Live Competitions the items produced have often been one off designs but in order to overcome the ‘perceived value’ we want to encourage designers to produce an item for the corporate market with the view of it going into production. The possibilities are endless and by exploiting economies of scale, pewter can be as popular and accessible as the chromed items we currently see adorning the corporate market. Get your inspiration from the Art Deco era, minimalist, Bauhaus and give your design the added value that will make it desirable. All entrants have aimed to keep the retail price of the piece under £150.
Pewter is an amazing material which now sits at the cross road between precious and base metal. We have asked entrants to use this boundary to their advantage; the ideal market is that of high end corporate, hotels, restaurants etc.
PRIZES: First £2,000 Second £1,000 Third £500
Emma-Kate Francis
email@example.com
ZEP VASES
The innovative design of the Zeppelin formed the initial concept. The iconic form is alluring and can lend itself to a variety of interior products from lighting to tableware. I concentrated on vases as these could be used both in the home, or in a restaurant to add striking detail.
Ella McIntosh
firstname.lastname@example.org
SAUCE POT
‘Sauce Pot’ is designed to be an accompaniment to the dining experience and sits on the plate as an elegant way of presenting condiments with a dish. The design is sleek and simple which helps in a busy restaurant environment and lends itself to the process of casting for manufacture.
Charis Jones
email@example.com
NAPKIN RINGS
Inspired by the spiral shape of an ammonite fossil, these napkin rings provide an elegant addition to any table, whether at home or in a stylish restaurant. Designs are stamped into the surface of the metal, allowing corporate logos or personal designs to be easily produced.
Michelle Mason
firstname.lastname@example.org
www.michellemason.co.uk
PEONY BEAKERS
The inspiration behind the Peony pewter beakers was to design an elegant drinking vessel in a material other than glass - to add a talking point. Summer flowers inspired the engraving and a second design features the peony seeds. The beakers can also be used decoratively, to hold flowers.
TABLE MATS AND WINE LIST COVER
This set of bespoke products, designed for a seafood restaurant, includes a Placemat and Coaster, Menu and Wine List covers. Pieces are constructed from reclaimed Brazilian Mahogany and delicately inlaid with Pewter patterns. This design echoes the movement of flowing water and when taken as a theme, strengthens corporate image.
Laura Carnell
email@example.com
www.rara-design.co.uk
PLACEMAT AND NAPKIN RING INSPIRED BY THE LOGO OF THE NATIONAL TRUST
Placemat and napkin ring inspired by the logo of the National Trust. It is American Walnut inlaid with pewter. The oak twig with its distinctive leaves and acorn, symbolizes the preservation of our natural and man made inheritance and the strength of a people to maintain these for the present and future.
PLACEMAT AND NAPKIN RING FOR THE SOCIETY OF DESIGNER CRAFTSMEN
Placemat and napkin ring for the Society of Designer Craftsmen, Britain’s oldest and largest multi-craft society, founded in 1887 by William Morris and Walter Crane. Made of pewter inlaid into American Walnut, they each incorporate the SDC’s logo and are inspired by the excellence of craftsmanship which the Society represents.
Both pieces designed by Shelby Fitzpatrick manufactured by Laura Carnell: RaRa Design
Jim Stringer & Steve Anderson
firstname.lastname@example.org
www.chimoholdings.co.uk
MAKING WAVES
“Making Waves” is a contemporary and versatile range of pewter table accessories based on the shape of a wave that combines the ability to grace any table, be it in a restaurant or at home, with the possibility to be personalised with a (hotel) name or Company logo for special events.
Jim Stringer and Steve Anderson work for Chimo Holdings
RESPONDER - Promotional object for counter
Pewter mounted on brown oak with branded logo. Gently bowled form, hammer textured and polished. Curved front edge punctured with holes to show intermittent lights, is brush finished. When coins are tossed onto the dish or music is playing, coloured lights flash in response.
SORBET DISH AND SPOON SET
The skylines of Manhattan inspire this sorbet dish and spoon set. The simplicity of the dish means that it sits well in any contemporary setting and adds a memorable element to any dining experience.
Trish Woods
email@example.com
“SPECTRUM” NAPKIN RINGS
Napkin rings manufactured in coloured pewter reflecting nature’s hues of dusk and dawn. Cut, embossed and easily formed, they are simple to manufacture, utilising a unique one step colouring process. Client logos etc. could be engraved onto polished areas of the bands if required.
BLOSSOM CENTREPIECE AND CARDHOLDERS
Designed for hotels and special functions, the pewter and beads reflect the flame creating a dramatic effect in the middle of the table and the card holders link each place setting to the centrepiece. For a more corporate image the centrepiece could be soldered onto a pewter base or adhered to a slate or wood one that could be engraved/ carved with the hotel name or logo.
‘KEY-HOLE’ CADDY SPOON
The simplicity of the design makes reference to the historic status of Pewter, when established cast ‘measures’ were sanctioned for liquid and dry commodities. The Caddy Spoon is designed to carry a set measure of dry infusions, perhaps rare teas. The ‘Key-Hole’ profile echoed by the pierced motif in the handle introduces a formality, whilst referencing the more intimate tradition of the ‘Love Spoon’, adding focus and particularity to any restaurant table setting for two.
MACKINTOSH LADLE
A stylised hybrid of spoon and ladle in which the stretched parallel lines of the handle carry a detail at the ‘fulcrum’, instilling a reference to Pewterers’ Casting Tongs. Initially style seems paramount and reminiscent of Early Modernism which lends a formal elegance to the encircled bowl and stem. However, the design retains its functional pragmatism.
UNCTUOUS LADLE
‘Ladle’ and ‘to ladle’ give this utensil a particular significance because its function is implicit in its name. To highlight form, function and the soft reflective qualities of Pewter, a suggested flow of viscous liquid is cast into the shallow bowl of the ladle. The raised meniscus disturbs the reflective symmetry of the bowl and introduces a natural pouring position at the rim, exemplifying the unctuous qualities of Pewter and its potential within Ceremonial functions.
‘LAMB & LION’ CHARGER
The ‘Lamb & Lion’ Charger acknowledges the tactile and narrative tradition of cast pewter and ‘Wrigglework’ as an artisan expression of contemporaneous concerns, dialogue and style. The Lions hold a formal heraldic and hierarchic status encircling the dominant image of the skittish Lamb. These contrasting agencies carry actual and metaphoric readings which traverse history, and would now sit comfortably as a corporate award or colloquial contemporary reference within the Inn, Bar and Hotel sector.
“BIG DOUGAL” WINE COOLER AND “SMALL DOUGAL” NAPKIN RINGS
Both designs were inspired by the Pewter Live 2009 brief and in an abstract way by the character Dougal from my young daughter’s Magic Roundabout story book. Small and Big Dougal are made from a combination of highly polished spinnings which are simply soldered together. They are both surprisingly strong and lightweight in design.
SUCCESS STARTS WITH A WISH
This cast pewter piece is intended for use as a corporate award or for personal presentation and has flat areas suitable for engraving. The interlocking wishbone motif could be symbolic of success involving the achievements of personal or corporate “wishes” or “goals”. The piece could be personalised.
CORPORATE TABLE COASTERS
My design is about demonstrating pewter in its most simple form, allowing the user to handle and visually understand its qualities.
The coaster can be sold on an individual basis or with the use of the modular carrier which clearly makes it both flexible and affordable.
GEO LIGHT SCONCE
A sculptural light sconce with a cuboid crystalline surface pattern. The jagged edges with their irregular gaps and chinks allow the light to radiate in a disruptive and uneven pattern highlighting its atmospheric ambience. Coloured lighting can be used to enhance the mood.
Chris Eckersley
firstname.lastname@example.org
SALT & PEPPER
The idea for the shape of this pepper mill came from thinking about ease of holding, gripping, and turning.
The salt pot is simply a salt shaker, and the same casting can be used for both mill and shaker, with the addition of a top ‘turn’ for the mill. Cast in pewter and then highly polished (which would take the sharpness off the edges), these products would have a good feeling of weight and solidity, and therefore are aimed at the quality end of the restaurant market.
Designed by Chris Eckersley, made by Wentworth Pewter.
STENCIL TABLE NUMBERS
The idea for these came from a set of workman’s stencils I found in a hardware shop in France. However I modified the typeface to ‘Baskerville’ (which was designed here in Birmingham in the 1750s).
Expensive restaurants do not publicly number their tables, so this product is really aimed at up-market pub-restaurants, who might be looking for something more distinctive.
Pewter Live could not be run without the colleges and universities which take part. Once again, our thanks go to the tutors and students for their support and the tremendous effort and enthusiasm which goes into the competition.
Buckinghamshire Chilterns University College
www.bcuc.ac.uk Tutor: Andreas Fabian
Hastings College of Arts & Technology
www.hastings.ac.uk Tutor: Ashley Heminway
Hereford College of Art and Design
www.hereford-art-col.ac.uk Tutors: Clive Hickinbottom and Anna Falcini
Faculty of Art & Design - Manchester Metropolitan University
www.mmu.ac.uk Tutor: David Grimshaw
South Devon College
www.southdevon.ac.uk Tutor: Trish Woods
Staffordshire University
www.staffs.ac.uk Tutor: John Grayson
Truro College
www.trurocollege.ac.uk Tutors: Rose Karena and Martin Page
University College for the Creative Arts at Farnham
www.ucreative.ac.uk Tutors: Rebecca Skeels and Linda Peterson
University College for the Creative Arts at Rochester
www.ucreative.ac.uk Tutor: Brian Hill
University College Falmouth
www.falmouth.ac.uk Tutor: Jason Cleverly
London Metropolitan University
www.londonmet.ac.uk Tutor: Beaulagh Chapman-Brooks
Within the category of Decorative Arts, Students are asked to design a pewter item for the gift market. The design can be either functional, fun or merely decorative with a price range of £5 to £60 pounds.
The judges are seeking not just originality and beauty but also innovation. We have encouraged the students to find out what people need/want at the moment. We want them to think about lifestyle trends. More and more people are entertaining at home; they are looking for such items as: a wine chiller, a table centre piece or a modern take on the traditional vase.
We wanted the students to consider the visual benefits derived from the integration and use of colour to complement and enhance the pewter, using additional materials as appropriate - but we asked that the final item must be made predominantly of pewter.
PRIZES: First £500 Second £350 Third £150
Elzbieta Banach - email@example.com
Buckinghamshire Chilterns University College
BA(Hons) Silversmithing, Metalwork & Jewellery
DRINKING GLASS (PEWTER & GLASS)
The design is inspired by looking at liquids and how they flow and react in different consistencies. The matt pewter surface and the polished edge comprise a quiet, elegant and balanced contrast. The beaker is meant to be used for cold drinks.
Lisa Bate - firstname.lastname@example.org
University College Falmouth
Contemporary Crafts BA(hons)
BIONIC BEING
Investment cast pewter from free hand moulding wax, sandblasted glass, LED’s.
This species is feeding off of our energy supply. They are evolving to survive in a world that is constantly changing and developing new technologies. Where they originally come from is yet to be discovered.
Lucy Spencer - email@example.com
Buckinghamshire Chilterns University College
BA(Hons) Silversmithing, Metalwork & Jewellery
WINE ON TAP
“Wine on Tap” is a corkscrew and bottle stopper set based on traditional bathroom/kitchen taps. Where traditionally the taps would say “hot” or “cold”, this space has been left blank for personalisation.
Alexandra Tosto - firstname.lastname@example.org
London Metropolitan University
FDA d Design Silversmithing, Jewellery and Allied Crafts. 2nd year
DESKTIDIER
The Desktidier is a sculptural object in pewter to decorate and tidy up the desk. The design is reminiscent of structural forms and their growth process and it is intended to generate a smile, a thought process and a playful mood. It can be introduced to the market as a bespoke present and could be personalised for corporate gifts.
‘LAND FORMATIONS’ (WALL PIECE)
It is my surrounding environment, the landscape of South East England, which influences ‘Land Formations’. This wall piece is shaped by my experience of the fascinating and wildly varied geology found in this part of the world. Undertaking creative research of rock formations and fossils has further enhanced my understanding of the importance of conserving and respecting the natural world in which we live, and its seemingly infinite history.
‘SPRINGTIME’
This is a marriage of porcelain and pewter, which is inspired by the fragility of the bud like flowers that emerge in Spring. This annual miracle of nature when the earth gives way to the flowers is represented by the seeming fragility of the delicate porcelain held within the pewter stems.
FIVE PILL BOXES
These contemporary pill boxes are primarily decorative but also functional and are inspired by lavish Italian bicycle components I encountered whilst working in the bicycle industry. The reflective qualities of pewter and its natural character is integral to these pill boxes as high quality items, ideal as a gift for a special occasion.
LOVE POEM BOOK
I have illustrated a love poem written by myself and made it in the form of a pewter and copper book.
The pages are illustrated by pressing sheet metal and hand cut lino in a hydraulic press and also a printing press. The words are typed and stamped and I have used patination to bring the work to life.
WOVEN VASE
A cylindrical vase standing just under 30 centimetres high uses weaving to give a decorative statement celebrating the properties of the material. The piece can be manufactured through simple fabrication processes (spinning, soldering, buffing) and also has potential for slush casting which would reduce the production costs.
STUDENT COMPETITION
Kay Wilks- email@example.com
Hastings College of Arts & Technology
FDA Contemporary Crafts Practice
LUCKY PEBBLE
To hold or display, will fit snugly into the palm of your hand. One side has the smoothness of a pebble picked from the beach, the other reflects the contours of the hand. They have the comforting feel of a pebble, and a walk by the sea, with the added interest of texture from a partial palm print.
Ikko Katayama- firstname.lastname@example.org
Hastings College of Arts & Technology
FDA Contemporary Crafts Practice
LIGHT AND HOPE
Flexibility is one of pewter’s charming characters and it works and interacts very well with many other materials. I love this aspect of it and appreciate the character and beauty the pewter brings to my glasswork. It adds a new dimension to my sculpture and I believe it conveys a piece of light and hope.
Michaela Wetton-
email@example.com
South Devon College
FDA Integrated Crafts
DECORATIVE GLASS PODS
My inspiration for these glass pods came from the form and colour of flowers. The pewter was sheet formed to create these three pods that hold the glass petals. Through the process of slumping and fusing, the glass adds vibrant colour and texture to these table centre pieces.
PEWTER SOUNDS
Fun, functional and highly decorative computer speakers that make innovative use of pewter. Ideal for the designer home, modern workspace and business environment, the combination of pewter and perspex creates an attractive and original product for the commercial market.
Computers are essential in every day life and my design offers a fresh and positive contribution to one’s personal environment.
Andrew Bird - firstname.lastname@example.org
University College for Creative Arts at Rochester
BA Goldsmithing, Silversmithing and Jewellery
ARCHIVASE
Inspired by architecture I have taken the simple form of a brick to create a minimalist table piece. The porcelain vases rotate to lock into position. The versatile design could be scaled up or down from a table piece to a public seating area with fountains and planters. This piece lends itself to various finishing methods like etching stamping, high polishing, satinising, etc.
Claire Tyzack-Stack -
email@example.com
London Metropolitan University
FDA Siversmithing Jewellery & Allied Crafts
MOMENTS OF CHANGE
I have developed a group of vessels using pewter and porcelain to explore my ideas about “Moments of Change” and the impact that they have on individuals within families. Inspiration comes from the coastal divisions where the sea leaves impressions on the sand, changing the surface in subtle and sometimes dramatic ways.
‘TWO SILHOUETTED VASES’ IN ONE
My design is based on the silhouette of two traditional vases but combining them into one. I wanted to make a vase that holds both small wild flowers such as Poppies and Bluebells, and some larger flowers as well. The water receptacle is a tall, heavy based shot glass, which is in full view as the two silhouetted vases take on their shape around it. I wanted to combine traditional with modern and minimalistic.
SET OF DRAUGHTS
Pieces of circuit board set in pewter; a draughts set made with circuit board and pewter playing pieces. 12 of the pieces with round circuit disks embedded into the pewter and 12 pieces in solid pewter, with the pattern etched on the top. The board is made with two tones of wood in the checkerboard pattern.
LITTLE SQUARES TABLE MAT
Discarded pewter tankards were melted down and cast into little squares forming beautiful colours. These little squares are trapped between layers of chiffon and organza to form a heavy, subtly coloured mat with a stitched decorative edge detail.
FRAMED PICTURE OF PEWTER SQUARES
It seems sad when commemorative pewter tankards are thrown away. Here they are given a new beauty by being melted down and cast together with other discarded fragments such as wine bottle foils, sea-weathered glass and wire. Each little square holds its own unique history and together they create a story.
Pewter offers students tremendous potential to design contemporary interior fixtures and fittings, from handles and hooks, shelves and brackets, to light fittings, lamp bases, and bathroom accessories. Today’s homes adopt a variety of looks - minimalist urban-loft living, country-style cosiness, revivalist or traditional and most successful businesses have a corporate look which inspires confidence through its professionalism. Pewter fixtures and fittings can enhance them all.
We have asked the students to design a one-off item or a range of pieces which show originality and take into account today’s trends in interior design. They must consider the possibility and practicality of large-scale production. This category offers students the chance to use pewter as a component within a larger design.
PRIZES: First £500 Second £350 Third £150
CAST PEWTER TAP
which neatly folds away into a rectangular block when not in use
Cast pewter tap, which neatly folds away into a rectangular block when not in use: Prototype cast pewter tap, which has been designed to be safe, stylish and compact. It works by pulling the top half of the block around. The temperature of the water will be shown by blue and red l.e.d bulbs.
OCTOBER
I have taken my inspiration from recording journeys to recreate the views and different aspects of a walk by capturing the elements and memories in a permanent record. Characteristics which particularly interest me include exploring the combination of realistic images, subtle textures and abstract graphic patterns influenced by the surrounding environment.
PEWTER CURTAIN POLE FINIALS
This design demonstrates innovative and exciting use of pewter as a decorative and bespoke interior fixture. My inspiration has come from the beautiful patterns and textures created by the Surma and Mursi tribes in Ethiopia. The pewter finial captures the fluid organic essence of their decoration and this aesthetic in my proposal is versatile to enhance any domestic setting.
Molly firstname.lastname@example.org
University College for Creative Arts at Farnham
3DD Metalwork and Jewellery
PIPE HOOKS
An idea influenced by the similarities between networks of trees and pipes. They could stand alone, as a quirky feature, or be seen as an impressive forest of hooks. The holes are a statement about yourself or could contain trinkets, or be a practical solution for those who frequently loose keys.
Joanne email@example.com
South Devon College
FDA Integrated Crafts
‘I SPY WITH MY LITTLE EYE’ - Pewter Letters
These letters can be attached to stakes and inserted anywhere in the garden. They can also be hung to tease the viewer into looking for words hidden around a tree trunk or high up in the branches. Internally they can be an amusing addition, i.e. attached to beams in a vaulted ceiling.
Karen firstname.lastname@example.org
London Metropolitan University
FDA Silversmithing, Jewellery & Allied Crafts
SCARY CROW GARDEN BOUNCERS
Scary Crow Garden Bouncers will add a sculptural element to the garden and scare the little birds away from the vegetable patch as they catch the wind, their highly polished forms reflecting the sunlight. They can be individually fixed onto steel rods or attached to a varnished wooden pole in a ‘family group’, adding architectural interest and movement to any garden, traditional or contemporary.
APPARITION MIRROR
Inspired by the sweeping archways and curves of gothic architecture, the Apparition mirror serves as an exciting and alternative decorative installation for any home or contemporary setting.
The unique finish creates a new approach and use for pewter, providing a strong visual impact, and the interchangeable enamel disc offers additional enhancement.
TRANSFORMATION
This striking and functional table fits comfortably in a contemporary home or business environment. Inspired by the Worshipful Company of Pewterers coat of arms and traditional furniture, pewter is placed in a position of prominence and decoratively enhances the table. The pewter is highlighted by the harmonious contrast of curving wood and the line of reflective glass.
Today’s high street is awash with jewellery and accessories, few of which are made of pewter. Students are challenged to come up with designs which could promote pewter either as an accessory or part of the total look. Taking this into account, we asked them to design a piece, or range of jewellery which would appeal to young people to compliment today’s free-form fashion. Students were encouraged to keep the commercial price relative to the intended buyer.
**PRIZES:** First £500 Second £350 Third £150
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**TWO MILITARY THEMED BADGES**
Two badges based on old military medals made from pewter, copper and ribbon. Using simple iconography and a rugged working style I gave the badges the appearance of worn, antique military honours to be worn in a contemporary setting.
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**BOHEMIAN FLUTTER BROOCHES**
I found myself inspired by the ‘freedom of Bohemia’ after researching and finding it is to be the theme for Fashion this year, 2009. The quirky frames are lost wax cast and are complimented by the fluttering butterflies delicately and thinly rolled from pewter with contrasting vintage lace pattern.
ASYMMETRIC PEWTER PENDANT CHAIN WITH PEWTER GEMSTONES
I was inspired by the summer catwalk trends for Victorian lacework and asymmetry. The cast pewter gemstones make the piece appear more valuable and reflect the light beautifully when worn. My necklace is 100% pewter and shows the versatility of the metal.
REFLECTIVE NECKLACE AND EARRINGS
Using a steel stamp to create these duplicated petal shapes I experimented with how wire could be integrated with pewter. The petal shapes have been soldered into pairs and attached together using silver links that make up a necklace and earring set that glistens as it catches the light.
Alice McLean-
email@example.com
University College Falmouth
BA(hons) Contemporary Crafts
‘RAINY, CHANGE, FAIR’
Brooch, made from wood, pewter and silver.
Everyday we embark on journeys; from the mundane to the extraordinary. This brooch has been inspired by a collaboration of journeys, physical, meteorological and temporal, to create a piece which is at once both traditional in composition but contemporary in design.
Elizabeth Oneal-
firstname.lastname@example.org
London Metropolitan University
FDA Silversmithing, Jewellery & Allied Crafts
HOODWINDED
‘Hoodwinked’ is a dual function fashion accessory and jewellery design piece. This glamorous chunky neck piece is constructed from pewter, using pressing and hammering techniques. It will contain a hidden internal pocket which will hold a concealed light and a sheer and woven silky hood. Targeted market sector is aimed at high street fashion stores with a wide age range of consumers who enjoy dressing up for parties and club life. Inspiration came from looking at city lifestyle especially hip hop fashion and element that represent and transcend many cultures.
Drinking culture has changed. Alcohol is no longer valued as a precious commodity to be treasured, decanted and ornamented. Instead, it is enjoyed instantly. I have adapted the traditional bottle tag making it wearable, decorating the person rather than the disused decanter, reusing a traditional product to produce something contemporary.
BRACELET OF CIRCLES
The circles were punched from rolled sheet pewter and each given an individual repoussé pattern. The circles were then stitched together using a fine nylon filament thread to form an armband style bracelet.
PEWTER BROOCH AND HAIR SLIDE
This jewellery set is a combination of pewter and glass beads. Inspiration is based on pea pods in different stages of their life. Using intensive green colours contrasting with the shiny, cold colour of pewter to echo the freshness of the subject matter. Designed for special occasions and everyday wear.
KNOT OF ISIS SHAWL RING
The thot knot was used as a symbol for the Egyptian goddess Isis and was also a type of knot used to tie the front of garments in the classical era. The fine detail of this piece was achieved by creating a mould from twisted pewter and fabric shape.
STATEMENT NECKLACE:
Oversized links filled with resin attached to silk cord. T bar clasp (pewter).
I have created a statement necklace that creates the outfit, instead of just being an accessory to clothing. Made from oversized pewter links filled with bright red resin, which gives a flash of colour. The pewter is highly textured and polished, which gives a reflective faceted appearance.
Belt with Coral Shaped Buckle
Leather belt that fits around the waist. The buckle is cast in pewter, the design taken directly from the centre of sea coral.
Corsage in two halves with matching belt
These coral inspired shapes link together to create a set of two brooches, to be worn singularly or as a pair. There is also a leather hip belt with the same pewter shape to match the brooch.
ACORN CUP NECKLACE
This necklace is suitable for male or female wear. Each acorn cup is individually cast, ensuring that every one is unique. The lime green nylon thread provides a contemporary contrast to the pewter colour.
RETIPLICATED BANGLE
This is a fun piece, its inspiration derived from a not so fun personal experience and a fascination with the reticulation of pewter when heated. The bracelet shape was taken from the study of alveoli. The tiny floating pewter pieces relate directly to blood clots travelling around the lungs.
PEWTER AND SHATTERED WINDSCREEN GLASS NECKPIECE
My interest lies in the transformation of discarded materials. I have recycled pewter tankards and shattered windscreen glass into jewels to form a pendant supported by silver wire. Exploiting traditional ideas of the hierarchy and preciousness of materials and in turn providing a delicious twist in the narrative of the piece.
Rachael Spragg-
email@example.com
Staffordshire University
BA(Hons) 3D Design: Crafts
“SPINE BACK PIECE” Body Adornment
This piece of body adornment is based on the human spine. I wanted to bring the inside out, so the necklace should be worn down the back where the spine is. It is made of formed sheet pewter and riveted together with aluminium rivets.
Vanessa Fielder-
firstname.lastname@example.org
Truro College
FDA Silversmithing & Jewellery
PRESS FORMED NECKLACE 1
This item was inspired by the shape of part of a heart. The texture is made by using copper wire through the rolling mill. The necklace is made up of hearts chasing hearts. The centre represents a broken heart. The techniques used are press forming and soldering.
Vanessa Fielder-
email@example.com
Truro College
FDA Silversmithing & Jewellery
PRESS FORMED NECKLACE 2
The pewter necklace was inspired by pebbles on the beach, made in three difference sizes. The texture used was lace, coarse sand and paper to give each pewter pebble its own unique texture. I chose press forming as my technique as it was a less time consuming process. Pewter is fantastic to solder and a lovely metal to work with.
Juliette Cheek- firstname.lastname@example.org
University College for Creative Arts at Rochester
BA Goldsmithing, Silversmithing and Jewellery
**ITTA JEWELLERY:**
Pewter bead necklace.
A design for pewter beads derived from inspiration taken from tribal Nepalese jewellery and the rock chic trend, that creates a vibrant combination for a high fashion look. The beads can be used with alternative materials to achieve a multitude of colour schemes as a necklace, bracelet or armband making this versatile jewellery both ethnic and edgy.
Kaley email@example.com
Staffordshire University
BA(Hons) 3D Design: Crafts
**DAISY CHAIN:**
A contemporary necklace design
I have designed a necklace with a modern and unique twist, inspired loosely by the development and growth of a flower. The growing stages of the flower are represented in the enlarging, unconventional twisted and contorted links of the necklace that flow to reveal the open flower in the centre.
Samantha firstname.lastname@example.org
South Devon College
FDA Integrated Crafts
**ART NOUVEAU INSPIRED BUTTONS**
I have drawn my inspiration for my entire second year from the Art Nouveau movement. I wanted to capture an individual arts and crafts feel to my work and these simple yet effective buttons finish off a garment perfectly. The original design was carved into a cuttle fish, from which a cast was taken before being turned into a mould.
FASHION CONSCIOUS
CONTEMPORARY WRISTWEAR
A collection of attractive unisex bracelets that exploit and promote the use of pewter and modern materials. All designs feature an ingenious combination of striking pewter units that are suspended and protected by the vibrant use and effect of perspex. My design has been developed for the production and commercial market, offering endless varieties of pewter patterns and combinations for the fashion conscious younger generation.
VINTAGE INSPIRED CONTEMPORARY
KEEPSAKES X3
The designs for my jewellery have developed from my collection of vintage tins. My intention was to create pieces that could contain something important to the wearer. I have added decoration and detail by using the lettering from the tins etched into the pewter.
TURNING HEADS
From my interest in seeds and their patterns of dispersal, I have developed a collection of fascinators and corsages. The pieces encompass both functional and sculptural qualities and are intended as either personal adornment or as mementos which celebrate significant events.
LILY BANGLES
Formed strips of Perspex decorated with pewter flower forms create a range of bangle shapes. The pewter parts were rolled to create texture and then pierced into the flower shapes. The orange and white colours are taken directly from the images of lilies.
COMMEMORATIVE BROOCH
My contemporary jewellery is inspired by some of the major conflicts within the 20th century, as well as my family’s involvement and loss. This pewter piece is in memory of my great uncle who lost his life during he Second World war aboard HMS Gloucester, along with all the other lives lost during that day.
ULTRA VIOLET SENSITIVE NECKPIECE MADE FROM ACRYLIC AND PEWTER
I wanted to create a striking neckpiece to represent modern youth culture and clubbing styles. I took inspiration from crop circles, to produce a vibrant and rather different form. This piece will glow under ultra violet light allowing the pewter to create an interesting contrast to the Perspex.
BRACELET INSPIRED BY AZTEC ZIGGURATS AND DECO STATEMENT JEWELLERY
Bracelet inspired by Art Deco and statement jewellery. The shape is inspired by the geometric steps of Aztec ziggurats and the rich emerald colours are used to emulate the stone encrusted jewellery of the 1930s. Cast and textured using inlays of resin as a modern representation of stone.
PEWTER AND ENAMELLED COPPER NECKLACE
This piece was inspired by the ‘Photomosaic’ pictures constructed once a spacecraft has completed its approach around a planet, giving a patchwork view of its surface. The texture on this pewter necklace was achieved by gently heating the surface of sheet pewter, then delicately agitating the piece until cool.
PEWTER BANGLES/RING ENCASED WITHIN BIORESIN
Through Jeny’s exploration of Pewter she has discovered a way of producing a variety of colours through oxidisation that creates an organic and natural look to the material. Using this as the base for her ideas she has used Bioresin to encase the various forms she produces and creates an array of unusual and exciting jewellery.
The resurgence in trade can in the main be attributed to the formation in 1970 of the Association of British Pewter Craftsmen (ABPC).
The initiative was taken by a group of manufacturers, the metal suppliers and The Worshipful Company of Pewterers. By promoting high standards, raising awareness of pewter and encouraging innovation and excellence in manufacturing, the ABPC has achieved impressive results and together with the Pewterers’ Company has helped to establish British pewter firmly in both domestic and international markets.
email@example.com www.britishpewter.com
Your Guide to British Pewter
What is Pewter?
Pewter is mainly Tin alloyed with other metals added to allow the material to be worked and formed. The Tin content will vary but is generally higher than 91.5%. Pewter was introduced to Britain by the Romans and has been used to produce objects of great beauty and desirability ever since. Today’s British pewter industry is a dynamic and traditional one combining fine design and ancient skills to produce objects to be treasured and enjoyed.
How do I know its British Pewter?
Only British pewter is allowed to carry the marks illustrated below, these are found stamped into each piece individually or as part of a collection of marks known as the “touchmark”.
The symbols to look out for are:
- The ABPC mark, which stands for the Association of British Pewter Craftsmen whose members must make their objects to quality standards of craftsmanship and alloy composition.
- The Seahorse mark is only allowed for use by ABPC members on their finest wares, the emblem comes from the coat of arms of the Worshipful Company of Pewterers in the City of London who have been permitted to police the industry since receiving a royal charter in 1474.
- The EPU mark of the European Pewter Union, the composition of pewter conforms to BS EN611 parts 1 and 2 and the number in the centre is registered to a particular factory or firm, all UK numbers begin with a 3.
A. E. Williams Ltd - firstname.lastname@example.org
A.R. Wentworth (Sheffield) Ltd - email@example.com
Alchemy Carta Ltd - firstname.lastname@example.org
Ancestors of Dover Ltd - email@example.com
Benchmark Woodworking Ltd - firstname.lastname@example.org
Blyde Edwin & Co. Ltd - pewter@edwinblyde
Cool Blue Ltd - email@example.com
Chimo Holdings - firstname.lastname@example.org
DJH Engineering Ltd - email@example.com
Fleur Grenier - www.fleurgrenier.co.uk
Glover & Smith - firstname.lastname@example.org
Keith Tyssen DesRCA - email@example.com
Harkinson Jewellery Ltd - firstname.lastname@example.org
Lionheart Replicas - email@example.com
Park Metal Construction - firstname.lastname@example.org
Peter Wheeler - email@example.com
Pinder Brothers Ltd - firstname.lastname@example.org
St Justin Cornwall Ltd - email@example.com
Tom Neal Pewter - Tel: 01235 224 226
Welsh Pewter - firstname.lastname@example.org
Zinc Counters Ltd - email@example.com
For more details of members and Associate members of the APBC go to our manufacturers gallery:
www.pewterers.org.uk - manufacturers gallery
Or directly to the ABPCs website:
www.britishpewter.co.uk
Example of pewter jug produced by A E Williams for Hampton Court Palace
www.pewtergiftware.com
Miranda Watkins for A R Wentworth
Gleam pewter tableware collection which won the Eureka Design Award 2008
www.mirandawatkins.com
Above: Ian McIntyre’s Slush Cast Bowls which were presented by Prime Minister Gordon Brown to world leaders at the G20 summit
Left: The Stunning bar made by Benchmark for the Royal Exchange.
www.benchmarkfurniture.com
Pewter Live 2008 - Last year’s winners and highlights
The diversity and range displayed in the pewter that was produced for Pewter Live 2008 was truly inspiring. Over 80 students from 12 different colleges and universities took part in the Student Design Competition with ten designers competing in the Open Design Competition.
From left: Katy Holford, Conleth Moran, Jane Murtagh, VIP Guest Deyan Sudjic, Ema Fox and Chairman of the Judges Sebastian Conran, Front: Bianca Wooler.
Open Competition
FIRST PLACE
Katy Holford - ‘Winter Flowers’
SECOND PLACE
Laura Carnell - ‘Sculptural Timepiece’
THIRD PRIZE
Tim Parsons - ‘Picnic Set’
Commended:
Susan Bradley - ‘Garden Jewellery’ & Sian Jones ‘Away with the Wind’
Student Competition
DECORATIVE ARTS
First Place: Bianca Wooler - ‘Let it Snow’, Snowflake Christmas Tree Decoration
Buckinghamshire Chilterns University College
Second Place: Jenny Bland - Pewter and Walnut Fruit Dish
Manchester Metropolitan University
Third Place: Inga Winson - Spoon Sculpture
Hereford College of Art and Design
Commended: Clare Knox-Bentham - Drip Candlestick
Manchester Metropolitan University
Commended: Lindore McClarty - Pewter Plants
Manchester Metropolitan University
Commended: Emma Mogridge - Balloon Centre Piece
Birmingham City University
Right: First Place: Bianca Wooler - ‘Let it Snow’,
Snowflake Christmas Tree Decoration
ARCHITECTURE
First Place: Conleth Moran, London Metropolitan University - Pewter Poste
Second Place: Rachel Newham, University College Falmouth - Lever Action Pillar Pump
Third Place: James Dougall, Buckinghamshire Chilterns University College - Ghost Table Lamp
Commended: Amieé Craddock, Truro College - Amour Lightshade
Commended: Zoë-Elissa George, Truro College - Decorative Drain Hole
FASHION - JEWELLERY AND ACCESSORIES
First Place: Ema Fox, Truro College - Articulated Bracelet
Second Place: Caroline Linnecar, Staffordshire University - Decorative Pewter Belt
Third Place: Fiona McAlear, Manchester Metropolitan - Neckpiece
Commended: Kimberly May Piggott, University College for Creative Arts Farnham - Suit Pocket Decoration
Commended: Sian Bostwick, University College for Creative Arts Rochester - Necklace and Bracelet
FASHION - THE TOTAL LOOK
First Place: Jane Murtagh, University College for Creative Arts Rochester - A Unisex Waisty
Second Place: Beth Ashton Lewis, South Devon College - BLING - Kerz! Fashionable Spectacles
Third Place: Jayne Turnbull, London Metropolitan University - Over-Underwear
Commended: Kirsty Alman, University College for the Creative Arts at Farnham - ‘Embellish Me’ - Embossed Pewter and Embroidered Smock Top
Statement of Design Rights
The works shown in the exhibition and in this catalogue are required by the Worshipful Company of Pewterers to be original works, but the Company does not make any warranty in this regard.
Unregistered Rights. All the works shown in this catalogue and exhibited at Pewter Live 2009 at Pewterers’ Hall, London EC2V 7DE on 9th June 2009 may be protected automatically by Unregistered Design Right for 10 years in the UK as provided by the Copyright, Designs and Patents Act 1988 and for 3 years in Europe as provided by EC Council Regulation No. 6/2002 on Community Designs, subject to fulfilment of the requirements for qualification for UK Design Right protection and/or EU Unregistered Design protection. Unregistered Design rights protect only against copying by a third party.
Registered Rights. EC Council Regulation No. 6/2002 also provides that an application for EU Registered Design may be submitted for any of these designs so exhibited that fulfil the requirements for EU Registered Design protection within 12 months of the date of first exhibition of the design, as long as the exhibition was the first disclosure of the design otherwise than in confidence. The application would receive the filing date of the actual date of submission of the application but the exhibition disclosure will not be taken into account for the purpose of assessing qualification for Registered Design protection. Registered Design protection is also available in the UK only.
Further Details. Advice regarding asserting Unregistered Design Rights and the procedure involved in applying for the Registered Design Rights can be obtained at no charge by the authors of the designs (or with their written permission) by application to The Clerk, The Worshipful Company of Pewterers, Pewterers Hall, Oat Lane, London EC2V 7DE by post or email to firstname.lastname@example.org. These details are kindly provided by Kilburn & Strode, 20 Red Lion Street, London WC1R 4PJ.
Copyright A Rurhmann 2008
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Measurement of Blood Radioactivity for Quantification of Cerebral Blood Flow Using a Gamma Camera
Kenya Murase, Hiroyoshi Fujioka, Takeshi Inoue, Yoshihiro Ishimaru, Akihisa Akamune, Yuji Yamamoto and Junpei Ikezoe
Department of Radiology, Ehime University School of Medicine, Shitsukawa, Shigenobu-cho, Onsen-gun; and Departments of Radiology and Neurosurgery, Matsuyama Shimin Hospital, Ohte-machi, Matsuyama, Japan
Objective: This study was designed to determine whether gamma cameras can be substituted for well-type scintillation counters in measuring blood radioactivity counts to be used as an input function for the quantitative measurement of cerebral blood flow (CBF).
Methods: Twelve different aqueous $^{123}$I solutions were prepared by serial dilution of the original concentration of 281.9 kBq/ml, and the radioactivity count of each dilution was measured with a gamma camera with the collimator removed, and with a well-type scintillation counter. When measuring the radioactivity counts with a gamma camera, static images were acquired using a $128 \times 128$ matrix for 5 min, and the regions of interest with $14 \times 14$ pixels (21 mm $\times$ 21 mm) were defined.
Results: There was a good correlation between the results obtained by these two procedures in the range of concentration between 0.008 kBq/ml and 281.9 kBq/ml ($y = 4.245x - 2.549$, $r = 1.0$, $n = 12$, s.e.e. = 7.217 kcpm). There was good agreement between the CBF values (ml/100 g/min) obtained using the cross-calibration factor (CCF) and blood radioactivity counts measured with the two procedures ($y = 0.990x + 0.552$, $r = 0.990$, $n = 231$, s.e.e. = 1.340 ml/100 g/min).
Conclusion: The results suggest that gamma cameras can be substituted for well-type scintillation counters in the quantitative measurement of CBF, and make it unnecessary to measure CCF after routine calibration of a SPECT apparatus.
Key Words: gamma camera; well-type scintillation counter; blood radioactivity; cerebral blood flow; cross-calibration factor
J Nucl Med Technol 1998; 26:191–195
SPECT with N-isopropyl-p $^{[123]}$Iiodoamphetamine ($^{123}$I-IMP) is widely used to quantitatively measure cerebral blood flow (CBF) (1–5). A variety of methods are used to make such measurements, including blood sampling methods such as the continuous arterial blood sampling method (1,2), the one-point arterial blood sampling method (3,4) and the one-point venous blood sampling method (5). When blood sampling methods are used, it is necessary to measure the radioactivity of the sampled blood with a well-type scintillation counter (well counter) (1–5). However, well counters are not available in all hospitals. Furthermore, because the measurement system of the well counter is different from that of the SPECT apparatus, a cross-calibration factor (CCF) must be determined to calibrate these two different systems (1–5), and the CCF must be newly determined whenever a SPECT apparatus and/or well counter is calibrated. These factors appear to prevent widespread acceptance of quantitative measurement of CBF using SPECT. This study was designed to determine whether a gamma camera can be used instead of a well counter for measuring radioactivity in samples, such as blood.
MATERIALS AND METHODS
A well counter (TGC-IH1, Sangyo Kagaku Co., Tokyo, Japan) and a gamma camera (STARCAM 4000 XR/T, GE-Yokogawa Medical Systems, Tokyo, Japan) were used in this study. A sampling vial (SB-41, Sysmex Co., Tokyo, Japan) having an internal diameter of 22.5 mm and outer diameter of 23.5 mm was used as a container for measuring samples with a gamma camera (Fig. 1). After the collimator was removed, the surface of the gamma camera was covered with a sheet of vinyl to prevent contamination and the sampling container was placed on the gamma camera surface (Fig. 1). To protect a crystal of the gamma camera, materials such as lead were not used. Static images were acquired for 5 min at a 2.67-fold magnification on a $128 \times 128$ matrix with the gamma camera. The regions of interest (ROIs) with $14 \times 14$ pixels (21 mm $\times$ 21 mm) were drawn on the static images to calculate the total radioactivity counts. Immediately after the samples were measured with the gamma camera, they also were measured for 1 min with the well counter.
The following items were assessed to determine whether gamma cameras can be substituted for well counters.
Investigation 1
Relationship Between the Radioactivities Measured with a Gamma Camera and Those Measured with a Well Counter. To investigate the relationship between the radioactivity counts measured with a gamma camera and those measured with a well counter, 12 different aqueous $^{123}$I solutions were prepared by serial dilution of the original 281.9 kBq/ml concentration: 281.9, 93.72, 55.20, 18.70, 5.261, 1.870, 0.511, 0.354, 0.113, 0.032, 0.010 and 0.008 kBq/ml. The radioactivity counts were measured using a gamma camera with the collimator removed and a well counter, as mentioned above.
Investigation 2
Determination of CCF with a Well Counter and Gamma Camera. CCF was calculated from:
$$\text{CCF} = \frac{\text{SPECT value (counts/voxel)}}{\text{Counts measured with a well counter or gamma camera (cpm/ml)}}$$
Eq. 1
To acquire the SPECT data, the CCF phantom (6) (Fig. 2) was filled with aqueous $^{123}$I solutions of 23.33, 7.88, 5.48 and 5.09 kBq/ml and was placed in the gantry. Each projection image was acquired in 12 sec using a 64 × 64 matrix at a 2.67-fold magnification and repeated 32 times during a 360° rotation (7). This rotation was repeated twice clockwise and counterclockwise. In this case, the gamma camera was equipped with a low-energy general-purpose (LEGP) collimator. Reconstruction of images was performed using the filtered backprojection method with a ramp backprojection filter and a Butterworth filter (order = 8, cutoff frequency = 0.39 cycles/cm). Attenuation correction was performed using Sorenson’s method ($\mu = 0.067$ cm$^{-1}$).
Immediately after the SPECT data acquisition was finished, a 1-ml sample of aqueous $^{123}$I solution was taken from the CCF phantom, and it was measured with the gamma camera and well counter using the same protocol as mentioned before.
Investigation 3
Measurement of CBF Using Blood Radioactivities and CCF Measured with a Well Counter and Gamma Camera. CBF was measured in 21 patients with cerebrovascular disorders using the modified early (ME) method (7) with continuous arterial blood sampling. Informed consent was obtained from each of the patients after a detailed explanation of the purpose of this study and the scanning procedures. The ME method (7) is a modified version of the early method developed by Matsuda et al. (2), which is based on a microsphere model (1). With the ME method (7), dynamic frontal brain images were first acquired after a bolus intravenous injection of 104–211 MBq $^{123}$I-IMP using the gamma camera equipped with a low-energy general-purpose (LEGP) collimator. The imaging protocol consisted of 28 frames in a 64 × 64 matrix, each 15 sec in duration, for a total acquisition time of 7 min. At the same time, continuous arterial blood sampling from an indwelling catheter needle inserted in the brachial artery was performed for 5 min at a speed of 1.88 ml/min by using a universal infusion system (Truth A-II, Nakagawa Seikoudo Co., Tokyo, Japan). After that, the SPECT data were acquired using the same protocol as mentioned before.
CBF was calculated using the following equation:
$$F = \frac{100 \times R \times C_b}{N \times A \times G \times CCF}$$
Eq. 2
where F is the CBF in ml/100 g/min, R is the constant withdrawal rate of arterial blood in ml/min, $C_b$ is the brain radioactivity in counts/voxel, A is the total radioactivity in the arterial blood withdrawn for 5 min in cpm, N is the fraction of A that is the true tracer radioactivity obtained by octanol extraction, and G is the specific gravity of brain tissue and is assumed to be 1.04 g/ml in this study. In determining $C_b$ at 5 min postinjection, the SPECT reconstructed counts acquired from...
7 min to 25 min were corrected to represent those at 5 min using the time-activity curve for the whole brain obtained during 7 min after injection.
The octanol-extracted radioactivity of the arterial blood sample (N × A in Equation 2) was measured with a well counter to calculate CBF. Then, the octanol-extracted radioactivity of the arterial blood sample, which had been placed in the sampling vial, was measured with a gamma camera after the collimator had been removed, to calculate CBF. The results were time-corrected by adjusting to the time required for the measurement of CBF with the well counter. Irregular ROIs were defined in the cerebellum, frontal lobe, bilateral temporal lobe and occipital lobe, and CBF values were quantitatively measured in these ROIs using Equation 2.
**TABLE 1**
*Comparison of Cross-Calibration Factors (CCFs)*
*Measured Before and After Calibration of a SPECT Apparatus Using a Well-Type Scintillation Counter and a Gamma Camera*
| | Cross-calibration factor (CCF) |
|----------------------|--------------------------------|
| | Before | After | % Difference* |
| Well counter | $1.692 \times 10^{-4}$ | $1.366 \times 10^{-4}$ | 19.27 |
| Gamma camera | $8.549 \times 10^{-5}$ | $8.765 \times 10^{-5}$ | 2.53 |
*% Difference = $\frac{\text{After} - \text{Before}}{\text{Before}} \times 100$
**Statistical Analysis**
The correlation between the values obtained with a well counter and those obtained with a gamma camera was assessed.
**FIGURE 3.** Relationship between the radioactivity counts measured with a well-type scintillation counter (kBq/ml) and those measured with a gamma camera without collimator (cpm). Note that the radioactivity counts measured with a well-type scintillation counter were converted to kBq/ml using a curie meter. (A) The radioactivity concentration ranging between 0 and 300 kBq/ml is shown on the left, while (B) the range between 0 and 6 kBq/ml is shown on the right.
**FIGURE 4.** Relationship between the cerebral blood flow (CBF) values (ml/100 g/min) obtained using the cross-calibration factor (CCF) and blood radioactivity counts measured with a well-type scintillation counter and those obtained using the CCF and blood radioactivity counts measured with a gamma camera.
by linear regression analysis with calculation of the standard error of the estimate (s.e.e.).
**RESULTS**
**Investigation 1**
*Relationship Between the Radioactivities Measured with a Gamma Camera and Those Measured with a Well Counter.* Figure 3A shows the correlation between the radioactivity counts measured using a gamma camera with the collimator removed (y, kcpm) and those measured with a well counter (x, kBq/ml). There was a good correlation between them in the range of concentration between 0.008 kBq/ml and 281.9 kBq/ml (y = 4.245x – 2.549, r = 1.0, n = 12, s.e.e. = 7.217 kcpm). Figure 3B shows the correlation between the results obtained by the two procedures for the range between 0.008 kBq/ml and 5.261 kBq/ml. There was a good correlation between the two procedures (y = 3.812x + 0.214, r = 1.0, n = 8, s.e.e. = 0.062 kcpm) also in this range. Note that the radioactivity counts measured with a well counter were converted into kBq/ml using a curie meter (IGC-30, Aloka Co., Tokyo, Japan).
**Investigation 2**
*Determination of CCF with a Well Counter and Gamma Camera.* Table 1 summarizes the CCF values before and after routine calibration of a SPECT apparatus. Although the CCF value differed by 19.27% after calibration when using a well counter, the difference in CCF before and after calibration was only 2.53% when using a gamma camera.
**Investigation 3**
*Measurement of CBF Using Blood Radioactivities and CCF Measured with a Well Counter and Gamma Camera.* As shown in Figure 4, there was good agreement between the CBF values (ml/100 g/min) obtained using the CCF values and blood radioactivity counts measured with the two procedures (y = 0.990x + 0.552, r = 0.990, n = 231, s.e.e. = 1.340 ml/100 g/min). Figure 5 shows an example of CBF images generated using the ME method (7). The upper two rows show the CBF images generated using the data obtained with a well counter, while the lower two rows show the CBF images generated using the data obtained with a gamma camera. Both procedures yielded almost identical images.
DISCUSSION
In this study we investigated the feasibility of using a gamma camera for measuring blood radioactivity. In our clinical setting for CBF quantification using $^{123}$I-IMP, patients usually are injected intravenously with approximately 90 MBq to 263 MBq $^{123}$I-IMP. For these injection doses, the radioactivity in the arterial blood withdrawn for 5 min after injection ranges from approximately 0.05 kBq/ml to 9 kBq/ml when measured with a well counter. If the relationship between the radioactivity counts measured with a well counter and those measured with a gamma camera is linear in this range of concentration, it appears that a gamma camera can be substituted for a well counter in the measurement of blood radioactivity for CBF quantification.
When a gamma camera equipped with a collimator was used, it was difficult to measure the radioactivity counts at a concentration of less than 5.261 kBq/ml because of large photon attenuation by the collimator (data not shown). Thus, it appears to be difficult to determine blood radioactivity counts to be used as an input function for measuring CBF when using a gamma camera equipped with a collimator. When the collimator was removed, the linearity between the radioactivity counts measured with a gamma camera and those measured with a well counter was confirmed for the range of concentration between 0.008 kBq/ml and 281.9 kBq/ml (Fig. 3). This range adequately covers the concentration encountered in our clinical setting. These results suggest that gamma cameras with collimators removed can be substituted for well counters for quantitative measurement of CBF using SPECT. We hope that this will facilitate more widespread acceptance of quantitative measurement of CBF using SPECT even in the hospitals having no well counters. However, the present method for measuring blood radioactivity using a gamma camera has the drawback of collimator removal being complicated, and it should be noted that careful handling of the crystal is required.
As previously described, when using a well counter for measuring blood radioactivity, CCF must be determined to calibrate the well counter and SPECT. Furthermore, this value must be newly determined whenever a SPECT apparatus and/or well counter is calibrated. However, since CCF values obtained with a gamma camera did not differ after routine calibration of a SPECT apparatus (Table 1), it appears that postcalibration measurement of CCF can be omitted when using a gamma camera.
No great differences existed between the CBF values obtained using the CCF and blood radioactivity counts measured with a gamma camera and those obtained using a well counter in a clinical setting (Figs. 4 and 5). This confirmed the feasibility of using a gamma camera for the measurement of blood radioactivity counts.
CONCLUSION
We obtained the following conclusions from this study: (a) gamma cameras can be substituted for well counters in measuring blood radioactivity counts for CBF quantification; and (b) the present method using a gamma camera makes it unnecessary to measure CCF after calibrating a SPECT apparatus.
ACKNOWLEDGMENT
The authors thank Nihon Medi-Physics Co., Ltd., Nishinomiya, Japan for supporting this study.
REFERENCES
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Optimization of CNN through Novel Training Strategy for Visual Classification Problems
Sadaqat ur Rehman 1, Shanshan Tu 2,*, Obaid ur Rehman 3, Yongfeng Huang 1, Chathura M. Sarathchandra Magurawalage 4 and Chin-Chen Chang 5
1 Department of Electronic Engineering, Tsinghua University, Beijing 100084, China; email@example.com (S.u.R.); firstname.lastname@example.org (Y.H.)
2 Faculty of Information Technology, Beijing University of Technology, Beijing 100022, China
3 Department of Electrical Engineering, Sarhad University of Science and IT, Peshawar 25000, Pakistan; email@example.com
4 School of Computer Science and Electronic Engineering, University of Essex, Colchester CO4 3SQ, UK; firstname.lastname@example.org
5 Department of Information Engineering and Computer Science, Feng Chia University, Taichung City 407, Taiwan; email@example.com
* Correspondence: firstname.lastname@example.org
Received: 31 January 2018; Accepted: 14 April 2018; Published: 17 April 2018
Abstract: The convolution neural network (CNN) has achieved state-of-the-art performance in many computer vision applications e.g., classification, recognition, detection, etc. However, the global optimization of CNN training is still a problem. Fast classification and training play a key role in the development of the CNN. We hypothesize that the smoother and optimized the training of a CNN goes, the more efficient the end result becomes. Therefore, in this paper, we implement a modified resilient backpropagation (MRPROP) algorithm to improve the convergence and efficiency of CNN training. Particularly, a tolerant band is introduced to avoid network overtraining, which is incorporated with the global best concept for weight updating criteria to allow the training algorithm of the CNN to optimize its weights more swiftly and precisely. For comparison, we present and analyze four different training algorithms for CNN along with MRPROP, i.e., resilient backpropagation (RPROP), Levenberg–Marquardt (LM), conjugate gradient (CG), and gradient descent with momentum (GDM). Experimental results showcase the merit of the proposed approach on a public face and skin dataset.
Keywords: CNN optimization; image classification; MRPROP; training algorithm
1. Introduction
The convolution neural network (CNN) algorithm is the most state-of-the-art algorithm due to its vast diversity of applications, which are found in many areas: classification, recognition, detection, etc. The strength of a CNN lies with its enormous capabilities of feature extraction in its layers, which are synchronized in a feed-forward manner. Furthermore, the training algorithms and output classification layer further boost up the performance. Due to the aforementioned characteristics, a deep CNN is suitable for many computer vision problems where the solutions are difficult to obtain analytically. CNN has solved many computer vision problems efficiently, e.g., handwritten digit recognition [1,2], optical character recognition [3], car detection [4], face detection [5,6], face recognition [7,8], and analysis of facial expression [9].
Previous studies have shown that many researchers have tried to improve the efficiency of the CNN through pretraining filter banks in supervised and unsupervised manners, and by adding
more number of layers (deepness) [10]. Jarrett et al. [11] indicated that multi-stage feature extraction procedures produce results with better accuracy than single-stage feature extraction procedures. Also, filter learning (supervised, unsupervised, and random) boosts up the performance efficiency. Moreover, rectification and local contrast normalization also have a positive impact on a CNN in object recognition tasks. Erhan et al. [12] and Glorot et al. [13] suggest that the initialization of the weights and training algorithm directly affects the convergence rate and efficiency of a CNN. Particularly, training algorithms, whether supervised or unsupervised, are highly responsible, because it is difficult to train a network’s first few layers and weights from backpropagation due to vanishing/exploding gradients. Therefore, choosing a simple algorithm, which allows efficient training and optimized weight adjustment, is highly desirable.
Calculation of the system error function gradient is also one of the important parts of the CNN training method. Most of them include complex computations; therefore, it may be difficult to meet real-time system requirements with such methods. The error function and the system error of the control application of neural networks are correlated [14], such as the error backpropagation algorithm (EBP) [15]. The convergence of the EBP algorithm is very slow if many gulches characterize the error function. An additional variable called “momentum” is added to the weight update in order to improve the training performance of the CNN [16]. A similar approach is proposed by Orlowska-Kowalska et al. [17], in which they attached a simple proportional derivative control to the gradient processing. This technique significantly increases the algorithm efficiency, as the gradient function is not computed directly.
The resilient backpropagation (RPROP) algorithm [18] is also independent of accurate gradient calculation. Also, a high computational proficiency and quick convergence speed are essential benefits. Due to the aforementioned properties, the RPROP algorithm is chosen for CNN [19] training for the face classification task. However, in RPROP, the continuous alterations of weights did not lead to any constant value; therefore, continuous deviations are enforced. As the continuous weights change in CNN, the training process is never-ending, which leads to system instability. Therefore, in this paper, we bring forward a modified training algorithm, modified resilient backpropagation (MRPROP) for the CNN [19], which helps the system by performing better weight changes to accomplish desired outputs efficiently and swiftly. Our contribution is as follows:
- We propose the tolerant band $\Delta K$ in MRPROP to avoid CNN overtraining.
- Global best concept is introduced in weight updating criteria for optimization.
- The MRPROP allows the CNN to optimize its weights more swiftly and precisely.
2. Resilient Backpropagation Algorithm (RPROP)
Training in CNN is considered to be the most important part of this work. RPROP is an efficient training algorithm that performs weight step alterations based on local gradient data. The key aim of choosing this training algorithm in CNN is that the weight adaptation is not blurred by gradient behavior at all. In addition, RPROP plays a significant role in optimizing the weights of the CNN due to the following properties.
1. The RPROP algorithm is fast, and requires less memory compared with other training algorithms.
2. The RPROP algorithm is independent of the shape of error surfaces [19].
3. The sign of error function gradient is utilized instead of the values of the error.
Let $del_{xy}$ be the individual update value of each weight between the $x$th neuron and the $y$th input at the “$t$” training step, which determine the size of the weight increase or decrease. The increase/decrease
in the size of the weight is solely determined by the local sight of error function $E(t)$, based on the below learning conditions of Equation (1):
$$
del_{xy}^t = \begin{cases}
\rho^+ \times del_{xy}^{t-1}; & \text{if } \frac{\partial E^{(t-1)}}{\partial w_{xy}} \times \frac{\partial E^{(t)}}{\partial w_{xy}} > 0 \\
\rho^- \times del_{xy}^{t-1}; & \text{if } \frac{\partial E^{(t-1)}}{\partial w_{xy}} \times \frac{\partial E^{(t)}}{\partial w_{xy}} < 0 \\
del_{xy}^{t-1}; & \text{Elsewhere}
\end{cases}
$$
(1)
where $0 < \rho^- < 1$ and $\rho^+ > 1$.
Weight is adjusted in each iteration/epoch to make the actual output closer to the desired output. Therefore, in each iteration, the algorithm jumps to local minima, and the update value $del_{xy}$ is decreased by factor $\rho^-$, indicating that the last update is too big due to the change of the partial derivative of the corresponding weight $w_{xy}$ sign. However, if the derivative maintains its sign, the update value is slightly augmented to speed up the convergence, in order to escape from the local minima. Moreover, when the update value is adapted for each weight, the weight update occurs according to a very simple rule: the update value decreased the weight, in case the error is growing. Conversely, in the case of a negative derivative, the weight is increased by its update value, i.e., it is being added. This can be mathematically illustrated as:
$$
delw_{xy}^t = \begin{cases}
-del_{xy}^t; & \text{if } \frac{\partial E^{(t-1)}}{\partial w_{xy}} > 0 \\
+del_{xy}^t; & \text{if } \frac{\partial E^{(t-1)}}{\partial w_{xy}} < 0 \\
0; & \text{Elsewhere}
\end{cases}
$$
(2)
$$
w_{xy}^{t+1} = w_{xy}^t + delw_{xy}^t
$$
(3)
where $delw_{xy}^t$ is the weight updated between the xth neuron and the yth input, at the “$t$” training step.
Nevertheless, if the partial derivative changes sign, i.e., the minimum was missed due to a too-large previous step, the previous update of the weight is reverted. Mathematically:
$$
delw_{xy}^t = -del_{xy}^{t-1}, \text{ if } \frac{\partial E^{(t-1)}}{\partial w_{xy}} \times \frac{\partial E^{(t)}}{\partial w_{xy}} < 0
$$
(4)
Therefore, due to this backtracking weight step, the derivative is supposed to alter its sign once more in the following step. So, to avoid this computational expense of the update value, there should be no adaptation in the succeeding step of the update value by setting $\frac{\partial E^{(t-1)}}{\partial w_{xy}} = 0$ in the $del_{xy}$ adaptation rule above.
3. Modified Resilient Backpropagation Algorithm
In this work, the convergence speed and performance of the RPROP algorithm is enhanced by a novel approach. Some modifications are made in MRPROP, so that it will reach and achieve global solutions faster than the basic RPROP algorithm.
The overall error is defined as the mean square error (mse) between the network outputs and the desired outputs; mathematically, it can be written as:
$$
E_{mse} = \frac{1}{U \times NL} \sum_{u=1}^{U} \sum_{n=1}^{NL} |y_n^U - d_n^U|^2
$$
(5)
where the training set has a $U$ input data matrix and $U$ desired output representations; $X^{U}$ represents the $u$th training image; $d^{U}$ is our corresponding preferred output vector; and $y_n^{U}$ ynrepresents the actual network output. This shows the function of the overall network parameters i.e., weights and biases.
It is obvious that the error generated during the training process influences the output error function. This error is calculated at each step of the training process for a presumed set of weights. Taking this into consideration, the gradient of the CNN error function can be calculated as follows:
\[
f_{xy}(t) = \frac{\Delta E(t)}{\Delta W_{xy}(t)} = \frac{E(t) - E(t - 1)}{W_{xy}(t) - W_{xy}(t - 1) + \Delta z_i}
\]
(6)
where \(E(t)\) and \(E(t - 1)\) represent the error in training steps \(t\) and \(t - 1\), respectively; and \(W_{xy}(t)\) and \(W_{xy}(t - 1)\) are the weights between the \(x\)th neuron and the \(y\)th input in training steps \(t\) and \(t - 1\). Whereas, \(\Delta z_i\) is introduced to avoid division by zero, in case the weight changes halted, and for describing the sign of the slope, regardless of the inaccurate value of \(f_{xy}(t)\).
When the analysis of the parameter \(\rho\) factor fluctuates in the RPROP algorithm, as determined by Equation (1), it can be observed that the condition of keeping a factor at a constant value is achieved only if:
\[
f_{xy}(t) \cdot f_{xy}(t - 1) = 0
\]
(7)
This state practically does not exist in real case scenarios by any system processing physical measurement data. Therefore, the continuous alterations of the \(del_{xy}\) factor do not lead to any constant value, but continuous deviations are enforced. Also, due to the continuous alteration in the CNN weights (\(delw_{xy}\)), it is impossible to achieve the state described by Equation (7). This leads to a never-ending training process. Due to this, CNN overtraining can be noticed, which leads to system instability. In order to avoid such a situation, a modification of the RPROP algorithm is proposed. We make two major modifications in the MRPROP algorithm. Firstly, we introduce a tolerant band \(\Delta K\) into the training conditions of Equation (1). Secondly, a global best concept is incorporated into the weight updating criteria, in order to allow the training algorithm of CNN to optimize its weights more swiftly and precisely to find a good solution, as shown in Equations (8) and (9).
The introduction of \(\Delta K\) helps to protect the system against overtraining, which in return affects the overall efficiency of CNN in a positive way. A properly selected range of the tolerant band \(\Delta K\) is found through using the trial and error method after comprehensive tests on a wealth of case studies with various operating points, assuring the stable operation of the CNN network, and limiting the excessive increase in the MRPROP weights.
To obtain more reliable solutions for CNN weight updating and achieve an optimized solution swiftly, we propose the “global best” concept in weight updating criteria. In RPROP, the change in weight \(\Delta w\) depends on whether the updated value \(del_{xy}\) increased or decreased according to error, in order to reach a better solution. However, the previously updated values are neglected after every iteration; this means that all of the best values previously achieved in the weight changes would not be referred back. Hence, there is no information sharing between the optimized values that have been achieved at the previous iterations and the current result. Therefore, by using the term “global best” concept in MRPROP, the information of previous weight change is the only source for the accurate result. Therefore, the past optimized value is randomly selected from all of the updated values of the previous weight change, and is used to update the process. This variable is called global best, or “\(gbst\)”. For a minimization problem, the global best selection procedure is given as follows:
- First, select two updated values randomly from all of the past change in weights \(\Delta w\).
- Compare these two values against the optimized solution, and choose the better one as \(gbst\).
Hence, the new proposed selection strategy will ensure that the diversity of the update value is preserved to avoid being trapped into a local optimum. The "\(gbst\)" is selected on the optimized value of current population \(delw\), as shown in Equations (8) and (9):
\[ \text{del}^t_{xy} = \begin{cases}
\min \left( \rho^+ \times \text{del}^{t-1}_{xy}, gbst \right); & \text{if } f_{xy}(t) \cdot f_{xy}(t-1) > \Delta K \\
\max \left( \rho^- \times \text{del}^{t-1}_{xy}, gbst \right); & \text{if } f_{xy}(t) \cdot f_{xy}(t-1) < -\Delta K \\
\text{del}^{t-1}_{xy}; & \text{if } -\Delta K \leq f_{xy}(t) \cdot f_{xy}(t-1) \leq \Delta K
\end{cases} \]
\[ \text{delw}^t_{xy} = \begin{cases}
-\text{del}^t_{xy} \cdot \text{sign}(f_{xy}(t)); & \text{if } f_{xy}(t) \cdot f_{xy}(t-1) > \Delta K \\
\text{del}^t_{xy} \cdot \text{sign}(f_{xy}(t)); & \text{if } f_{xy}(t) \cdot f_{xy}(t-1) < -\Delta K \\
0; & \text{if } -\Delta K \leq f_{xy}(t) \cdot f_{xy}(t-1) \leq \Delta K
\end{cases} \]
A number of satisfactory experimental tests are shown in Table 1, which prove the appropriate operation of the CNN with the proposed approach. The block diagram of the MRPROP for the CNN is shown in Figure 1. It is clear that the introduction of the tolerant band and the variable \( gbst \) cause not only the optimized weights that are achieved, but also the suboptimal weights. Similarly, the proposed strategy helps the system optimize its weight more swiftly and precisely, which directs the CNN into its best position and rapidly converges the training algorithm to its global optimum solution.
Table 1. Classification Results of Different Training Algorithms on Face and Skin Dataset. GDM: gradient descent with momentum; RPROP: resilient backpropagation; CG: conjugate gradient; LM: Levenberg–Marquardt.
| Training Algorithm | Efficiency on Training Dataset | Efficiency on Test Dataset |
|--------------------|---------------------------------|----------------------------|
| GDM | 97.1% | 96.2% |
| RPROP | 98.4% | 97.1% |
| CG | 98.0% | 96.9% |
| LM | 98.6% | 97.3% |
| MRPROP | 99.2% | 97.8% |
4. Experimental Results and Discussion
In this section, we analyze the convergence speed, output evaluations, training time, and number of training epochs based on the weight optimization criteria of the five different training algorithms. For comparison, in this article, we focus on five representative training algorithms, namely: resilient backpropagation (RPROP) [20], Levenberg–Marquardt (LM) [21], gradient descent with momentum (GDM) [22], conjugate gradient (CG) [23], and the proposed training algorithm (MRPROP). Our main objective is to determine a training algorithm for CNN that is fast, robust, and capable of handling large training datasets independent of the weights initialization strategy (supervised, unsupervised, random). The convergence speed of the training algorithm is highly affected by weight initialization and the choice of parameters that are used when training. For example, a slow decay in the mean square error (mse) occurs through a small learning rate $\alpha$ in the training algorithm; however, a large value of $\alpha$ may lead the training of the network to divergence. Subsequently, it is not possible to calculate all of the choices of the training parameters for CNN; we have determined the parameters by using the trial and error method after comprehensive mathematical experiments on a wealth of case studies. Yet, the optimized weight selection approach and training parameters in this paper reveal the basic tendencies in the convergence speed of the corresponding training algorithms for CNN.
The four different training algorithms, along with the proposed training algorithm for a CNN, are assessed on a face/non-face classification problem. The dataset contains 20,000 images with 10,000 face images and 10,000 non-face images, which are manually cropped web images and randomly extracted scenery photos, respectively. A sample of the dataset is shown in Figure 2, and its statistics are depicted in Table 2.
Figure 2. Sample images from Phung et al. [24] for evaluation of different training algorithms through CNN. (a) Face images; (b) Non-face images.
Table 2. Statistics of Face and Skin Dataset [24].
| Skin Type and Lightening Condition | Images |
|-----------------------------------------------------|--------|
| Whitish, pinkish | 1665 |
| Dark brown, reddish | 965 |
| Yellowish, light brown | 1402 |
| Other Skin type | 102 |
| Indoor lightening conditions | 1931 |
| Outdoor lightening conditions | 1855 |
| Other lightening conditions | 214 |
The size of the input images was $20 \times 20$ pixels, which is similar to the image sizes that have been used by numerous authors for face/non-face classification [25–27]. The network was trained on an individual training algorithm for 2000 epochs. To compare the performance, we utilize ten-fold cross-validation of different indicators i.e., mse training, training time, the number of output evaluations, and the number of training epochs.
Figure 3 indicates the comparison results of CNN using five different training algorithms. It is clear from Figure 3a that for each epoch count, the proposed MRPROP attained the lowest mse among all of the other training algorithms of CNN, followed by LM. Meanwhile, GDM achieved the highest mse, followed by RPROP. Figure 3b shows that MRPROP took a smaller number of output evaluations to acquire a lower mse, compared to LM, CG, RPROP, and GDM. The CG and RPROP algorithms had a very similar performance, with a slight difference.
Figure 3c reveals the number of gradient evaluations against the mse error function. It is clear from Figure 3c that our proposed algorithm takes a smaller number of gradient evaluations to achieve a lower mse. For example, the MRPROP algorithm uses 86 output evaluations to reach a mse of 0.35, whereas the LM and CG algorithms need 452 and 512 gradient evaluations, respectively. The RPROP algorithm has a better performance than the GDM algorithm when the number of output evaluations is above 200.
Figure 3d shows the training time of the individual training algorithms. In order to obtain a reliable comparison of the training speed, we measured the training time in terms of the MRPROP epoch time unit. We define one MRPROP epoch time unit as: the average time taken to perform one MRPROP training epoch on a fixed training set and a fixed-size network; it remains stable during the MRPROP training process. All four training algorithms—MRPROP, LM, CG, and RPROP—converged faster than the GDM algorithm. MRPROP was the fastest training algorithm among all of them due to its better weight optimization strategy compared to the other algorithms, which had no such strategy for weight regulations.
Figure 3. Cont.
Figure 3. Comparison on face and skin dataset of five different training algorithms for CNN. mse training versus (a) total number of training epochs, (b) total number of output evaluations, (c) total number of gradient evaluations, and (d) total training time.
Table 1 depicts the classification accuracy of the CNN, with different training algorithms proposed for experimental purposes. It demonstrates that the CG and RPROP networks had similar classification rates, of 98% and 98.4% respectively, on the training dataset, and 96.9% and 97.1% on the testing dataset (the overall difference was no more than 0.4%), respectively, whereas the GDM achieved the lowest classification rates (97.1% and 96.2%). The highest classification rates were achieved by the proposed method, which were 99.2% and 97.8% on the training and testing dataset, respectively. These relative performances are consistent with the training speed comparison that was discussed earlier. CNN training with slower algorithms, such as GDM, requires more training time to find an optimal solution, as shown in Figure 3.
5. Conclusions
A new CNN training algorithm for visual classification problems, called MRPROP, has been presented. Features extraction at CNN layers is determined entirely through training. Our analysis of the five different training algorithms reveals that the RPROP and CG algorithms have reasonable convergence speeds and require small memory storage, whereas the LM algorithm is fast, but requires significantly more memory. However, the proposed MRPROP outperforms all of the other training algorithms, both in term of convergence speed and small memory usage. When evaluated on the face and skin dataset, CNN achieved classification rates of 99.2% and 97.8% with MRPROP on the training and testing datasets, respectively, which is significantly better than the same CNN with other training algorithms i.e., LM, CG, RPROP, and GDM.
In future, we plan to apply this concept on a range of CNN problems to explore its competency in diverse application domains. We also intend to study possible extensions of the pretraining algorithms and their connected theoretical guarantees with CNN convergence, optimality, and efficiency.
Acknowledgments: This work is supported in part by the National Key Research and Development Program of China under Grant No. 2016YFB0800402 and in part by the National Natural Science Foundation of China (Grant No. U1705261, U1536201, U1536207, U1636113).
Author Contributions: Sadaqat ur Rehman and Shanshan Tu conceived and designed the experiments; Sadaqat ur Rehman performed the experiments; Sadaqat ur Rehman, Yongfeng Huang, Obaid ur Rehman and Chathura M. Sarathchandra Magurawalage analyzed the data; Sadaqat ur Rehman, Yongfeng Huang and chin-chen chang interpreted the results; Sadaqat ur Rehman wrote the paper; Obaid ur Rehman, Shanshan Tu and Yongfeng Huang revised the manuscript and helped in most of the corrections.
Conflicts of Interest: The authors declare no conflict of interest.
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A test of the nest sanitation hypothesis for the evolution of foreign egg rejection in an avian brood parasite rejecter host species
Alec B. Luro\textsuperscript{1,2} · Mark E. Hauber\textsuperscript{1,2}
Received: 5 October 2016 / Revised: 20 December 2016 / Accepted: 13 February 2017
© Springer-Verlag Berlin Heidelberg 2017
Abstract Hosts of avian brood parasites have evolved diverse defenses to avoid the costs associated with raising brood parasite nestlings. In egg ejection, the host recognizes and removes foreign eggs laid in its nest. Nest sanitation, a behavior similar in motor pattern to egg ejection, has been proposed repeatedly as a potential pre-adaptation to egg ejection. Here, we separately placed blue 3D-printed, brown-headed cowbird (\textit{Molothrus ater}) eggs known to elicit interindividual variation in ejection responses and semi-natural leaves into American robins’ (\textit{Turdus migratorius}) nests to test proximate predictions that (1) rejecter hosts should sanitize debris from nests more frequently and consistently than accepter hosts and (2) hosts that sanitize their nests of debris prior to the presentation of a foreign egg will be more likely to eject the foreign egg. Egg ejection responses were highly repeatable within individuals yet variable between them, but were not influenced by prior exposure to debris, nor related to sanitation tendencies as a whole, because nearly all individuals sanitized their nests. Additionally, we collected published data for eight different host species to test for a potential positive correlation between sanitation and egg ejection. We found no significant correlation between nest sanitation and egg ejection rates; however, our comparative analysis was limited to a sample size of 8, and we advise that more data from additional species are necessary to properly address interspecific tests of the pre-adaptation hypothesis. In lack of support for the nest sanitation hypothesis, our study suggests that, within individuals, foreign egg ejection is distinct from nest sanitation tendencies, and sanitation and foreign egg ejection may not correlate across species.
Keywords Nest sanitation · Egg rejection · Brood parasitism · \textit{Turdus migratorius}
Introduction
Interspecific avian brood parasites avoid raising their own offspring by laying their eggs in the nests of host species (Davies 2000). Hosts may accept the eggs and incur costs of incubating and raising the foreign offspring, or hosts may avoid these costs by rejecting foreign eggs, removing the nestlings of brood parasites from their nest, or abandoning the nest and re-nesting elsewhere (Payne 1977). Egg rejection is the most common defense against brood parasitism (Rothstein 1975a; Medina and Langmore 2016). A host may reject foreign eggs by ejecting the eggs from the nest, burying eggs within the nest, or deserting the nest entirely (Rothstein 1975a). Egg ejection occurs when a host grasps or pierces an egg with its bill and carries it away (i.e., ejects) from the nest. Egg ejection is likely to be the most adaptive form of egg rejection, because it requires the least amount of time and energy in comparison to other rejection behaviors (Rothstein 1975a). However, ejection can be costly if egg recognition errors are made and a host rejects its own eggs (Davies et al.
Therefore, the ability to recognize foreign eggs and eject them from the nest is under strong selection in host species of brood parasites.
A similar behavioral motor pattern to egg ejection occurs when birds sanitize their nests of hatched egg shells, fecal sacs, and leaf and twig debris by grasping them with the bill and carrying them away from the nest. Nest sanitation is an adaptive behavior that may reduce risk of nest predation by ridding the nest of conspicuous cues (Blair and Tucker 1941; Tinbergen et al. 1962), reduce the degree of exposure to parasites and pathogens in the nest (Thomson 1934), and avoid loss of offspring to egg-capping (Hauber 2003). Nest sanitation behavior has been suggested to have been coopted (or a “pre-adaptation”; sensu Gould and Vrba 1982) for the evolution of egg ejection behavior by hosts of brood parasites (Rothstein 1975a; Moskát et al. 2003a; Guigueno and Sealy 2012; Poláček et al. 2013; Yang et al. 2015a). Additionally, although there are multiple classes of egg rejection behaviors (e.g., burial or nest desertion), egg ejection is the rejection behavior that most closely resembles nest sanitation, and therefore, it is the relevant form of egg rejection that may have evolved from nest sanitation (Rothstein 1975a).
The nest sanitation hypothesis posits that “rejecter and accepter [species] should, respectively, show intense and weak nest sanitation behavior” (Rothstein 1975a, p. 265). In other words, if egg ejection has evolved from nest sanitation, then rejecter hosts should express nest sanitation behavior more frequently and consistently than accepter hosts. The brown-headed cowbird (*Molothrus ater*; hereafter “cowbird”) is a generalist brood parasite with many different host species. Nearly all individuals of a particular host species either accept or reject cowbird eggs, and host species are, respectively, classified as “accepters” or “rejecters” (Rothstein 1975b). Yet, the evidence supporting a potential evolutionary and/or proximate link between nest sanitation and egg ejection within this brood parasite-host system is inconclusive. On the one hand, nest sanitation behavior may not be a significant interspecific correlate of egg rejection behavior across different host species of the brown-headed cowbird (Peer and Sealy 2004; Rothstein 1975a), but a potential correlation between continuous rates of egg rejection and sanitation has yet to be explicitly tested for. On the other hand, within species, nest sanitation behavior has been suggested as having some influence on egg rejection behavior in red-winged blackbirds (*Agelaius phoeniceus*), yellow-headed blackbirds (*Xanthocephalus xanthocephalus*), yellow warblers (*Setophaga petechia*), gray catbirds (*Dumetella carolinensis*), and American robins (*Turdus migratorius*) (Ortega and Cruz 1988; Guigueno and Sealy 2009; Underwood and Sealy 2006) (Table 1). There are also varied pieces of evidence suggesting support for the nest sanitation hypothesis in other host-parasite systems, including intraspecific parasitism in Eurasian tree sparrows (*Passer montanus*) and interspecific *Cuculus* cuckoo parasitism in two species of *Hirundo* swallows (Poláček et al. 2013; Yang et al. 2015a, b) (Table 1).
Here, we tested the covariation between sanitation and egg ejection behaviors in the American robin, a rejecter host species that consistently responds to natural cowbird parasitism through ejecting parasitic eggs from the nest (Rothstein 1975a; Rasmussen et al. 2009).
In areas of sympatry with breeding populations of brown-headed cowbirds, American robins eject nearly 100% of cowbird eggs that are deposited in their nests, and individuals’ responses to cowbird eggs are invariable (Briskie et al. 1992; Peer and Rothstein 2010). However, when American robins are experimentally parasitized with artificial cowbird eggs, their rejection rates depend on model egg color and are repeatable within individuals (Croston and Hauber 2014a, b). Model egg colors that elicit intermediate rejection rates (40–80%; Roskaf et al. 2002) can be used to reveal underlying variation in foreign egg rejection thresholds between individuals and consistency of egg rejection responses within individuals (Samaš et al. 2011). The probability that a particular individual will reject or accept a foreign egg may depend upon the individual’s ability to obtain, absorb, and use cues about changes in the nest (i.e., cognitive disposition or phenotype) (Bán et al. 2013; Dukas 2004; Mendelson et al. 2016). Additionally, an individual’s disposition toward detecting changes around the nest may also carry over into sanitizing their nest of foreign debris. Here, we parasitized that American robin nests experimentally using a 3D-printed model cowbird egg painted a color that was demonstrated by Croston and Hauber (2014a, b) to be rejected at an intermediate rate (58%) in order to generate considerable variation in robins’ foreign egg rejection responses and test how individuals’ egg rejection thresholds may relate to their sanitation tendencies.
In this study, we tested predictions of the nest sanitation hypothesis sensu Rothstein (1975a) that egg ejection positively covaries with and evolved from nest sanitation at both the intraspecific and interspecific levels. Mainly, do rejecter hosts that eject foreign eggs from their nest also sanitize their nests of debris more frequently and consistently than acceptor hosts? Secondly, are individual hosts more likely to reject foreign eggs following repeated exposure to debris in their nests? At the intraspecific level, if nest sanitation motivation (or tendency to remove debris from nests) is proximately linked with egg ejection behavior, then individual American robin females that frequently and consistently sanitize their nests of natural debris should also eject foreign eggs more often than females that do not sanitize their nests of debris. Additionally, if exposure to foreign debris in nests primes hosts to remove foreign eggs from the nest, then American robin females exposed to debris before being experimentally parasitized with a foreign egg should be more likely to eject the foreign egg than female robins that are exposed to debris following an experimental parasitism trial. If American robin (hereafter “robin”) females’ sanitation tendencies are not
| Host species | Host category | Brood parasite species | Test ‘parasite’ egg used | Control object/egg used | Percent of test eggs rejected (n) | Stated hypothesis | Predictions | Results | Source |
|--------------|---------------|------------------------|--------------------------|-------------------------|---------------------------------|------------------|------------|---------|--------|
| American robin | Rejecter | Brown-headed cowbird | White plaster pointed and rounded eggs | White wooden spheres, cylinders, rectangles, and cubes | 37.2 (43) | Object shape plays a role in nest sanitation | Responses to objects in nest vary by object shape | Yes | Underwood and Scally (2006) |
| | | | Blue brown-headed cowbird headed cowbird-sized, 3D-printed mold egg | Blue-green plaster pointed and rounded eggs | 65.1 (75) | Sanitation motivation is a proximate influence of egg rejection behavior in individual hosts | Rejecter individuals sanitize nests more than accepters | No | This study |
| Barn swallow | Accepter, but authors re-identify as an intermediate rejecter | Common cuckoo | Non-minetic blue clay model egg | Peanut shells | 38.7 (62) | Nest sanitation elicits egg rejection | Egg rejection will be higher in combination with nest sanitation than without it | No | Yang et al. (2015a) |
| Great reed warbler | Intermediate rejecter | Common cuckoo | Polyester model cuckoo egg | Polyester sticks and coins | 43.1 (51) | (1) Removal of non-egg-shaped objects will be rejected more often in nest sanitation, (2) parasitic eggs will be rejected than non-egg-shaped objects | Populations with a higher egg rejection rates tend to have higher nest sanitation | Yes | Moskát et al. (2005a) |
| Gray catbird | Rejecter | Brown-headed cowbird | Blue-green plaster pointed and rounded eggs | Blue-green wooden spheres, cylinders, and cubes | 24.1 (42) | Object shape plays a role in nest sanitation | Responses to objects in nest vary by object shape | No | Underwood and Scally (2006) |
| Host species | Host category\(^a\) | Brood parasite species | Test “parasite” egg used | Foreign objects used | Control object/egg | Percent of test eggs ejected (n) | Sustained hypothesis | Predictions | Results | Source |
|--------------|---------------------|------------------------|--------------------------|---------------------|-------------------|---------------------------------|---------------------|------------|---------|--------|
| Red-rumped swallow | Acceptor | Common cuckoo | Non-nimetic blue clay model egg | Blue clay coin and stick models | 0 (14) | 17.9 (28) | Nest sanitation is – pre-adaptation to egg rejection | Barn swallows reject foreign eggs at a higher rate than red-rumped swallows | support | Yes | Yang et al. (2015a) |
| Red-winged blackbird | Acceptor | Brown-headed cowbird | Model eggs of various sizes and colors, cowbird models, red-winged blackbird oblong models | White and blue pom-poms, large and small beads, Real cowbird eggs, real red-winged blackbird eggs | 23 (178) | 98 (43) | Post hoc nest sanitation elicits egg ejection in an acceptor species | – | support-proximate predictions for host category\(^b\) | No | Ortega and Cruz (1988) |
| Yellow warbler | Acceptor | Brown-headed cowbird | Real brown-headed cowbird egg | Cowbird-color wooden dummies | 3.5 (200) | 5.9 (287) | Yellow warblers remove nestling eggs resembling eggs more than objects | Before and during incubation, objects resembling eggs will be ejected more than objects | support | Yes | Gignacane and Saify (2007) |
| Yellow-headed blackbird | Acceptor | Brown-headed cowbird | Model eggs of various sizes and colors, cowbird models, red-winged blackbird oblong models | White and blue pom-poms, large and small beads, Real cowbird eggs, real red-winged blackbird eggs | 8.4 (83) | 160 (6) | Post hoc: Nest sanitation elicits egg ejection in an acceptor species | None stated | support | No | Ortega and Cruz (1988) |
\(^a\) Host categories are based on rates of ejection of real and model brood parasite eggs: rejecter >80%, intermediate rejecter 40–80%, and accepter <40% (see Rothstein 1975a, b and Rostkoff et al. 2012).
\(^b\) Proximate predictions foreign object removal and egg ejection should positively covary according to individual’s host categories. Rejecter individuals should sanitize their nests more frequently than accepter individuals.
\(^c\) Pre-adaptation (ultimate) predictions foreign object and egg ejection should covary positively according to *species*’ host categories. Rejecter species should sanitize their nests more frequently than accepter species, and intermediate rejecter species should sanitize their nests at an intermediate rate (40–80%; Rostkoff et al. 2012).
\(^d\) Comparing a group that had an opportunity to sanitize nests vs. a separate group that had no opportunity to sanitize nests
\(^e\) Comparing different barn swallow populations
In comparison between barn swallows and red-rumped swallows
related to their acceptance/ejection responses to foreign eggs in the nest, and exposure to debris in nests does not prime robins to eject foreign eggs, then we may rule out motivation to remove debris from the nest as a prominent proximate influence on foreign egg recognition and ejection in individual robins.
In contrast, at the species level, nest sanitation may be a pre-adaptation for egg ejection behavior if most individuals of this rejecter species sanitize their nests frequently. Additionally, in order to supplement this study and review previous studies testing the nest sanitation hypothesis, we also provide a comparative test of whether nest sanitation positively correlates with egg ejection among multiple host species of avian brood parasites (Table 1 and Fig. 4).
Materials and methods
Study area and subjects
The study took place at three separate tree farms near Champaign-Urbana, IL, USA, during the robin breeding season (May–June) in 2015. Cowbirds and robins are sympatric at all study sites (AB Luro, personal observation; Sauer et al. 2014). The main subjects of the study were nesting adult robin females that were laying and incubating. Active robin nests \((n = 35)\) were monitored daily. Nests were located by searching every planted tree at each site systematically. After finding an active nest that contained one or more eggs, each egg was numbered with a permanent marker (black Sharpie™) and the nest was assigned a unique ID for differentiation. Nest ID was used as a proxy for individual female identity. By and large, only female robins, not males, incubate eggs in the nest (Howell 1942; Young 1955; Martin 1973), and only females reject eggs in host species where females alone incubate (Rothstein 1970, 1975a; Palomino et al. 1998; Amundsen et al. 2002; Soler et al. 2002; Samaš et al. 2011). We observed an absence of natural cowbird parasitism in our study population (no cowbird eggs found in \(n = 89\) nests), but note that the absence of observed nests that contained cowbird eggs may have been due to the prompt egg ejection by robins if and when cowbird parasitism occurred.
Two experiments were performed on each nest in duplicate, which are two trials of artificial brood parasitism (Fig. 1b) and two trials of nest debris (Fig. 1a). Trials of an experiment were consecutively completed, experiments were done separately from one another, and the order in which experiments were performed at nests was counter-balanced into two groups (i.e., group 1 artificial parasitism trials were completed before the nest debris experiment began; group 2 nest debris trials were completed before the artificial parasitism experiment began). In the transition from one experiment to the next, the second experiment began on the same day the first experiment ended. In cases where nests were depredated during experimental trial time periods, the trial was ended and these data were not included in the analyses. Robins often re-nest close to the location of their previous failed nesting attempt (Howell 1942). Therefore, no new active nests located within 10 m of a depredated nest were tested, and exclusion of these nests greatly reduced the likelihood that the same unmarked individual birds were accidentally re-tested (Croston and Hauber 2014b). Conservatively, we estimated that it was possible for \(n = 2\) nests to have been pseudoreplicated, assuming that the owner of a depredated nest re-nested at a distance >10 m from their original nest location at a given study site, and began laying eggs at a new nest after a minimum of 6 days since the date their first nest was depredated (see Electronic Supplementary File).
Two unincubated eggs were collected opportunistically (i.e., if nest was found during laying period) from most nests over the course of the study period. These eggs were collected for a separate study that investigated maternal investments in eggs. All eggs collected were replaced immediately with 3D-printed robin-size eggs painted a mimetic natural robin egg color (see “AMRO Ground” in Croston and Hauber 2014a), which were placed carefully in the same location and position as the collected eggs. None of the mimetic robin eggs were rejected during the study. Prior work in other *Turdus* thrushes found no significant effect on egg rejection responses when artificial eggs were replaced or added to nests (Moskát et al. 2003b; Honza et al. 2005, 2007). Nests where no eggs were collected were also analyzed (no eggs collected, \(n = 7\); eggs collected, \(n = 30\)), and there was no significant effect of egg collection on acceptance/rejection of experimental cowbird eggs (no eggs collected = 72% rejection, eggs collected = 67% rejection; \(\chi^2 = 0.59, df = 1, P = 0.99, 3000\) Monte Carlo replicates, likelihood ratio test) or nest sanitation responses (no eggs collected = 86% sanitation, eggs collected = 100% sanitation; \(\chi^2 = 4.05, df = 1, P = 0.20, 3000\) Monte Carlo replicates, likelihood ratio test).
Tests for egg ejection and nest sanitation
All nests found were monitored daily; therefore, the nest stage (i.e., laying or incubating) was known within 1–3 days of nest monitoring for each nest. Our procedures for artificial parasitism followed those of Croston and Hauber (2014a) and Igić et al. (2015). At the start of an artificial parasitism trial, a 3D-printed, brown-headed cowbird-sized egg ([http://www.shapeways.com/product/9B4PARXSD/cow-bird-egg-smooth](http://www.shapeways.com/product/9B4PARXSD/cow-bird-egg-smooth)) that was painted a blue color known to elicit an intermediate rejection rate of 58–70% (non-toxic Winsor and Newton Galeria Ultramarine Blue © acrylic paint) was inserted into the nest. The dimensions of the 3D-printed cowbird eggs are all within the range of the natural variation of real cowbird eggs (Ankney and Johnson 1985), 22.5 mm in length, 16.9 mm in breadth, and 3.1 g in mass (Fig. 1b; for measurements, see Igić et al. (2015), and for painting details, see...
Each nest was checked daily to mark any additional eggs, check the presence of previously marked eggs, and observe if the artificial cowbird egg was rejected or remained in the nest. Robins are known to reject model cowbird eggs via ejection, so the absence of the blue model cowbird egg from the nest was recorded as an ejection (Rothstein 1975a, b, 1982; Rasmussen et al. 2009). The 3D-printed model eggs used could not be punctured, so all recorded ejections were deemed as grasp ejections (documented by Igic et al. 2015). Robins may have attempted to puncture-eject the 3D cowbird model eggs, but we could not determine if they attempted to do so. Trials where eggs hatched or the nest was depredated (i.e., all eggs absent, often some egg remains present near/nest) were not included in the analyses. Over 80% of cowbird model eggs are rejected within 2 days (Aidala et al. 2015), so the presence of the model egg in the nest after 3 days was recorded as an acceptance (Croston and Hauber 2014a). The second trial began the day the first model egg was rejected or after the first model egg remained in the nest for 3 days. If the model egg remained in the nest after 3 days, it was deemed accepted, removed by the experimenter from the nest, and another model egg was added to begin the second trial.
Douglas fir (*Pseudotsuga menziesii*) leaf clippings of near-uniform size (measured to 31.44-mm$^2$ rectangle; comparable to surface area of artificial cowbird eggs, 22.5 × 16.9 mm), shape, and color were inserted into the nest on the inside nest lining (Fig. 1a). Leaf clippings were painted the same blue color as the blue model cowbird eggs used in the artificial parasitism experiment to control for any properties of the blue paint that might influence rejection/sanitation responses (Fig. 1c). The leaf’s presence was noted during daily nest monitoring. Nest sanitation was recorded nominally as absence of the leaf from the nest. If the leaf remained in the nest after 3 days, the response was recorded as no sanitation. The second trial began the day the first leaf was no longer present or on the third day if the first leaf remained. If the first leaf was still present in the nest on the third day, it was removed by the experimenter, and another painted leaf was inserted into the nest to begin the second nest debris trial.
As a control to test robins’ responses to the addition of an egg to the nest, a single 3D-printed mimetic robin egg...
(Fig. 1c) was added to a separate group of nests \((n = 5)\). At another separate group of nests, eggs were moved slightly and a piece of nest material was lifted gently and replaced to test robins’ responses to nest visits/manipulations per se \((n = 5)\).
**Statistical analyses**
We included 35 separate nests in all analyses (artificial parasitism, \(n = 35\); nest clutter \(n = 32\)). Of the 35 nests, 30 completed all experimental trials and 5 completed both trials of one experiment and at least one trial of the other experiment (e.g., completed artificial parasitism trials 1 and 2, nest sanitation trial 1) before hatching or nest depredation interrupted experimentation. Our analyses included an assessment of individual repeatability of egg ejection and sanitation behavior, use of generalized linear mixed models (GLMMs) to test if individuals’ responses were specific toward the type and order of experiment performed while also examining potential effects of confounding covariates, and a test of correlation between nest sanitation and egg ejection behavior across \(n = 8\) different avian brood parasite host species.
Repeatability may be defined as the portion of variation in a trait which may be attributed to variation among individuals, and is a suitable proxy of the heritability of a behavior (Wolak et al. 2012). Following Samaa et al. (2011) and Croston and Hauber (2014b), we performed two statistical tests to assess repeatability of foreign egg ejection and nest sanitation responses and check if individual robins could be categorized as consistent accepters vs. rejecters and sanitizers vs. non-sanitizers, which are a Spearman’s correlation between binary egg ejection responses and a single-score intraclass correlation coefficient (ICC) for a one-way model using the irr package in R v3.2.4 (R Core Team 2016; Gamer et al. 2012).
We also used a GLMM with a Laplace approximation using the lme4 package in R v3.2.4 (Bates et al. 2015) to test if robins’ egg ejection and sanitation responses could be differentiated by the type of experiment performed (artificial parasitism vs. nest clutter) and/or were affected by the order in which the experiments took place (i.e., test for a priming effect of one experiment taking place before the other) while accounting for potential confounding factors. We ran multiple generalized linear mixed models and detected the most parsimonious GLMM using the Akaike information criterion for small sample sizes (AIC\(_c\)) (Burnham and Anderson 2002). Our GLMM on responses to experiments included nest ID as a random effect; fixed effects of experiment type (artificial parasitism vs. nest clutter) and order of experiment; and additional fixed effects of potential confounding factors including clutch size, nest stage (laying vs. incubation), and whether or not the experimenter flushed robins from the nest to begin the experimental trial (Hanley et al. 2015). Additionally, we ran a separate set of GLMMs looking only at responses to artificial parasitism trials in order to specifically test the effects of confounding factors on egg ejection responses alone. Date was also included in our initial models, but it did not improve any of the models—therefore, we did not include it in our final model set.
Lastly, to test our interspecific predictions, we performed two Spearman’s rank correlation tests comparing rates of removal of foreign objects from nests with egg ejection rates using data from previous studies (\(n = 8\) different species; Table 1 and Fig. 4), one comparing raw rates and one comparing rates with species-independent contrast transformations. Because closely related species with common ancestors cannot be considered independent data points within statistical analyses (Felsenstein 1985), a correction can be made by calculating the differences (contrasts) between phenotypic trait values of closely related species using an available phylogeny (i.e., subtracting trait values from tip to tip down a phylogeny) (Felsenstein 1985; Garland et al. 1992). Ejection rates with species-independent contrasts were calculated as outlined in Garland et al. (1992).
All statistical tests were done in R v.3.2.4 (R Core Team 2016). For the phylogeny used for calculation of independent contrasts, we obtained 100 trees from birdtree.org (Jetz et al. 2012) and then acquired a consensus tree using Mesquite v3.04 (Maddison and Maddison 2016).
**Results**
Across all artificial parasitism and nest clutter trials, we detected the following patterns: 65% of blue cowbird model eggs were ejected and 97% of blue Douglas fir leaves were removed from nests (Fig. 2). Thirty three of 35 females were consistent in their responses to artificial parasitism (11 as repeated accepters and 22 as repeated rejecters; Fig. 2), suggesting high interindividual repeatability (Spearman’s correlation \(r_s = 0.87, 95\% \text{ CI} = 0.76–0.93, n = 35, P < 0.0001\); ICC = 0.87, 95\% CI = 0.77–0.94, \(F = 15.2, n = 35, P < 0.0001\); Fig. 3). Thirty of 32 females were consistent in their responses to nest clutter trials (all 30 as repeated rejecters). The repeatability of sanitation behavior was not significant because there was almost no variation in sanitation responses among individuals (Spearman’s correlation \(r_s = -0.03, 95\% \text{ CI} = -0.38–0.32, n = 32, P = 0.86\); ICC = −0.016, 95\% CI = −0.36–0.33, \(F = 0.97, n = 32, P = 0.536\); Fig. 3).
The best GLMM predicting combined responses to both artificial parasitism and nest sanitation experiments using AIC\(_c\) values included only nest ID and experiment type as predictors \((w_i = 0.29\); Table 2\). Three other models also had \(\Delta_i < 2\), but 95\% CIs of model-averaged parameter estimates overlapped 0 for all fixed effects except experiment type (i.e., whether the experimenter flushed the bird from the nest, order of experiment, and clutch size), so models containing these fixed effects did not have useful predictive value (Burnham and Anderson 2002). For GLMMs predicting responses to
artificial parasitism trials alone, only nest ID was included in the best model ($w_j = 0.42$; Table 2). Among artificial parasitism response models, there was a second model with $\Delta_i < 2$, but the 95% CI model-averaged parameter estimate for the fixed effect of flushing in this model included 0, so its overall effect was considered negligible.
Finally, there was no significant correlation between rates of removal of foreign objects vs. ejection of model eggs from nests among host species of obligate brood parasites (unaltered species-level Spearman’s correlation, $r_s = 0.38$, 95% CI = −0.33–0.81, $n = 10$, $P = 0.27$; independent contrast Spearman’s correlation, $r_s = 0.38$, 95% CI = −0.38–0.83, $n = 9$, $P = 0.31$; Fig. 4).
**Discussion**
We inserted blue artificial cowbird eggs and leaf debris into American robins’ nests as separate experiments with duplicate trials, and we did not find support for our individual-level proximate link predictions of Rothstein’s (1975a) nest sanitation hypothesis. Specifically, individual robins’ egg ejection responses were distinct from their nest sanitation responses (Table 2). The ejection/acceptance of artificial cowbird eggs was highly repeatable (i.e., consistent within individual robins, yet variable between them), but nest sanitation was invariant across nearly all contexts and subjects (Figs. 2 and 3). These results demonstrate that (1) between individuals, foreign egg recognition and ejection thresholds are variable while nest sanitation is consistent, and (2) within individuals, both egg ejection and sanitation decision thresholds are relatively fixed. These findings suggest that nest sanitation is a highly conserved behavior of American robins that may currently be under stronger selection than and unrelated to foreign egg recognition and ejection in this rejecter host species. However, these conclusions may be idiosyncratic to the blue-painted leaf stimulus used, because most robins removed it from their nest. Future studies may benefit from using an intermediately removed semi-natural sanitation stimulus, along with an intermediately rejected model egg, and testing...
individuals repeatedly with both stimuli in order to assess potential covariation between sanitation response and egg ejection thresholds across individuals.
We found that eliciting nest sanitation behavior does not prime hosts to be more likely to eject foreign eggs; the best model predicting egg rejection responses did not include the order in which artificial parasitism and nest sanitation experiments took place (artificial parasitism responses only; Table 2). Our findings are in contrast with Yang et al.’s (2015b) recent study of barn swallows, but unlike their study
Table 2 GLMMs of American robins’ responses to (1) artificial parasitism and nest sanitation experiments and (2) only the artificial parasitism experiment
| Models | $K$ | AIC$_c$ | $\Delta_k$ | $w_k$ |
|-----------------------------------------------------------------------|-----|---------|------------|-------|
| Artificial parasitism and nest sanitation responses ($n = 35$) | | | | |
| Nest ID + experiment type | 3 | 89.14 | 0 | 0.29 |
| Nest ID + flushed + experiment type | 4 | 89.36 | 0.22 | 0.26 |
| Nest ID + order of experiment + flushed + experiment type | 5 | 90.37 | 1.23 | 0.15 |
| Nest ID + clutch + nest stage + flushed + experiment type | 6 | 90.66 | 1.52 | 0.13 |
| Nest ID + clutch + flushed + experiment type | 5 | 91.16 | 2.02 | 0.10 |
| Nest ID + nest stage + order of experiment + flushed + experiment type| 6 | 92.07 | 2.93 | 0.07 |
| Nest ID + clutch × nest stage × order of experiment + flushed + experiment type | 11 | 100.69 | 11.55 | 0.00 |
| Nest ID | 2 | 138.2 | 49.06 | 0.00 |
| Artificial parasitism responses alone ($n = 35$) | | | | |
| Nest ID | 2 | 53.79 | 0 | 0.42 |
| Nest ID + flushed | 3 | 54.30 | 0.51 | 0.33 |
| Nest ID + clutch + flushed | 4 | 56.21 | 2.42 | 0.13 |
| Nest ID + clutch + order of experiment + flushed | 5 | 58.02 | 4.23 | 0.05 |
| Nest ID + nest stage + clutch + flushed | 5 | 58.22 | 4.43 | 0.05 |
| Nest ID + nest stage + order of experiment + flushed | 5 | 58.81 | 5.02 | 0.03 |
| Nest ID + nest stage × clutch × order of experiment × flushed | 10 | 74.51 | 20.72 | 0.00 |
Nest ID nest identity as a random effect; fixed effects include experiment type artificial parasitism experiment or nest sanitation experiment, flushed whether or not the experimenter flushed the robin away from its nest to begin an experimental trial, order of experiment ordinal position in which experimental trial took place, clutch clutch size at start of experimental trial, nest stage whether robin was in laying or incubation stage at start of trial. Models are ordered by their estimated quality according to Akaike information criteria corrected for small sample sizes (AIC$_c$) (Burnham and Anderson 2002) from top to bottom (highest to lowest quality). $K$ number of model parameters, $\Delta_k$ AIC$_c(i)$ − AIC$_c$(min), $w_k$ Akaike weights
Fig. 4 Scatterplot of foreign egg ejection vs. foreign object sanitation rates for $n = 8$ different avian brood parasite host species ($n = 5$ Molothrus atr hosts, $n = 3$ Cuculus canorus hosts). Rates were obtained from previous studies as well as the current study (see Table 1 for the rates). Error bars are ±binomial SE as percentages. Raw species-level Spearman’s correlation $r_s = 0.38$, 95% CI = −0.33−0.81, $n = 10$, $P = 0.27$. Independent contrasts Spearman’s correlation $r_s = 0.38$, 95% CI = −0.38−0.83, $n = 9$, $P = 0.31$
which presented sanitation and egg rejection stimuli simultaneously, our methodology allowed for the explicit examination of the influence of timing and order of egg ejection vs. nest sanitation; we performed artificial parasitism and nest clutter experiments separately in two counterbalanced-order treatment groups instead of simultaneously presenting model eggs with debris in nests. We conclude that foreign egg recognition and ejection are distinct from nest sanitation motivation and that they remain relatively consistent and repeatable within individual hosts regardless of whether or not the hosts have recently sanitized their nests of debris.
Nest sanitation is a ubiquitous behavior in American robins, a rejecter host species of the brown-headed cowbird, and this finding is consistent with pre-adaptation predictions of Rothstein’s (1975a) nest sanitation hypothesis at the species level. However, we found no significant correlation between foreign egg ejection and nest sanitation rates in our phylogenetic comparative analysis of eight host species (Fig. 4). Host species that consistently eject foreign eggs may exhibit highly frequent and consistent nest sanitation behavior as a consequence of having evolved an enhanced cognitive ability, selected for under the pressure of brood parasitism, which has a positive feedback effect on both egg ejection and nest sanitation (Bán et al. 2013) (e.g., heightened sensitivity for detecting any visual or tactile changes around the nest). It is also possible that nest sanitation and egg ejection are unrelated and that foreign egg recognition and ejection evolved independently of nest sanitation. Furthermore, the majority of nest sanitation behavior probably involves removal of egg shells and feces after eggs have hatched naturally (Tinbergen et al. 1962; Wallace and Mahan 1975; Blair and Tucker 1941; Guigueno and Sealy 2012). Because most interspecific brood parasites deposit their eggs during the laying and incubation stages of hosts, ejections of most foreign eggs occur before eggs begin to hatch. Nest sanitation was not a significant correlate of egg ejection behavior in our cross-species analysis of obligate brood-parasite hosts, yet previous studies insist that nest sanitation may be a pre-adaptation for anti-brood parasite defenses (Fig. 4 and Table 1). However, our interspecific comparisons are confined to only eight different host species from seven separate studies, where different types of debris and foreign egg stimuli were inserted into nests. In response to these inconsistencies, we advocate that robust phylogenetic comparisons of multiple species across brood parasite-host systems are needed before any definitive conclusions can be made about the role and directionality of nest sanitation in the evolution of foreign egg ejection. Additionally, we suggest that future studies replicate our methods in other brood parasite host species to improve the quality and power of phylogenetically informed, comparative tests across different host species.
Akin to our study, future experimental work investigating the nest sanitation hypothesis should use ecologically relevant, semi-natural stimuli to delineate clearly nest sanitation from egg ejection and consider the costs and benefits of each behavior within the context of the studied host species’ ecologies. In a review of the relevant experimental literature (Table 1), we found that past sanitation hypothesis studies focused on differences and similarities of hosts’ responses to various experimental objects placed in nests rather than measuring separately the variation in egg ejection and nest sanitation behavior within the hosts themselves (see also Guigueno and Sealy 2012), did not utilize ecologically relevant stimuli for measuring natural nest sanitation (i.e., removal of eggshells, fecal sacs, and debris), and did not have proper control objects (i.e., model conspecific eggs; see Table 1). The insertion of various artificial objects differing in their degrees of egg-like appearance into nests to examine how sanitation relates to egg ejection poses two problems: (1) the researcher defines when an observed behavior is egg ejection or sanitation based on how egg-like the objects appear from the human perspective and (2) a sanitation hypothesis which assumes that egg ejection and sanitation share a common discrimination threshold based on external stimulus’ features cannot be falsified based on behavioral data alone (i.e., neural activation pattern comparisons are necessary). In the past studies examined, sanitation stimuli did not differ properly from model eggs used in the number of sensory parameters (size, shape, color, material, texture, etc.) to properly investigate a cognitive task of nest sanitation separate from foreign egg recognition. In addition, the degree to which the model eggs’ color mimics either the host’s or its brood parasite’s eggs should also be carefully considered. Here, we have made an unwelt gamble in our use of artificial blue model cowbird eggs and blue-painted leaf clippings, but have carefully considered their use based on past work (Croston and Hauber 2014a, b) and believe it to be justified for the purposes of this study (Hauber et al. 2015; but see Lahti 2015). Finally, we recommend that future tests of the nest sanitation hypothesis measure the potential costs and benefits of nest sanitation directly and compare them with those of egg ejection to assess the adaptive relevance of each behavior to the host species of interest (e.g., compare sanitized vs. unsanitized nests, ectoparasite loads in nests, number of offspring fledged, and predation rates).
In American robins, an individual’s motivation to sanitize foreign debris from its nest seems to have little influence on the likelihood of recognizing a foreign egg in the nest and ejecting it. In accordance with the sanitation pre-adaptation hypothesis predictions, robins are a rejecter host species of brown-headed cowbirds that exhibit highly frequent and consistent sanitation behavior. However, the prediction that rejecter host species should exhibit greater sanitation than accepter host species across eight different host species was not statistically supported when controlling for phylogenetic relatedness (Fig. 4). In conclusion, we did not find evidence in
support of the nest sanitation hypothesis at the proximate or ultimate level, more data and replication of egg ejection and sanitation experiments across many host species are needed, and robust analyses using phylogenetic comparative methods are necessary before any definitive conclusions can be made about potential evolutionary patterns between nest sanitation and foreign egg ejection.
Acknowledgements We thank Moore’s Tree Farm; Seifert’s Tree Farm and Country Arbor’s Nursery of Champaign-Urbana, IL for generously providing access to their farms as field sites for our study and Matt Lederer for facilitating the preliminary field work. We also thank Thomas A. Gavin, Professor Emeritus, Cornell University, for the help with editing the English in this paper. Lastly, we thank Professor David Lahti of Queen’s College for the thoughtful comments and suggestions which improved the manuscript. Funding for this project was provided by the Human Frontier Science Program, the National Academies Keck Future Initiative program, and the Animal Behavior and Conservation program of Hunter College. A. Luro was supported in part by the Department of Animal Biology, University of Illinois at Urbana-Champaign, fellowship during the preparation of this manuscript.
Compliance with ethical standards
Ethical standards All experiments and procedures of this study were IUACUC approved (MH 2/16-T3) and complied with US laws.
Conflict of interest The authors declare they have no conflict of interest.
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Malone, S, Collins, K, McRobert, A and Doran, D
Quantifying the Training and Match-Play External and Internal Load of Elite Gaelic Football Players
http://researchonline.ljmu.ac.uk/id/eprint/18773/
Article
Citation (please note it is advisable to refer to the publisher's version if you intend to cite from this work)
Malone, S, Collins, K, McRobert, A and Doran, D (2021) Quantifying the Training and Match-Play External and Internal Load of Elite Gaelic Football Players. Applied Sciences, 11 (4). ISSN 2076-3417
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Quantifying the Training and Match-Play External and Internal Load of Elite Gaelic Football Players
Shane Malone 1,2,*, Kieran Collins 1,2, Allistair McRobert 1 and Dominic Doran 1
1 The Tom Reilly Building, Research Institute for Sport and Exercise Sciences, Liverpool John Moores University, Henry Cotton Campus, 15-21 Webster Street, Liverpool L3 2ET, UK; email@example.com (K.C.); firstname.lastname@example.org (A.M.); email@example.com (D.D.)
2 Gaelic Sports Research Centre, Department of Science, Technological University Dublin, Tallaght, 24 Dublin, Ireland
* Correspondence: firstname.lastname@example.org
Abstract: The current investigation quantified the training and match-play load of elite Gaelic football players across a two-season period using global positioning system technology (GPS), rating of perceived exertion (RPE) and sessional rating of perceived exertion (sRPE). Total weekly workload variables were collected across GPS, RPE, and sRPE across thirty-six elite Gaelic footballers (mean ± SD, age: 26 ± 5 years; height: 177 ± 8 cm; mass: 81 ± 7 kg) from one elite squad during a two-season observational period. External training load variables included: Total distance (m), High speed running (m; ≥ 17.1 km h⁻¹), Sprint distance (m; 22 km h⁻¹), Accelerations (n), Average metabolic power (W kg⁻¹), High-power distance (m; ≥ 25 W kg⁻¹). Internal load variables included: sRPE and RPE. Repeated measures ANOVA were used to understand the differences in loading patterns across phases, position, and week types when significant main effects were observed a Tukey’s post hoc test was applied and standardized effect sizes were calculated to understand the practical meaning of these differences. When total weekly loading across phases was considered total load was significantly greater in club 1 and provincial 1 with these phases showing the highest loading for players when compared to all other phases (p ≤ 0.001; ES: 2.95–7.22; very large). Furthermore, in-season 1 was greater for total loading when compared to in-season 2 and both championship phases (p ≤ 0.05; ES: 0.47–0.54; small). Total distance in training was greater during preseason 1 when compared to all other phases of the season (p ≤ 0.001; ES: 2.95–7.22; very large). During the in-season period, training based total distance was higher during provincial 1 when compared to other phases with similar trends across all measures (p ≤ 0.005). Finally, a positional profile for load measures was observed, with weekly context (match or non-match) having an impact on the internal and external loading players experienced across phases. The current data provide useful information for practitioners on the training periodization currently present within the elite Gaelic football training process. Specifically, the data provide positional profiles of loading across weekly and segmented phased of an elite Gaelic football season. These data can increase understanding as to the periods of increased and decreased loading across different phases of an elite Gaelic football season, while providing a framework for future analysis concerning Gaelic football periodization.
Keywords: positional profile; periodization; load monitoring; team sports; GPS
1. Introduction
The evolving nature of elite Gaelic football has resulted in a requirement for increased scientific knowledge regarding the optimization of training planning and structure. Indeed, Gaelic football competition is multicyclical in nature with the typical seasonal calendar including preseason games, national league games, provincial games, and All-Ireland games across a yearly calendar [1,2]. For example, during a typical national league game week, these amateur athletes may go through a weekly round of competition, recovery, training, and a subsequent round of competition. The above training and competition...
calendar results in an increased requirement of backroom staff to appreciate the typical training loads completed by elite Gaelic football players on a weekly and segmental basis across a seasonal period. These analyses allow staff prepare players to maximize performance across the seasonal period, but also for players and teams to peak at the appropriate time of the season namely the All-Ireland series which is deemed the most important competition across the Gaelic football calendar [2]. In line with this demand, there has been a proliferation of quantitative athlete monitoring approaches and strategies within elite Gaelic football teams, that are executed on daily basis [2].
The recruitment of sports science and strength and conditioning staff to the backroom teams of elite Gaelic football teams has resulted in the emergence of training load monitoring practices within these teams, with this exponentially growing across the last number of years owing to the need to monitor individual responses to training practices. Initially, practitioners were limited to the use of subjective scales to monitor players training load across weekly and seasonal periods (e.g., pre-season, in-season, club, provincial and championship phases). However, in recent times advancements in technology have resulted in the utilization of global positioning systems (GPS) and accelerometers within Gaelic football teams [3–7]. These two training load constructs of internal (RPE, sRPE) and external (GPS) load represent the two main monitoring mechanisms utilized by coaching staff to understand players loading across daily, and weekly phases during the season [8,9], with a combination of these two training factors typically manipulated for training planning, volume, and intensity [10,11].
The ability of conditioning staff within Gaelic football to understand internal and external training load allows for more effective training prescription, for example, GPS technology can provide important objective information pertaining to training drills, internal training games, specific conditioning interventions, global training sessions and global match-play. These systems allow for in-depth analysis on the running profiles of athletes with measures such as total distance travelled, total high-speed running completed, average metabolic power and mechanical loading through acceleration and deceleration analysis typically reported [12–14]. Furthermore, the utilization of the rating of perceived effort methodology across sessions (s-RPE), provides practitioners with actionable and useful information in determining the internal load of athletes; such that the physiological stress to the external load, can effectively be captured [1,2,15,16]. These data allow coaches and conditioning staff to manipulate athletes through periods of high and low training volume and intensity to ensure these athletes are optimally balanced within the fitness–fatigue paradigm to provide increased readiness for maximal performance levels during competition. This approach has now been adopted by several teams as part of their training monitoring systems across elite Gaelic football teams [1,2,17].
Periodization plans require careful manipulation of training volume and intensity to increase performance levels [8,18,19]. The appropriate application of periodization strategies allows for a more effective prescription of training that respects the natural peaks and troughs of players physical status across a training phase [20]. Accordingly, a balance between training stress, life stressors, match-play, and recovery are significant to improve performance levels and reduce subsequent injury risk [1,8]. Due to the lack of current data available in elite Gaelic football players, the periodization practices of elite teams are currently unknown. Anecdotally, teams will often employ a coach’s training philosophy based on years of coaching experience. However, it is unknown whether the periodization practices adopted demonstrate the necessary variation in training load that is typically associated with existing periodization practices [20]. Additionally, it is unknown if differences exist in loading strategies between playing positions, with positional-difference information limited to match-play data [3–7].
Finally, the context within which training load data is gathered is of importance as it will allow coaches to better plan and prescribe training at both a team and individual player level. As such, the application of player monitoring across both external load and internal load during training sessions is required. Moreover, within Gaelic football, it is
unknown, how training load is manipulated across specific competition phases currently. Given the above, the purpose of this study was to quantify the training load employed by an elite Gaelic football team across a two-season period including positional, match and non-match week and specific seasonal phase analysis using current applied monitoring methods.
2. Materials and Methods
2.1. Approach to Problem
External and internal training load data were collected across a two-season observational period within an elite Gaelic football team. External training load was quantified through the utilization of global positioning system technology (GPS; 4-Hz, VX Sport, Lower Hutt, New Zealand); with internal training load quantified through the application of the session rating of perceived exertion (Borg Scale: 1–10) methodology. All data were prospectively recorded over a two-season period in elite Gaelic football players (National League Division 1 and All Ireland Championship). Data were collected across the competitive season and was divided by (1) position, (2) match and non-match weeks and (3) distinct phases for descriptive purposes. These phases were Pre-season (December–January), In-season 1 (Feb–March: National League Game 1—National League Game 3), In-Season 2 (March–April: National League Game 3—National League Game 6), Club 1 (April, Club Month), Provincial 1 (May–June: Provincial championship), Championship 1 (July–August: All Ireland Knockout Phase 1), Championship 2 (August–September: All-Ireland Semi-Final and All Ireland Final). The data recorded included all training and match-play external and internal load data resulting in 22,896 individual observations across the duration of the analysis. The external and internal training load analysis presented in each block represents the average weekly total within the given season block to account for differences in the number of weeks within blocks. To analyze the distribution of training load by mode, a similar approach was taken to that of Ritchie et al. [8] where training was categorized into “training” (team training, field-based conditioning, sports specific training), “gym” (upper-body weights, lower-body weights, plyometrics, Olympic lifts), “match-play” (Competitive games), “individual skills” (Gaelic football-specific skills training completed with the coach or by the player alone), and “other” (boxing, cycling, swimming, altitude training, heat training, and cross-training). Finally, match and non-match weeks with a similar schedule were analyzed against one another to standardize this comparative analysis.
2.2. Participants
The current investigation was a prospective cohort study of elite Gaelic football players competing at the highest level of competition in Gaelic football (National League Division 1 and All-Ireland). Data were collected across thirty-six \((n = 36)\) players (Mean ± SD, age: 26 ± 5 years; height: 177 ± 8 cm; mass: 81 ± 7 kg) over a two-season period. Players competed in matches within the national football league, provincial championships, and the All-Ireland series during both seasons. The senior level playing experience of the current squad was 8 ± 6 years. Playing experience within a Gaelic football context refers to the time a player is registered to the senior elite playing squad. Currently in Gaelic football, players can be released from elite squads to return to sub-elite competition where management see appropriate. The study was approved by the local institute’s research ethics committee and written informed consent was obtained from each participant.
2.3. Training Load Analysis
Internal training load data were obtained through subjective means via the RPE-based method [21]. Data was collected 10–30 min following every field-based, indoor, and game-based session, as well as all strength training and cross-training conditioning sessions in the gym. To obtain a training impulse or total load value, the RPE was multiplied by session duration, providing a session RPE (sRPE) value for all training and game
events [10]. Players RPE was individually collected through the utilization of a custom-designed application on a portable tablet (iPad, Apple Inc, Cupertino, California, USA). Each player selected his RPE rating by touching the respective score on the tablet, which was then automatically saved under the player’s profile. This method helped minimize factors that may influence a player’s RPE rating, such as peer pressure and replicating other players’ ratings [9]. During the observational period, all players wore the same GPS unit (4Hz, VX Sport, Lower Hutt, New Zealand) for each training and match sessions to minimize interunit error [3–7]. The device was activated, and the satellite lock established for a minimum of 15 min before the commencement of each match [22]. GPS technology is a valid and reliable way of measuring distance and movement speeds in a range of high-speed, intermittent, contact, and noncontact sports [12]. The number of satellites for GPS was satisfactory during all competitive match-play events: range: 10–15 with an average of $12.3 \pm 3$ satellites per training and match-play activity, respectively. The horizontal dilution of position (HDOP) which reflects the geometrical arrangement of the satellites and is related to both the accuracy and quality of the signal was not collected, which is a limitation of the current study. Specific external training load parameters obtained from GPS include total distance (m); relative total distance (m·min$^{-1}$); high-speed running (m; $\geq 17.1$ km·h$^{-1}$) (HSR); very high-speed running (m; $\geq 19.8$ km·h$^{-1}$) (VHSR); sprint distance (m; $\geq 22$ km·h$^{-1}$); accelerations (n; $\geq 3$ m·s$^{-2}$); high-power meters (m; $\geq 25$ W·kg$^{-1}$); average metabolic power (W·kg$^{-1}$) [2–7]. Each player wore the device inside a custom-made vest supplied by the manufacturer across the upper back between the left and right scapulae.
2.4. Statistical Analysis
Prior to analysis all data were log transformed. All data were analyzed within SPSS Version 22, (IBM, UNICOM, Mission Hills, CA, USA) and are reported as mean ± SD unless stated. Prior to analysis all data were analyzed for normality through a Shapiro–Wilks assessment with a Levene’s test utilized to understand the homogeneity of variances within the data set. Any data that failed to meet these assessments were removed from further analysis with statistical significance set at an accepted level of $p < 0.05$. In the present study, time-period (mesocycles, microcycles and training days) and player’s position (FB, HB, MF, HF, and FF) were treated as independent variables, with all internal and external loading variables (sRPE and GPS variables) treated as dependent variables within the data set. Across the data set a series of repeated measure ANOVAs were completed to understand the variation across internal and external training loads across specific seasonal phases, position, and match week context (match or non-match). When significant main effects were observed a Tukey’s post hoc test was applied. Standardized effect sizes (ES) were calculated with <0.2, 0.21–0.6, 0.61–1.20, 1.21–2.00, and 2.01–4.0 representing trivial, small, moderate, large, and very large differences, respectively [23].
3. Results
3.1. Analysis of Internal Load by Phase
The average internal load across the seasonal phases was $2163 \pm 954$ AU. Analysis of variance revealed significant main effects for weekly loading across phases ($F = 111.8$, $p < 0.05$). When total weekly loading across phases was considered total load was significantly greater in club 1 ($p \leq 0.05$; ES: 0.33–0.97; small-moderate) and provincial 1 ($p \leq 0.05$; ES: 0.36–1.03; small-moderate) when compared to all other phases. Furthermore, in-season 1 was greater for total loading when compared to in-season 2 ($p = 0.045$; ES: 0.44; small) and both championship ($p \leq 0.05$; ES: 0.47–0.54; small) phases. Match-play loading was greater during championship 2 ($p \leq 0.001$; ES: 0.30–1.35; small-large) and in-season 2 ($p \leq 0.001$; ES: 0.06–1.01; trivial-moderate) when compared to other phases of the season. Club 1 was significantly lower for match-play load when compared to other phases ($p \leq 0.001$; ES: 0.91–1.35; moderate-large). Training based load was greater in pre-season versus all other phases of the season ($p \leq 0.001$; ES: 0.86–2.63; moderate-very large), with in-season 1 ($p < 0.05$;
ES: 0.66–1.41; moderate-large) and provincial 1 (p < 0.05; ES: 0.67–1.51; moderate-large) showing higher loading when compared to other phases. Championship 2 showed the lowest training-based load when compared to other phases of the year (p < 0.05; ES: 0.79–2.63; moderate-very large). Gym session loading was consistent across the season, lower gym loading was reported in the final two phases of the season when compared to other phases (p < 0.001; ES: 0.65–1.51; moderate-large). Finally, individual skill loading was significantly higher during club 1 (p < 0.05; ES: 0.72–2.81; moderate-very large) when compared to other phases of the season (Table 1, Figure 1).
**Table 1.** Analysis of weekly session RPE (sRPE) across specific phases of an elite Gaelic football season. Data presented as mean ± SD.
| Phase | Total Load | Match-Play | Training | Individual Skills | Gym Sessions | Other |
|---------------------|--------------|------------|----------|-------------------|--------------|-------|
| Pre-season | 2180 ± 850 b | — | 1080 ± 321 a | 240 ± 244 | 520 ± 123 | 340 ± 176 b |
| In-Season 1 | 2280 ± 1150 b | 610 ± 230 | 790 ± 350 b | 220 ± 130 | 410 ± 230 | 250 ± 210 b |
| In-Season 2 | 1840 ± 800 | 710 ± 370 a | 520 ± 130 | 120 ± 90 | 400 ± 100 | 90 ± 110 |
| Club 1 | 2680 ± 1140 a | 390 ± 250 | 560 ± 340 | 600 ± 230 a | 570 ± 200 | 560 ± 120 a |
| Provincial 1 | 2650 ± 870 a | 560 ± 130 | 780 ± 310 b | 450 ± 180 b | 530 ± 120 | 330 ± 130 b |
| Championship 1 | 1810 ± 920 | 690 ± 270 a | 530 ± 290 | 170 ± 110 | 320 ± 140 a | 100 ± 110 |
| Championship 2 | 1705 ± 950 | 780 ± 320 a | 395 ± 180 | 115 ± 80 | 325 ± 240 a | 90 ± 130 |
*Total load:* (a) Significant increase in total load between club 1, provincial 1 and all other phases (p ≤ 0.05). (b) Significant increase in total load during the preseason and in-season 1 when compared to in-season 2, championship 1 and championship 2 (p ≤ 0.05). *Match-play:* (a) Increase in match-load versus all other phases (p < 0.001). *Training:* Increase in load versus all other phases (p ≤ 0.05). (b) Significant increase in load between preseason 1 and provincial 1 when compared to other phases (p ≤ 0.05). *Individual skills:* (a) Significant increase in loading during club 1 versus all other phases (p ≤ 0.05). (b) Increase in load versus other phases (p ≤ 0.05). *Gym sessions:* (a) Significant decrease in load versus all other phases (p ≤ 0.001). *Other:* (a) Significant increase in load versus other phases (p ≤ 0.05). (b) Increase in load versus other phases (p ≤ 0.05).
### 3.2. Analysis of External Load by Phase
The external load of elite Gaelic footballers across specific variables is presented within Table 2. Analysis of variance revealed significant main effects for weekly distance covered across phases (F = 389.3, p < 0.05). Total distance in training was significantly greater during pre-season 1 when compared to all other phases of the season (p ≤ 0.001; ES: 2.95–7.22; very large). Within the in-season period training based total distance was higher during provincial 1 when compared to other phases (p ≤ 0.05; ES: 0.16–2.32; trivial-large). When match-play total distance was considered championship 2 had the highest total distance (p ≤ 0.05; ES: 0.10–0.67; trivial-moderate) when compared to other phases followed by championship 1 and in-season 2 periods. Similar trends were observed for high-speed running and very high-speed running. When sprint distance was considered the pre-season 1 phase (p ≤ 0.05; ES: 0.33–1.69; small-large) showed the highest sprint distance completed with this significantly reduced across phases for the duration of the season (Table 2). The distribution of high-power meters (m; ≥ 25 W/Kg$^{-1}$) and average metabolic power ($P_{met}$; W/Kg$^{-1}$) across seasonal phases is shown in Figure 2. Increases in loading were seen between pre-season and in-season 1 (p = 0.038; ES: 0.32; small). Additionally, increases in loading were noted between club 1 and provincial 1 (p = 0.021; ES: 0.98; moderate) and pre-season 1, in-season 1 (p = 0.021; ES: 0.89; moderate) and in-season 2 (p = 0.004; ES: 1.45; large). When average metabolic power was considered this variable was seen to increase from preseason phase to in-season 1 (p = 0.045; ES: 0.78; moderate) with further increases noted during the provincial 1 phase (p ≤ 0.05; ES: 0.58–1.44; moderate-large) when compared to the rest of the seasonal phases.
### 3.3. Positional Analysis of External Load by Phase
Analysis across specific seasonal phases and position for specific external load measures are shown in Figure 3. Analysis of variance revealed significant main effects for position on the external loading patterns across phases (F = 987.3, p < 0.05). Irrespective of the phase of the season position specific profile was observed for external load. Across all seasonal phases, half back (p ≤ 0.05; ES: 0.33–0.58; moderate), midfield (p ≤ 0.05; ES:
1.16–2.32; large), half forward ($p \leq 0.05$; ES: 0.45–0.66; moderate) players covered significantly greater volumes of total distance when compared to full back and full forward players. Similar trends were observed for high-speed running across the phases of the season. When metabolic power indices were considered midfield players ($p \leq 0.05$; ES: 0.26–0.59; small-moderate) showed significant increases in high power meters and average metabolic power across all phases when compared to the half back and half forward lines, with additional significant increases observed for half back ($p \leq 0.05$; ES: 0.26–0.92; small-moderate) and half forward ($p \leq 0.05$; ES: 0.22–0.98; small-moderate) lines when compared to full back and full forward lines across similar measures.
3.4. Match and Non-Match Weeks across Position and External Load
The effect of weekly match context on specific external load measures are presented in Figure 4. During non-match weeks players were shown to have significant ($p = 0.045$; ES: 0.31–0.89; small-moderate) increases in total distance when compared to match weeks. Similar trends were observed for high-speed running across match and non-match weeks. Increases in high power meters ($p = 0.035$; ES: 0.31; small) and average metabolic power ($p = 0.035$; ES: 0.35; small) were also observed across non-match weeks when compared to match weeks.
Figure 1. The session RPE (sRPE) training load distribution across phases (large bar) and all modes (small bars) mean ± SD. Abbreviations: AU, arbitrary units. (A) Significant increase in loading between pre-season and in-season 1 ($p \leq 0.05$). (B) Significant decrease in loading between pre-season, in-season 1 and in-season 2 ($p \leq 0.05$). (C) Significant increase in load between club 1 and provincial 1 and pre-season, in-season 1 and in-season 2 ($p \leq 0.05$). (D) Significant decrease in load between in-season 1, club 1, provincial 1, and championship 1 and championship 2 ($p \leq 0.05$).
Table 2. Analysis of external training load variables across phases for specific volume and mechanical metrics. Data presented as mean ± SD.
| Phase | Duration (min) | Total Distance (m) | High Speed Distance (m) | Very High-Speed Distance (m) | Sprint distance (m) | Accelerations (n) |
|----------------|----------------|--------------------|--------------------------|------------------------------|---------------------|------------------|
| | Training | Match-Play | Training | Match-Play | Training | Match-Play |
| Pre-season | 155 ± 50 \(^a\) | - | 22,369 ± 2300 \(^a\) | - | 2813 ± 890 \(^a\) | - |
| In-Season 1 | 120 ± 35 | 72 ± 5 | 12,546 ± 3456 | 8999 ± 1098 | 1687 ± 810 | 1513 ± 786 |
| In-Season 2 | 110 ± 35 | 72 ± 5 | 11,354 ± 2980 | 9321 ± 1287 \(^b\) | 1403 ± 934 | 1797 ± 874 |
| Club 1 | 150 ± 30 \(^a\) | 65 ± 3 \(^a\) | 13,877 ± 2877 | 8679 ± 1321 | 1787 ± 879 | 1496 ± 599 |
| Provincial 1 | 150 ± 35 \(^a\) | 75 ± 6 | 14,356 ± 3076 \(^b\) | 9521 ± 1087 \(^b\) | 2002 ± 913 \(^b\) | 1689 ± 531 |
| Championship 1 | 95 ± 40 | 77 ± 4 | 10,356 ± 3211 \(^c\) | 9412 ± 1098 \(^b\) | 1635 ± 956 | 1865 ± 597 |
| Championship 2 | 90 ± 36 | 71 ± 7 | 8876 ± 1297 \(^d\) | 954 ± 1256 \(^a\) | 1656 ± 966 \(^a\) | 1654 ± 654 \(^a\) |
**Duration:** *(Training):* (a) significant increase in duration between pre-season and club 1 and provincial 1 and all other phases \((p < 0.05)\). *(Match-play):* (b) moderate decrease in match duration versus other phases \((p \leq 0.05)\).
**Total distance:** *(Training)* (a) significant increase in distance versus all other phases \((p < 0.001)\). (b) Significant increase in total distance versus in-season 1, in-season 2, club 1 \((p \leq 0.05)\). (c) Significant decrease in total distance between in-season 2 and provincial 1 \((p \leq 0.05)\). *(Match-play):* (a) significant increase in total distance versus in-season 1, in-season 2, club 1, and provincial 1 \((p < 0.001)\). (b) Significant increase in total distance when compared in-season 1 and provincial 1 \((p \leq 0.05)\).
**High Speed Distance:** *(Training)*: (a) significant differences between preseason and all other phases \((p \leq 0.001)\). (b) Significant differences between provincial 1 and all other phases \((p \leq 0.05)\). *(Match-Play):* (a) significant differences between championship 2 and all other phases \((p \leq 0.05)\). (b) Significant differences between club 1 and provincial 1 and all other phases \((p \leq 0.05)\). *(Match-play):* (a) differences between championship 1 and championship 2 and all other phases \((p \leq 0.05)\). (b) Significant differences between provincial 1 and other phases \((p \leq 0.05)\).
**Very high-speed distance:** *(Training):* (a) differences between preseason and all other phases \((p \leq 0.05)\). (b) Significant difference between in-season 1 and in-season 2 and all other phases \((p \leq 0.05)\). (c) Differences between in-season 1, in-season 2, club 1, provincial 1, and championship 1 and championship 2 \((p \leq 0.05)\).
**Accelerations (Training):** difference between in-season 1 and other phases \((p \leq 0.05)\). *(Match-play):* differences between club 1 and other phases \((p \leq 0.05)\).
Figure 2. The distribution of high-power meters boxes (m; $\geq 25$ W·kg$^{-1}$) and average metabolic power line ($P_{\text{met}}$, W·kg$^{-1}$) across seasonal phases within an elite Gaelic football team. All data presented as mean ± SD.
Figure 3. Cont.
Figure 3. The positional distribution of external load across phases for (A) total distance (m), (B) high speed running (m; $\geq 17.1$ km h$^{-1}$), (C) high-power distance (m; $\geq 25$ W·kg$^{-1}$), and (D) average metabolic power ($P_{met}$; W·kg$^{-1}$). Data presented as mean ± SD.
Figure 4. Cont.
Figure 4. The distribution of external load with respect to match week context (match or non-match weeks) for (A) total distance (m), (B) high speed running (m; $\geq 17.1$ km·h$^{-1}$), (C) high-power distance (m; $\geq 25$ W·kg$^{-1}$), and (D) average metabolic power ($P_{met}$; W·kg$^{-1}$). Data presented as mean ± SD.
4. Discussion
The current investigation aimed to quantify the internal and external training load experienced by an elite Gaelic football team across a two-season period. The investigation applied a specific analysis across position, match week context, and seasonal phase. The data indicated that total weekly internal load across phases was greater in club 1 and provincial 1 when compared to all other phases. Furthermore, in-season 1 showed greater internal loading when compared to championship phases. The data showed a consistent trend for a positional profile for external training load measures across all seasonal phases with a bell-shaped curve noted across weekly external training load. Furthermore, external loads were highest within pre-season and provincial 1 when compared to other phases of the season. Finally, the investigation reported for the first time within elite Gaelic football a differentiation in loading across match and non-match weeks. Our data showed that non-match weeks were consistently higher for external training load when compared to match weeks.
Present data agrees with existing literature where pre-season training load is greater than in-season training load [1,8,11,24]. Within Gaelic football for the first time, we report the internal loading across specific constructs of training load composition such as training, individual skills, gym, and other formats of conditioning. The main findings from the present observational data are that the pre-season period has the highest internal training load when compared to all other phases of the season. The above observation is not
surprising given that the emphasis during pre-season is to build and rebuild the generic and specific fitness parameters of elite Gaelic football players following the detraining that potentially occurs during the off-season. As such, players will complete maximal testing both within the gym and on-field during this phase with these measures used to prescribe general running based conditioning that accompanies more specific methods of training such as simulated phases of play, small-sided games, and skill-based drills [25]. The increase in loading across training may be also related to reduced fitness capacities impacting players perception of load. Indeed, previous literature has shown that aerobic fitness as measured through a 1-km time trial was associated with increased or decreased perception of loading as measured through session rating of perceived exertion [15,16].
Furthermore, the in-season 1, club 1, and provincial 1 phases were shown to have the greatest accumulation of total loading when compared to other phases of the year, these results appear to flow with the natural layout of the current Gaelic football competition calendar. Indeed, within the in-season 1 period teams are traditionally in competition within the national league while also aiming to concurrently increase the physical capacities of players, as such increased loads within this phase are not surprising as the phase acts a building phase in line with the pre-season phase of the year. The club 1 phase of the season is a dedicated club month where elite players return to their sub-elite club teams for club championship with a cessation in elite intercounty activity during this phase. However, players will typically utilize this phase as an additional building phase as highlighted within the current data by an increase in “individual skills” and “other” internal load across this specific phase. Therefore, it can be speculated that players may engage in additional conditioning sessions to maintain what they perceive to be the required running abilities to compete upon the resumption of elite activity within the provincial 1 phase. Furthermore, within the provincial 1 phase there was an increased loading paradigm employed within the current team, this is not a surprising finding given that this phase typically houses training camp(s) that focuses on technical and conditioning elements. Additionally, coaches will try to increase players specific tactical knowledge and understanding given that this phase represents the start of the All-Ireland competition. When match load was considered, it appears that the importance of the match impacted player perceived loading with an increase in loading across match-play during the in-season 2 and championship 2 phases where the national league and All-Ireland finals would typically take place. Furthermore, match load was seen to represent 38–55% of the weekly total loading within elite Gaelic football players.
To further understand the training load practices of an elite Gaelic football team the external load of the team was also analyzed across positions and phases of the season. The study found a consistent trend for a distinct positional profile within the external loading of Gaelic football players across the seasonal phases. This may be related to the specific conditioning and training strategy employed within the current observational cohort. Indeed, the philosophy of the coach was towards simulated phases of play or small sided games with a positional condition within them, as such players were consistently exposed to game specific situations resulting in game specific distances being covered across specific phases. When a phase specific analysis of the data was completed the data showed that total distance in training was greater during pre-season 1 and provincial 1 when compared to other phases. Interestingly, we report that match-play total distance increased across the championship 2 and in-season 2 periods suggesting that match-play demands increase as the Gaelic football season progresses. Similar trends were observed for high-speed running and very high-speed running. Coaches may need to consider the observations noted across high-power meters ($m_p \geq 25$ W·kg$^{-1}$) and average metabolic power ($P_{met},$ W·kg$^{-1}$) across seasonal phases within the current investigation. Indeed, given the known association between average metabolic power and aerobic capacity within elite Gaelic football players [13], the data suggests a reduction in aerobic capacity across the elite Gaelic football season as reported by an overall reduction from the highest point in the season (In-Season 1) and the championship 2 phase. These findings have been shown
across many team sports and may be related to shift in focus from aerobic based nonspecific conditioning towards more specific methods such as simulated game play and small-sided games. While important within team sports these methodologies may reduce players mechanical and metabolic efficiency over time resulting in lower average metabolic power accumulation within training and match-play. Additionally, management and performance staff need to manage the fitness-fatigue paradigm of players during the most important phases of the year to ensure the team taking to field is the strongest from a running and technical perspective [1,26,27].
Not surprising and consistent with the shift in training focus from fitness increases to fatigue management. Coaches within the current study were shown to be able to plan effective in-season training programs that facilitate the preparation for and recovery from competition [2,18,26,28,29]. Not surprisingly, Gaelic coaches typically will plan out specific coaching and conditioning goals across phases of the season. Indeed, all these are tailored towards match-weeks, with the aim of all performance and management staff to ensure the maximal performance capabilities within all match-play situations. Performance has previously been defined as fitness minus fatigue [18–20,29]. Given these observations the aim of all performance staff is to ensure maximal freshness within players preceding all match scenarios. Within our current investigation, match weeks showed a consistent trend for lower external training load across both running and metabolic power measures. This may be explained by management planning specifically for the opposition they will face at the weekend, as such conditioning coaches will generally allow coaches have one session where players can accrue elements of fatigue typically on Tuesday of a match week. Post the Tuesday session players and coaches alike are focused on the weekends match-play. Therefore, the Thursday session is typically a skills and specific set play oriented session in a similar fashion to those observed within rugby union. Furthermore, the importance of match-play appears to have influenced the training load across the current investigation with reductions in loading across in-season 2. This phase is typically when the national league final takes place with a further reduction in loading observed within the championship phases where the All-Ireland competition would take place. The data reported within the current investigation may show that coaches adopted a pre-competition reduction in load to protect against injury, such as that shown in rugby league where reductions in load in the preseason reduce risk of injury and result in greater improvements in physical fitness [26,27]. Collectively, these data suggest that training and game load is periodically managed before competition, possibly to reduce risk of injury and improve potential match performance [1,8,26].
The combination of internal (s-RPE) and external (GPS) load monitoring is important for practitioners in understanding the totality of training load accumulated across specific meso, micro and macrocycles during a Gaelic football season. Indeed, the integration of both internal- and external-load measures may be a viable and feasible monitoring strategy within these amateur athletes given the extensive external stressors these athletes encounter post training within their everyday lives a monitoring system that aims to assess all constructs of load may be even more appropriate within the Gaelic football cohort. Moreover, load distribution is largely affected according to the time of the season, with the pre-season containing the highest amounts of conditioning and skills while the in-season is characterized by a focus on competition and recovery. Despite these novel findings within Gaelic football cohorts, the authors acknowledge that the current investigation is a case study of one team. However, the current team were monitored across a two-season period thus providing an increased data set in comparison to most team sport periodization literature. Whilst it is acknowledged that the current data is specific to the current cohort of players and the specific coaching style and conditioning philosophies employed across the analysis period. Indeed, it must be acknowledged that the performance staff of the current team were well educated on specific loading practices and philosophies to maintain performance and reduce injury risk as such across specific situations players were managed across the season for reduced training loads this may have impacted the typical weekly
loadings observed within the current investigation. In addition, the training practices presented in the current study are likely to be different at the individual level. Future research should aim to understand the dose–response relationship of the reported internal and external variables analyzed by performance staff within Gaelic football and changes in fitness characteristics of players across a season. Furthermore, given the known practical issues conditioning coaches face across a seasonal period it would be prudent to understand the different loading patterns between starters and nonstarters in Gaelic football. With a greater understanding required across how these specific players are managed from a conditioning and training perspective. Finally, it is important that support staff within elite Gaelic football teams understand the knowledge base of coaches and management with respect to sport science to provide the most effective monitoring system to these key stakeholders, as such an analysis of knowledge and understanding of management is important and is warranted. Future research should aim to understand both coaching and player perception of the fundamental application of sport science and training load monitoring within elite Gaelic football teams. Additionally, there should be a focus on how training load directly relates to changes in physical performance metrics and injury profiles within elite Gaelic football. Finally, data derived from multiple teams and differing competitive levels of the national leagues would also enhance our understanding of training load within the elite Gaelic football setting. Therefore the creation of a centralized database for Gaelic football teams from an internal and external training load perspective may be prudent and provide increased insights into the match and training demands of these players.
5. Conclusions
To conclude, the current investigation systematically quantified the training load employed by an elite Gaelic football team across a two-season period using a combination of internal and external training load methodologies. The data from this study revealed that the Gaelic football pre-season contains higher training loads, when compared to the in-season period where there is a shift in load distribution such that 38–55% of load is obtained via competition. Given the amateur status of Gaelic football athletes, an increase in the understanding of the specific distribution of load across a season may aid practitioners in planning and structuring future seasonal plans. Furthermore, given the increased external stresses placed on these athletes there may be a need to switch practitioner philosophies towards a model of freshness over fitness and conditioning athletes more in a game-style model as opposed to nonspecific conditioning elements. Additionally, there is a need to compare specific periodization strategies within elite Gaelic football to understand if the current investigations data is in-line or an outlier when compared to other elite Gaelic football teams. The current study is a case-study analysis of a single team; the distribution and variation of load across the season may vary between other elite teams and standards of play. Future research incorporating other modes of load monitoring, as well as examining, years of experience, and individual responses to specific training blocks, will help Gaelic football practitioners in understanding the dose–response variation to components of fitness across a season.
Author Contributions: All authors contributed to the manuscript across the following key definitions: Conceptualization, S.M., K.C. and D.D.; Data curation, S.M.; Formal analysis, S.M. and D.D.; Investigation, S.M.; Methodology, S.M., K.C., A.M. and D.D.; Project administration, A.M. and D.D.; Resources, K.C., A.M. and D.D.; Software, K.C. and D.D.; Supervision, K.C., A.M. and D.D.; Visualization, S.M.; Writing—Original draft, S.M. and K.C.; Writing—Review and editing, K.C., A.M. and D.D. All authors have read and agreed to the published version of the manuscript.
Funding: This research received no external funding.
Institutional Review Board Statement: The study was conducted according to the guidelines of the Declaration of Helsinki and approved by the institutional Ethics Committee of Technological University Dublin, Tallaght (REC-PGR5R-201920; Approval Date: 19 July 2019).
**Informed Consent Statement:** Informed consent was provided by all subjects who took part in the current investigation.
**Acknowledgments:** The authors would like to thank the management, backroom team and players of the Gaelic football team investigated within the current manuscript who provided their time and commitment to the current investigation across the observational period.
**Conflicts of Interest:** The authors declare no conflict of interest.
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28. Slattery, K.M.; Wallace, L.K.; Bentley, D.J.; Coutts, A.J. Effect of training load on simulated tram sport match performance. *Appl. Physiol. Nutr. Metab.* **2012**, *37*, 315–322. [CrossRef] [PubMed]
29. Malone, S.; Hughes, B.; Collins, K.; Akhtar, I. Methods of Monitoring Training Load and Their Association With Changes Across Fitness Measures in Hurling Players. *J. Strength Cond. Res.* **2020**, *34*, 225–234. [CrossRef]
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The NZ Private Surgical Hospitals Association:
A briefing for the incoming Minister
Collectively, members of the association provide for:
- 170 theatres
- 37 procedure rooms
- 1,445 beds
- 3,438 FTE staff
- Around 170,000 procedures per annum (14,897 of which were DHB contract procedures – 2017 figures)
- Approx 50% of all elective surgery in New Zealand
Our members currently perform over 170,000 surgeries a year and we estimate we have the capacity to undertake a significant number of additional operations annually.
Government could engage the private hospitals sector to provide services to meet the growing, unmet demand for elective surgery.
Government could reform the health insurance system to ensure premiums remain affordable for New Zealanders as they age.
The content of this document has been carefully and thoroughly reference-checked. The references are available on request.
Introduction
This paper discusses two key issues:
1. How the private hospitals sector can cater cost-effectively and efficiently to the unmet demand for elective surgery, while relieving pressure on DHBs.
2. The need to make health insurance more affordable for ageing New Zealanders, thus encouraging them to take financial responsibility for their own healthcare.
Providing for elective surgery demand
New Zealand has a growing, and unmet, demand for elective surgery, and overall waiting times are increasing. The private hospitals sector has significant capacity, and the experience and expertise, to absorb much of this demand. By working formally and collaboratively with Government to provide elective surgeries around the country, the private hospitals sector can support Government’s elective surgery goals, reduce government’s capital investment requirements and improve the quality of life for thousands of New Zealanders.
Recommendation:
That government and the private hospitals sector partner to provide service to meet the growing, unmet demand for elective surgery.
Reforming health insurance
Current levels of public funding will not sustain the health system and ensure it meets the growing demand it faces. One solution is to encourage more New Zealanders to take more financial responsibility for their own health care, especially as they age. But the current health insurance system discourages that (premiums become too expensive), and ageing New Zealanders stop or reduce their insurance cover, instead relying more on State-funded care.
Recommendation:
Reform the existing system to ensure insurance remains more affordable by removing FBT and establishing a progressive community rating.
General comments
The New Zealand Private Surgical Hospitals Association agrees that, largely, New Zealand’s public health system functions well and provides for the needs of the majority of New Zealanders.
However, the increasing challenge facing any government is funding the ever-growing needs of a system that has the demanding job of providing sufficient quality facilities to meet all the requirements of the country’s ageing and growing population.
It’s not only the ageing population that is an issue; it’s also the increase in chronic conditions that will put more pressure on the public system.
This is where the country’s private hospitals can support government.
Our members wish to build more formal, long-term relationships with DHBs and to work collaboratively with them to help absorb some of the growing demand they face.
We are able to bring capital to the New Zealand health system, ensuring facilities are available without needing government funds to provide them. For instance, there is currently an oversupply of operating theatres and procedure rooms in New Zealand.
Our members can provide both baseline and peak demand elective services for DHBs as part of a partnership model that combines and maximises the strengths of both the private and public sector delivery arms.
Put simply, we are offering to assist DHBs meet their demands while reducing their financial burden, saving them valuable and much-needed capital and allowing them to invest funds in other health priorities.
We are an additional resource that provides extra capacity and extra funding to help balance a hardworking public health sector with cost-effective and efficient services to DHBs.
*We are here to help.*
How the private sector can support government policy: Catering to the unmet demand for surgery while relieving pressure on DHBs
Many DHBs have elective surgery capacity problems that create a range of issues for patients, and garner adverse media attention.
More than **350,000** New Zealanders 18 years and over have some form of elective surgery each year.
An additional **280,000** have been told they need some form of elective surgery but only 110,000 of those are on waiting lists.
More than half of the **280,000** who require elective surgery but haven’t had it say their quality of life is worse than it was five years ago. A quarter state their quality of life is a lot worse, driven by a lack of mobility and higher levels of pain.
Almost a third of those who require elective surgery have had to make significant lifestyle changes.
Overall waiting times for surgery have increased since 2013. Among those waiting for surgery, waiting times are up by **80 days** to **304 days**.
We understand there is always a need to invest in hospital facilities to keep pace with population health needs, however we contend that it is uneconomic to invest in more DHB beds or theatre capacity for elective surgery when the private sector:
- Has significant capacity and flexibility – and the expertise – to absorb additional load.
- Can do so at less cost.
- Can save the government significant funds in infrastructure funding – funding that can be redeployed into other priority areas.
Our members currently perform over **170,000** surgeries a year and we estimate we have the capacity to undertake a significant number of additional operations annually.
That would both support government’s elective surgery goals and provide for a significant unmet demand, greatly improving the quality of life for thousands of New Zealanders who cannot get timely surgery.
**Recommendation**
1. The NZ Private Surgical Hospitals Association recommends government formally partner with its members to outsource a large percentage of the additional surgeries that are required by New Zealanders. This would help to meet this large unmet demand while relieving the load on DHBs, enhancing efficiencies and reducing government capital expenditure requirements.
The need to reform health insurance
In our view, New Zealand’s health system is unsustainable in its current form.
Our ageing population continues to put an ever-growing demand on our health services, and current levels of public sector funding will not be able to provide the facilities, equipment and staff that will be needed.
The NZPSHA believes there are three avenues (not mutually exclusive) open to the government:
1. Significantly increase taxation to fund health care.
2. Finds ways of keeping the elderly well, in their homes and supported by low cost health services.
3. Encourage those with the ability to do so to contribute to the funding of their healthcare.
Countries with a mixed public-private health care system appear to achieve better health outcomes and demonstrate better control of health expenditure.
Internationally, countries that community rate their health insurance (i.e. premiums are based upon the risk of the community as whole, not just the individual) appear to get the best health outcomes relative to health expenditure.
New Zealand has a risk-rated health insurance system. As risk increases so do premiums. This means that as New Zealanders age, and they are most in need of health care, they tend to drop their health insurance. This transfers the burden of care to the taxpayer-funded health system.
Recommendation
The NZ Private Surgical Hospitals Association recommends some government intervention to ensure our health insurance system is working in the best way to benefit individuals and the community as a whole.
This intervention needs to help older New Zealanders retain health insurance cover. Suggested measures include:
1. Remove FBT on health insurance so, with employer support, younger, healthier people take out health insurance, lowering the community risk.
2. Establish a progressive community rating which sees health insurance remain affordable for older New Zealanders. This will encourage them to retain cover, reducing the burden on the government.
Background
The New Zealand Private Surgical Hospitals Association (www.nzpsha.org.nz) promotes, positions and connects the private surgical hospitals in New Zealand. In addition, the association:
- Strengthens the private surgical sector by facilitating capability development opportunities with an educational focus. This supports members in their delivery of quality healthcare to enhance patient outcomes.
- Represents and advances the position of private surgical hospital providers in New Zealand by highlighting and promoting the added value the sector brings to the health of New Zealanders. It does this by providing specialised advice to government and other agencies, and by raising issues of concern to private hospitals and proposing solutions to politicians, government and other stakeholders.
Membership
The NZPSHA represents an important part of the country’s health sector. The association comprises 27 member hospital groups located over 39 hospital facilities (a member of NZPSHA can be a stand-alone hospital or a hospital group).
Members are certified to the Health and Disability Services (Safety) Act 2001 or accredited against international standards. We believe that all New Zealand hospitals and day-stay facilities should meet these standards.
While all the major private surgical hospitals in New Zealand are members of the NZPSHA, there is a large cohort (in the region of 600 such providers) of day-stay and rooms-based private surgical providers that do not meet the NZPSHA’s membership criteria.
Statistics
Collectively, member hospital facilities of the association provide:
- 170 theatres
- 37 procedure rooms
- 1,445 beds
- 3,438 FTE staff
- Approximately 50 percent of all elective surgery in New Zealand
- Over 170,000 procedures per annum (14,897 of which were DHB contract procedures – 2017 figures)
What we do
Private hospitals provide improved access to healthcare for all New Zealand. NZPSHA members are located across the country and offer additional capacity over and above the public sector.
NZPSHA members undertake a full range of elective surgery, from complex neurosurgery and cardiothoracic surgery through to minor procedures. A little over half of all elective surgery conducted in New Zealand is performed in NZPSHA-member hospitals.
The NZPSHA is the sector’s major voice to government, ministries, and other health sector representatives (NZ Medical Council, Health Funds Association of NZ). The association works closely with ACC and other funders and has a representative ACC working party that meets regularly to discuss elective surgery contract holder matters on behalf of members.
The NZPSHA aligns its clinical indicator reporting programme closely to ACC and the Health Safety and Quality Commission (HQSC). Its aggregated clinical indicator data reports are provided to the HQSC with which it engages closely, with several representatives on HQSC expert advisory groups and committees.
The NZPSHA also has an active nurse and clinical leaders group that meets twice a year, and which is the mechanism for valuable information-sharing on nursing and other clinical matters.
The NZPSHA holds MoUs with the Medical Council of NZ, Health Informatics NZ and the Royal Australasian College of Surgeons.
The New Zealand Private Surgical Hospitals Association promotes, positions and connects the private surgical hospitals in New Zealand.
**NZPSHA MEMBERS PROVIDED APPROXIMATELY 170,000 PROCEDURES IN 2017**
**50%**
NZPSHA MEMBERS PROVIDE IN THE REGION OF 50% OF ALL ELECTIVE SURGERIES IN NEW ZEALAND
**39**
HOSPITAL FACILITIES
**1,445**
SURGICAL BEDS
**3,438**
FTE STAFF
---
**AUCKLAND**
- Auckland Eye Limited
- Endoscopy and Laparoscopy Auckland
- Gillies Hospital
- MercyAscot Hospitals
- Ormiston Hospital
- Quay Park Surgical Centre
- Remuera Surgical Care
- Rodney Surgical Centre
- Auckland Surgical Centre Ltd
- Northern Surgical Centre Ltd
- Southern Cross Hospital, Brightside
- Southern Cross Hospital, North Harbour
**NORTHLAND**
- Eye Specialists Ltd
- Kensington Hospital
**WAIAKATO**
- Anglesea Hospital
- Braemar Hospital
- Southern Cross Hospital, Hamilton
- Tristram Clinic Limited
**TARANAKI**
- Southern Cross Hospital, New Plymouth
**WANGANUI**
- Belverdale Hospital Ltd
**NELSON**
- Manuka Street Hospital
**MARLBOROUGH**
- Churchill Private Hospital Trust
**BAY OF PLENTY**
- Grace Hospital
**ROTORUA**
- Southern Cross Hospital, Rotorua
**EAST COAST**
- Chelsea Private Hospital
**HAWKES BAY**
- Royston Hospital
**MANAWATU**
- Crest Hospital Limited
**WAIRARAPA**
- Selina Sutherland Hospital
**WELLINGTON**
- Boulcott Hospital Ltd
- Bowen Hospital
- Southern Cross Hospital, Wellington
- Wakefield Hospital
**CHRISTCHURCH**
- Christchurch Eye Surgery
- Forté Health
- Southern Cross Hospital, Christchurch
- St George’s Hospital Inc
**SOUTH CANTERBURY**
- Bidwill Trust Hospital
**OTAGO**
- Mercy Hospital Dunedin Limited
**SOUTHLAND**
- Southern Cross Hospital, Invercargill
---
c/- Executive Director
New Zealand Private Surgical Hospitals Association
PO Box 25448, Featherston Street, Wellington 6011
**telephone** 0800 469 774 | **mobile** 027 380 3111 | **email** firstname.lastname@example.org
**website** www.nzpsha.org.nz
|
Dissolution Dynamics and Accumulation of Ag Nanoparticles in a Microcosm Consisting of a Soil-Lettuce-Rhizosphere Bacterial Community
Wu, Juan; Zhai, Yujia; Liu, Gang; Bosker, Thijs; Vijver, Martina G.; Peijnenburg, Willie J.G.M.
DOI
10.1021/acssuschemeng.1c04987
Publication date
2021
Document Version
Final published version
Published in
ACS Sustainable Chemistry and Engineering
Citation (APA)
Wu, J., Zhai, Y., Liu, G., Bosker, T., Vijver, M. G., & Peijnenburg, W. J. G. M. (2021). Dissolution Dynamics and Accumulation of Ag Nanoparticles in a Microcosm Consisting of a Soil-Lettuce-Rhizosphere Bacterial Community. ACS Sustainable Chemistry and Engineering, 9(48), 16172-16181. https://doi.org/10.1021/acssuschemeng.1c04987
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Dissolution Dynamics and Accumulation of Ag Nanoparticles in a Microcosm Consisting of a Soil–Lettuce–Rhizosphere Bacterial Community
Juan Wu, Yujia Zhai,* Gang Liu, Thijs Bosker, Martina G. Vijver, and Willie J. G. M. Peijnenburg
Cite This: ACS Sustainable Chem. Eng. 2021, 9, 16172−16181
ABSTRACT: Assessment of chronic impact of metallic nanoparticles (NPs) in soil ecosystems is a necessity for ensuring safe and sustainable application. NPs affect plants and their associated microbial life, while the plants and their associated microbiota affect the NPs’ fate. Here, we measured the available Ag pool (determined as diethylenetriaminepentaacetic acid-extractable Ag) in AgNP-amended sandy loam soil (1, 10, and 50 mg Ag per kg of soil) over a period of 63 d with and without lettuce. The associated impacts on soil pH, Ag accumulation in lettuce, and the responses of the rhizosphere bacterial community were determined. We found that the addition of AgNPs significantly increased the soil pH from 7.70 to 7.87 after a short-term (7 d) incubation. Noteworthily, the extractability of Ag in AgNP-amended soil was concentration-dependent and changed over time because of their continuous dissolution and uptake by plants. Ag uptake and upward translocation in lettuce positively correlated with the extractable Ag content in soil. Furthermore, a long-term (63 d) exposure to 50 mg/kg of AgNPs altered the structure and composition of the rhizosphere bacterial community potentially by regulation of bacterial groups associated with element (e.g., N and S) cycling and stress tolerance. In conclusion, our results demonstrated that the dynamic dissolution of AgNPs in sandy loam soil plays an important role in influencing the overall Ag bioavailability of the NPs in plants. The enhanced effects of AgNPs on the alterations in the rhizosphere bacterial community highlight that the long time-resolved dynamics of NP exposure should be taken into consideration for accurate ecological risk assessment of NPs in the soil ecosystem.
KEYWORDS: silver nanoparticles, plant, bioavailability, agrochemical, rhizosphere soil bacteria
INTRODUCTION
The rapid development of nanotechnology over the past two decades has inspired the production and application of nano-agrochemicals, and claims have been made that these nano-agrochemicals can improve the sustainability of agriculture. As more and more nano-agrochemicals are introduced in agriculture as fertilizers or pesticides, agricultural soil is inevitably becoming an important sink for nanomaterials. Silver nanoparticles (AgNPs) are one of the most extensively used commercialized nanomaterials worldwide, and the global production of AgNPs will reach a value of USD 2.45 billion by 2022. Given their excellent antimicrobial properties, they have shown great potential in crop protection as insecticidal agrochemicals and against plant pathogens (phytopathogenic fungi, bacteria, and viruses). This makes the impact assessment of AgNPs in soil ecosystems a necessity for the safe and sustainable usage of nanoscale products.
The impacts of metallic nanoparticles (NPs) on soil ecosystems have been reported to largely depend on their bioavailable fractions. For instance, Pu et al. reported that the toxicity of CuO NPs in maize plants and microbes was mainly modulated by the gradually released bioavailable Cu concentration. Soil properties are known to be a key factor affecting the bioavailability of metallic NPs in natural soil. An important property is the soil pH, which modulates the bioavailability of metallic NPs by affecting the oxidation, aggregation, transformation, and dissolution processes of metallic NPs in the soil. Importantly, plants, a key component of soil ecosystems, can alter the soil properties directly by themselves or indirectly by the interaction with NPs. For instance, the amount of soil organic material in soil can be influenced by the presence of plants as nearly 5–40% of the photosynthetically fixed carbon is transported to the rhizosphere by plant root exudates. Moreover, the interaction between plant roots and metallic NPs can alter the abundance and composition of root exudates and the soil pH.
organic matter and root-secreted chelators (such as phytosiderophores) can immobilize/sequester NPs and the released metal ions.\textsuperscript{15,16} These changes in the soil environment may modify the available pool of Ag derived from AgNPs and in turn influence the plant responses.\textsuperscript{13,17}
However, to our knowledge, the information regarding how plant roots influence the labile pool of Ag in a AgNP-amended rhizosphere and the consequent relationship with Ag accumulation in plants is scarce. Recently, Pradas del Real et al.\textsuperscript{18} used diethylenetriaminepentaacetic acid (DTPA) and CaCl\textsubscript{2} extractions to assess the lability of Ag in soil mixed with AgNP-containing sludges (18−400 mg/kg) at a single-time point (4 weeks). The authors demonstrated that the low Ag content in wheat is consistent with the low lability of Ag in soil.\textsuperscript{18} However, it should be noted that plant growth over time can dynamically change the soil environment and thus the dynamic particle dissolution, which may make the bioavailable Ag concentration time-dependent.\textsuperscript{19,20} To capture these dynamics and their impacts on ecosystems, experiments of longer timescales need to be performed in which a series of time points are included at which the bioavailability of Ag in soil is assessed in a toxicity assay.
Similar to plants, soil bacteria also play an important role in soil ecosystems by promoting soil fertility and governing soil biological processes such as nutrient transformation and cycling and energy flow.\textsuperscript{21,22} The impacts of AgNPs on bacterial communities of unplanted soil have been extensively reported with inconclusive findings.\textsuperscript{21−25} It is suggested that the responses of the soil microbial community to AgNPs depend on the soil properties, exposure concentration, exposure duration, and the behavior of AgNPs in soil.\textsuperscript{24,25} Therefore, the alterations in the soil environment induced by plants may modify the impacts of AgNPs on the behavior of rhizosphere soil bacteria,\textsuperscript{26} which may result in either detrimental or beneficial impacts on the soil ecosystem.\textsuperscript{13,17,27} To date, little information is available about how AgNPs alter rhizosphere soil bacterial communities.\textsuperscript{14,28,29} This is surprising because it is known that soil rhizosphere bacteria play a crucial role in supporting the host plant growth by regulating nutrient uptake and to some extent by supporting against environmental stressors.\textsuperscript{27,30} Thus, long-term impacts of AgNPs on the rhizosphere soil bacterial community deserve more investigation.
In this study, lettuce plants, a popular representative of the leafy vegetables worldwide, were exposed to 0, 1, 10, and 50 mg/kg of AgNPs over a period of 63 d. The objectives of this study are (a) to investigate if and to what extent the plants and AgNPs affect the soil pH and how this impacts the (potentially) available Ag concentrations shedding from AgNPs, (b) to quantify Ag accumulation and translocation in a soil−plant system, and (c) to determine the alterations of the rhizosphere soil bacterial community structure in response to exposure to AgNPs as a function of exposure concentration and exposure time. This study provides useful information to correlate the time-related changes of bioavailable Ag from AgNP-amended soil with the plant growth and soil microbial communities. Such information is important for risk assessment of nanomaterials in soil ecosystems and for safely and sustainably applying nanoenabled agrichemicals.
■ MATERIALS AND METHODS
Silver Nanoparticles. Stock suspensions of spherical AgNPs (NM-300K) with a nominal diameter of 15 nm and a concentration of 100 g/L were provided by RAS AG (Regensburg, Germany). Physicochemical properties and information on the characterization of the AgNPs are summarized in the JCR reports.\textsuperscript{31} AgNP suspensions at 1, 10, and 50 mg/L were prepared by diluting the AgNP stock in a 1/4 Hoagland solution (pH 6.0 ± 0.1). The composition of the Hoagland solution is described in Table S1 (Supporting Information). The suspensions were sonicated for 5 min at 60 Hz (USC200T, VWR, Amsterdam, The Netherlands). The freshly prepared suspensions were used to determine the size distribution and zeta potential with a Zetasizer Nano-ZS instrument (Malvern, Instruments Ltd., Royston, UK) at 1, 24, and 48 h of incubation. The data are published in our previous publication\textsuperscript{1} and provided in Table S2. The transmission electron microscopy (TEM) picture of the AgNPs is also provided in Figure S1 (Supporting Information).
Soil Preparation. Surface agricultural soil (0−20 cm) was collected from a nonpolluted site (52°10′16.8″N 4°26′58.9″E, Leiden, The Netherlands), mixed thoroughly, sieved to 2 mm after being air-dried, and stored at 4 °C before use. The soil was sandy loam with a pH of 8.4 in water and 7.4 in the KCl solution, containing 2.2% of organic carbon, with a clay content of 18.4% and a cation exchange capacity of 0.39 cmol(+) kg\textsuperscript{−1}. No Ag (< detection limit) was detected in the untreated soil. The exchangeable cations content and the content of various metals were determined, and these properties are reported in Table S3.
Plant Growth and Exposure Assay. \textit{Lactuca sativa} seeds (Floveg GmbH, Kall, Germany) were first sterilized for 5 min in 0.5% (w/v) NaClO, followed by rinsing 3 times with tap water and immersing for 24 h in tap water. Afterward, the seeds were germinated in Petri dishes filled with a wet filter paper (15 seedlings/dish). After 3 d, the 1/4 Hoagland solution was added into the Petri dishes to supply nutrients for seedling growth. After pregrowing in Petri dishes for 1 week, the young seedlings were transferred to bottles (one seedling per bottle) with a height of 15 cm containing the Hoagland solution for further 2 weeks of growth. The suspensions in the Petri dishes and bottles were refreshed every 3 d.
The AgNP suspensions were prepared in the 1/4 Hoagland solution and sonicated at 60 Hz for 15 min before application to soil. Afterward, the AgNP suspensions were added to soil to achieve the nominal concentrations of 1, 10, and 50 mg Ag per kg of soil. The exposure concentrations of AgNPs were chosen based on the predicted and measured concentration of AgNPs in sludge/biosolids.\textsuperscript{18} The soil was mechanically stirred with a mixer for 15 min to homogenize the AgNPs. Control treatment was the same as the AgNP treatments with the addition of the same volume of the 1/4 Hoagland solution. Next, two uniform pregrown seedlings were transferred into one plastic pot (9 cm long, 9 cm wide, and 9.5 cm high) containing 0.5 kg of AgNP-amended soil or clean soil. Treatments with 1, 10, or 50 mg Ag per kg of soil but without plants were also performed under the same conditions. In brief, this experiment consisted of three components: (a) AgNP application dose (0, 1, 10, and 50 mg/kg), (b) exposure time (3−63 d), and (c) the presence or absence of plants for a total of 17 treatments in triplicate, as described in Table S4. The pots were watered every 2 d, and all pots were placed in a climatic room under the conditions of day/night with a temperature of 20/16 °C and a light/dark cycle of 16/8 h with 60% relative humidity until harvest. After each exposure time point, the plants in each pot were harvested, and subsequently, the nonrhizosphere soil (further referred to as bulk soil) and soils with rhizospheres (further referred to as rhizosphere soil) were collected.
Plant Harvesting and Soil Sample Collection. At each selected sampling date, pots were picked up randomly and sacrificed for collecting plant samples and soil samples. The plants were carefully removed from the pots, and the soil which was left in the pots was defined as bulk soil in which the influence of plant roots was negligible.\textsuperscript{13} The collected bulk soil was mixed thoroughly for further use. The soil that was loosely attached to the roots was first removed by shaking the plants (discarded), and then the soil that closely adhered to the roots was collected as the rhizosphere soil (<1 mm away from the root) by following the method reported by Guan et
The collected rhizosphere soil was mixed thoroughly for further use. For Ag extraction and pH measurement, the bulk soil and rhizosphere soil samples were air-dried. The rhizosphere soil samples used for the soil DNA extraction were stored at 4 °C.
After collecting the soil samples, the plants were thoroughly washed with flowing tap water and rinsed in deionized water for 10 min, which was repeated 3 times. Subsequently, the plants were divided into root and shoot and after air drying, and the biomass of plant roots and shoots was recorded. To determine the Ag content in the plants, the plants were first washed with 10 mM HNO₃, 10 mM EDTA, and Milli-Q water to remove the attached AgNPs/Ag⁺ ions, as described previously. Next, the plants were oven-dried, weighed, and digested with HNO₃ (65%) and H₂O₂ (30%) at 120 °C. Finally, the digests were diluted, and Ag concentrations were analyzed by means of graphite furnace atomic absorption spectrometry (AAS, PerkinElmer 1100 B, Waltham, MA, USA). The bioaccumulation factor (BAF) of Ag from soil to plant roots and the translocation factor (TF) of Ag from roots to shoots were calculated as follows:
\[
\text{BAF} = \frac{[\text{Ag}]_{\text{root}}}{[\text{Ag}]_{\text{soil}}} \tag{1}
\]
\[
\text{TF} = \frac{[\text{Ag}]_{\text{shoots}}}{[\text{Ag}]_{\text{roots}}} \tag{2}
\]
where [Ag]_{\text{root}} represents the concentrations of Ag in the plants (mg/kg), [Ag]_{\text{soil}} represents the exposure concentration of AgNPs in the soil (mg/kg), and [Ag]_{\text{shoots}} represents the Ag concentration in plant shoot tissues (mg/kg).
**Labile Ag Extraction from AgNP-Amended Soil and Soil pH Measurement.** On each sampling day, ~2.0 g of air-dried soil samples was extracted with 20 mL of the CaCl₂ extractant or 4 mL of the DTPA extractant. CaCl₂ can extract the metals from the soil by making use of cation competition processes, which has been considered to be "readily available" to plants/soil organisms. DTPA extraction is used for extracting the "readily available" fraction and the "potentially available" fraction that is reversibly bound to the soil solid matrix, which has been suggested to be an indication for metallic NP dissolution in soil. The CaCl₂ extractant was prepared by dissolving the CaCl₂ salt in Milli-Q water to reach a final concentration of 0.01 M. The DTPA extractant was a mixture of 0.005 M DTPA, 0.01 M CaCl₂, and 0.1 M triethanolamine. All extractions were conducted using a reciprocal shaker for 2 h at 180 rpm. After extraction, the samples were centrifuged at 4500 rpm for 30 min and the supernatants were filtered using a 0.22 μm filter. Afterward, the filter samples were acidified with concentrated HNO₃ (the final HNO₃ concentrations were less than 2%) and stored at 4 °C before performing inductively coupled plasma–mass spectrometry (ICP–MS) measurements. Standard Ag solutions of 0.5 mg/L (AAS) and 10 ng/L (for ICP–MS) were measured for every 20 samples to monitor the stability of the machines. Blanks and Ag standard solutions were included in the digestion procedure for the purposes of quality control. The average recovery of Ag for the digestion procedure was 91% with the standard deviation of 7%, and the recovery for the machines was between 99 and 101%. The detection limits for AAS and ICP–MS were 1 μg/L and 1 ng/L, respectively. The RSDs for all sample measurements were below 5%.
Within all sample treatments and times, the pH of the original supernatants (without centrifugation, filter, and acidification) was measured from the CaCl₂ extracts representing the soil pH of the soil-extractable available fraction.
**Rhizosphere Soil DNA Extraction and Illumina MiSeq Sequencing.** The DNA from the soil rhizosphere was extracted using a Qiagen DNeasy PowerSoil kit (Hilden, Germany). After quality control checking, a universal bacterial primer set (S15F: 5’-GTGCACAGCMGCCGCGTAA-3’ and S90R: 5’-CCCGTCAATTCTMTTTRAGT-3’) was used for PCR amplification by targeting the variable V4–V5 regions of bacterial 16S rRNA genes. Paired-end sequencing was done using a 2 × 300 bp Illumina Miseq platform (Illumina, Inc., San Diego, CA, USA) by BaseClear (Leiden, The Netherlands). The obtained sequences have been deposited into the National Center for Biotechnology Information (NCBI) database (project number: PRJNA732000). The quantitative insights into microbial ecology (QIIME2) pipeline was used to process the sequences. Sequence quality control was performed using the software package DADA2. Qualifying sequences were processed to construct the FeatureTable that was collapsed at the genus level (i.e., level 6 of the Greengenes taxonomy). The q2-phylogeny plugin was used to build the phylogenetic tree (Figure S2), and the q2-diversity plugin was used to compute alpha and beta diversity metrics. The sampling depth was rarefied to remove the heterogeneity (Figure S3). The q2-feature-classifier plugin was used for taxonomic assignment.
**Statistical Analysis.** Statistically significant differences regarding the CaCl₂ extractable Ag, DTPA-extractable Ag, plant biomass, and Ag content in plants in treatment were analyzed by means of one-way ANOVA, followed by Duncan’s honestly significant difference tests at α < 0.05 using IBM SPSS Statistics 25 (no deviations in the data were found for normal distribution and homogeneity of variance with the Shapiro–Wilk test and Bartlett test prior to the ANOVA test). The t-test was performed to determine the differences of the tested end points between bulk soil and rhizosphere soil (α < 0.05). The results are expressed as mean ± standard error of three replicates. The QIIME2 diversity alpha-group-significance plugin was used to test the significance of the Shannon index across the different treatments. The principal coordinates analysis (PCoA) based on the weighted UniFrac distance matrices was applied to compare community dissimilarities, and permutational multivariate analysis of variance (PERMANOVA) was used for the significance test. The featured taxa that are...
differentially abundant in each treatment were identified using analysis of composition of microbiomes (ANCOM). The false discovery rate test was used to correct the $p$-values from false positives in the multicomparison tests. Spearman correlations between the tested end points were analyzed in R with the package of “ggcorrplot” and were considered significant when $p < 0.05$.
**RESULTS**
**Soil pH Changes in Bulk and Rhizosphere Soil after Amendment.** The results showed that the addition of AgNPs significantly increased the soil pH of both unplanted (from 7.70 to 7.82) and planted soil (from 7.70 to 7.87) after 7 d of incubation (Figure 1A). However, the significant differences between the control treatment and AgNP treatments disappeared after long-term exposure (63 d). Additionally, the soil pH of all treatments decreased after long-term exposure as compared to short-term exposure (7 d). Noteworthily, no significant difference in the soil pH was observed between 10 mg/kg AgNP planted and unplanted soil regardless of the exposure duration ($p = 0.184$ for 7 d and $p = 0.956$ for 63 d). In addition, the soil pH did not differ between the treatments amended with different concentrations of AgNPs regardless of the exposure duration (Figure 1).
**Changes in Extractability of Ag in the Bulk and Rhizosphere Soil.** For the freshly prepared 1 mg/kg AgNP-amended soil (day 0 refers to the transplantation date), the CaCl$_2$-extractable amounts of Ag were below the detection limit, while the corresponding DTPA-extractable amount of Ag was $7 \pm 2 \mu g/kg$. Similarly, the CaCl$_2$-extractable amounts of Ag were $3.3 \pm 0.8$ and $29 \pm 5 \mu g/kg$ for the 10 and 50 mg/kg AgNP-amended soils, while the DTPA-extractable amounts of Ag were $28 \pm 3$ and $142 \pm 4 \mu g/kg$ for the 10 and 50 mg/kg AgNP-amended soils, respectively. Upon increasing the incubation time, the extractable amount of Ag in both unplanted and planted soils decreased (Figure 2A). For example, for the 10 mg/kg AgNP unplanted soil, the DTPA-extractable amount of Ag decreased from $28 \pm 3$ to $9.7 \pm 0.5 \mu g/kg$ (incubation for 7 d) to $2.9 \pm 0.1 \mu g/kg$ (incubation for 63 d). Regarding the extractability of Ag in unplanted and planted soils for the same cultivation time, the DTPA-extractable amount of Ag in the bulk soil and rhizosphere soil was similar to 7 d or significantly higher than 63 d (ANOVA, $p = 0.01$) unplanted soil, while the CaCl$_2$-extractable amount of Ag in both cultivation time followed the order unplanted soil > bulk soil > rhizosphere soil.
The differences in CaCl$_2$-extractable Ag and DTPA-extractable Ag for the AgNP-amended soil with different concentrations of AgNPs in the bulk soil and rhizosphere soil are shown in Figure 2. A clear concentration-dependent impact on the extractable amount of Ag was observed for both bulk soil and rhizosphere soil regardless of the CaCl$_2$ extractant or DTPA extractant. For the low AgNP concentration (1 mg/kg), the amount of Ag extracted by CaCl$_2$ extraction was below the detection limit, while the DTPA-extractable amount of Ag was less than 0.5 $\mu g/kg$ soil. Compared to the concentration of the 10 mg/kg AgNP-amended soil, the extractable amount of Ag in the soil amended with 50 mg/kg AgNPs was significantly...
increased by a factor of 19–61 for CaCl$_2$ extraction and 7–14 for DTPA extraction under different conditions. Between the bulk soil and rhizosphere soil, no significant differences were observed for the CaCl$_2$-extractable Ag regardless of the exposure concentration or time. For DTPA-extractable Ag, significant differences between the bulk and rhizosphere soil were only observed for the soil to which 50 mg/kg AgNPs were added ($t$-test, $p < 0.005$).
We also investigated the changes in the extractability of AgNPs in the rhizosphere soil (10 mg/kg AgNPs) over time by DTPA extraction, as shown in Figure 3A. An interesting tendency was observed as the DTPA-extractable Ag in the rhizosphere soil decreased rapidly in the first 3 d of cultivation and then increased gradually after 7 and 15 d of cultivation but decreased again from 15 to 63 d of cultivation. In addition, the extractable amount of Ag in the planted soil after 7 d of cultivation was slightly higher when compared to the extractable amount of Ag after 63 d of cultivation in all experimental scenarios. However, statistically significant differences were only observed in 50 mg/kg AgNP-amended bulk soil for DTPA extraction ($p < 0.005$, $t$-test).
**Ag Accumulation and Translocation in the Soil–Plant System.** During the same exposure duration (7 or 63 d), no significant differences in the plant biomass were observed between the control treatment and AgNP treatments regardless of the exposure concentration ($p = 0.858$ for 7 d and $p = 0.541$ for 63 d, Figure S4).
The change in the Ag concentration in plant roots in 10 mg/kg AgNP treatment over time is shown in Figure 3D. The Ag concentrations in the plant roots increased after 3, 7, and 15 d of cultivation and then decreased during the cultivation period of 15–63 d, which followed the same pattern of the DTPA-extractable Ag in the corresponding rhizosphere soil over time. Interestingly, when comparing the Ag concentrations in plants upon 7 d cultivation to 63 d cultivation at the same applied AgNPs dose, no significant difference was observed (Figure 3B, $t$-test, $p > 0.05$).
Figure 3 also shows the accumulation and translocation of Ag in the plant tissues after cultivation for 7 and 63 d in soil to which different amounts of AgNPs were added. The Ag concentrations in the plant roots were more than 10 times higher than the Ag concentration in the corresponding shoots upon exposure to the same concentration and time. Moreover, Ag was taken up by plant roots and translocated into plant shoots in all AgNP-amended treatments with a general concentration-dependent increase. For example, the Ag concentrations in lettuce shoots were around 1.6 mg Ag/kg plant for the treatment of 50 mg/kg AgNPs, which is 10–13 times higher than that found in the shoots of plants exposed to 1 mg/kg AgNP-amended soils (0.16 mg/kg for 7 d and 0.13 mg/kg for 63 d).
In addition, the BAFs of Ag in all exposure treatments were higher than 1. The high Ag concentrations in plant roots and the high BAFs of Ag indicated the potential biomagnification of Ag from soil to the plant. The presence of Ag in plant shoots shows the translocation ability of Ag from plant roots to shoots, even though the TFs of Ag in all treatments were lower than 0.1.
**Response of Soil Microbial Communities to AgNPs in the Rhizosphere Soil.** The alterations of the bacterial community in the rhizosphere in response to AgNP exposure was further investigated. The Shannon index, which reflects the
species richness, was used to evaluate the alpha diversities of the rhizosphere bacteria in the control soil and in AgNP-amended soil. During 7 d of incubation, the changes in the Shannon indices among the control and the soil amended with different concentrations of AgNPs were irregular. However, after increasing the incubation duration to 63 d, a clear tendency was observed and the Shannon index decreased upon exposure to increasing concentration of AgNPs.
The shifts in the rhizosphere bacterial community structure induced by AgNP treatments over time were further analyzed by PCoA (Figure 4B). After incubation for 7 d, the bacterial communities in the control and different AgNP treatment samples clustered together. However, when the incubation time was increased to 63 d, the bacterial communities exposed to 10 mg/kg AgNPs and 50 mg/kg AgNPs were clearly separated from the control. Moreover, the bacterial communities in 10 and 50 mg/kg AgNP-amended soils separated from each other. This indicates that the impacts of AgNPs on the bacterial community structure are time-dependent.
Additionally, the community composition at the phylum level in response to different treatments is provided in Figure S5. Proteobacteria (with an average relative abundance of 29–34%), Actinobacteria (27–31%), Bacteroidetes (9–14%), and Acidobacteria (9–11%) were the dominant bacterial phyla in both the control soil and AgNP-amended soil after 7 d of incubation. By increasing the incubation period from 7 to 63 d, the average relative abundance of Actinobacteria decreased from 27–31 to 16–20%, again indicating that the effect of AgNPs on the bacterial composition is time-dependent. The featured taxa that are differentially abundant in the different treatment samples were identified using ANCOM analysis (Figure 4C). In general, no featured taxa were found in the AgNP treatment samples after 7 d of incubation. After incubation for 63 d, a total of 16 featured taxa were observed, which greatly contributed to the observed differences between the 50 mg/kg Ag-amended soil and the control soil. From these featured taxa, eight taxa (including the phyla Acidobacteria and Gemmatimonadetes, the class Holophaga, the order Microtrichales, the families Fimbriimonadaceae, Nitrososphaeraceae, and Desulfarculaceae) were downregulated and eight taxa (including the order Rhodospirillales, the families Vermiphilaceae, Sphingobacteriaceae, Holosporaceae, and Methylphilaceae, and the genera Pontibacter, Mesorhizobium, and Sphingorhabdus) were upregulated in 50 mg/kg AgNPs when compared with the control. These results further confirmed a long-term impact of a high concentration of AgNPs on the rhizosphere bacterial community composition.
**Correlation Analysis of Exposure Conditions, Soil pH, Extractable Ag in Soil, Plant Parameters, and Soil Bacterial Communities.** As shown in the map of Spearman’s correlations (Figure 5), the soil pH was negatively correlated with the exposure time but had no significant relationship with the exposure concentration. The amount of DTPA-extracted Ag in both bulk and rhizosphere soil was significantly and
positively correlated with the exposure concentration of AgNPs since all correlation coefficients were higher than 0.9. In addition, the amount of Ag accumulated in the plant root and the shoots was correlated positively with DTPA-extracted Ag in the soil. Root and shoot concentrations were highly related because of the translocation of Ag after uptake via the roots. No relationships were observed between the exposure time or soil pH and extractable Ag in soil, as well as the Ag content in plants. On the contrary, the Shannon index of the soil bacterial community positively correlated with the exposure time but negatively correlated with the soil pH and the BAFs of Ag in plants.
**DISCUSSION**
Overall, this study enhanced the understanding of how the dynamic dissolution of AgNPs in soil affect their bioavailability in the rhizosphere–lettuce interface and of long-term impacts of AgNPs on the rhizosphere soil bacterial community. Our results revealed that the addition of AgNPs significantly increased the soil pH after 7 d of incubation regardless of the presence of lettuce plants (Figure 1A). This statistically significant increase is in line with the results of previous studies reporting an increase of the soil pH after amending soil with metallic NPs.\textsuperscript{14,32} The alterations of the soil metabolite profiles and the abundance and composition of root exudates can change the soil pH.\textsuperscript{13,14} For example, Zhang et al.\textsuperscript{14} suggested that the increase of the soil pH might be attributed to the decrease of the concentrations of several fatty acids in metabolites of the soil induced by exposure to AgNPs. Additionally, the dissolution of AgNPs can also contribute to higher pH\textsuperscript{19} as it can consume the H\textsuperscript{+} in the system or release OH\textsuperscript{-} into soil following the stoichiometry below:\textsuperscript{33}
\[
2\text{Ag(s)} + \frac{1}{2}\text{O}_2 + 2\text{H}^+ \rightarrow 2\text{Ag}^+ + 2\text{H}_2\text{O}
\]
or\textsuperscript{34}
\[
\text{Ag}_2\text{O} (\text{oxide layer formed on the surface of AgNPs}) + \text{H}_2\text{O} \rightarrow 2\text{Ag}^+ + 2\text{OH}^-
\]
(4)
However, the soil pH decreased after increasing the incubation time to 63 d and no significant differences were observed between treatments after 63 d of incubation. This pattern was similar to the findings of Das et al.,\textsuperscript{35} who also reported that the soil pH increased during the initial exposure period but decreased after the long-term exposure. The findings suggest that the aging of AgNPs in the soil neutralized the pH changes between treatments.
The dissolution of metallic NPs is known to be the dominant process governing the availability of metals derived from metallic NPs.\textsuperscript{19} Thus, the dissolution of AgNPs in soil over time was investigated using DTPA extraction. The DTPA-extractable Ag was less than 0.3% for all experimental scenarios, suggesting that the dissolution of AgNPs in soil was very limited, even in the rhizosphere. This was in line with previous studies,\textsuperscript{18,36} which also revealed the very low lability/release of Ag from AgNP-amended soil. Interestingly, a gradual increase of DTPA-extractable Ag in the rhizosphere soil was observed during the cultivation period from 3 to 15 d (Figure 3A), indicating the gradual dissolution of AgNPs in the soil. However, the extractable Ag in the rhizosphere soil decreased as the cultivation period increased from 15 to 63 d. Also, the Ag concentration extracted from the AgNP-amended soil after 63 d of cultivation was slightly lower than the Ag concentration after 3 d and 7 d of cultivation. There are several possible explanations for this observation of declining Ag concentrations. First, the dissolution of AgNPs might have become slower after 15 d of cultivation, or the AgNPs dissolution reached saturation over after longer exposure duration. There is a plethora of information revealing the two-phase dissolution behavior of AgNPs, containing a short but rapid initial release phase and a longer but slower second release phase.\textsuperscript{37,38} Second, the uptake of Ag by plant roots was much faster than the dissolution process of AgNPs in soil, as indicated by comparing the extractable Ag from AgNPs and the Ag uptake by plant roots over time (Figure 3A,D). This led to a relative decrease of Ag accumulation in the plants for the cultivation period from 15 to 63 d. Finally, this decline might be a result of the combination of Ag precipitation, irreversible binding of Ag\textsuperscript{+}/AgNPs to the solid soil matrix, and the transformation of AgNPs in soil.\textsuperscript{10} After long-term exposure in soil, AgNPs have a large potential of being transformed to silver sulfide or other sulfur-bound Ag forms,\textsuperscript{18,39} which will reduce the solubility and extractability of AgNPs. A previous study also found that the concentration of labile Ag in soil was significantly decreased by increasing the incubation time to 2 weeks and to 6 months and evidenced that the S group-bound Ag was the predominant form after the soil was amended with soluble Ag,\textsuperscript{40} the so-called aging processes. The changes in the extractable concentration of Ag over time suggest that a single or fixed exposure duration cannot capture the actual dissolution and accumulation process of AgNPs in soil,\textsuperscript{13} which may result in inaccurate assessment of the bioavailability or toxicity of AgNPs.
Our results demonstrated that the DTPA-extractable Ag concentration in unplanted soil, bulk soil, and rhizosphere soil was almost equal (Figure 2D), suggesting that the effect of lettuce on the dissolution of AgNPs was limited. The CaCl\textsubscript{2}-extractable amount of Ag followed the order unplanted soil >
bulk soil > rhizosphere soil (Figure 2A). This indicates that CaCl$_2$-extractable Ag is a better predictor of Ag uptake by plants as it better represents the more “readily available” Ag form. Gao et al.$^{13}$ also suggested that DTPA extraction is a better indication for metallic NP dissolution in soil, while CaCl$_2$ extraction provides a more accurate prediction of the uptake of NPs by plants. The observed Ag in plant shoot tissues shows the translocation of Ag from roots to shoots. In addition, the Ag accumulation and translocation positively correlated with the extractable amount of Ag in soil (Figure 5), and the trend of Ag accumulation in the plants over time was similar to the dissolution of AgNPs in soil (Figure 3). These results indicate that the dissolution of AgNPs is the predominant process related to the Ag uptake by plant roots.
For the rhizosphere bacterial community, we did not observe any significant impact of AgNPs during a short-term exposure (7 d) regardless of the exposure concentration. However, after long-term exposure (63 d), the Shannon index decreased, and the bacterial communities separated from the control with increasing exposure concentration. This suggests that the effects of AgNP concentration on the diversity and composition of the rhizosphere bacterial community varied over time. Moreover, eight upregulated bacterial taxa and eight downregulated featured taxa were only observed in the treatment with 50 mg/kg AgNPs after 63 d of exposure, which contributed the most in inducing the differences between AgNP treatment and the control. Previous research stated that the soil microbiome can shift its composition by increasing the Ag-tolerant taxa in response to AgNP stress.$^{21,41}$ Similarly, the abundance of Ag-resistant and -sensitive genus *Mesorhizobium* $^{42}$ was found to be increased in the soil amended with high concentration of AgNPs in our study. In addition, several bacterial groups associated with the removal/degradation of a number of contaminants were stimulated in response to AgNPs, including the genus *Pontibacter* that is able to remove metals $^{32,43}$ and *Sphingorhabdus* and *Sphingobacteriaceae* that are related to the degradation of a variety of recalcitrant organic compounds.$^{14,15,44}$ In addition, *Pontibacter* (strongly associated with the N fixation gene nifH),$^{17}$ *Mesorhizobium*, $^{39}$ and *Rhodospirillales* (containing free-living N$_2$-fixing bacteria)$^{15,41}$ were also promoted, indicating that the long-term exposure of AgNPs stimulates the bacterial taxa related to nitrogen cycling. Besides these upregulated bacterial taxa, several bacteria such as *Acidobacteria* and *Desulfarculaceae* were significantly inhibited upon long-term exposure to high concentrations of AgNPs.$^{14,45,46}$ These bacteria are involved in carbon usage, sulfur reduction, and iron reduction. The alterations of the identified featured taxa highlight the potential disruption of agricultural systems because of AgNP exposure by affecting the functional bacterial groups associated with nutrient acquisition, stress tolerance, and biogeochemical element cycling (such as C, N, and S). Follow-up research, to determine the relationship among the content of the elements in soil (such as C, N, P, and S), the nutrients in plants (such as proteins and phospholipids), and the abundance of genes involved in the biogeochemical element cycling in the rhizosphere soil amended with NPs, would be very interesting and valuable for understanding the interaction of NPs—plants—soil bacteria. Furthermore, the changes in the diversity and structure of the rhizosphere soil bacterial community over time also emphasize the importance of investigating the dynamic impacts of NPs on the rhizosphere bacterial communities.
**CONCLUSIONS**
Overall, the presence of lettuce played a limited role in affecting AgNP dissolution in soil as the extractability of Ag in unplanted and planted soil was similar under the same exposure conditions. We found that the dissolution of AgNPs in soil is the dominant process influencing Ag uptake via the roots and translocation to the shoots. The Ag extractability from AgNP-amended soil and accumulation of Ag in the plants changed over time. The diversity and composition of the rhizosphere soil bacterial community were altered after long-term exposure to high concentrations of AgNPs. These results highlight the importance of taking time-resolved dynamics of the soil–plant system in consideration in response to NP exposure. The slow but continuous dissolution of AgNPs in soil can provide a sustained antimicrobial effect against plant pathogens (phytopathogenic fungi, bacteria, and viruses). This implies that repetitive applications of AgNPs are not needed, which likely diminishes the total Ag concentration applied. This is an important potential benefit of using AgNPs containing agrochemicals compared to applying ionic Ag solutions. However, attention should still be paid to control the potential negative effects of AgNPs in soil–plant systems as high amounts of Ag in plant roots and the long-term alterations of the composition of the rhizosphere bacterial community were observed.
**ASSOCIATED CONTENT**
*Supporting Information*
The Supporting Information is available free of charge at https://pubs.acs.org/doi/10.1021/acssuschemeng.1c04987.
TEM pictures of AgNPs, phylogenetic tree of the rhizosphere bacterial community, rarefaction curves of the rhizosphere bacterial communities, biomass of lettuce exposed to different treatments and the composition of the rhizosphere soil bacterial communities at the phylum/class levels, Hoagland’s solution composition, hydrodynamic diameter and zeta potential of AgNP suspensions, and physicochemical properties of the soil and experimental design (PDF)
**AUTHOR INFORMATION**
**Corresponding Author**
Yujia Zhai — Institute of Environmental Sciences (CML), Leiden University, 2300 RA Leiden, The Netherlands; orcid.org/0000-0002-7412-6111; Email: firstname.lastname@example.org
**Authors**
Juan Wu — Institute of Environmental Sciences (CML), Leiden University, 2300 RA Leiden, The Netherlands; orcid.org/0000-0003-2694-1127
Gang Liu — Key Laboratory of Drinking Water Science and Technology, Research Center for Eco-Environmental Sciences, Chinese Academy of Sciences, 100085 Beijing, China; Sanitary Engineering, Department of Water Management, Faculty of Civil Engineering and Geosciences, Delft University of Technology, 2600GA Delft, The Netherlands
Thijs Bosker — Institute of Environmental Sciences (CML), Leiden University, 2300 RA Leiden, The Netherlands; Leiden University College, Leiden University, 2501 EE The Hague, The Netherlands
Martina G. Vijver — Institute of Environmental Sciences (CML), Leiden University, 2300 RA Leiden, The Netherlands
Willie J. G. M. Peijnenburg — Institute of Environmental Sciences (CML), Leiden University, 2300 RA Leiden, The Netherlands; National Institute of Public Health and the Environment (RIVM), 3720 BA Bilthoven, The Netherlands
Complete contact information is available at: https://pubs.acs.org/10.1021/acssuschemeng.1c04987
Notes
The authors declare no competing financial interest.
ACKNOWLEDGMENTS
The authors would like to thank Guiyin Wang (Leiden University) for the help with soil collection and preparation and Dr. Fazel Abdolahpur Monikh (Leiden University) for help with the ICP–MS measurements. The China Scholarship Council (CSC) is gratefully acknowledged for its financial support to J.W. (201706750014).
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1.0 REASON FOR COMMITTEE CONSIDERATION
1.1 The applicant is a District Councillor.
2.0 PROPOSAL
2.1 The application seeks permission for the change of use from an office (Use Class E) to a three-bedroom dwellinghouse (Use Class C3).
2.2 In 2016, planning permission was granted for the erection of a replacement dwelling that included a condition the building in question would be demolished within 3 months of the first occupation of the dwelling approved. In 2020, planning application was approved for the change of use of dwelling (set to be demolished) to office/storage in connection with the Silverwood Garden Centre business.
3.0 SITE DESCRIPTION
3.1 The site accommodates a detached two storey building currently used as an office that is set back from the highway of Brown’s Gate by approximately 12m. There is hard landscaping to the front of the property and a small grassed area to the rear.
3.2 There are terraced properties opposite. The site is adjoined by Silverwood Garden Centre to the west and south. To the north is a large grassed area of land associated with the property which abuts the junction of St James Road and Brown’s Gate.
4.0 RELEVANT PLANNING POLICIES
4.1 The Development Plan
South East Lincolnshire Local Plan, March 2019
If regard is to be had to the development plan for the purpose of any determination to be made under the Planning Acts, Section 38 (6) to the Town and Country Planning Act as amended by the 2004 Act states that the determination must be made in accordance with the plan unless material considerations indicate otherwise.
Policy 1 - Spatial Strategy
Policy 2 - Development Management
Policy 3 - Design of New Development
Policy 4 - Approach to Flood Risk
Policy 7 - Improving S E Lincolnshire’s Employment Land Portfolio
Policy 10 - Meeting Assessed Housing Requirements
Policy 11 - Distribution of New Housing
Policy 23 - Reuse of Buildings in the Countryside for Residential Use
Policy 28 - The Natural Environment
Policy 30 - Pollution
Policy 31 - Climate Change and Renewable and Low Carbon Energy
Policy 36 - Vehicle and Cycle Parking
APPENDIX 6 - Parking Standards
National Guidance
National Planning Policy Framework (NPPF), 2021
Section 5 - Delivering a sufficient supply of homes
Section 6 - Building a strong, competitive economy
Section 12 - Achieving well-designed places
Planning Practice Guidance (PPG)
5.0 RELEVANT PLANNING HISTORY
5.1 H11-0742-20 - Change of use of dwelling to office/storage in connection with the business - Approved November 2020.
H11-0372-16 - Replacement dwelling - Approved June 2016.
6.0 REPRESENTATIONS
6.1 Long Sutton Parish Council
"The Council refer to the Report of the Development Manager for the Planning Committee Meeting of 11 November 2020 in relation to Application H11-0742-20 in particular Paras: 2.2, 7.3, 7.4, 7.5, 7.6 and 7.7.
They also refer to the Decision Notice re: H11-0372-20 Condition 12 requiring demolition of the existing building within 3 months of the new dwelling being occupied to ensure there would be no net increase in dwellings due to being outside of the Planning Boundary as set out in the SELLP 2019.
By applying to return the building to a dwelling Policies 1(Spatial Strategy) Policy 7 (Improving SE Lincs Employment Land) of the SELLP no longer apply. There is a clear net increase in dwellings. The site is located in the countryside in planning policy terms as stated in the (SELLP) 2019 and therefore a net increase in dwellings is not in line with the (SELLP).
The building does not appear to be used as an office and there has been little evidence of structural works to the subsidence detailed in H11-0372-16 and the Council ask that the applicant is required to present any evidence of works to the property. The Council request that the Policies of the SELLP are correctly applied to all applicants in a fair, open and transparent manner."
They also ask that this application is considered by the Planning Committee due to the applicant being a District Councillor and the application being called in by a Ward Member. The Council also refer to their previous objections in relation to H11-0792-21 which will be sent separately to the Planning Office."
6.2 **Ward Councillor**
Cllr A C Tennant requests the application be heard by committee due to previous applications stating that property was unsuitable for residential use.
6.3 No other letters of representation have been received at the time of writing this report.
7.0 **CONSIDERATIONS**
7.1 **Planning Considerations**
7.2 **Principle**
7.3 The site is located outside the settlement boundary of Long Sutton and is therefore classified as 'Countryside' in accordance with Policy 1 of the South East Lincolnshire Local Plan (SELLP, 2019). Policy 1 of the SELLP states that development in the countryside will only be permitted where it is necessary to such a location and/or where it can be demonstrated that it meets the sustainable development needs of the area in terms of economic, community or environmental benefits.
7.4 Policy 23 of the adopted Local Plan states that the conversion of existing buildings which are located outside defined settlement boundaries to residential use will be permitted provided that:
1. the building is structurally sound and capable of conversion without the need for significant extension, alteration or rebuilding;
The submitted Planning Statement claims, "The building is structurally sound and requires very little in the way of reconfiguration to allow it to become fully usable as a dwelling once again." Furthermore, following a site visit, the building appears to be structurally sound when viewed externally.
2. the building is of architectural or historic merit or makes a positive contribution to the character of the landscape, to justify conversion to ensure retention;
Whilst the building in question is not considered to be of architectural or historic merit, given its location towards the corner of Brown's Gate and St James Road in a semi-rural location with Silverwood Garden Centre to the south-west, it is considered to soften the visual landscape of the area that could otherwise see the expansion of the commercial use toward the highway of Brown's Gate which is predominantly residential in character.
3. the proposal is in keeping with its surroundings;
Whilst the backdrop of the building in question comprises of a commercial premise (Silverwood Garden Centre) there are a number of residential properties east of Brown's Gate and therefore a residential property in this location would assimilate to its surroundings.
4. the design is sympathetic to the character and appearance of the building in terms of architectural detailing and materials of construction; and
Given its previous use as a residential dwelling, the building in question is considered to satisfy this criterion.
5. development leads to an enhancement of the immediate setting of the building.
7.5 The proposal seeks to change the use of the existing building from an office, back into a residential dwelling following its permission in 2020. The applicant has advised that changing work environments and habits following the pandemic have resulted in the building becoming
largely redundant. Given the proposal seeks to reintroduce a residential use into the property - that is residential in appearance, the development is considered to lead to an enhancement of the immediate setting - albeit minimal.
7.6 It is noted that planning permission was granted for the erection of a replacement dwelling which involved the demolition of the building in question. Whilst it would therefore result in a net gain of one dwellinghouse in the area, officers are of the view that it would be unreasonable to refuse planning permission in this instance as it would likely result in a redundant building in a prominent location, when its historic use is that of a residential dwelling and is residential in appearance.
7.7 Furthermore, in line with Policy 23 of the adopted Local Plan, Permitted Development Rights would be removed from the property on any planning permission that may be granted.
7.8 On balance, it is considered that the principle of development in this instance is acceptable, subject to all other planning matters being addressed.
7.9 **Flood Risk and Drainage**
7.10 As the proposal relates to the conversion of an existing building, the Sequential Test need not be applied.
7.11 The site lies within Environment Agency Flood Zone 3a and the South East Lincolnshire Strategic Flood Risk Assessment (2017) shows the site as falling in the 'Danger to some' hazard category with predicted flood depths of up to 0.5m. The Flood Risk Standing Advice Matrix advises the following for this type of scenario:
7.12 "The Environment Agency recommends that the proposal is accompanied by a Flood Risk Assessment which confirms that appropriate mitigation measures/flood resilience techniques have been incorporated into the development up to the predicted flood level (see Max Depth Map for 2115 scenarios).
The FRA should aim to identify mitigation measures in line with those required for new build development of the same type, as far as this is practicable."
7.13 The requirement for a new build dwelling in this location would be that finished floor levels are raised to 0.5m above existing ground level. Floor levels could be raised, but the maximum height that could be achieved would be governed by the available ceiling height. It would also consequently impact the positioning of windows and doors, which there is not significant scope to alter due to the eaves height. In light of this and given the fact that the proposal includes a first floor and there would be no ground floor sleeping accommodation, it is considered that it would not be practicable to raise floor levels in this instance.
7.14 Concluding, therefore, the proposal does not wholly comply with Policy 4 of the Local Plan, but the Flood Risk Standing Advice matrix includes such a caveat for buildings to be converted that allows for floor levels of less than that normally required for a new build dwelling.
7.15 **Highway Safety**
7.16 As a result of the development, the property would change use from an office to a three bedroom dwellinghouse. In line with the Policy 36 and Appendix 6 of the adopted South East Lincolnshire Local Plan (2019), two off-street car parking spaces are required to be provided within the curtilage of the dwellinghouse, which can be provided to the front of the dwellinghouse on existing areas of hardstanding.
7.17 It is worth noting the property would be accessed via an existing vehicular access off Brown's Gate.
7.18 As such, the proposal is considered to be acceptable in terms of highway safety and would be in accordance with Policy 36 and Appendix 6 of the adopted South East Lincolnshire Local Plan
7.19 Planning Balance
7.20 Section 38 (6) of the Town and Country Planning Act, as amended by the 2004 Act, states that the determination must be made in accordance with the development plan unless material considerations indicate otherwise.
7.21 The proposal generally complies with the aims and objectives of Policies 1, 2, 3, 4, 23, 36 and Appendix 6 of the adopted South East Lincolnshire Local Plan (SELLP, 2019), plus advice within the National Planning Policy Framework (NPPF, 2021). It is noted that planning permission H11-0372-16 included a condition to demolish the property in question in order to avoid a net gain of dwellings in the immediate area. However, given refusal of planning permission would likely result in a redundant building in a prominent location with a historic use as a dwellinghouse and is residential in appearance, officers are of the view that it would be unreasonable to refuse planning permission in this instance.
7.22 Conclusion
7.23 The proposal is considered to be in accordance with Policies 1, 2, 3, 4, 23, 36 and Appendix 6 of the South East Lincolnshire Local Plan (2019), as well as the guidance within the NPPF and therefore officers recommend planning permission is granted.
7.24 Additional Considerations
7.25 Public Sector Equality Duty
In making this decision the Authority must have regard to the public sector equality duty (PSED) under s.149 of the Equalities Act. This means that the Council must have due regard to the need (in discharging its functions) to:
A. Eliminate unlawful discrimination, harassment and victimisation and other conduct prohibited by the Act
B. Advance equality of opportunity between people who share a protected characteristic and those who do not. This may include removing or minimising disadvantages suffered by persons who share a relevant protected characteristic that are connected to that characteristic; taking steps to meet the special needs of those with a protected characteristic; encouraging participation in public life (or other areas where they are underrepresented) of people with a protected characteristic(s).
C. Foster good relations between people who share a protected characteristic and those who do not including tackling prejudice and promoting understanding.
The protected characteristics are age, disability, gender reassignment, pregnancy and maternity, race, religion or belief, sex and sexual orientation.
The PSED must be considered as a relevant factor in making this decision but does not impose a duty to achieve the outcomes in s.149. It is only one factor that needs to be considered, and may be balanced against other relevant factors.
It is not considered that the recommendation in this case will have a disproportionately adverse impact on a protected characteristic.
7.26 Human Rights
In making a decision, the Authority should be aware of and take into account any implications that may arise from the Human Rights Act 1998. Under the Act, it is unlawful for a public authority such as South Holland District Council to act in a manner that is incompatible with the European Convention on Human Rights. The Authority is referred specifically to Article 8 (right to respect for private and family life) and Article 1 of the First Protocol (protection of property).
It is not considered that the recommendation in this case interferes with local residents' right to respect for their private and family life, home and correspondence, except insofar as it is necessary to protect the rights and freedoms of others (in this case, the rights of the applicant). The Council is also permitted to control the use of property in accordance with the general
8.0 RECOMMENDATIONS
8.1 Grant permission subject to those conditions set out in Section 9.0 of this report.
9.0 CONDITIONS
1. The development must be begun not later than the expiration of three years beginning with the date of this permission.
Reason: As required by Section 91 of the Town and Country Planning Act 1990 as amended by the Planning and Compulsory Purchase Act 2004.
2. The development hereby permitted shall be carried out in accordance with the following approved plans:
Application Form
A1494-01
A1494-31
Planning Statement (Prepared by Mark Simmonds Planning Services, Feb 2022)
Flood Risk Assessment (Prepared by Paul Hands Consulting Ltd, Aug 2021)
Reason: For the avoidance of doubt and in the interests of proper planning.
3. Notwithstanding the provisions of the Town and Country Planning (General Permitted Development) Order 2015, (or any Order or Statutory Instrument revoking and re-enacting that Order), none of the following developments or alterations shall be carried out.
i) the erection of freestanding curtilage buildings or structures including car ports, garages, sheds, greenhouses, pergolas or raised decks;
ii) the erection of house extensions including dormer windows, conservatories, garages, car ports, porches or pergolas;
iii) alterations including the installation of replacement or additional windows or doors and the installation of roof windows.
Reason 1: To ensure that the Local Planning Authority retains control over the future extension and alteration of the development, in the interests of its architectural and visual integrity, levels of residential amenity and the visual amenity and character of the area within which it is set. This Condition is imposed in accordance with Policies 2 and 3 of the South East Lincolnshire Local Plan, 2019.
4. The Local Planning Authority has acted positively and proactively in determining this application by assessing it against all material considerations, including national guidance, planning policies and representations that have been received during the public consultation exercise, and subsequently determining to grant planning permission.
This decision notice, the relevant accompanying report and the determined plans can be viewed online at http://planning.sholland.gov.uk/OcellaWeb/planningSearch
Background papers:- Planning Application Working File
Lead Contact Officer
Name and Post: Richard Fidler, Development Manager
Telephone Number: 01775 764428
Email email@example.com
Appendices attached to this report:
Appendix A Plan A
MAP SCALE 1:1250
CREATED DATE: 05/07/2022
PHOTOGRAPHIC COPY
LIABLE TO DISTORTION
IN SCALE
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WHAT EXPLAINS THE DEVELOPMENTS IN HOME PRICES AND RENTS IN ISRAEL BETWEEN 1999 AND 2010?
WEITZMAN NAGAR AND GUY SEGAL*
Abstract
In light of the steep increase of home prices and rents in Israel in 2009–2010, we identified and quantified the macroeconomic variables that influenced these prices between 1999 and 2010. Estimating an error-correction model and a difference equation model, we found that the monetary interest rate cut in response to the global economic crisis was the main reason for the steep increase in home prices in 2009–2010. An additional factor, although to a lesser degree, was the shortage in dwellings. An interest rate cut of one percentage point led to a 6.5 percent increase in home prices over approximately two years. Monetary policy also had a significant impact on home prices during the years 2004–2007, before the current economic crisis. Hence, monetary policy affects home price movement, and this movement may also be an indicator for the extent to which monetary policy is expansionary or restrictive with respect to financial stability. Consequently, monetary policy decision makers should consider its effect on home prices. The models generate a forecast for six quarters, and thus support the decision making process at the Bank of Israel on a regular basis.
JEL Classification: E52, R21, R31, E37, C22, C36
Keywords: Home prices and rents; Monetary interest-rate; Cointegration; Instrumental variables (IV); Forecasting and simulation; real estate bubble
1. INTRODUCTION
Between 2008 and 2010 home purchase prices and rental prices in Israel rose steeply, by 41 percent and 15.8 percent respectively in real terms\(^1\)—aberrant by past standards. The main question is what factors explain these developments. Another motive for the study relates to
* Bank of Israel, Research Department. Email: addresses: email@example.com, firstname.lastname@example.org. The views expressed in this paper are those of the authors and do not necessarily reflect those of the Bank of Israel. Previous drafts of this study were presented at a conference organized by the Bank of Israel Research Department in December 2010, at a macroeconomics seminar at Tel Aviv University, and to the Bank of Israel Monetary Committee. We thank the participants for their remarks, and also thank Alex Illek, Michael Sarel and Nathan Zussman for their useful comments.
\(^1\) Deflated by the Consumer Price Index net of its housing component.
the effect of housing prices (via rents) on inflation, in which the weight given to the housing services component in Israel’s Consumer Price Index (CPI) is heavy (24 percent), and the different development of this component relative to the rest of the CPI in 2008–2010. Understanding and quantifying the factors that explain the development of the two prices is crucial for appropriate policy—monetary, macro-prudential (demand-side) and fiscal. Our research motivation is in line with Taylor (2009, pp. 28): “We should be basing our policy evaluations and conclusions on empirical analyses, not ideological, personal, political or partisan grounds.”
We started by utilizing a finance-based economic framework linking home prices, rents and interest rates to show that under normal conditions home purchase prices and rents are interrelated and share a common trend. We examined empirically the hypothesis of a common trend using a (Engle-Granger) cointegration framework and focused on the 1999–2010 period. This framework analyzes the development of both prices, and the underlying factors that explain the dynamic of the prices are tested by an error-correction (EC) model. However, due to the lags of the dependent variable in the EC model, the model does not adequately identify and quantify the underlying variables that explain the price movement. Therefore, in addition, we estimated a difference equation model (unrelated to cointegration) based on the insights that were derived from the theoretical and cointegration setups. This model did not include the lagged dependent variable\(^2\), and hence made it possible to identify and quantify the underlying variables that drive both prices. In addition, the difference model allows us to produce a forecast\(^3\) to six quarters ahead—due to the lag structure that was found in the explanatory variables. The model and the forecast it generates support the decision making process at the Bank of Israel on a regular basis.
We found a reciprocal effect of rents and home prices (in general)—a finding consistent with the cointegration hypothesis; a positive effect of the population to housing stock ratio, a fundamental that has a long-term effect; and a negative effect of the unemployment rate, a cyclical factor. The effect of real long-term interest rates\(^4\)—negative on home prices and positive on rent—also stands out and is consistent with the principle of substitution between buying a dwelling and renting it.
An analysis of the difference equation model shows that the dominant factor in the sharp increase in home prices in 2009–2010 was the process of monetary interest rate cuts in response to the global economic crisis of late 2008. This factor explained 43 percent of the increase in prices in 2009–2010. By implication, a permanent rate cut of one percentage point induced a total effect of a 6.5 percent increase in home prices over a period of
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\(^2\) The lagged dependent variable was found to be insignificant.
\(^3\) It is worth noting that the forecast is done under a limited set of assumptions relating to the development of the explanatory variables.
\(^4\) Average real interest rate on CPI-indexed mortgage loans to terms of 5–25 years. Notably, the behavior of this interest rate resembles that of long-term CPI-indexed government bond yields.
approximately two years.\(^5\) The shortage of dwellings explained about one-third of the 35 percent increase in prices in 2009–2010.
An additional factor—the spread between one-year inflation expectations derived from the capital market and the midpoint of the inflation target—explained about one-eighth of the increase in home prices in 2010. This result may be interpreted as a hedge against inflation, i.e., home buying as a real investment. Another interpretation of this spread is that it may reflect the \textit{level} of the monetary interest rate for the following reasons: (a) when the interest rate is low, inflation expectations rise and vice-versa; thus, a positive spread reflects an expansionary monetary policy; (b) the combination of inflation expectations and the nominal monetary interest rate reflects the real expected monetary interest rate which, combined with long-term CPI-indexed interest rate, mirrors the slope of the yield curve and, in turn, the extent of monetary expansion.\(^6\)\(^7\)
The increase in \textit{rental} prices in Israel, measured by the home prices component in the CPI, was caused mainly by the shortage of dwellings that, according to the model, began in 2005. The long-term real interest rate was found to have a positive effect, while the monetary interest rate had no direct effect. Furthermore, the difference equation models also showed that home prices affected rent prices but not the other way around. This implies that the monetary interest rate affects rent prices indirectly via its effect on home prices. Examining the total effect, we found that a permanent one percentage-point increase in the monetary interest rate led to a 0.75 percent decrease in rental prices over a one-year period and a 2 percent decrease over 2.5 years. We also found that housing starts also affect rent, at a lag of 6–10 quarters, which can be interpreted as housing completions in the current quarter. The effect of the shekel-dollar exchange rate on rent prices had fallen sharply by 2009–2010, in view of the protracted appreciation of the shekel that began in 2006.
It is important to note that it may be possible to claim an endogeneity problem in the difference equation of home prices, stemming from the monetary interest rate as a regressor. We rejected this claim by using an Instrumental Variable (IV) in the 2SLS technique.
The main contribution of this paper is the identification and quantification of the factors that powered home prices and rents in Israel. We know of no other study, at least in Israel, that quantitatively estimated the contributions of these factors to the two prices and that allows both to be forecast in tandem with the expected contributions of the explanatory variables.
\(^5\) The monetary interest rate is weighted by the share of unindexed mortgage lending in total lending flow volume—CPI-indexed and unindexed mortgage lending. The effect of the interest rate noted is obtained for a 53 percent share of unindexed housing-loan flow in total loan volume.
\(^6\) According to New Keynesian theory, in which the Wicksellian approach is adopted, the benchmark rate of monetary policy is the natural interest rate—the rate that would prevail in an economy without price rigidities (an unobserved variable). When the monetary interest rate is lower than the natural rate, monetary policy is expansionary and inflation may overshoot the inflation target—and vice-versa.
\(^7\) HMS (2005, pp. 11) use the slope of the real yield curve as a proxy for the future expected house price, which affects the annual cost of ownership in the Poterba formula.
As the main factor behind the increase in home prices in 2009–2010 is the monetary interest rate, it follows that the solution to the aberrant increase in prices should not be sought from the direction of the housing shortage alone, even though this factor did put upward pressure on prices, and explains 37 percent of the annual rate of increase in 2009–2010. Furthermore, if housing supply expands in an unbalanced way in response to the upturn in prices, prices may face downward pressure farther ahead.
The rest of the paper is organized as follows: Section 2 reviews the relevant literature, Section 3 describes the data and presents stylized facts, Sections 4 and 5 present the economic framework, Section 6 shows the estimation of housing purchase and rent prices within a cointegration framework, Section 7 shows the estimation of the difference equation models, Section 8 presents out-of-sample forecasts of home prices, Section 9 discusses the endogeneity claim and Section 10 concludes.
2. RELATED LITERATURE
The use of a hypothesis of cointegration between home prices and rents is common in the literature. Bar-Nathan et al. (1998) (hereinafter: BBH)\(^8\) estimated a model for the Israeli housing market that included equations for home prices, rents, and supply—housing stock and completions. They found cointegration between rents and real home prices and the existence of an error correction (EC) between home prices (explanatory variable) and rents, but not vice-versa. Consequently, BBH inferred that housing purchase prices determine rents and not the other way around.
Himmelberg et al. (2005) (hereinafter: HMS), based on Poterba’s (1992) static model, compared the relationship of home prices and rents with the inverse of user cost of housing in various U.S. states in the period 1980–2005. The user cost of housing expresses the cost of owning a dwelling in percent; practically speaking, it mirrors the return on a housing investment. It is calculated as a function of the interest rate as an alternative investment, the expected capital gain, and different taxation rates. In that model, it appears that the user cost of housing is actually equivalent to the rent to dwelling price ratio, and hence illustrates the principle of substitution between them. Notably, HMS did not reach an unequivocal conclusion about the existence of a bubble in the U.S. Gallin (2008) estimated a vector error correction model (VECM) for the period 1970–2005 using U.S. data, and demonstrated the existence of cointegration among home prices, rents and user cost of
\(^8\) Bar-Nathan, Beenstock, and Haitovsky (1998) (hereinafter: BBH) examined the relationship of home prices and rents in Israel in the period 1973–1991, a period typified by hyperinflation and the onset of mass immigration. These characteristics, however, are irrelevant for twenty-first-century Israel. Today, the country’s economic environment is materially different from that of the 1970s and 1980s in many aspects. Since the 1990s, monetary policy has been managed under an inflation target regime, the financial environment and the pass-through channels have changed, fiscal policy has become balanced, and globalization affects almost everything. Furthermore, BBH estimated the Israeli housing market in a cointegration setup only and simulated the response of home prices (as well as housing starts and housing stock) to various supply and demand shocks as part of an analysis of the long term.
housing (in real terms). Using long-horizon regression models, which rely on lengthy lags, he found that the ratio of home prices to rents corrects itself via changes in prices, not in rents. Thus, similar to BBH, Gallin inferred that the lagged change in home prices explains the change in rents, i.e., that home prices determine rents and not the other way around. In our EC model, in contrast, we found that both prices affect each other. However, within the separate econometric framework of the difference equation models, we found that prices affect rents but not vice-versa.
The question of the effect of the monetary interest rate on home prices became a harder-edged issue in light of the global financial crisis and the low level of the monetary interest rate in the years preceding it. The empirical literature does not answer this question decisively. Bean et al. (2010) found that policy interest rates were expansionary relative to the estimated Taylor rules policy functions, both in the UK and the US. However, they concluded that these downward deviations of the interest rate "explain only part of the...house price inflation" and that home price shocks were the important driver of home price inflation. Yet, their results showed that monetary policy shocks have a strong effect on home prices, similar to our finding regarding Israel. Using a BVAR model\(^9\), they found that monetary policy shocks explained 46 percent of the increase in UK home prices and 26 percent of the increase in the US in 2002–2005. Contrarily, Del Negro and Otrok (2007), relating to the US in the period 1986–2005 within a Bayesian–factor-type dynamic model framework, found that the deviation of the monetary interest rate from the Taylor rule explains only 9 percent of the increase in home prices over a one-year period. Based on stylized facts, Taylor (2009) claims that the expansionary monetary policy in U.S. between 2000 and 2007 led to the housing boom.
Mishkin (2007) discusses the relations between the monetary transmission mechanism and housing and surveys six channels, direct and indirect, through which monetary policy affects the housing market and, in turn, the overall economy. Among these channels the monetary interest rate affects housing demand through the user cost of capital (UC). When the interest rate is raised, it raises UC and lowers the demand for housing. The lower demand is accompanied by expectations of lower home prices, which further lower demand. The lower demand causes slower activity in the housing market and, in turn, in the overall economy. The higher monetary interest rate also reduces housing activity through declining housing supply, as it raises the financing cost for constructing homes. However, despite the effect of monetary policy, Mishkin concludes that housing prices should not have a special role in the conduct of monetary policy, and that policy should respond to them indirectly through its effects on inflation and unemployment. However, he observes that central banks can take precautionary measures for possible sharp reversals in home prices to ensure that such reversals "will not do serious harm to the economy".
Several other papers examined the effect of the *real* interest rate, as opposed to the *nominal* interest rate, on home prices. HMS used a static comparison to show that the effect
\(^9\) The endogenous variables in the model are the inflation rate, the real growth rate, the monetary interest rate, the yield spread between corporate and government bonds, the growth rate of credit, the real rate of change in home prices, and a macroeconomic volatility index.
of the long-term real interest rate is nonlinear and is greater at low interest rates. Glaeser, Gottlieb, and Gyourko (2010) found that the reduction of the short-term interest rate in the US explains 45 percent of the increase in home prices in 2000–2005 but does not explain the precipitous decline that followed. Based on Poterba’s model, they showed that the real interest rate explains up to 20 percent of the change in prices in 1996–2006. Using a dynamic model, however, they estimated the contribution at only 7 percent.
3. THE DATA
To relate to prices in Israel’s housing market, we employ data reported by the Central Bureau of Statistics (CBS), particularly:
(a) the CBS Survey of Prices of Dwellings;
(b) the housing component of the CPI, which measures housing rents;
(b1) the Owned-Housing Services subcomponent of the CPI housing component, which reflects rent prices in new and renewed leases.
a. Home prices—the CBS Survey of Prices of Dwellings
Home prices are measured on the basis of the CBS Survey of Prices of Dwellings, which has been published since 1994. The index is based on real-estate prices according to reportage of sales and purchases to the Israel Tax Authority for payment of real estate purchase tax and land betterment tax. The survey reflects prices of new dwellings acquired and existing dwellings that change hands. The index is hedonic and accounts for location (locality, neighborhood, and area within locality for municipal tax purposes), dwelling area in square meters, and dwelling age.\(^{10}\)
Since January 1999, this index of home prices has not been included in the CPI. Because real estate purchase tax is remitted up to fifty days after the contract is signed, reporting takes place at a lag; therefore, the last three data in the index are provisional.
b. The housing component of the Consumer Price Index
The housing component of the CPI was weighted at 21 percent of the total index on average in 1999–2010. Since January 1999, it has been measured on the basis of a rental-equivalent approach, which treats rents in renewed leases as an estimate of housing services for tenants who own a dwelling. The housing component has three subcomponents:
1. Owned-housing services (77 percent). This subcomponent is calculated on the basis of a sample of new and renewed leases. Due to small sample size, it is bimonthly (with a two-week lag). In the past, most leases were dollar-denominated, but the proportion of
\(^{10}\) For elaboration, see “Definitions, Explanations, and Weights” of the Consumer Price Index at the CBS web site (Hebrew only).
dollar denominated leases declined significantly in 2008–2010 due to the protracted appreciation of the shekel.\footnote{The share of dollar-denominated leases has fallen steeply, from 87 percent in December 2006 to 65.3 in Dec 2007, 18.5 percent in 2008, and 8.1 percent in Dec. 2010.}
2. Housing rent (19 percent). This subcomponent is calculated on the basis of the stock of existing leases that remain in effect. Unlike owned-housing services, the rent subcomponent is based on a large sample and is therefore monthly.
3. Other housing expenses (4 percent). This subcomponent comprises expenses for realtors, contracts, insurance, etc.
**Figure 1**
*Home Prices and Rents in Real Terms (December 2001 = 1)*
![Graph showing home prices and rents in real terms]
The CBS Survey of Prices of Dwellings reflects prices of existing dwellings that change hands and new dwellings acquired. Rents are measured by the housing price component in the CPI. The indices are deflated by the CPI net of its housing component.
Figure 1 shows the development of housing purchase prices and the housing-price component (hereinafter: rent) in 1999–2010, in real terms. The figure shows that real home prices fell from the beginning of the sample (actually, prices began to fall around 1997) to 2008 and that rent prices fell in 2002–2007, even though the business cycle went through an upward phase in 2003–2007. Hence, the increase in prices that began in the middle of 2008 may be interpreted as an adjustment—a correction, admittedly a rapid one—to the protracted decline in the preceding decade.
In the course of 2009, home and rent prices diverged as the rate of increase in home prices surpassed that of rents. At the beginning of the sample, however, as the figure shows, a divergence in the mid-1990s, explained by a 20% rise in the Israeli population due to immigration from the former USSR, was followed by convergence of the two prices between 2002–2008. Between June 2008 and June 2010, real home prices jumped by 33.6 percent, or 15.3% on annual average, while the rents index went up by 19.6 percent—9.4% on annual average—aberrant both by past standards and relative to the inflation target.
4. THE ECONOMIC FRAMEWORK
To model the price of the dwelling, we utilize a finance-based approach in which the price of a dwelling, like that of any investment, reflects its future income flow.
The current price of the dwelling is the sum of the next period’s discounted rent and the next period’s discounted price of the dwelling:
\[
p_t = E_t \{rent_{t+1} / (1 + r^f_{t+1})\} + E_t \{p_{t+1} / (1 + r^f_{t+1})\},
\]
where \(p\) denotes dwelling price, \(rent\) denotes the flow of housing services value (rent), \(r^f_{t+1}\) denotes the forward interest rate from time \(t\) to time \(t+1\) (the discount rate), and \(E_t\) denotes expectations at time \(t\).
Iterating Equation (1) one period ahead, taking expectations and using the law of iterated expectations, yields:
\[
E_t \{p_{t+1}\} = E_t \{rent_{t+2} / (1 + r^f_{t+2})\} + E_t \{p_{t+2} / (1 + r^f_{t+2})\}.
\]
Plugging Equation (2) into Equation (1) and repeating this recursion \(T\) times ahead, when the dwelling will be sold, implies that the current price of the dwelling is the discounted flow of expected rent, or the value of the housing services, and the discounted expected price of the dwelling when it will be sold:
\[
p_t = E_t \sum_{j=1}^{T} rent_{t+j} / (1 + r_{t+j}) + E_t \{p_{t+T} / (1 + r_{t+T})\}.
\]
\(r_{t+j}\) denotes the expected interest rate from time \(t\) to time \(j\) (the discount rate), obtained as a geometric series of forward interest rates \(r^f_i\):
\[
r_{t+j} \equiv \prod_{i=1}^{j} (1 + r^f_i).
\]
The second term of the R.H.S. of Equation (3) can also be represented as the discounted flow of rents from time \(T\) onward. Hence, the current price of the dwelling can be represented as the discounted flow of rents from the next period onward:
\[ p_t = E_t \sum_{j=1}^{\infty} \left[ \frac{rent_{t+j}}{(1 + r_{t+j})} \right]. \]
For simplicity, let us assume that expected rents and interest rates are constant. In this case, the housing price is equal to the ratio of rent prices and the interest rate (resembling a consol bond):
\[ p = \frac{rent}{r} \Rightarrow rent = p \cdot r. \]
Equation (5) presents an equilibrium condition. Although Equation (5) reflects only the simple conceptual framework, presented above, of discounted flow from investment in a dwelling, it raises several important insights that establish the relationship between home prices and rents: (a) There is a positive relationship between home prices and rents. To interpret this, it may be argued that when home prices rise, at a given interest rate, the yield on the dwelling (via rent) should self-adjust and rise as well. The same relationship should work in the opposite direction: an increase in rent prices signifies an increase in the return on the dwelling, thereby making a dwelling more worth acquiring and, in turn, applying upward pressure on its price. However, the positive relationship is not simple, as we show below. (b) In equilibrium, buying a dwelling and renting one are equivalent in the consumption of housing services and are therefore substitutable. The substitution principle is important because it helps to explain the expected directions of the effect of different variables on home prices or rents. Thus, the equation shows that the relationship between the interest rate and rent prices is indeed positive but the relationship between the interest rate and the housing price is negative: if the interest rate rises, then for Equation (5) to hold, rent prices should rise and/or home prices should fall. This insight clashes with the previous insight about the positive relationship between home prices and rent prices, since when rent prices rise home prices may even decline, as stated, and when both go up, the reason should be sought in additional factors that affect both. (c) It emerges that under “normal conditions” both prices cannot diverge; in other words, even if they diverge for a while, they will eventually converge. This insight may be tested empirically by means of the cointegration tests that we present below. By “normal conditions” we mean long-run characteristics, in which the factors that affect both prices do not deviate from their long-run levels.\(^{12}\) This is not to say that prices cannot diverge during some interim period (which may even last several years) or that housing price bubbles do not exist. Such bubbles are expected to develop under “abnormal conditions”, e.g., the evolution of the US real-estate bubble in the first half of the past decade, in view of the development of the real estate credit market and the pursuit of yields.
The general framework presented above describes the relationship among home prices, rents and interest rates. Hence, in principle it measures the user cost of owning versus
\(^{12}\) An example of normal conditions is a flat yield curve, in which short-term and long-term rates are the same, or a reasonable small positive slope due to a liquidity premium.
renting which is common in the literature.\textsuperscript{13} We use the Cointegration and the Error Correction (EC) techniques to value it empirically. Obviously, additional factors affect both prices. Our purpose here is to understand the main factors that explain the development of both prices in Israel in the past decade. The next section describes main variables that may help us to understand the dynamics of home prices and rents in the short run and to determine the expected direction of their effect.
5. ADDITIONAL VARIABLES AND THE DIRECTIONS OF THEIR EFFECT
Before we use cointegration tests to strengthen the aforementioned economic framework (in Section 6 below) and since the (EC) equation—which describes the short-run dynamics—will include additional variables that abet the dynamics of house prices and rents, we take this early opportunity to describe additional variables that may be relevant to these equations.
\textit{Population and housing stock} are expected to affect both prices because the price of the housing services that the population needs depends on existing and expected housing stock. In a steady state, the ratio between the two is constant. However, it may be affected by shocks such as the mass immigration from the former USSR that Israel experienced in the early 1990s. Figure 2 shows the population/housing stock ratio from 1980 onward and home prices (1973 prices), deflated by the CPI.\textsuperscript{14,15} In the early 1990s, the ratio leaped due to the mass immigration. This ratio crested in 1991, but prices continued to rise until 1996 even though the ratio began to fall in 1992. In the 2000s decade as well, the population/stock ratio increased gradually but, as stated, home prices continued to fall until 2007. The figure shows that even though the expected effect of this ratio on prices makes much sense, the picture obtained does not demonstrate this clearly.\textsuperscript{16} The reason is that home prices are affected by additional factors, as described below.
\textsuperscript{13} We disregard additional factors that may affect home prices and rents, such as real estate purchase taxes and home preservation expenses that help to prolong the life of the structure, enhance building quality, and, therefore, improve the flow of rent obtained (Poterba, 1992, et al.). Furthermore, people change dwellings during their lives and may not keep one dwelling until their last day. Just the same, we do not consider these factors central enough in understanding the relationship between the two prices and the factors that explain them over time in the tested sample. It is also noteworthy that in Israel mortgage interest payments are not tax deductible, and property taxes do not exist.
\textsuperscript{14} Since deflating by the CPI net of housing yields a similar picture, it is not presented. The CPI net of housing series began only in 1987.
\textsuperscript{15} The CBS home-price series (survey) began in January 1994. The authors have earlier series that were embedded into the current series. The housing-stock series is based on unique housing-stock data for 1995, from the 1995 CBS population census; the stock for the remaining periods was calculated on the basis of the housing-completion series.
\textsuperscript{16} See for example Andrew, Sanchez, and Johansen (2011), hereinafter ASJ, who claim that population size is a basic factor in housing demand.
The housing-stock series is based on unique housing-stock data for 1995, from the 1995 CBS population census; the stock for the remaining periods was calculated by the authors on the basis of the housing completion series of the CBS. Home prices are deflated by the CPI net of its housing component.
*The business cycle*—ongoing financing of a dwelling by paying off a mortgage loan or paying rent weigh heavily on the consumption basket. Therefore, expectations of a change in income and, especially, in permanent income, should also affect individuals’ decisions on buying or renting a dwelling. Indeed, the literature finds a positive relationship between income and home prices.\(^{17}\) Figure 3, illustrates home prices (in real terms) with the unemployment rate, and shows that in 2003–2008, when the business cycle was rising, home prices were falling, the opposite of what we would expect. By implication, home prices do not necessarily correlate with business cycles simultaneously; apparently, business cycles affect home prices at a lag, as we show below.
In our empirical framework, business cycles are reflected in the unemployment rate. We expect unemployment to affect housing prices in a negative direction because employment instability raises fears of entering into a long-term commitment that buying a dwelling entails. Therefore, given the substitution principle, joblessness should affect rental prices in a positive direction. Possibly, however, an increase in unemployment signifies a slowdown in economic activity; therefore, we would expect demand—for both purchase and rental of
\(^{17}\) See, for example, ASJ (2011) and ECB (2003). Andrew (2010) found, on average, unit elasticity of home prices to real income for the OECD countries in 1980–2005.
housing—to decrease. Consequently, we expect to find a negative relationship between unemployment rates and housing prices but the relationship with rental prices is not clear. Another variable that expresses business cycles is wage. An increase in wage is expected to boost purchasing power (income effect); therefore, it should cause home prices and rental prices to rise.
**Figure 3**
*Real Home Prices and Rents and the Unemployment Rate, 2001:Q4=1*
Home prices (CBS Survey of Prices of Dwellings) and Rents (CPI housing component) are deflated by the CPI net of its housing component.
*Other variables*—the signs of the relationship that we expect to find, *ceteris paribus*, are shown in Table 1. The variables that were found to be empirically significant appear in boldface in the table: a positive relationship between rent and dwelling price; a positive relationship between an increase in inflation expectations and prices, and so for the shekel-dollar exchange rate, the effect of which also depends on the share of leases that are dollar-indexed, as mentioned above.
As for additional supply variables, we expect a negative relationship between housing starts/completions (supply) and home prices and rental prices. The more starts/completions there are, the more we would expect prices to fall; therefore, rental prices would fall as well. Finally, we expect to find a positive relationship between prices of construction inputs and home prices.
Table 1
Expected Signs of Coefficients in Rent and Housing Price Equations
| Variable | Expression | Rent equation | Price equation |
|-----------------------------------------------|--------------|---------------|----------------|
| **Price** | $p$ | + | |
| **Rent** | $cp_h, cp_ho$| | + |
| CPI or gap between inflation expectations and inflation target | $Inf_{exp-dpt}$ | + | + |
| Share of dollar-indexed new leases multiplied by the shekel-dollar exchange rate | $dol_w*ddol$ | + | + |
| Unemployment rate | $Ue, ue_sa$ | ? | - |
| Nominal wage | | + | + |
| Population/housing stock ratio | $pop/mlai$ | + | + |
| Indexed mortgage loan interest rates | $R_rri$ | + | - |
| Monetary interest rate | $ri$ | + | - |
| **Housing starts and completions** | $Start,gmar$ | - | - |
| Index of construction inputs | | | + |
| Traded real-estate shares | | - | |
| Shares | | - | + |
| **Dwelling size** | $Size$ | | + |
The non-boldfaced variables were found insignificant in the regressions.
In addition to the economic variables, we examined financial variables. We expect a negative relationship between home prices and real-estate equities traded on the Tel Aviv Stock Exchange, assuming that the advances in liberalization and globalization during the research period dampened portfolio demand motives for housing in the domestic market. As for the General Tel Aviv Stock Index—assuming that it reflects the wealth effect, we would expect it to relate positively with home prices and have a negative and direct effect on rent.\(^{18}\) However, none of the variables mentioned above were found significant.
6. RESULTS OF THE COINTEGRATION ESTIMATION
We now return to the economic framework described in Section 4, and examine it by cointegration tests. We use the two-step Engel-Granger method: a long-term equation followed by a short-term error-correction (EC) equation. Readers who are not interested in this analyses can jump to Section 6.2 below.
\(^{18}\) Where the portfolio motivation is concerned, additional contrasting effects are possible: a negative effect of equities on home prices as an alternative investment and a positive effect in terms of diversifying the portfolio.
The long-term equation tests for the existence of cointegration among several nonstationary variables—that is, whether the variables have a common trend. The variables should have the same degree of integration, and indeed, the home-price, rent series and the real interest rate are first-order integrated (distribution I(1); see Appendix A, Table A.1). To confirm the existence of cointegration, the residuals of the regression must be stationary. These residuals are obtained by running one variable on the other variables that are assumed to be connected to the common trend. That is, if several variables are cointegrated, there is some linear combination of them that is stationary, and they therefore share the same trend.
Based on Equations (4) and (5), estimating for 1996:Q1–2010:Q4\textsuperscript{19} in Equation (6) below we found the residuals to be stationary according to three accepted tests: ADF, PP, and KPSS\textsuperscript{20,21} (Appendix B, Table B.2.1). Below we chose to shorten the period examined and focus on the period from 1999:Q1 to 2010:Q4 because the housing component of the CPI was redefined in 1999; from then on, it has been calculated on the basis of leases (following the rental equivalent approach) and not on the basis of home prices, as before.\textsuperscript{22}
The long-term equation reflects only the long-term trend of the variables, and does not explain the causes of the dynamics in each of the prices. According to the Granger Representation Theorem, once a long-term equation is found, the dynamic can be shown by means of an EC model, i.e., the short-term equation that must exist but has to be found. In this equation, all variables must be stationary: it is estimated with a one-lag residual ($D_{t-1}$) from the long-term equation, and lags of the change in the dependent variable and the explanatory variables from the long-term equation—as explanatory variables. The short-term equation may include additional variables (at different lags) that affect the dynamic in the short term, i.e., that explain the deviations of the variables from the long-term level.
The long-term equation shown above consists of three variables: home price, rental price, and long-term interest rate (all in terms of levels). Following the Engel-Granger approach, when the test is performed on more than a pair of variables—as it is in our model—each pair should be examined separately; if only one pair is found to be cointegrated, the additional variable becomes irrelevant. However, if cointegration is not found in any pair separately, cointegration may exist among more than two variables (Enders, 1995). This feature, found to be present in our study, is consistent with the theoretical model described in section 4 above.
\textsuperscript{19} One may claim that cointegration tests may work poorly when the data series contain only 12 to 15 years, and when the data contain only one cycle. We are aware of this criticism. That said, the economic foundations are based on theoretic and econometrics grounds with the data series limitation.
\textsuperscript{20} ADF—Augmented Dickey-Fuller; PP—Phillips-Perron; KPSS—Kwiatkowski-Phillips-Schmidt-Shin. The KPSS test’s null hypothesis is that the tested time series is stationary, in contrast to the ADF and PP tests, where the null hypothesis is for unit root.
\textsuperscript{21} While the KPSS test’s power is low in small samples, such as ours, we have also used this test in order to indicate a robustness of the results obtained from the ADF and PP tests.
\textsuperscript{22} While the KPSS test’s power is low in small samples, such as ours, we have also used this test in order to indicate a robustness of the results obtained from the ADF and PP tests.
Below we present the results of our estimation of the long-term and short-term equations for housing rent and home prices separately.
**a. Long-term equation—Cointegration equation**
The long-term equation for the 1999:Q1–2010:Q4 period, corresponding to the economic framework shown in Equation (5), is as follows:
\[
(6) \quad \log(\text{rent}) = \alpha + \beta_1 \log(p) + \beta_2 r + \beta_3 dpt + \nu
\]
where both \( \text{rent} \) (measured on the basis of the owned-housing-services subcomponent) and home prices (\( p \)) are in nominal terms. \( r \) denotes the real interest rate on CPI-indexed mortgage loans.\(^{23}\) Equation (5) is enhanced by the addition of the variable \( dpt \), which denotes the midpoint of the inflation target range in view of the disinflation process that was ongoing in the Israeli economy at the beginning of the estimation period, as noted above.\(^{24}\) The estimation result of Equation (6) is:
\[
(7) \quad \log(\text{cp}_\text{ho}) = 0.54 + 0.76 \log(p) + 0.01r - 0.07dpt + \nu
\]
where \( \text{cp}_\text{ho} \) measures rents.\(^{25}\) The economic framework led us to expect a positive relationship between the interest rate and rents, as indeed we found\(^{26}\) (and we expect to find that the interest rate has a negative effect on home prices—see below). We also found, as expected, a positive sign for housing prices. Hence, the results are consistent with the substitution principle: when the interest rate rises, demand for housing purchases declines and home prices tend to fall. Concurrently, demand for housing services shifts to rentals, causing rent demand to rise.
The residuals of Equation (7) are shown in Figure 4. PP, ADF, and KPSS tests indicated the residual to be stationary (Table B2.1 in Appendix B). Thus, we have confirmed the existence of co-integration among housing rents, home prices, and the real interest rate.
---
\(^{23}\) One may ask why the variables \( \text{rent} \) and \( p \) are nominal while interest rate is real. The answer is that, generally speaking, by moving the variable \( p \) to the left side of Equation (6), the equation may be viewed as the relationship of \( \text{rent} \), and home price, \( p \). It is, in fact, the yield on the dwelling from rent that it generates or the housing services that it provides and, in the long run it is related to the real interest rate, on the right side. In this situation, the quotient on the left is always expressed in real terms because in transforming a nominal series into a real series each variable is divided by the same factor (the CPI).
\(^{24}\) Notably, in regressions run from 2002 onward (not shown here), the \( dpt \) variable is not needed because a constant long-term inflation target range of 1–3 percent was established.
\(^{25}\) Strictly speaking, \( \text{cp}_\text{ho} \) is the owned-housing services subcomponent in the housing component of the Consumer Price Index, see section 3.2 above for details.
\(^{26}\) The use of \( t \) values to denote significance is irrelevant in our case, in which the variables are nonstationary. For this reason, we do not note them.
Figure 4
Long-Term Equation Residuals—the Error Term according to Equation (7)
The error term is the $\nu$ term in Equation (7), which is the co-integration equation of rents on home prices and the real interest rate on CPI-indexed mortgage loans.
1. Remarks on cointegration and discussion of the existence of a bubble
We showed that cointegration exists, i.e., that home prices and rents share a common trend and do not diverge for long. We return now to the question of whether the price level in late 2010 reflects a bubble. One may answer by comparing the actual price level with that derived from the long-term equation (7). Using equation (7), we obtained the long-term level of rent relative to home prices at any point in time. As stated above, as of late 2010, the actual level of rent was 4 percent under its relative long-term level (i.e. $\nu_{2010q4} = -4\%$). Similarly we estimated the deviation of home prices from their relative long-term level\(^{27}\) by using Equation (7.1):
$$\log(p) = 0.86 + 0.98 \log(cp_{ho}) - 0.03r + 0.11dpt$$
According to these results, actual home prices in late 2010 were 8 percent above their long-term level. The deviation of rent from its long-term level is negative, whereas that of home prices is positive. The following explains why the deviations of the two variables
\(^{27}\)Appendix B, Table B.2.2 shows the formal unit root tests for residuals of Cointegration Equation (7.1).
carry opposite signs. In the rent estimation (Equation 7) home prices are an explanatory variable. Accordingly, if home prices deviate upward relative to rent (for some reason unrelated to rent), as actually happened in 2009–2010\(^{28}\), the calculated long-term level of rent (derived from the coefficients obtained from this equation) will also deviate upward. It follows that the calculated long-term rent exceeds actual rent and, consequently, the deviation of the actual rent from its long-term level is negative. It is important to note that, according to this analysis, the deviation occurred because home prices “broke away.”
Now we explain the opposite deviation of home prices from their long-term level. To calculate the long-term level, we multiply the coefficients obtained in Equation 7.1 by the actual data on rent, which rose much less than home prices (although the upturn was affected by the increase in home prices). This yields a calculated long-term level that is lower than that of actual prices, hence the positive deviation.
Consequently, the estimated deviation of home prices is 8 percent and that of rental prices is minus 4 percent. These, however, are minimum estimates of the deviations. The reason is the short sample—only eleven years, and in particular with two years of exceptionally rapid increases (2009–2010) that have a powerful effect on the coefficients. Hence, some of the exceptional price increase in these two years is captured into the long-term price level. In other words, if the increase in prices has created a bubble, it is also captured in the estimated long-term level, which by definition cannot be “bubbly”. Thus, the deviation of actual prices from the long-term level that we obtained—8 percent—is the lower bound of the deviation (Table 2 column 1).
**Table 2**
**Deviation of Home Prices and Rents* from Long-Term Level at End of 2010, Based on Different Samples (%)**
| | 1 | 2 | 3 | 4 | 5 | 6 |
|----------------|-------|-------|-------|-------|-------|-------|
| | 1999–2010 | 1999–2009 | 1999–2008 | 1996–2010 | 1996–2009 | 1996–2008 |
| Rents | -4.0 | -14.0 | -20.6 | -4.3 | -12.0 | -12.9 |
| Prices | 8.0 | 15.9 | 22.5 | 7.8 | 14.9 | 18.8 |
| Observations (N) | 48 | 44 | 40 | 60 | 56 | 52 |
The deviation is estimated using the long-term co-integration Equation (7) for rents (the housing services component of CPI) and Equation (7.1) for home prices. The deviation is the estimated residual of the regression at the end of 2010, where the coefficients of the regressions are estimated in six different samples.
If so, the implicit long-term levels up to 2008, before the steep escalation of prices in 2009–2010, are of interest. To calculate them, we ran the regression up to 2008 (before the price spurt) and used the resulting coefficients to predict the long-term price increase up to the end of 2010. Then we compared actual prices with the predicted long-term level and
\(^{28}\) In 2009–2010, home prices increased by 35.3 percent and rents increased by 12.6 percent.
calculated the deviations from it, as shown in Column 3 of Table 2. We ran a similar regression up to 2009 and recorded the deviation obtained in Column 2. The results show that the deviations derived in this exercise are much larger than the estimates obtained by running the regression for the entire period (up to 2010), shown in Column 1. This means that the development of prices in 2009–2010 also had a strong effect on the estimated long-term level to the end of 2010. In a similar exercise, we extended the sample back to 1996 (instead of 1999)\textsuperscript{29}, as shown in Columns 4–6 of Table 2, to mitigate the effect of 2009–2010 by reducing their weight in the sample; furthermore, the 1996–1998 price levels were attained at the peak of the previous housing cycle. Here too, however, we obtain similar results to those of the first exercise. (Compare Columns 4–6 with Columns 1–3, respectively.) This result is consistent with our conclusions about the exceptional price increase in the past two years.\textsuperscript{30}
According to this approach, we conclude that the deviation of prices at the end of 2010 was at least 8 percent and may have been as large as 20 percent. If we assume, for example, that 2010 was the only outlier, the deviation was 15 percent (Columns 2 and 5).
\textbf{b. Error Correction (EC) equation—short-term equation of rents}
Equation (8) shows the results of the regression of the short-term (EC) equation for rents in the 1999:Q1–2010:Q4 period\textsuperscript{31}:
\begin{align*}
d(\log(cp_{ho})) &= -0.013 - 0.162[d(p(-1))] + 0.268[d(\log(cp_{ho}(-1))] \\
&+ 0.267 \cdot @movav[d(\log(p(-2))),2] + 0.02 \cdot @movav[d(r(-4)),2] \\
&+ 13.82[d(\log(pop(-5)/mlai(-4)))] + 0.022(dol_w * dddol) \\
&- 0.038[\log(start(-6)/start(-10))]
\end{align*}
\textsuperscript{a} The small numbers in parenthesis are the $t$ statistics values.
$\overline{R}^2 = 0.82$, DW=1.95, $LM_{test statistic}=0.71$, Obs. After adjustment=47.\textsuperscript{33}
\textsuperscript{29} In regressions run before 1999, we added a dummy variable that expresses the change in the rent series from January 1999.
\textsuperscript{30} It is important to note that the rent series for the period 1996–1998 is the old series, which is different than this series since 1999, and hence may be biased.
\textsuperscript{31} In Equation (8), the expression @movav denotes a moving average. For example, @movav(X(-2),2) denotes a moving average of 2 and 3 lags of Variable X.
\textsuperscript{32} In the $LM$ serial correlation test, the null hypothesis is that there is no serial correlation. Serial correlation is also tested by means of Q statistics. These tests were performed because a $DW$ test for serial correlation is invalid at lags greater than 1.
\textsuperscript{33} $\overline{R}^2$ denotes Adjusted goodness of fit.
The coefficient of the EC factor \((U_{t-1})\) implies that it takes about thirteen quarters to close 90 percent of the deviation of rent from its long-term trend\(^{34}\) unless an additional shock causes further deviations. The coefficient is negative, as expected; that is, if a positive deviation from the long-term trend occurred—an increase in rent beyond the trend—a correction in the opposite direction should be expected in order to return to the trend. In this equation, additional lags of the variables from the long-term Equation (7) are added—change in rent (at a one-quarter lag), change in home prices (average 2–3-quarter lags), and change in the long-term real interest rate (average 4–5-quarter lags). However, the dynamic of rents is also explained by: the change in the population/housing stock ratio, which reflects residential demand pressures when positive and supply surpluses when negative; the change in the shekel-dollar exchange rate weighted with renewed dollar-indexed leases, which was found to be positive, as expected; and the change in housing starts (at a lag of 6–10 quarters), which was found to be negative, as expected. It is important to note that the monetary interest rate was not significant in this equation. Other additional variables, such as (change in) the index of building input prices, wage (income), and stock indices (the wealth effect) also were not found to be significant. It is important to note that the variable lags which we found in the regressions (here and below) do not reflect our a-priori position. Rather, we were seeking lags that are robust to sample changes.
**Figure 5**
*Residual of Short-Term (Error Correction) Rent Equation*
![Graph showing residual of short-term error correction rent equation]
\(^{34}\) As the coefficient is \(-0.16\), in each quarter, a discrepancy of 84 percent of the previous quarter’s discrepancy remains. This remaining discrepancy is 49 percent after one year and 10 percent after thirteen quarters.
Below, we use the coefficients of Equation (8) to predict and specify the factors that explain how the change in rents actually developed, i.e., we present the variables that contribute to an in-sample prediction.
Figure 6 quantifies the contributions of the variables to the development of the annual rate of change in rent in the first decade of the twenty-first century, as derived from the EC Equation (8) above.
Among the factors that affect this dynamic, the following stand out: the EC component with a negative coefficient; the waning of the effect of the shekel-dollar exchange rate, which has almost disappeared in 2009–2010; the effect of the shortage of dwellings; and the effect of the increase in home prices in 2009–2010. This analysis is important because it stresses the factors that affected the dynamic. However, since the contributing factors include the lagged dependent variable, it is hard to identify the “net” contributions of the other variables. A “cleaner” analysis appears in the discussion of the difference equation models (Section 7.1).
**Figure 6**
*Contributions of Variables to Annual Rate of Change in Rent according to EC Equation, 2000–2010*
Each date denotes the change in the past year and sums up the contribution of each variable in the past four quarters, as derived from the estimated error-correction Equation (8) for the change in rents as the dependent variable. The error-correction term is the lagged residual of the co-integration Equation (7).
c. Error correction (EC) equation—short-term equation of home prices
Equation (9) shows the results of the short-term (EC) equation regression for the change in home prices:
\[
d(\log(p)) = 0.003 + 0.206[\nu(-1)] \\
(1.33) \quad (2.97)
\]
\[
-0.318[d(\log(cp - ho(-1)))] + 0.394[d(\log(p(-1)))] + 0.316[d(\log(p(-4)))]
\]
\[
(5.41) \quad (3.9)
\]
\[
-0.017[d(r(-3))] + 9.694[d(\log(pop(-3)/mlai(-3))] + 0.013(dol_w*ddol)
\]
\[
(2.83) \quad (5.16) \quad (6.77)
\]
\[
-0.008[ue(-4) - ue(-6)] - 0.009[ri(-1) - 0.5[ri(-6) + ri(-7)]]
\]
\[
(-4.95) \quad (-3.0)
\]
\[
+ 0.003[\inf_{-} \exp(-6) - dpt(-6)]
\]
\[
(2.44)
\]
* The small numbers in parenthesis are the \( t \) statistics values.
\( R^2 = 0.83, DW = 1.79, LM \text{ test statistic} = 0.57, Obs. After adjustment = 47 \)
In this equation, too, the error correction factor is the residual of the long-term Equation (7), i.e., the same EC series as we used in Equation (8). Therefore, in this case the error factor, \( D_{-1} \), receives a positive sign, as we expect. This is so because the long-run equation reflects the joint trend of the cointegrated variables—in our case home prices and rents (given the interest rate). Hence, a positive deviation \( D \) from the joint trend implies that one variable (rents) has deviated relative to the other variable (home prices). That is, a positive deviation \( D \) of rents requires either a negative correction of rents and/or a positive correction of home prices. It emerges that rents and home prices should move in opposite directions in the next periods in order to converge toward a common trend. The coefficient of the EC factor in the equation shows that about 90 percent of the deviation from the long-term trend is closed after ten quarters, a slightly faster response than that of rent. In addition to the variables included in the long-term equation, which appeared here in terms of rates of change—change in rents (a one-quarter lag), change in home prices (a one-quarter and four-quarters lag), and change in the real interest rate (a three-quarters lag)—additional factors that affect the dynamic of home prices appear here. These additional factors are: change in the population/housing stock ratio; change in the shekel-dollar exchange rate as weighted in renewed dollar-indexed leases; change in the unemployment rate, which affects at a lag of 4–6 quarters; monetary interest rate \( ri \), which is weighted by the share of the flow of unindexed mortgage loans volume in total indexed and unindexed mortgage loans\(^{35}\); and the gap between one-year-ahead inflation expectations and the midpoint of the inflation target (a six-quarter lag). The regression result shows that an upturn in inflation
\(^{35}\) The average weight of unindexed fixed-interest mortgage loans in 2006–2010 was 1 percent of total mortgage loans, as against 47 percent at variable interest. Therefore, we disregarded the former.
expectations beyond the inflation target explains an increase in home prices. One may interpret this as hedging against inflation, i.e., buying a dwelling as a real asset. Another motive for including the inflation gap is that it also reflects the level of the monetary interest rate, as explained in Section 1 above. The change in the unemployment rate reflects business cycles inversely; as we expected, a negative cycle is reflected in an increase in the unemployment rate and, therefore, exerts downward pressure on prices. An attempt to find other proxies for the business cycle—such as wage and per-capita GDP—proved unsuccessful.
**Figure 7**
*Residual of Short-Term (Error Correction) Equation of Change in Home Prices*
![Graph showing residual of short-term error correction equation of change in home prices]
Additional variables, such as (the change in) the index of construction inputs prices and equity indices (the wealth effect) were found insignificant in the home-price equation as well. The equation goodness of fit is 83 percent.\(^{36}\)
Figure 8 shows the contributions of the variables to the development of the annual rate of change in home prices, as derived from the EC equation above, by summing the quarterly contribution of each variable, as derived from the EC Equation (9), in the past four quarters.
In 2008–2010, home prices increased by 48 percent in cumulative nominal terms. Figure 8 shows the relative stability of the housing shortage (reflected by the population/housing stock ratio); it explains an annual average of about 5 percentage points in these years, resembling the finding in the rent equation. However, the contribution of the
\(^{36}\) BBH (1998) obtained \(R^2=0.97\) in a similar equation, in which price was a dependent variable and rent was an explanatory variable.
monetary interest rate increased sharply in the middle of 2009, following a negative contribution in 2006–2007, and after the interest rate fell steeply in response to the eruption of the global economic crisis in late 2008.
The lagged effect of the price variable (the dependent variable) explains much of the increase in prices but does not identify the economic factors behind it. As for the other variables, their effect is minor and their sign is as expected. One exception is the lagged effect of rent, which was found to be negative. Since the economic framework suggests that the interest rate affects home prices and rents in the opposite direction, the result may suggest that the interest rate has a greater impact on both home prices and rents than the EC model can show directly. It may reflect the complicated relationship that exists between the lags of home prices and rent prices and the EC factor, which embodies many factors together. This is the main reason for analyzing the contribution within the framework of a difference equation, which we do below.
**Figure 8**
*Contributions to Annual Rate of Change in Home Prices according to EC Equation, 2000–2010*
Each date denotes the change in the past year and sums up the contribution of each variable in the past four quarters, as derived from the estimated error correction Equation (9) for the change in home prices as the dependent variable. The error-correction term is the lagged residual of the co-integration Equation (7). The actual home prices (the bold line) are taken from the CBS survey of prices dwellings.
7. DIFFERENCE EQUATION MODEL
The EC model framework provides insights about the factors that affect home prices and rents, and distinguishes between deviations from long-term levels and short-term dynamics. This framework, however, also includes inertia, reflected in lags of the dependent variables, and a (lagged) EC factor that accommodates the cointegrated variables (the first-stage equation). For these reasons, full identification of the factors that power the system is not trivial.
This section presents an estimation of difference equation models—outside the setup of the EC model—applying the insights yielded by the theoretic economic framework and the cointegration framework in both its stages. In this estimation, we found that the difference equation models do not include lags of the dependent variable (i.e. they found it to be insignificant), and hence allow us to identify the factors that drive both prices.
Notably, in the difference equations presented below, the rent variable is the housing component of the CPI, i.e., \( cp_h \) and not \( cp_{ho} \), as in the previous sections. The reason for this is our wish to generate a forecast of this component for the practical purpose of supporting monetary policy decisions.\(^{37}\) Let us recall that the housing component \( cp_h \)—weighted at 21 percent of the total CPI—rose by 4.4 percent in 2010\(^{38}\) and by a record 15.7 percent in the year ending in mid-2009—rates far exceeding the inflation target (1–3 percent).
**a. Difference equation for rents (housing component of the CPI)**
The dependent variable in Regression (10) below is the index of rents, comprising the three elements described in Section 3, for the period 1999:Q1–2010:Q4:
\[
d(\log(cp_h)) = 0.022(dol_w*ddol) + 11.97[d(\log(pop(-5)/mlai(-4))] \\
- 0.005[@movav(ue_sa(-3),2) - @movav(ue_sa(-6),2)] + 0.009[r(-4) - r(-7)] \\
+ 0.29[d(\log(p(-3))] - 0.03[\log(start(-6)/start(-10))] \\
- 0.02[dum1-dum4] + 0.004[dum2-dum4] + 0.018[dum3-dum4]
\]
* The small numbers in parenthesis are the t statistics values.
\[
\overline{R}^2 = 0.86, \text{DW}=1.69, \text{LM test statistic}=0.87, \text{Obs. after adjustment}=48
\]
\(^{37}\) Regressing the \( cp_{ho} \) as the rent dependent variable shows very similar results to Regression 10. The \( cp_{ho} \) regression is available upon request.
\(^{38}\) The annual rate of change is calculated as the sum of the changes in the past four quarters. The data for each quarter are the average of the three months of which the quarter is composed.
Most of the variables obtained (apart from home prices and the shekel-dollar exchange rate) are in real terms with lengthy lags. The main variables—population/stock ratio, home prices, real long-term interest rate, and housing starts—appear here as in the EC Equation (8) above. However, while the EC factor and the rent lag do not appear in the equation, the change in the unemployment rate at a lag of 3–7 quarters is added.
The equation shows that the signs of the variables are as we had expected, particularly the positive sign of the real interest rate (at a lag of 4–7 quarters) in accordance with the principle of substitution between purchase and rental in housing services—as the economic framework implies. The rent component is (simultaneously) positively affected by the change in the shekel-dollar exchange rate multiplied by the share of dollar-indexed-lease volume in total leases. An increase in the population/housing stock ratio, which has a positive effect on rent, and an increase in unemployment, which has a negative effect, reflect demand factors for housing services. Home prices at a lag of three quarters also affect rent positively; the sixth variable—the change in housing starts (start) at a lag of 6–10 quarters—has a negative effect on rent. The last variable mentioned reflects the supply side: when it goes up, it helps to push rent prices down. The last three variables are dummy variables for seasonality; they show, relative to the fourth quarter, stronger seasonality in the second and third quarters and weaker seasonality in the first quarter. The equation goodness of fit is 86 percent and it is robust to shortening the estimation period from the end. (See Appendix C.) Figure 9 shows rent prices, the fitted rent series of the regression, and the residuals.
Figure 9
Housing Component (Rents)—Fitted, Actual, and Residual of the Difference Equation (10)
---
Equation (10) does not have a constant. It was found to be significant and negative, affected by the decrease in real rent prices in 1999–2007. Given that an upward trend in prices began in late 2007, the forecast obtained without a constant has a better fit than the forecast with it. Therefore, we show the equation without a secant.
Again (as in Equation 8), the monetary interest rate was not found to be significant and, therefore, is not presented in the equation. This yields an important result concerning the pass-through of the effect of the monetary interest rate on rents: The monetary rate affects home prices negatively (as we show below); it is home prices that affect rents. In other words, the monetary interest rate affects rents (a component of inflation) via its effect on home prices, and not directly. Consequently, the use of monetary policy to encourage or restrain activity (and, alternatively, to attain inflation targets) is unavoidably reflected in the volatility of home prices. Furthermore, even though the connection between the interest rate and rents is positive, as shown in the economic framework and Equations (7), (8) and (10) in regard to the long-term real interest rate, increasing the monetary interest rate ultimately pushes rents down.
The lengthy structure of the lags in the equation allows us to derive a one-year-ahead forecast under a small number of assumptions. Thus, aside from the rate of currency depreciation against the dollar (the expectation of which is zero), assumptions are needed concerning the development of the unemployment rate and home prices to only one quarter ahead. The main difficulty is in home prices; however, the missing quarter may be estimated from the difference equation for home prices, presented below.
1. Rents (housing CPI component)—testing the difference equation and the contribution of different factors to the rate of change of rents
In this subsection we use the coefficients of Equation (10) to quantify the contribution of each factor that affects the rent index and its development (similar to the analysis performed in Section 6.2 within the framework of the EC model). First we focus on 2007–2010. Figure 10 shows the contribution of each variable to the development of the annual rate of change in the rent index from the last quarter of 2007 to the last quarter of 2010; each date in the figure relates to the change in the rent index in the trailing year. Table 3 sums up the contributions in 2008–2010. The increase in rent originates mainly in the gradual rise of the population/housing stock ratio, reflecting the shortage of housing, i.e., a direct supply-side effect.\(^{40}\) The contribution of the ratio peaked in 2009 and receded slightly in 2010. Housing starts also have a direct supply-side effect, and when we combine both effects—that of the population/stock ratio (which includes only housing completions and not starts) and that of housing starts—we find that together they explain about 75 percent of the change in rent every year and were the leading factors for the rise of rent prices in 2009–2010 (Table 3). Another meaningful factor is the increase in home prices that began in 2008. According to the analysis presented below, some of this increase (Section 7.2) is also explained by the population/housing stock ratio, meaning that the ratio had a stronger effect on rent than its direct effect only.
\(^{40}\) The increase in the population/stock ratio reflects demand pressures; therefore, the relationship to price is positive. However, since an increase in the ratio signifies a shortage of dwellings, it may also be viewed as a supply effect.
Table 3
Contributions to Change in Rent, 2008–2010 (%)
| Change in year ending: | Total actual change | Residual | Housing starts | Unemp. rate | Population /stock ratio | Real interest rate | Home prices |
|------------------------|---------------------|----------|----------------|-------------|-------------------------|--------------------|------------|
| 2008:Q4 | 9.3 | 4.4 | 1.2 | 1.7 | 5.5 | -1.8 | 1.0 |
| 2009:Q4 | 7.5 | -0.7 | -0.4 | 0.8 | 6.3 | -1.4 | 2.9 |
| 2010:Q4 | 4.3 | -0.2 | -1.1 | -1.5 | 4.3 | -2.4 | 5.5 |
| Avg. | 7.0 | 1.1 | -0.1 | 0.3 | 5.3 | -1.9 | 3.1 |
The table sums up the contribution of each variable in the past four quarters, as derived from the estimated difference Equation (10) for the change in rents.
Figure 10
Contributions to Annual Change in Rent, 2007:Q4–2010:Q4
Each date denotes the change in the past year and sums up the contribution of each variable in the past four quarters, as derived from the estimated difference Equation (10) for the change in rents as the dependent variable. Rents in the estimated difference equation are taken from the housing price component of the CPI.
The monetary interest rate, as stated, affects rents indirectly via its effect on home prices. Taking the coefficients and lags into account, we find that a permanent 1 percentage point increase in the monetary rate is expressed in a 0.75 percent decline in rent prices one
year ahead and summed to a 2 percent decline two-and-a-half years ahead.\textsuperscript{41} Conversely, some of these increases are offset by a decline in the real interest rate, which supports the diversion of demand from rental of dwellings to purchase in accordance with the substitution principle, as emerges from the economic framework, and the lagged increase in the unemployment rate due to the global crisis. The depreciation of the dollar against the shekel (Figure 10) also contributed to the price decline in 2009; however, this effect disappeared in 2010 due to the decreasing incidence of dollar indexation in leases.
The rent equation performs well in explaining the increase in rents in 2009–2010. In the year ending in the middle of 2009, however, a large residual remains, concurrent with the exceptional increase in rents (Figure 10).
\textbf{Figure 11}
\textit{Contributions to Annual Change in Rents, 1999–2010}
For description of the figure, see figure 10.
\textsuperscript{41} This calculation assumes that 53 percent of total CPI-indexed and unindexed mortgage lending volume is unindexed adjustable-rate (prime-based). Since the adjustment of interest in this kind of lending corresponds to the ups and downs of monetary interest rate, the total effect of the monetary interest rate also corresponds to the share of the loans. See also below for the analysis of the home prices.
Figure 3, charting rent prices since 2000, shows a downward trend from 2002 to 2007. These were years of vigorous growth and falling unemployment rates—a situation that should have pushed rents up, not down. The population/stock ratio also exerted upward pressure on rents (Figure 2). If so, the question again is what caused rents to decline during the decade, despite these data. Figure 11, showing the factors that contributed to rents since the beginning of the decade using Equation (10), indicates that these two factors did indeed exert upward pressure on prices: pressure from the population/housing stock ratio began to rise gradually from 2004 and the rising business cycle (falling unemployment rate) had the same effect from 2005 on. However, two important factors acted in the opposite direction, more than offsetting these effects and instigating a downward trend in rents: protracted appreciation of the shekel against the dollar and downward movement of the long-term real interest rate. The dramatic falloff in the (negative) effect of the dollar from late 2008 onward proves to have been the main cause of the exceptional annual increase in prices in the middle of 2009. Furthermore, it was only in 2009 that the effect of home prices became meaningful.
b. Difference equation for home prices
The dependent variable in Regression (11) below is the quarterly rate of change in home prices. The estimated period is 2000:Q1–2010:Q4. The starting quarter was chosen on the basis of the criterion of equation coefficient stability. (See Appendix C.) The equation estimated is:
\[
\overline{R}^2 = 0.87, \text{ DW}=1.55, \text{ LM test statistic}=0.91, \text{ Obs. after adjustment}=44
\]
\[
d(\log(p)) = 0.01(dol_w * ddol) - 0.005 [@movav((dol_w(-1)*ddol(-1)),2)]
\]
\[
+ 7.59[d(\log(pop(-3)/mlai(-3))] + 4.96[d(\log(pop(-9)/mlai(-9))]
\]
\[
- 0.007 [@movav(ue(-4)-ue(-6),2)] - 0.022[ri(-1)-@movav(ri(-6),2)]
\]
\[
- 0.01 [@movav(rri(-2),2)-@movav(rri(-4),2)]
\]
\[
+ 0.006 [@movav(inf_exp(-1)-dpt(-1),2)] + 0.07[d(\log(size(-7)]
\]
* The small numbers in parenthesis are the \( t \) statistics values.
The explanatory variables are shown here as they appear in the EC Equation (9) above—the population/housing stock ratio, real interest rate, unemployment rate, dollar, and inflation expectations—even though other lags were obtained for some of them. The variable of average dwelling size in square meters (\( size \)) was added. Conversely, the rents variable was not found significant in explaining home prices. Thus, the difference equations indicate that prices explain rents but not vice-versa (resembling the findings of BBH and Gallin), in contrast to EC Equations (8) and (9), in which the explanation works in both directions.
All coefficients are signed as expected (Table 1). The first variable is the shekel-dollar exchange rate multiplied by the share of dollar-indexed leases (assuming that the linking to leases also refers to home purchase transactions), and a positive relationship is found. The demand side is expressed in the positive relationship of the population/housing stock ratio \((pop/mlai)\), which also expresses the shortage of dwellings. The demand side is also expressed in the unemployment variable \((ue)\), which reflects ordinary business cycles, with a negative relationship between rising unemployment\(^{42}\) and prices. The monetary interest rate \((ri)\) and the long-term real interest rate \((rrl)\) are found to have a negative sign, as expected. The upturn in inflation expectations beyond the inflation target is positively related to home prices. The last variable, dwelling size \((size)\), denoting the average size of a new housing start (at a seven-quarter lag) shows a positive relationship: the larger the dwelling is, the more expensive it is.\(^{43},^{44}\)
Equation (11) was also found to be robust to changes in the estimated sample at its end (Appendix C). Figure 12 below shows the fitted series arising from the regression and the residuals. The increase in the residual in the second half of 2010 stands out, as the equation cannot explain the entire recent increase in prices—supporting the hypothesis of overvalued prices, as found in Section 6.1.2.
**Figure 12**
*Rate of Change in Home Prices Index, Actual, Fitted, and Residual (Equation 11)*
---
\(^{42}\) The unemployment variable here is not seasonally adjusted, in contrast to the seasonally adjusted data in the rent equation. The use of the nonadjusted variables here helps to make the equation more stable.
\(^{43}\) The CBS index of home prices is hedonic. Therefore, dwelling size (in square meters) should have had no effect. The contrary result shows that the CBS’ quality adjustment is not large enough and that the prices reported in the index are, apparently, upward-biased.
\(^{44}\) This resembles the findings in Girouard, Kennedy, van den Noord, and André (2006), who explain some of the upward trend in home prices in developed economies in the 1970s as originating in growing demand for larger dwellings due to rising income.
The structure of the lags in Equation (11) expresses the severely lagged effect of the real variables, as in the rent Equation (10). Conversely, the nominal variables—monetary interest rate, inflation expectations, and shekel-dollar exchange rate—exert their effect rather quickly. Nevertheless, the monetary interest rate also has its effect over a lengthy period of seven quarters. In comparison with the real interest rate, the effect of the monetary interest rate is faster and longer-lasting, and has a coefficient that is more than twice as large (2.2 as against 1). This underscores the strong effect of the monetary interest rate, as we also show below. Calculating the total effect, we find that *a permanent 1 percentage point decrease in the monetary interest rate induced a 6.5 percent cumulative increase in home prices over two years* (*ceteris paribus*).
1. *Home prices—testing the difference equation and the contribution of different factors to the actual rate of change of prices*
Figure 13 shows the fitted series of home prices and the contribution of the variables according to Equation (11) in comparison with actual home prices for 2007–2010. Each observation shows the contributions to the change in home prices in the trailing year. Table 4 summarizes the contributions in 2008–2010.
**Figure 13**
*Variables' Contributions to Annual Change in Home Prices, 2007–2010*
Each date denotes the change in the past year and sums up the contribution of each variable in the past four quarters, as derived from the estimated difference Equation (11) for the change in home prices as the dependent variable. Home prices are taken from the CBS survey of prices of dwellings.
Table 4
Contributions to Annual Change in Home Prices, 2008–2010 (%)
| | 2008:Q4 | 2009:Q4 | 2010:Q4 | Average |
|----------------------|---------|---------|---------|---------|
| Total ex post change | 10.2 | 15.0 | 13.9 | 13.1 |
| Residual | -1.6 | 1.1 | 3.0 | 0.8 |
| Monetary interest rate | 1.4 | 6.4 | 6.0 | 4.6 |
| Real long term interest rate | 1.5 | 3.2 | 0.0 | 1.5 |
| Population to housing stock ratio | 6.2 | 5.1 | 5.6 | 5.6 |
| Inflation expectations | 0.6 | -2.0 | 1.6 | 0.1 |
| Dollar | 0.3 | -0.5 | 0.0 | -0.1 |
| Unemployment rate | 1.6 | 1.6 | -2.1 | 0.3 |
| Dwelling size | 0.3 | 0.2 | -0.1 | 0.1 |
The table sums up the contribution of each variable in the past four quarters, as derived from the estimated difference Equation (11) for the change in home prices.
Figure 14
Contributions of Interest Rate and Housing Stock to Home Price; and Monetary Interest Rate Level (quarterly pct. change)
Each date denotes the quarterly contribution, as derived from the estimated difference Equation (11) for the change in home prices. The change in prices are illustrated in percentage terms, while the contributions of the ratio of population to stock of houses, and the monetary rate, are illustrated in terms of percentage points of the total price change.
The main factor behind the increase in home prices in 2009–2010 was cuts in the monetary interest rate in response to the global economic crisis, and explains 43 percent of the price increase in these two years. To demonstrate the effect of the monetary interest rate
more clearly, Figure 14 illustrates home prices on a quarterly basis together with the prevailing level of the monetary rate (on the right scale). In the wake of the global economic crisis, the monetary rate was cut from 4.5 percent in September 2008 to 0.5 percent in April 2009. Therefore, the effect of the interest rate cut on home prices, according to Equation (11), became significant in 2009-Q3 and increased from then to 2010-Q2. During these four quarters, home prices rose by 18.2 percent in cumulative terms, of which the interest rate accounted for 11.1 percentage points—63 percent—of the total. In contrast, the effect of housing stock was stable, explaining 1–2 percentage points per quarter and 5.8 percentage points in cumulative terms in these four quarters, around one-third of the price increase. When the economy began to recover from the crisis, the interest rate began to rise gradually. Its contribution to the increase in prices therefore waned, and even became negative in 2010:Q4.
Arguably, then, it is only the change in the interest rate, and not the level of the interest rate, that finds expression here. It follows that according to this model, the effect of the interest rate at any level (including zero) will steadily dissipate if the level is maintained long enough. The answer to this argument is that the variable of the gap between inflation expectations and the inflation target complements the picture by expressing the extent of monetary restraint and hence, in turn, the level of the monetary interest rate. When the monetary interest rate is below the natural level, monetary policy is expansionary and inflation expectations rise, leading in turn to higher home prices. The positive relationship between inflation expectations and home prices may be explained as a hedge against inflation via investment in dwellings as a real asset. Thus, the gap between inflation expectations and the target is a proxy for the level of the interest rate. In late 2008 and the first half of 2009, given the impairment of real domestic activity due to the global economic crisis and concern about the worsening of the crisis abroad, inflation expectations slipped beneath the lower bound of the inflation target. As the economy began to recover from the crisis, inflation expectations gradually rose to around the midpoint of the target in the first half of 2010 and continued to rise, to around the upper bound of the target, in the second half of the year. Accordingly, the contribution of the gap to home prices reversed direction, from negative in 2009 to positive in 2010, and explained about one-eighth of the increase in home prices in the latter year. Therefore, the combination of the direct and indirect effects of the monetary interest rate shows that while in 2009 the two effects of the monetary interest rate explained 29 percent of the increase in prices; in 2010 they explained 55 percent.
As Figure 13 shows, the contribution of the shortage of dwellings, manifested in the population/housing stock ratio, was stable in 2008–2010 and explained an annual average of 5.5 percentage points—a result resembling that obtained for rents (Table 3), despite large differences in the rates of change in home prices and rents. This factor explained 37 percent of the increase in prices in 2009–2010 on average. The stability of this factor (in percentage points) reflects the inelasticity of supply. However, the effect of this factor is expected to
diminish as the pace of housing starts accelerated in 2010 in response to the upturn in prices—an acceleration that will be reflected in housing completions about two years later.
The contribution of the real mortgage lending interest rate\(^{45}\) was 1.5 percentage points per year on average in 2008–2010, explaining approximately one-fifth of the increase in prices in 2009 as against zero percent in 2010. These differences reflect the share of indexed mortgage loans in total loan volume, combined with the change in the long-term real interest rate.
The change in the unemployment rate expresses the lagged effect of business cycles on home prices. The upturn in the business cycle on the eve of the crisis was manifested in a positive contribution of 1.6 percent in each of the years 2008 and 2009. The negative contribution in 2010 (−2.1 percent) reflects the effect of the crisis. Dwelling size and the shekel-dollar exchange rate also affected prices but in a negligible way; the latter effect waned considerably in 2009–2010 due to the falling share of leases that are dollar-indexed.
2. Discussion of the factors that drove home prices in the past decade
The foregoing equations showed a positive relationship between business cycles (via the decrease in the unemployment rate) and the upward movement of home prices, as well as a positive relationship between the population/housing stock ratio and home prices. The question is why in 2003–2007, when the Israeli business cycle was in an upward phase (with annual growth of about 5 percent), home prices continued to fall (Figure 3). This question was already raised back in Section 5. In particular, given the dominant effect of the monetary interest rate on the increase in prices since 2009, one should ask whether the monetary interest rate had a similar effect in the earlier years of that decade.
Figure 15 depicts the contribution of the various variables to actual home prices from 2000, when the estimation period began (in accordance with the coefficients in Equation (11)). Here we focus on developments since 2004. Indeed, the rising business cycle had an upward effect on prices, as did the population/housing stock ratio. The downward trend of the real mortgage lending interest rates during the decade also caused higher home prices. Therefore, the real factors pushed prices up. If so, why did prices continue to fall? As the figure shows, the main explanation is the monetary interest rate, which apparently reflected a rather restrictive policy, as also indicated by the negative contribution of the gap between inflation expectations and the inflation target. This factor more than offset the effects of the real factors that exerted upward pressure on home prices.
\(^{45}\) These are long-term loans, usually for 5–25 years, indexed to the CPI. The behavior of the real interest rate on these loans resembles that of the real interest rate on CPI-indexed government bonds with similar durations.
Another period that deserves focal attention is 2000–2002, when the disinflation process that began in the 1990s approached its end. Reductions in the monetary interest rate continued at this time, putting home prices under upward pressure. However, as reflected in the inflation expectations gap, which had a downward effect on home prices, the rate-cutting in the late 1990s was too slow, reflecting the restrictive monetary policy that was in effect in those years.
This analysis shows that the monetary interest rate is dominant in its effect on home (asset) prices, at least in the decade under discussion. The impact of monetary policy on the housing market seems to have been escalating during the decade, as expressed in the rising share of unindexed mortgage lending (Figure 16)—from 10 percent of total housing loan volume at the beginning of the decade to roughly half at the end of the decade, with a spurt in 2009 as the monetary rate was cut in response to the economic crisis. The figure illustrates only the effect of monetary policy through the credit channel. Another possible channel is deposits, in which capital may be invested in a dwelling instead of a financial
asset; this channel, however, does not find expression in the estimation equations. The factors behind the rising effect of monetary policy during the decade include the end of the disinflation process and the convergence to price stability; deregulation that induced an increase in taking nonbank business credit, prompting the banks to search for alternative uses; and globalization, which led to stronger capital flows and more portfolio diversification possibilities. Therefore, the returns, risk, and liquidity of financial assets as an alternative to an investment in dwellings, as well as their expected prices, appear to have become more sensitive to monetary policy. In particular, lowering the monetary interest rate to near the (zero) lower bound in response to the economic crisis energized the search for yield and, by so doing, has diverted the portfolio in the direction of riskier assets, including real-estate investments. Our results about the impact of the monetary policy on housing prices and the transmission mechanism that is suggested here is in line with Mishkin (2007) and Taylor (2009). Since the monetary interest rate is the main factor behind the steep increase in home prices in 2009–2010, the monetary interest rate will probably have a downward effect on prices once interest begins to rise back to its “normal level”, similar to its effect in 2005–2007. Furthermore, since housing supply is not the main factor behind the aberrant price increase, building starts need to be increased in a measured way only. *An excessive increase in supply, especially if coupled with future monetary rate increases, may cause home prices to fall so precipitously as to bring on a crisis in the opposite direction.*
**Figure 16**
*Share of Unindexed Credit in Total Indexed and Unindexed Mortgage Lending Volume, 2003–2010*
8. FORECASTS BASED ON THE TWO HOME PRICE EQUATIONS\textsuperscript{46}
Thus far, we have presented two frameworks for the estimation of home prices. The advantage of the difference equation model is that it does not include the dependent variable (home prices) at a lag and, therefore, allows us to better identify and quantify the effects of the different variables on price. The EC model has the advantage of relying on two frameworks: one in economic theory, the other econometric.
The question is which of the models is better. Figure 17 compares the in-sample fit of both models with actual home prices. Overall, both models appear to behave similarly and also capture the turning points. Actual prices usually rest between the two forecasts. However, the difference equation model is more adept at capturing the turning points because it does not draw lagged prices into its wake.
\textbf{Figure 17} \\
\textit{In-Sample Forecasts Based on the Two Home Price Models}
Recall that the EC model is based on an economic theoretical framework based on the levels of the variables as well as on the dependent variable with a lag. These do not appear in the difference equation model. The similarity of the results implies that if the EC model is the true one, then the difference equation model is also not significantly off the mark. Figure 18, as well, (see below) which presents the out-of-sample forecast for the year ahead according to both models, shows that the differences between the two models are small and
\textsuperscript{46} We do not present a rent forecast because the data in the rent index in the EC model and the difference equation models are not the same, making it impossible to compare the models.
below the standard deviation (7.3 percent) of the rate of annual change in home prices in the sample period.
**Table 5**
*RMSE* Comparison between the Two Home Price Models
| Periods | Difference equation | EC equation |
|------------------|---------------------|-------------|
| 2000:Q4-2010:Q4 | 1.95 | 2.01 |
| 2004:Q4-2010:Q4 | 1.54 | 2.18 |
| 2007:Q4-2010:Q4 | 1.69 | 2.54 |
* RMSE is calculated based on the ex-post coefficients that were estimated using the 2000:Q1–2010:Q4 sample for the two models for home prices.
**Figure 18**
Out-of-Sample Forecast of Annual Rate of Change in Home Prices, EC Model and Difference Equation Model
The question, however, is whether one of the models is preferable to the other in terms of forecast quality in real time. To answer, we present out-of-sample forecasts on home prices using both models. Figure 18 shows these forecasts as generated in 2010:Q1—the quarter in which final data on home prices up to the end of 2009 were published. Using these known data sets, each model was estimated up to 2009:Q4 and its forecast was derived under the following assumptions:
- The shekel-dollar exchange rate will remain unchanged during the forecast period.
- The population will increase by 0.45 percent per quarter.
• Housing stock will increase in each quarter in accordance with future housing completions, which are estimated on the basis of housing starts at a lag of 6–9 quarters.
• The monetary interest rate will be raised gradually to 2.6 percent on average in 2011:Q1, as derived from the slope of the nominal yield curve of *Makam*.\(^{47}\) (Actually, the average monetary interest rate in 2011:Q1 was 2.3 percent.)
• The unemployment rate, the real mortgage lending rate, the composition of mortgage loans, inflation expectations as derived from the capital market, and dwelling size in housing starts will remain at their point-of-origin levels.
The figure shows that both models managed to predict both the continued increase in prices in 2010:Q1 as well as the slowdown of the annual rate of increase in the three subsequent quarters. While both models under predicted the price increase, the difference equation forecast in the first three quarters of 2010 was better. For the end of 2010, both models predicted a 9.6 percent increase in home prices as against the 13.9 percent upturn that actually occurred. Some of the discrepancy is explained by the unexplained upward residual that persisted throughout 2010 (Figure 13).
9. THE CLAIM OF POSSIBLE ENDOGENEITY IN THE DIFFERENCE EQUATION (11) FOR HOME PRICES
The following claim may be made about an endogeneity problem in Equation (11):\(^{48}\): The inflation rate is the principal target of monetary policy, and the monetary interest rate is the main tool in attaining regulating it. The interest rate responds both to inflation surprises and to changes in inflation expectations. Therefore, in a regression where inflation is the dependent variable and the interest rate is an explanatory variable, an inflation surprise today, reflected in the residual of the regression, is correlated with the interest rate, raising the problem of endogeneity. Admittedly, in Equation (11) the dependent variable is home prices, not inflation. However, the relationship between inflation and home prices, passes through housing rent in the following way: rent is an important component of inflation, with a weight of about 20%—as measured by the CPI, during the sample years. Since rent is both connected with and explained by home prices in Regression (10), endogeneity is suspected when home prices are run on the monetary interest rate, in accordance with the argument noted above.
To counter this argument, it is important to recall that the interest rate in Equation (11) is lagged. Therefore, the allegation of an endogeneity problem is invalid and the residuals are orthogonal to the interest rate. The reason it is invalid is that the interest rate at time \(t-1\) was determined on the basis of the information known at time \(t-1\) and affects inflation.
\(^{47}\) *Makam* are the equivalent of shekel-denominated Treasury bills that are issued for one year to redemption and are used as a monetary instrument.
\(^{48}\) As a reminder, if the regression takes the following form: \(y = \alpha + \beta x + \varepsilon\), then endogeneity means that the residuals are correlated with explanatory variable \(x\), i.e., \(\text{cov}(x, \varepsilon) \neq 0\).
expectations from time $t$ onward. Yet, this does not exist in the opposite direction—i.e., a surprise in home prices (inflation) at time $t$, reflected in the residual of the regression, does not affect the interest rate that was set in the previous period. In Equation (11) for home prices the interest rate enters at a sufficiently lengthy lag of 1–7 quarters.
Nonetheless, we will still relate to the aforementioned endogeneity problem. To deal with endogeneity, we need to use one or both of two types of instrumental variables (IV): lagged or exogenous. One may continue arguing that under rational expectations today’s price has already been affected by the expected future price, which, in turn, takes into account the past, the present, and the future (expected) path of the interest rate. In such cases, then, even a one-year lag is not long enough to solve the endogeneity problem and therefore, the interest rate is not orthogonal to the regression residuals.
For this reason, we present an estimation of Equation (11) by using an IV. Two conditions for instrumental variable $Z$ must be met: (A) it must be correlated with the explanatory variable, in our case the interest rate, i.e., $\text{cov}(x, z) \neq 0$, and (B) it must be orthogonal to the residuals of the regression, i.e., $\text{cov}(z, \varepsilon) = 0$. These conditions must be present from the economic standpoint and not necessarily the statistical one. The instrumental variable that we chose is Norway’s monetary interest rate. The connection between this rate and Israel’s rate (Condition A) is that both Norway and Israel are small open economies where the interest rate responds to the state of the economy and to the global interest rate. Therefore, the rates are positively correlated. (The statistical correlation was 0.7 during the estimation period.) Obviously, too, the interest rate in Norway does not respond to home prices or inflation in Israel, meaning that Condition B is also satisfied.
Equation (12) presents a 2SLS regression of Equation (11) using Norway’s interest rate ($ri_{nor}$) as an instrumental variable, using the same weights of mortgage-loan take up on the basis of Israel’s monetary rate (see notes 5 and 36). The list of instrumental variables (in Eviews software) includes all variables that appear in Equation (11), except the Israeli monetary interest rate ($ri$), for which the Norwegian rate ($ri_{nor}$) is substituted. The results obtained are the following:
$$d(\log(p)) = 0.09(dol - w*ddol) - 0.007[\text{movav}((dol - w(-1)*ddol(-1)),2)]$$
$$+ 6.76[d(\log(pop(-3)/mlai(-3))] + 4.38[d(\log(pop(-9)/mlai(-9))]$$
(12)
$$- 0.009[\text{movav}(ue(-4)-ue(-6),2)] - 0.029[ri(-1)-\text{movav}(ri(-6),2)]$$
$$- 0.016[\text{movav}(rri(-2),2)-\text{movav}(rri(-4),2)]$$
$$+ 0.0068[\text{movav}(inf_exp(-1)-dpt(-1),2)] + 0.073[d(\log(size(-7)]$$
* The small numbers in parenthesis are the $t$ statistics values.
DW=1.37, LM test statistic=0.37, Obs. after adjustment=44
The results show that all the variables remain significant.\footnote{Notably, the $R^2$ statistic is irrelevant and uninformative in a case of 2SLS.} In addition, the significance of the monetary interest rate in this equation is similar to that of Equation (11). The coefficient of the variable of population to stock of homes weakened during its two lags, from 12.55 to 11.14 in cumulative terms. The unemployment coefficient also rose in the transition from Regression (11) to Regression (12). These results reinforce the argument about the significant effect of monetary policy on home prices.
In addition to the claim noted above of endogeneity between the interest rate and the residuals, one may argue on similar grounds that endogeneity exists between the inflation expectation variable, on the right side of the equation, and the residuals. Therefore, the following run adds another instrumental variable of twelve lags (three years) in inflation expectations, i.e., $\text{movav}[\inf_{-12} - \text{dpt}_{-12}, 2]$, a large enough lag. The results are similar and appear in Equation (13):
$$d(\log(p)) = 0.01(dol_w * ddol) - 0.007[\text{movav}(dol_w(-1) * ddol(-1)), 2] + 7.44[d(\log(pop(-3) / mlai(-3))] + 3.92[d(\log(pop(-9) / mlai(-9))] - 0.0089[\text{movav}(ue(-4) - ue(-6), 2)] - 0.029[ri(-1) - \text{movav}(ri(-6), 2)] - 0.016[\text{movav}(rr(-2), 2) - \text{movav}(rr(-4), 2)] + 0.0087[\text{movav}(\inf_{-1} - \text{dpt}_{-1}, 2)] + 0.066[d(\log(size(-7)]$$
* The small numbers in parenthesis are the $t$ statistics values.
DW=1.44, LM test statistic=0.43, Obs. after adjustment=44
Similar attempts were made in running the equation with longer and shorter lags (e.g., 10–14) in the IV of inflation expectations. In all of them, the results remained significant and the coefficients were basically similar.
10. CONCLUSIONS
This paper examined the structural behavior of home prices and rent in Israel between 1999 and 2010, motivated by the extraordinary increase in the two prices in 2008–2010.
The study utilizes an economic framework for the pricing of assets, showing that for both variables, combined with the interest rate, cointegration should exist. It also illustrated the existence of substitution in housing services between buying and renting and the contrasting directions of the effect of interest rates on the two variables—negative on price and positive on rent. The empirical estimation was performed in two frameworks: an errorcorrection (cointegration) model and one composed of difference equations. In addition, we confirmed the result of the home price difference equation by using an Instrumental Variable (IV) in a 2SLS technique.
The main variables that were found to affect both prices were the population/housing-stock ratio, business cycles (via the unemployment rate), the real long-term interest rate, and the monetary interest rate. In previous years, the shekel-dollar exchange rate also had a strong effect. In the cointegration and EC equations, the two prices were found to affect each other. In the difference equations, in contrast, price was found to affect rent but not the other way around. The model and the forecast it generates six quarters ahead provide important support for the decision making process at the Central Bank on a regular basis.
A major contribution of the study is the identification and quantification of the effects of the variables that influenced the increase in prices. We found that monetary policy was the main explanatory variable, explaining 43 percent, of the rapid escalation of home prices in Israel in 2009–2010 (34 percent). A (permanent) decrease of 1 percentage point in the monetary interest rate was found to abet a 6.5 percent upturn in home prices over a two-year period. The interest rate had its greatest effect on home prices in the year bounded by the middle of 2009 and the middle of 2010, explaining about two-thirds of the price increase at that time. (It should be borne in mind that the monetary interest rate was sharply reduced during this time in response to the global economic crisis that began in September 2008.) The shortage of housing, in contrast, explained about one-third of the price increase that year, and its contribution—5.5 percentage points per year—has been stable in the past three years.
It emerges from this study that monetary policy also had a significant impact on home prices during the years 2004–2007, prior to the crisis that began in September 2008. In other words, monetary policy affects the movement of housing prices, and this price movement may also be an indicator for whether monetary policy is expansionary or restrictive. Our empirical findings are in line with the thoughts of Taylor (2009) regarding the effect of monetary policy on housing prices.
As for the price levels, we found that, at the end of 2010, home prices reflected an excessive increase of 8 percent at the very least and, under certain assumptions, twice as much.
Hence, an expansionary monetary policy also stimulates the economy by affecting the construction industry, but this happens via an upward effect on home prices. The effect on rent prices, a major component of the CPI, is passed through via home prices and is not direct. Therefore, monetary policy should take these constraints into consideration. Furthermore, since the shortage of dwellings for housing services is not the main factor in the current wave of price increases, a hasty and indiscriminate increase in supply of land and dwellings may cause downward pressure on prices farther ahead.
Appendix A: Unit Root Tests for the Variables
The tests were run for the longest term of the existing series.
The null hypothesis of the ADF and PP tests is that the series is unit-root. The null hypothesis of the KPSS test is that the series tested is stationary. Significance is expressed in $P$ values.
Table A.1
Unit Root Tests for the Variables—Statistical Significance
| Variable | ADF | PP | KPSS | Sample |
|-------------------|-------|-------|-------|-------------------|
| $P$ | 0.7364| 0.3184| <0.05 | 1994:Q3–2010:Q3 |
| $cp\_h$ | 0.9512| 0.9512| <0.10 | 1999:Q1–2010:Q3 |
| $cp\_ho$ | 0.9658| 0.9302| <0.05 | 1999:Q1–2010:Q3 |
| $Dpt$ | 0.1212| 0.0856| <0.01 | 1992:Q1–2010:Q3 |
| $R$ | 0.9737| 0.9739| <0.01 | 1995:Q2–2010:Q3 |
| $pop/mlai$ | 0.9053| 0.7788| >0.10 | 1997:Q2–2010:Q3 |
| $D(p)$ | 0.1407| 0.0007| >0.10 | 1994:Q3–2010:Q3 |
| $D(cp\_h)$ | 0 | 0 | >0.10 | 1999:Q1–2010:Q3 |
| $D(cp\_ho)$ | 0 | 0 | >0.10 | 1999:Q1–2010:Q3 |
| $D(i)$ | 0 | 0 | >0.10 | 1995:Q3–2010:Q4 |
| $D(pop/mlai)$ | 0.0487| 0.1352| <0.05 | 1997:Q2–2010:Q3 |
| $D(r)$ | 0 | 0.0001| >0.10 | 1996:Q3–2010:Q3 |
| $D(ri)$ | 0 | 0 | >0.10 | 1995:Q4–2010:Q4 |
| $D(rri)$ | 0 | 0 | >0.10 | 1996:Q3–2010:Q4 |
| $D(uo)$ | 0.096 | 0 | >0.10 | 1996:Q2–2010:Q2 |
| $dol\_per\_o*ddol$| 0 | 0 | >0.10 | 1999:Q2–2010:Q3 |
| $D(start)$ | 0 | 0 | >0.05 | 1995:Q3–2010:Q3 |
| $D(size)$ | 0 | 0 | >0.01 | 1996:Q3–2010:Q2 |
Appendix B: Unit Root Tests for Residuals of Cointegration Equations—Long-Term Equations
Table B.2.1
The Statistical Significance of the Residual of Rent Equation (7)
| Sample | KPSS | PP | ADF |
|-----------------|-------|-------|-------|
| 1999:Q1–2010:Q4 | >0.10 | 0.0509| 0.0108|
| 1996:Q1–2010:Q4 | >0.10 | 0.0175| 0.0007|
Table B.2.2
The Statistical Significance of the Residual of Housing Price Equation (7.1)
| Sample | KPSS | PP | ADF |
|-----------------|-------|-------|-------|
| 1999:Q1–2010:Q4 | >0.10 | 0.1216| 0.0438|
| 1996:Q1–2010:Q4 | >0.10 | 0.0492| 0.0104|
Appendix C: Robustness of the Difference Equations to Abbreviation of Period
Figure C.1 depicts the robustness of the rents difference equation coefficients for regressions run from 1999:Q1 to the years appearing on the horizontal axis. The figure shows the estimated coefficient in each run and a confidence interval of ± 2 standard deviations. When the confidence interval includes a zero value, the coefficient is insignificant.
Similar to Figure C.1, Figure C.2 presents the robustness of the difference equation of home prices (Equation 11), from 2000:Q1 to the years appearing on the horizontal axis.
**Figure C.1**
Robustness of Coefficients in Rent Price Difference Equation
![Graphs showing various coefficients over time]
Figure C.2
Robustness of Coefficients in Difference Equation for Home Prices
- Dollar
- Ratio of population to stock of homes
- Unemployment rate
- Weighted monetary interest rate
- Weighted real interest rate
- Inflation expectations gap
- Size
- Ratio of population to stock of Homes - additional lag
- Dollar - additional lag
Recursive Coefficient ± 2 S.D.
REFERENCES
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Andrews, D., A. Caldera Sanchez and A. Johansson—ASJ (2011). Housing Markets and Structural Policies in OECD Countries. OECD Economics Department Working Paper No. 836, OECD, Paris. (doi: 10.1787/5kgk8t2k9vf3-en.)
Banerjee, A., J.J. Dolado, J.W. Galbraith and D.F. Hendry (1993). *Co-Integration, Error Correction, and the Econometric Analysis of Non-Stationary Data*. Oxford: Oxford University Press.
Bar-Nathan, M., M. Beenstock and Y. Haitovsky (1998). The Market for Housing in Israel. *Regional Science and Urban Economics*, 28(1), 21–49.
Bean, C., M. Paustian, A. Penalver and T. Taylor (2010). Monetary Policy After the Fall. Federal Reserve Bank of Kansas City Jackson Hole Symposium.
Del Negro, M. and C. Otrok (2007). 99 Luftballons: Monetary Policy and the Home Price Boom Across U.S. States," *Journal of Monetary Economics*, 4, 1962–1985.
Dokko, J., B. Doyle, M. T. Kiley, J. Kim, S. Sherlund, J. Sim and S. Van den Heuvel (2009). Monetary Policy and the Housing Bubble. Finance and Economics Discussion Series 2009-49, Washington: Board of Governors of the Federal System, December.
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Enders, W., (1995). *Applied Econometric Time Series*. New York: Wiley.
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Mishkin, Frederic S. (2007). "Housing and the Monetary Transmission Mechanism", Financial and Economics Discussion Series, 2007-40, Federal Reserve Board, Washington D.C. (August).
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Parish Diary for Saturday 11th to Sunday 19th of March 2017
Sat 11th
Sunday Vigil Mass
Saturday of 1st week in Lent
9.00am Morning Prayer/Confessions, Adoration of Blessed Sacrament for vocations.
10.00am Mass (priest’s intention: Maria Jose Andres Anton)
6.00pm Mass Alston (priest’s intention for Niall Maguire,626). Confessions 5.30pm.
Sunday 12th March
SECOND SUNDAY IN LENT
8.30am Mass (priest’s intention: people of the parish)
9.15am Preparatory meeting for First Holy Communion candidates and parents
9.45am Preparatory preparation programme in the Rectory Lounge
10.30am Mass (priest’s intention: John Hodgson, 413)
2.30pm Prayer & Benediction.
Tue 14th
Tuesday of 2nd Week in Lent
11.45am Morning Prayer 12noon Mass (priest’s intention: Ken Hunter, 415)
2.30pm Fr Jerome meeting with the children of the school in the church.
7pm Lenten Journey with Jesus, theme Transfiguration, meet in Christ Church; CTiP
Wed 15th
Wednesday of 2nd Week in Lent
12noon Requiem Mass for Bogoslav Zajac
2.00pm SVP meeting.
3.30pm Lenten course: Pivotal Players, GK Chesterton. part I.
7.30pm Faith & Fellowship meeting in the Quiet Room
Thu 16th
Thursday of 2nd Week in Lent
6.45pm The Rosary. 7.00pm Mass (priest’s intention: Canon Gerard Wharton, 408)
At this Mass we will also pray for the intentions of the North Cumbria Life Group.
After the Mass will be our ‘Journey into Faith’ session in the Quiet Room
Fri 17th
ST PATRICK
Priests visiting: Conishead Cr (2), Patgell Sq.
7pm Mass (priest’s intention: Sean Mathews, 416) followed by
St Patrick’s Night Social Friday—bring and share supper, music, social.
Sat 18th
Saturday of 2nd Week in Lent
9.00am Morning Prayer/Confessions, Adoration of Blessed Sacrament for vocations.
NB First Confessions will take priority at 9.15am
10.00am Mass (priest’s intention: Mgr John Ryan)
6.00pm Mass Alston (priest’s intention for Niall Maguire, 627). Confessions 5.30pm.
Sunday THIRD SUNDAY IN LENT
19th
8.30am Mass (priest’s intention: people of the parish)
March 10.30am Mass (priest’s intention: Edward & Mary Rodgers, 405).
Pray for Helen Blenkinsip, Tom Northgraves, Philip Stockdale, Des Prior, Mary Shields, The Fox Family, Margaret Bower, Maureen Poland & David Hall who are sick. Remember also Bogoslav Zajac and Margaret Beatham who both died recently; Bogoslav’s Requiem Mass is on Wednesday this week. Pray also for Matilda O’Reilly, Oliver Leppard, Noel O’Reilly, Anthony Begley and Christine Long whose anniversaries occur about this time.
Special Collections: This Sunday 12 March: Return of CAFOD envelopes.
Last week’s statistics: Attendance: Sat Alston 6pm 22 + Penrith Sun 8.30am 63 + 10.30am 111 (Polish) 3.30pm 40 + 236 + Alston. Offertory £428.85, with gift-aided S/O £250 = £678.85.
Messages in St Catherine’s sacristy for: Brenda Smith & Susanna Cooper
100 Club Winners for March £25 John Thompson, £15 Martin Oakley, £10 Gienis Robinson
WELCOME
to the Catholic Parish of St Catherine, Penrith
with St Wulstan’s Chapel, Alston
12TH MARCH 2017. 2ND SUNDAY IN LENT
A Parish of the Lancaster Roman Catholic Diocesan Trustees Registered Charity no. 234331.
Fr Jerome McKeown, St Catherine’s Rectory, Drayton Road, Penrith, Cumbria, CA11 9EL
Tel. 01768 862273 Email: email@example.com Web Site: www.stcatherinespenrith.org.uk
St Wulstan’s Church, Kings Arms Lane, Alston, Cumbria, CA9 3JF
Haydock Community Centre: cf parish website or tel.07804 195872, firstname.lastname@example.org
Stain glass window in Lady Chapel of St Catherine’s Church in Penrith
Left: Angels announce Christ’s birth.
Centre: Presentation of Our Lord in the Temple.
Right: Transfiguration of Our Lord. (today’s gospel)
Left: Christ in the Garden of Gethsemani.
Centre: Crucifixion of Our Lord.
Right: The Resurrection of Our Lord.
Pray for the soul of Catherine Throckmorton, founder* of this church.
*i.e. the building of the church was mostly (?) paid for from the proceeds of her estate.
Note the deliberate ‘paralleling’ of each event in Christ’s life in the top row with the corresponding event below. Why? Probably arranged this way by Fr George Leo Haydock.
Visitors, the family and toddler area is at the front of church before the Lady Altar. There is a Children’s Liturgy at the 10.30am Mass. Refreshments are available in the Haydock Centre after the 10.30 Mass. For your pink gift aid offertory envelopes to be effective for a tax reclaim you must print your name, full address & postal code, and with your signature. Thankyou.
**Eucharistic Prayer III**
You are indeed Holy, O Lord,/ and all you have created/ rightly gives you praise,/ for through your Son our Lord Jesus Christ,/ by the power and workings of the Holy Spirit,/ you give life to all things and make them holy,/ and you never cease to gather a people to yourself,/ so that from the rising of the sun to its setting/ a pure sacrifice may be offered in your name.
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**Friday 17th March – St Patrick’s Night Social**
Mass this Friday will be the Mass of St Patrick and will be celebrated in the evening at 7.00pm to be followed by ‘bring and share’ supper with music, conversation and ‘craic’. This will be in the main hall of the Haydock Centre. Please bring your own tipple!. Free admission of course.
ALL WELCOME. For info contact Jennifer on 01768 890901 or 07597572325.
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**Volunteers Needed Please**
The people of the Churches Together in penrith who each year arrange the Lenten Lunches were keen to ask me a few times would we take our turn in catering for one of these lunches, always on a Tuesday 12noon to 1.30pm. I very much felt we should play out part in this especially since we have the facilities for it in the Haydock Centre. So I agreed we should be the host on Tuesday of Holy Week the 11th April. The frugal meal” is either broth & bread or cheese & bread. The Parish will pay for all the ingredients. Who among us is willing to prepare for this with the skill and willingness to prepare the refreshments.
This issue of the Lenten Lunches highlighted an issue which has been in my mind for a while. I don’t know who to approach on a regular basis for this kind of event when the parish acts as willing host. May I ask for three or four among us to take on this ministry. The need doesn’t occur too often but can vary from something simple like the Lenten Lunches to something more elaborate like the Clergy Conference lunch. Talk to others about this and then let me know if some are willing. Fr Jerome.
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**Reflections during Lent: ‘The Pivotal Players’, Wednesdays at 3.30pm**
We have had 2 interesting sessions on St Francis of Assisi and now move on to GK Chesterton this coming Wednesday. There are still a couple of spare places if anyone else would like to join us. Have a word with me and I can give you the work book. Fr Jerome.
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**A Lenten Journey with Jesus—CTiP Programme at Christ Church**
Join together this Lent for a practical course helping us to look more closely at our daily lives and our spiritual and prayer journeys with Jesus. All Sessions start with coffee at 7pm to then begin promptly at 7.30-9pm. This week is on **Tuesday 14 March**. Transfiguration - Ignatius and Imaginative Prayer.
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**Cor et Lumen Event on 18-19 March – Called to Glory IV**
An opportunity to dig deep into the treasures of the Catholic faith. More info in the narthex.
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**CAP Information Evening 15 March 7.30-9pm The Sandgate Room at PMC**
Your local Debt Centre here in Penrith is very active supporting people in your community – come along and find out what God is doing, and how you can get involved. WE NEED YOU!
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**MAY DAY PARADE 2017**
Preliminary arrangements are being made for the Lions May Day Parade on Monday 1 May 2017. The walking float will be on the theme of “Love your neighbour” under the banner of CTiP. We are looking for willing participants – preferably in pairs to illustrate the diversity of God’s love to everyone. This will cover all categories of people from young to old, fit to not so fit, policeman to housewife, white to black, nurse to joiner etc. Can be in suitable attire to illustrate an occupation or hobby. In period costume or not. If you would like to be part of this Christian witness in the town please contact Jennifer Heaton 01768 210450 or contact your Church Leader
---
**Castlerigg Events for Young People**
Our Easter Retreat (Maundy Thursday to Easter Sunday, 13th - 16th April) will be exploring the significance of Easter as we journey through the Triduum together. Open to year 9 upwards.
The Family Weekend (28th-30th April) is an opportunity for families to come together for the weekend. There will be activities for all age groups and the opportunity to get to meet old friends and get to know new. Open to all families.
---
**LITURGY for the 2nd Sunday of Lent**, page 80 in Parish Mass Book.
**Entrance Antiphon:** Of you my heart has spoken: Seek his face. It is your face; O Lord, that I seek; hide not your face from me.
**Gospel Acclamation:** Belmont: “Praise and honour to you, Lord Jesus Christ”
“From the bright cloud the Father’s voice was heard: “This is my son the Beloved, listen to him”. Praise and honour to you, Lord Jesus Christ.
**Communion Antiphon:** This is my beloved Son, with whom I am well pleased; listen to him.
**Hymns:** Entrance: ‘Immortal, invisible’ no.725. Offertory: ‘Be thou my vision’ no.970. Communion: ‘We behold the splendour of God’ no 210. Reccesional: ‘Longing for light’ no.883. Belmont Mass.
---
**Eucharistic Ministers (St Catherine’s)**
| Readers |
|---------|
| 8.30 12/3 Monica & Bernard. | 19/3 Peter & John K. | 12/3 Dennis. | 19/3 Andrew. |
| 10.30 12/3 Helen & Erica. | 19/3 John P & Pauline | 12/3 Michael. | 19/3 Michelle. |
**Children’s Liturgy:** 12/3 Anne. 19/3 Louis
**Collection Counters:** 12/3 Philip & Helen. 19/3 Brenda & Sue
---
**Witamy bardzo serdecznie w parafii pw. Sw Katarzyny-Saint Catherine na naszej niedzielnej Mszy Świętej. Po niedzielnej Mszy Świętej o godzinie 10.30 zapraszamy wszystkich parafian na kawę i herbatę. W każdą 1 niedzielę miesiąca w naszej parafii jest sprawowana Msza Święta w języku polskim o godzinie 10.30. Msza ta będzie przeprowadzona za duszpasterstwem w Języku polskim jest dla: R. Romana Kozakowskiego tel.0776 696937. Osoby zainteresowane thymywalnymi tematami konwersacji w Jęangielskim proszone są o kontakt z Księdzem Dariuszem pod numerem telefonu:01768 862273.**
|
Sun, Y, Ouyang, W, Liu, Z, Ni, N, Savoye, Y, Song, P and Liu, L
Computational Design of Self-actuated Deformable Solids via Shape Memory Material.
http://researchonline.ljmu.ac.uk/id/eprint/14103/
Article
Citation (please note it is advisable to refer to the publisher's version if you intend to cite from this work)
Sun, Y, Ouyang, W, Liu, Z, Ni, N, Savoye, Y, Song, P and Liu, L (2020) Computational Design of Self-actuated Deformable Solids via Shape Memory Material. IEEE Transactions on Visualization and Computer Graphics. ISSN 1077-2626
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Computational Design of Self-actuated Deformable Solids via Shape Memory Material
Yucheng Sun, Wenqing Ouyang, Zhongyuan Liu, Ning Ni, Yann Savoye, Peng Song, and Ligang Liu
Abstract—The emerging 4D printing techniques open new horizons for fabricating self-actuated deformable objects by combing strength of 3D printing and stimuli-responsive shape memory materials. This work focuses on designing self-actuated deformable solids for 4D printing such that a solid can be programmed into a temporary shape and later recovers to its original shape after heating. To avoid a high material cost, we choose a dual-material strategy that mixes an expensive thermo-responsive shape memory polymer (SMP) material with a common elastic material, which however leads to undesired deformation at the shape programming stage. We model this shape programming process as two elastic models with different parameters linked by a median shape based on customizing a constitutive model of thermo-responsive SMPs. Taking this material modeling as a foundation, we formulate our design problem as a nonconvex optimization to find the distribution of SMP materials over the whole object as well as the median shape, and develop an efficient and parallelizable method to solve it. We show that our proposed approach is able to design self-actuated deformable objects that cannot be achieved by state of the art approaches, and demonstrate their usefulness with three example applications.
Index Terms—Computational design, deformable solid, shape memory material, constitutive model, 4D printing
1 INTRODUCTION
A deformable object refers to an object whose shape changes when forces or other means are applied. These objects are more adaptable to the working environment and safer to use due to their soft material, and thus have been widely used in many applications such as soft robotics [1], biomedical devices [2], and customized toys [3]. Deformable objects commonly require external forces to drive their deformation from an initial shape to a target shape [3], [4]. Recently, researchers are interested in designing self-actuated deformable objects that can change their shape without relying on any external forces. One excellent solution is to attach 3D printed rigid tiles [5] or flexible rods [6] on a pre-stretched 2D planar sheet such that once released, restoring forces of the sheet can drive the deformation until achieving an equilibrium state with internal forces among the tiles/rods.
Following the spirit of designing self-actuated deformable objects, other researchers resort to the emerging technique of 4D printing [7] that combines the strength of 3D printing and stimuli-responsive shape memory materials (SMMs). These objects with SMMs can be deformed from their permanent shape to a temporary shape when heated with external forces applied (i.e., shape programming stage; see Figure 1(top)). Due to the shape memory effect, the object will keep at that temporary shape when the environmental temperature is decreased and the external forces are removed (i.e., unloading). In the shape recovery stage, the temporary shape can turn back to the permanent one after being reheated; see Figure 1(bottom). Existing works design such objects by inserting actuators 3D printed with SMMs at specified locations in the object such that when heated local deformations (e.g., bending) caused by shape recovery effect at multiple actuators can drive the object deformation behavior. Due to this design strategy, the resulting designs are limited to origami-like objects [8], [9] or mesh structures [10].
In this work, we focus on designing self-actuated deformable solids for 4D printing, whose geometry does not provide explicit hints to embed SMM actuators. To avoid a high material cost, we choose a dual-material strategy that mixes an expensive 1 thermo-responsive shape memory polymer (SMP) material with a common elastic material (i.e., thermoplastic elastomer (TPE) material) for fabricating our objects. This dual-material strategy does not affect the
1. SMP material (e.g., 1000 USD/kg) could be around 30 times more expensive than TPE material (e.g., 30 USD/kg).
Fig. 2: Our deformable solid partially made with thermo-responsive SMPs. Taking (a) a permanent and (b) a temporary shape as inputs, our design method optimizes (c) both the dual-material distribution (SMPs colored in cyan) and external forces (in red) applied on the object such that the permanent shape can be programmed into (d) the temporary shape. (e) The fabricated temporary shape automatically turns back to (f) the permanent shape when reheated.
shape recovery stage in the shape memory process since both materials are in hyperelastic state when heated. However, the shape of mixed materials after cooling and unloading will not remain unchanged but undergo a certain amount of undesired deformation since the SMPs try to keep its temporary form due to the shape memory effect yet the elastic TPEs attempt to go back to the permanent form. Hence, the shapes before and after unloading are different, named as median and temporary shapes respectively; see the green and orange shapes in Figure 1.
Inspired by the recent research progress on constitutive models [11] that describe shape memory behavior of SMPs in material science, we customize one suitable constitutive model of thermo-responsive SMPs and incorporate it into our design framework to guide the distribution of SMP material as well as a sparse set of external forces over the whole object such that the object partially made with SMPs can take a user-specified permanent or temporary shape depending on the environmental temperature; see Figure 2 for an example. In particular, we present the following contributions:
- We simplify the constitutive model in [12] to describe shape memory effect of SMPs such that it is feasible to be incorporated into our computational framework.
- We formulate the design of self-actuated deformable solids with dual materials as a nonconvex optimization and take the undesired deformation due to material-mixing into consideration.
- We propose a novel and effective method to solve the nonconvex optimization problem.
Our designed deformable solids are self-actuated at the shape recovery stage, i.e., transform from a temporary shape to a permanent shape purely by the environmental stimulus (i.e., heating), as demonstrated in physical experiments on a number of fabricated results. Three example applications further show their advantages: 1) a grasper that relies on shape memory effect to control the grasping process; 2) a smart key-lock system that can be locked by adjusting environmental temperature; and 3) an assembly of deformable solids for efficient packing and automatic deployment.
2 RELATED WORK
Designing Deformable Objects. Computational design and fabrication of deformable objects have attracted significant attention from the computer graphics community in recent years. Some researchers focus on investigating new metamaterials as a foundation of the design process. One typical example is to design 3D printable microstructures that can achieve controllable elastic material properties, by geometrically modeling microstructures as a connection of parametric and tileable cubic patterns [13], [14], a Voronoi cell structure [15], [16], or an aperiodic and stochastic graph structure [17].
Deformable objects with desired behavior can be designed by optimizing the distribution of multiple base materials [18]. Skouras et al. [3] designed actuated deformable characters by optimizing internal material distribution and external actuation forces while Zehnder et al. [19] fabricated composite silicone rubbers by injecting inclusions of dopant material with the optimized number, size, and locations into a silicone matrix material. Others achieve the deformable behavior by optimizing the object geometry instead, including cross-sectional profiles of rods in flexible meshes [20], shell thickness of hollowed objects [21], and rest shape of an object that can deform to its target shape under external forces (e.g., gravity) [4]. Material distribution and object geometry can be jointly optimized to achieve desired deformation, e.g., to design soft pneumatic objects [22]. Rather than relying on external actuation forces, some researchers are interested in designing 3D objects that can form from pre-stretched 2D planar sheets [5], [6] with internal restoring forces.
All the above works design deformable objects for fabrication with 3D printing, optionally with modified printers [19] or post-processing such as gluing [5]. Hence, the fabricated objects can deform only under external actuation forces or internal restoring forces. In contrast, our work focuses on designing deformable objects for 4D printing with shape memory materials, enabling the object to deform from a temporary shape to the permanent shape purely based on environmental stimulus (i.e., heating).
Shape Memory Materials are a class of stimuli-responsive materials that have the capability of changing their shape upon application of an external stimulus [23]. Among a number of types of SMMs developed so far, shape memory alloys (SMAs) [24] and shape memory polymers (SMPs) [25] are the most important ones. Comparing with other SMMs, SMPs possess advantages of large deformation capacity, low density and cost, and have been widely used in many areas.
Of all types of SMPs, thermo-responsive SMP is the first and the most widely used one, which can be deformed and fixed in a temporary shape at a certain condition and recovers the permanent shape when heated. The increasing interest in employing thermo-responsive SMPs in the design of innovative products motivates an in-depth investigation of their shape memory behavior. To this end, a number of constitutive models have been developed for thermo-responsive SMPs; please refer to [11] for a review. Among all existing constitutive models, the 3D finite-strain phenomenological model in [12] has significant advantages including a thermodynamically consistent mathematical framework and considering the peculiar thermomechanical features of SMPs,
which, however, also make it computationally heavy. In this work, we simplify the constitutive model to improve its efficiency for incorporating it into our computational design framework; see Section 4 for the details.
**Design for 4D Printing.** 4D printing is defined as 3D printing plus one more dimension of time, meaning that the shape, property, or functionality of a 3D printed structure can change as a function of time. 4D printing originates from 3D printing technology, but requires additional stimulus and stimulus-responsive materials. Research into 4D printing has attracted unprecedented interest since the idea was first introduced [7]. We refer readers to an excellent survey [26] for recent advances in 4D printing.
4D printed objects can exhibit programmed behavior including self-assembly, self-repair, and reconfiguration through environmental free energies. Due to these intriguing properties, a number of methods and tools have been developed to design objects for 4D printing (mostly with SMP). Typical works are about designing self-actuated deformable objects, including active origami [8], self-folding objects [9], morphing mesh structures [10], and bistable reconfigurable structures [27], by inserting actuators 3D printed with shape memory thermoplastic at specified locations in the object. To support the design process, experiments and quantitative analyses have been conducted to characterize the relationship between material/printing parameters (e.g., actuator length, layer thickness) and the resulting deformation performances (e.g., bending angle). Compared with the above works, we design self-actuated deformable objects by solving the distribution of SMP materials (considered as “micro-actuators”) over the whole object based on optimization, enabling us to design deformable solids that were not possible before.
### 3 Overview
We take a permanent shape and a temporary shape of an object represented as a pair of compatible tetrahedral meshes as our inputs, denoted as $X_{\text{perm}}$ and $X_{\text{temp}}$, respectively; see Fig. 3(a&b). Our goal is to distribute two types of material (i.e., elastic TPE and thermo-responsive SMP) over the permanent shape $X_{\text{perm}}$ such that it can be deformed to the temporary shape $X_{\text{temp}}$ based on a few external forces denoted as $\{F_{\text{ext}}\}$ at the shape programming stage; see Fig. 3(c-e). We address the material distribution as a binary labeling problem, where each tetrahedron in the permanent shape $X_{\text{perm}}$ is assigned a label, e.g., 1 for SMP and 0 for TPE. In the followings, we overview our material modeling with TPEs and SMPs, and our approach to solving the problem.
**Material modeling.** The physical traits of a given material are usually described by its constitutive model that relates stimuli (e.g., deformations) to the material response (e.g., force, stress, energy) they trigger [28]. In this paper, constitutive models are all described by the formula for the strain energy density as a function of the deformation gradient. Our material consists of two base materials: elastic TPEs and thermo-responsive SMPs. We assume TPE is a hyperelastic material and describe it with the well-known Neo-Hookean constitutive model.
Thermo-responsive SMP material can change its state upon temperature changes; in particular, transit from its glassy state to the rubbery state when the temperature is above $\theta_T$; see Fig. 4. For the SMP used in our experiments, $\theta_T = 328K$, where $K$ is Kelvin unit of thermodynamic temperature. In practice, the transition does not occur instantaneously once the SMPs are heated above $\theta_T$, but within in a temperature range $[\theta_T - \Delta \theta, \theta_T + \Delta \theta]$, where $\Delta \theta$ represents the half-width of the temperature range. We choose and simplify the constitutive model in [12] to describe SMP materials; see Section 4.
**Overview of our approach.** To find the material distribution, we initially allow an arbitrary affine combination of the two base materials within each tetrahedron of the object, and later drive the tetrahedrons materials toward one of the base materials, leading to a discrete material distribution in the object [3]. We formulate a nonconvex optimization problem to solve the material distribution as well as the external forces for shape programming while taking the undesired deformation into consideration; see Section 5. The key idea is to take the median shape (e.g., the green shape in Fig. 1 and the shape in Fig. 3(d)) as an intermediate variable to model the undesired deformation after unloading. By utilizing the special structure of the optimization problem, we introduce...
proper auxiliary variables and reformulate the optimization to a form that is suitable to be solved by the Alternating Direction Multiplier Method (ADMM), a well-established optimization solver, see Section 6.
4 SIMPLIFIED CONSTITUTIVE MODEL OF SMPs
This section presents our simplified constitutive model of SMPs based on [12]. To facilitate understanding, we first present our selected elastic model, and then the original constitutive model of SMPs proposed by Boatti et al. [12]. Note that the elastic model will be used not only to help construct our simplified constitutive model of SMP materials, but also to describe TPE materials.
4.1 Elastic Model
We model elastic materials using the Neo-Hookean constitutive model since it can predict the nonlinear stress-strain behavior of materials undergoing large deformations [28]. In the followings, we show how this model describes the strain energy density within an elastic shape as a function of the deformation gradient $F$.
Given an input elastic shape, it is first discretized into a set of finite elements, i.e., tetrahedrons. The deformation gradient $F$ within each tetrahedron is constant as we assume linear elements for efficiency. Denote a tetrahedron with its four vertices at the rest pose as $[v_1, v_2, v_3, v_4]$ and its corresponding tetrahedron at the deformed pose as $[\tilde{v}_1, \tilde{v}_2, \tilde{v}_3, \tilde{v}_4]$, with $v_j = [x_j, y_j, z_j]^T \in \mathbb{R}^3$, $\tilde{v}_j = [\tilde{x}_j, \tilde{y}_j, \tilde{z}_j]^T \in \mathbb{R}^3$, $j \in \{1, 2, 3, 4\}$. Given the tangential vectors (local coordinate) at the rest pose $V = [v_1 - v_4, v_2 - v_4, v_3 - v_4]$ and $\tilde{V} = [\tilde{v}_1 - \tilde{v}_4, \tilde{v}_2 - \tilde{v}_4, \tilde{v}_3 - \tilde{v}_4]$ at the deformed pose, the deformation gradient is expressed as $F = V\tilde{V}^{-1} \in \mathbb{R}^{3 \times 3}$.
The right Cauchy-Green tensor $C \in \mathbb{R}^{3 \times 3}$ is defined as $C = F^T F$ and the Green-Lagrange tensor $E \in \mathbb{R}^{3 \times 3}$ is defined as $E = \frac{C - I}{2}$. The strain energy density function of the compressible Neo-Hookean material is given as:
$$\psi(F) = \frac{\mu}{2} J^{-\frac{2}{3}} (tr(C) - 3) + \frac{\kappa}{2} (J - 1)^2$$ \hspace{1cm} (1)
where $J = \det F$ is the determinant of $F$, $tr(C)$ is the trace of $C$, and $\mu$ and $\kappa$ are material parameters denoting the shear modulus and bulk modulus respectively. The strain energy $W$ of a given tetrahedron is calculated as $W = V \psi$, where $V$ is the volume of this tetrahedron in the undeformed configuration.
We denote the elastic force incurred by the deformation as $f$. An explicit expression to calculate $f$ is presented based on two stress tensors. The second Piola-Kirchhoff stress tensor is defined as:
$$S = 2 \frac{\partial W}{\partial C} = \mu J^{-\frac{2}{3}} I - \frac{\mu}{2} J^{-\frac{2}{3}} tr(C) C^{-1} + \kappa (J - 1) C^{-1}$$ \hspace{1cm} (2)
where $I$ is the $3 \times 3$ identity matrix. And the first Piola-Kirchhoff stress tensor is defined as:
$$P = FS = \mu J^{-\frac{2}{3}} F - \frac{\mu}{3} J^{-\frac{2}{3}} tr(C) F^{-T} + \kappa (J - 1) J F^{-T}$$ \hspace{1cm} (3)
Based on Equation 3, the elastic force $f^e$ of the $i^{th}$ vertex in the shape can be computed as $f^e = P n^i$, where $n^i$ is the normal of the $i^{th}$ vertex in the rest pose.
4.2 Constitutive Model of SMPs
We give a brief introduction to the constitutive model proposed by Boatti et al. [12]. This model is based on a phenomenological description of SMP behavior, considering the three material phases (i.e., glassy, mixture, and rubbery phases) in Figure 4. In the followings, we use the superscript $r$ and $g$ to denote quantities of SMP materials in rubbery and glassy states respectively.
**Volume Fraction Evolution.** A given local SMP sample at a given temperature $\theta$ is assumed to be a mixture of the soft rubbery state and the hard glassy state, i.e.,
$$\phi^r(\theta) + \phi^g(\theta) = 1 \quad \text{with} \quad \phi^r(\theta), \phi^g(\theta) \in [0, 1]$$ \hspace{1cm} (4)
where $\phi^r(\theta)$ and $\phi^g(\theta)$ are the fractions of material volume in rubbery and glassy states respectively. In particular, $\phi^g(\theta)$ is postulated as:
$$\phi^g(\theta) = \begin{cases}
1 & \text{if } \theta \leq \theta_T - \Delta \theta \\
\frac{1}{1 + \exp(2\psi \cdot (\theta - \theta_T))} & \text{if } \theta_T - \Delta \theta < \theta < \theta_T + \Delta \theta \\
0 & \text{if } \theta \geq \theta_T + \Delta \theta
\end{cases}$$ \hspace{1cm} (5)
where $\psi = 0.02 \ K^{-1}$ is a constant controlling the sensitivity of the fraction relative to the temperature change.
**Phase-specific Deformation Gradients.** The total deformation gradient $F$ is assumed to be consistent for the rubbery and glassy phases:
$$F = F^{tr} = F^{tg}$$ \hspace{1cm} (6)
where $F^{tr}$ and $F^{tg}$ denote the total deformation gradient for the rubbery and glassy phases respectively.
During the glassy phase, the SMP material exhibits an elastoplastic behavior and the deformation $F^{tg}$ is decomposed as
$$F^{tg} = F^g \cdot F^f$$ \hspace{1cm} (7)
where $F^g$ is the glassy deformation gradient and $F^f$ is the frozen deformation gradient. And the glassy deformation gradient $F^g$ can be further decomposed as
$$F^g = F^{eg} \cdot F^{pg}$$ \hspace{1cm} (8)
where $F^{eg}$ and $F^{pg}$ denote the elastic and plastic components of the glassy deformation gradient respectively.
During the rubbery phase, the SMP material exhibits a hyperelastic behavior and the total deformation gradient $F^{tr}$ is decomposed as
$$F^{tr} = F^r \cdot F^p$$ \hspace{1cm} (9)
where $F^r$ is the rubbery deformation gradient consistent with its elastic part $F^{tr}$ (i.e., $F^r = F^{tr}$) and $F^p$ is the permanent deformation gradient of the non-ideal shape recovery. Please refer to the supplementary material for analytical definitions of the plastic component of glassy deformation gradient $F^{pg}$, frozen deformation gradient $F^f$, and permanent deformation gradient $F^p$.
**Constitutive Model.** The Helmholtz specific free energy $\Psi$ for SMPs is defined as a function of the deformation gradients [12]:
$$\Psi = (1 - \phi^g(\theta)) \cdot \Psi^r + \phi^g(\theta) \cdot \Psi^g$$ \hspace{1cm} (10)
where \( \Psi^r = \Psi^r(\theta, F^r) \) and \( \Psi^g = \Psi^g(\theta, F^{eg}, F^{pg}) \) are the free energies of rubbery phase and glassy phases, respectively. And these two free energies are defined as:
\[
\Psi^r = \Psi^{er} + \Psi^r_{ther} + \Psi^r_{ref}
\]
(11)
\[
\Psi^g = \Psi^{eg} + \Psi^{pg} + \Psi^g_{ther} + \Psi^g_{ref}
\]
(12)
where \( \Psi^{er} \) and \( \Psi^{eg} \) are the elastic potential energy for the rubbery phase and the glassy phase respectively. \( \Psi^g_{ther} \) is the plastic contributions in the glassy phase. Also, \( \Psi^r_{ther} \) and \( \Psi^g_{ther} \) are the specific free energies related to thermal expansion. Finally, \( \Psi^r_{ref} \) and \( \Psi^g_{ref} \) are the specific free energies related to the temperature change with respect to the reference state.
In particular, the free energy \( \Psi^{pg} \) is defined as
\[
\Psi^{pg} = \frac{1}{2} h \| E^{pg} \|^2
\]
(13)
where \( h \) is a positive parameter describing the material hardening and \( E^{pg} \) is the Green-Lagrange tensor corresponding to the plastic component of glassy deformation gradient \( F^{pg} \).
### 4.3 Constitutive Model Simplification
We simplify the constitutive model to improve its efficiency by removing features irrelevant to our design goal based on three assumptions.
First, the thermal deformation is generally much subtle comparing to the shape deformation and was not observed in our experiments. Thus we have the following assumption:
**Assumption 1.** The thermal deformation can be neglected, i.e.,
\[
\Psi^r_{ther} = \Psi^r_{ref} = 0, \quad \Psi^g_{ther} = \Psi^g_{ref} = 0
\]
(14)
Second, when the stress does not exceed the limit yield stress, the plastic deformation will not happen at the glassy phase and can be neglected (Table 5 in [12]). Thus, we can make the following assumption:
**Assumption 2.** \( F^{pg} = I \) holds in the whole deformation path.
Thus, according to Equation 13, we have:
\[
\Psi^{pg} = 0
\]
(15)
Third, in our experiments, we found that both shape-fixing and shape-recovery are ideal or nearly ideal. Hence, we can make the following assumption:
**Assumption 3.** The shape-fixing and shape-recovery are ideal.
Based on Assumption 3, computation of the rubbery deformation gradient \( F^r \) and the elastic component of glassy deformation gradient \( F^{eg} \) can be simplified as follows:
\[
F^r = F, \quad F^{eg} = F \left( F^f \right)^{-1}
\]
(16)
See the supplementary material for a deviation.
Combining Assumption 1 and 2, we obtain the following equalities for the free energies:
\[
\Psi^r = \Psi^{er} \quad \text{and} \quad \Psi^g = \Psi^{eg}
\]
(17)
Since both \( \Psi^r \) and \( \Psi^g \) contain an elastic component only, we can compute them based on the elastic model in Section 4.1.
#### Simplified Constitutive Model
Using the Neo-Hookean model (see Section 4.1), our simplified model expresses the free energies \( \Psi^r \) and \( \Psi^g \) as follows:
\[
\Psi^r = \frac{\mu^r}{2} \left( J^r - \frac{3}{2} \left( \text{tr} \left( (F^r)^T F^r \right) - 3 \right) + \frac{\kappa^r}{2} (J^r - 1)^2
\]
(18)
\[
\Psi^g = \frac{\mu^g}{2} \left( J^{eg} - \frac{3}{2} \left( \text{tr} \left( (F^{eg})^T F^{eg} \right) - 3 \right) + \frac{\kappa^g}{2} (J^{eg} - 1)^2
\]
(19)
where \( \mu^r \) and \( \mu^g \) are the shear modulus of SMPs in rubbery and glassy phases respectively, and \( \kappa^r \) and \( \kappa^g \) are the bulk modulus of SMPs in rubbery and glassy phases respectively.
In our simplified model, Equation (18) is used to model the process that a permanent shape is deformed into a median shape caused by external forces while Equation (19) is used to model the process that the median shape is deformed into a temporary shape due to unloading and material mixing; see again Figure 1. Hence, the median shape forms “a key frame” that bridges the deforming and unloading steps in the shape programming stage.
### 5 Problem Formulation
Taking a pair of user-specified permanent shape \( X_{perm} \) and temporary shape \( X_{temp} \) as inputs, our goal is to design a 3D object with a distribution \( \rho \) of two materials (SMP and TPE) and a set of external forces \( \{ f_{ext} \} \) such that 1) the object can be deformed from its initial shape \( X_{perm} \) to a median shape \( X_{med} \) by the forces \( \{ f_{ext} \} \); and 2) the median shape \( X_{med} \) after unloading can further undergo a certain amount of deformation (due to material-mixing) to become \( X_{temp} \); see again Figure 1 and 3. Before presenting our problem formulation, we first define several relevant notations.
#### 5.1 Notations
Denote \( n_t \) and \( n_v \) as the number of tetrahedrons and vertices of the object respectively. Denote vertices of the median shape \( X_{med} \) and the resulting temporary shape \( X_{final} \) as \( x_{med} \in \mathbb{R}^{3n_v} \) and \( x_{final} \in \mathbb{R}^{3n_v} \), respectively. Denote deformation gradients of the median shape and final shape as \( F_{med} \in \mathbb{R}^{3n_t \times 3} \) and \( F_{final} \in \mathbb{R}^{3n_t \times 3} \), respectively.
The distribution of two base materials (i.e., TPEs and SMPs) is stored into the vector \( \rho \in \mathbb{R}^{n_t} \) with \( \rho^j \in \mathbb{R} \) as the selected material for the \( j^{th} \) (\( 1 \leq j \leq n_t \)) tetrahedron (\( \rho^j = 0 \) for pure TPE and \( \rho^j = 1 \) for pure SMP). The total strain energy function of the \( j^{th} \) tetrahedron is
\[
W^j_{total} = \rho^j W^j_{SMP} + (1 - \rho^j) W^j_{TPE}
\]
(20)
where \( W^j_{SMP} \) and \( W^j_{TPE} \) are the strain energy of the SMP and TPE materials in the tetrahedron respectively.
The components of vectors are indicated by superscripts. For a force \( f \in \mathbb{R}^{3n_v} \), \( f^i \in \mathbb{R}^3 \) is the \( i^{th} \) (\( 1 \leq i \leq n_v \)) component of \( f \). For a deformation gradient \( F \in \mathbb{R}^{3n_t \times 3} \), its \( j^{th} \) component is written as \( F^j \in \mathbb{R}^{3 \times 3} \). The \( i^{th} \) vertex normal within the \( j^{th} \) tetrahedron is \( n^{j,i} \in \mathbb{R}^3 \); see the inset. Like \( n^{j,i} \), some variables may have two superscripts: the first superscript refers to the tetrahedron index and the second superscript
refers to the vertex index. The volume of $j^{th}$ tetrahedron in the permanent shape $\mathbf{X}_{\text{perm}}$ is denoted by $V_{\text{perm}}^j$. The gravity force is denoted by $\mathbf{f}_g$ and $\mathcal{B}$ is the set of indices of boundary vertices in $\mathbf{X}_{\text{perm}}$. The set of indices of tetrahedrons adjacent to the $i^{th}$ vertex is denoted as $\mathcal{T}(i)$, and $\mathcal{V}(j)$ is the set of indices of the $j^{th}$ tetrahedron’s vertices. The standard Euclidean norm is denoted by $\| \cdot \|$, and the standard inner product is denoted by $\langle \cdot, \cdot \rangle$. By definition of the median shape and the frozen deformation gradient $\mathbf{F}^j$ (see the supplementary material), we have $(\mathbf{F}^j)^T = \mathbf{F}^j_{\text{med}}$.
### 5.2 Nonconvex Optimization Problem
**Objective Function.** We introduce the median shape $\mathbf{X}_{\text{med}}$ (see Fig. 3(d)) as an auxiliary variable and we formulate our problem as an optimization:
$$
\begin{align*}
\arg \min_{(\mathbf{x}_{\text{final}}, \mathbf{x}_{\text{med}}, \rho)} & \quad E = \lambda_{\text{pfinal}} E_{\text{pfinal}} + \lambda_{\text{force}} E_{\text{force}} + E_{\rho} \\
\text{s.t.} & \quad \mathbf{f}^i_{\text{med}} + \mathbf{f}^i_g = 0, \quad \forall i \notin \mathcal{B} \\
& \quad \mathbf{f}^i_{\text{final}} + \mathbf{f}_g = 0
\end{align*}
$$
(21)
where $\mathbf{f}_{\text{med}}$ and $\mathbf{f}_{\text{final}}$ are the internal forces of $\mathbf{X}_{\text{med}}$ and $\mathbf{X}_{\text{final}}$ respectively, and $\lambda_{\text{force}}$ and $\lambda_{\text{pfinal}}$ are the weights. Equation (22) and (23) represent the equilibrium states of $\mathbf{X}_{\text{med}}$ and $\mathbf{X}_{\text{final}}$ respectively. For the computation of the elastic forces $\mathbf{f}_{\text{med}}$ and $\mathbf{f}_{\text{final}}$, please refer to the supplementary material.
**Final Shape Objective.** The final shape $\mathbf{X}_{\text{final}}$ must match the input temporary shape $\mathbf{X}_{\text{temp}}$ as close as possible. This fitness objective is expressed by:
$$E_{\text{pfinal}} = \left\| \mathbf{B} \left( \mathbf{x}^i_{\text{final}} - \mathbf{x}^i_{\text{temp}} \right) \right\|^2$$
(24)
where $\mathbf{x}^i_{\text{temp}}$ ($\mathbf{x}^i_{\text{final}}$) is position of the $i^{th}$ vertex in the user-specified (our resulting) temporary shape, and the entry of the diagonal matrix $\mathbf{B} \in \mathbb{R}^{n_1 \times n_1}$ is 1 for all the boundary vertices and 0 otherwise.
**External Forces Objective.** External forces can be applied only on the boundary vertices of the median shape $\mathbf{X}_{\text{med}}$ (see Fig. 3(d)). More importantly, we seek a small set of external forces to simplify realization of these forces in physical experiments. Thus, we enforce the external forces to be sparse with the following objective:
$$E_{\text{force}} = \sum_{i \in \mathcal{B}} \left\| \mathbf{f}^i_{\text{med}} + \mathbf{f}^i_g \right\|^{\frac{1}{\gamma}}$$
(25)
with $\gamma \geq 1$ to ensure the sparsity. In particular, large $\gamma$ improves sparsity of the function, yet requires more computational efforts and makes the whole algorithm unstable. We choose $\gamma = 3$ in our experiments as a tradeoff between external force sparsity and computational cost [29]. Assuming that the median shape represents the mesh at its equilibrium steady state, we do not impose the sparse constraints on the external forces directly. The opposite forces of external forces are $\mathbf{f}^i_{\text{med}} + \mathbf{f}^i_g$ of the boundary voxels in $\mathbf{X}_{\text{med}}$. Thus, imposing sparsity on $\mathbf{f}^i_{\text{med}} + \mathbf{f}^i_g$ is also effective.
**Material Distribution Objective.** The material distribution objective $E_{\rho}$ is defined as a weighted linear combination of three objective terms:
$$E_{\rho} = \lambda_{\text{mat}} E_{\text{mat}} + \lambda_{\text{smooth}} E_{\text{smooth}} + \lambda_{\text{SMP}} E_{\text{SMP}}$$
(26)
where $\lambda_{\text{mat}}$, $\lambda_{\text{smooth}}$, and $\lambda_{\text{SMP}}$ are the weights balancing the importance of each term. The meaning of each energy term is introduced below.
First, we enforce per-tetrahedron material $\rho^j$ to converge toward either 0 or 1 to reach a meaningful physical solution.
$$E_{\text{mat}} = \sum_{i=1}^{n_1} \left( \rho^j \left( 1 - \rho^j \right) \right)^2$$
(27)
Second, we incorporate a regularization term to enforce the material distribution smoothness because a small number of large material clusters is favored rather than a large number of small clusters in the fabrication.
$$E_{\text{smooth}} = \rho^T L \rho$$
(28)
where $L \in \mathbb{R}^{n_1 \times n_1}$ is the volumetric tetrahedral Laplacian matrix.
Finally, to reduce the material cost, we add a penalty term to minimize the usage of expensive SMP materials:
$$E_{\text{SMP}} = \|\rho\|^2$$
(29)
The above optimization problem is highly nonconvex and nonsmooth since the Neo-Hookean elastic model (see Equation (1)) is intrinsically nonconvex, and our sparse objective term (see Equation (25)) is nonsmooth. To the best of our knowledge, a universal method and theory is not available for such nonconvex nonsmooth optimization problems. In optimization community, it is agreed that algorithms used to solve such problems should depend on the specific form of the objective function and constraints [30], which typically is a challenging task. In Section 6, we will explore the special structure in our problem and utilize it to develop an efficient solver.
### 6 Our Optimization Solver
To solve the optimization problem in Section 5.2, we divide the overall optimization process into three steps by exploiting structure of the problem and introducing auxiliary variables. By this, each step can be either optimized in parallel or admits a closed-form solution, and thus the overall optimization can be solved efficiently.
#### 6.1 Overall Functional Design
The overall functional involves three types of variables: the mesh coordinates $\mathbf{x}$, the elastic force $\mathbf{f}$ and material distribution parameters $\rho$. However, $\mathbf{f}$ depends on $\mathbf{x}$ and $\rho$. We neglect $\rho$ temporarily. Then the computation of the elastic force $\mathbf{f}$ can be described as: $\mathbf{x} \rightarrow \mathbf{F} \rightarrow \mathbf{f}$, where $\mathbf{F}$ is the deformation gradient. Usually, the relationship between $\mathbf{F}$ and $\mathbf{x}$ is linear. The complexity of the overall functional lies in the fact that $\mathbf{f}$ and $\mathbf{F}$ are related according to the hyperelastic model, which is highly non-linear. Unfortunately,
our problem cannot be decomposed into small independent problems by merely introducing variable $F$, because each vertex-based force $f^i$ is affected by different tetrahedron-based deformation gradient $F^j$, making elastic forces $\{f^i\}$ coupled together. In the overall functional, a given force is vertex-based and its components are linked to the deformation of adjacent tetrahedrons. Naturally, we are willing to rely on the force of a tetrahedron instead of vertex-based forces. Hence, we define the force $f^i$ of the $i^{th}$ vertex as: $f^i = \sum_{j \in T(i)} f^{j,i}$, where $f^{j,i}$ represents the contribution of the $j^{th}$ tetrahedron to the $i^{th}$ vertex (see Fig. 5). Now, we use $f^{j,i}$ instead of $f^i$ as variables. The couple relation between $F^j$ can be diverted to the couple relation of $f^{j,i}$.
### 6.2 Energy Terms Reformulation
We introduce the following auxiliary variables $f^{j,i}_{\text{final}}$, $f^{j,i}_{\text{med}}$, $F^j_{\text{final}}$, $F^j_{\text{med}}$, where $f^{j,i}_{\text{final}}$ ($f^{j,i}_{\text{med}}$) represents the contribution of $j^{th}$ tetrahedron in the force of the $i^{th}$ vertex in the final (median) shape, and $F^j_{\text{final}}$ ($F^j_{\text{med}}$) represents the deformation gradient of the $j^{th}$ tetrahedron in the final (median) shape. In the following, $F^j(\cdot)$ denotes the force as a function, and $f^{j,i}$ denotes it as a variable. Then, we rewrite the external force energy term as:
$$E_{\text{force}} = \sum_{i \in B} \left\| \sum_{j \in T(i)} f^{j,i}_{\text{med}} + f^i_g \right\|^{\frac{1}{\gamma}}$$
and reformulate the two constraints (i.e., Equation (22) and (23)) on the internal forces in the median and final shape as two new energy terms:
$$E_{\text{inner}} = \sum_{i \notin B} \delta \left( \sum_{j \in T(i)} f^{j,i}_{\text{med}} + F^i_g \right)$$
$$E_{\text{ffinal}} = \sum_{i} \delta \left( \sum_{j \in T(i)} f^{j,i}_{\text{final}} + F^i_g \right)$$
where we represent the constraints with the following indicator function
$$\delta : \mathbb{R}^3 \rightarrow \mathbb{R} \cup \{+\infty\} \quad \text{and} \quad x \rightarrow \begin{cases} 0 & \text{if } x = 0 \\ +\infty & \text{else} \end{cases}$$
By this, we reformulate our optimization problem as:
$$\min_{V} E_{\text{total}} := \lambda_{\text{ffinal}} E_{\text{ffinal}} + \lambda_{\text{force}} E_{\text{force}} + E_{\rho} + E_{\text{inner}} + E_{\text{ffinal}}$$
s.t. $F_{\text{final}} = D x_{\text{final}}$, $F_{\text{med}} = D x_{\text{med}}$
$f_{\text{final}} = f_{\text{final}}(F_{\text{med}} \cdot F_{\text{final}}; \rho)$, $f_{\text{med}} = f_{\text{med}}(F_{\text{med}}, \rho)$
Here, $V$ consists of all the variables, i.e., $V = \{x_{\text{med}}, x_{\text{final}}, f^{j,i}_{\text{med}}, f^{j,i}_{\text{final}}, F^j_{\text{med}}, F^j_{\text{final}}, \rho\}$, and $D \in \mathbb{R}^{3n_1 \times 3n_v}$ maps all the mesh coordinates to the deformation gradient. Note that the definition of these two force functions could be found in the supplementary material. The augmented Lagrangian function of problem in Equation (31) is stated as follows:
$$L(V) = E_{\text{total}} + \langle F_{\text{final}} - D x_{\text{final}}, \beta_{\text{ff}} d_{\text{ff}} \rangle$$
$$+ \frac{\beta_{\text{ff}}}{2} \| F_{\text{final}} - D x_{\text{final}} \|^2$$
$$+ \langle F_{\text{med}} - D x_{\text{med}}, \beta_{\text{fm}} d_{\text{fm}} \rangle + \frac{\beta_{\text{fm}}}{2} \| F_{\text{med}} - D x_{\text{med}} \|^2$$
$$+ \langle f_{\text{final}} - f_{\text{final}}(F_{\text{med}} \cdot F_{\text{final}}; \rho), \beta_{\text{ff}} d_{\text{ff}} \rangle$$
$$+ \frac{\beta_{\text{ff}}}{2} \| f_{\text{final}} - f_{\text{final}}(F_{\text{med}} \cdot F_{\text{final}}; \rho) \|^2$$
$$+ \langle f_{\text{med}} - f_{\text{med}}(F_{\text{med}}; \rho), \beta_{\text{fm}} d_{\text{fm}} \rangle$$
$$+ \frac{\beta_{\text{fm}}}{2} \| f_{\text{med}} - f_{\text{med}}(F_{\text{med}}; \rho) \|^2$$
(32)
where all the $d$ with any subscript are the corresponding dual variables and all the $\beta$ with any subscript are the corresponding penalty parameters; e.g., $d_{\text{ff}}$ ($\beta_{\text{ff}}$) is the dual variable (penalty parameter) corresponding to the constraint $F_{\text{final}} - D x_{\text{final}} = 0$. During our experiments, we notice that the Augmented Lagrangian Method (ALM) is very slow compared with the ADMM [31]. Therefore, we use the ADMM to solve this optimization problem. Rather than using ordinary Newton method [3], we utilize speciality of the variables and divided them into several groups to speed up the ADMM as much as possible; see the optimization solving strategy in Section 6.3.
### 6.3 Optimization Solving Strategy
We divide the set of variables $V$ into three distinct groups, and then in each step we optimize each group while fixing the other groups:
1) The $F$-step: $\{F^j_{\text{med}}, F^j_{\text{final}}\}$
2) The $f$-$x$-step: $\{x_{\text{med}}, x_{\text{final}}, f^{j,i}_{\text{med}}, f^{j,i}_{\text{final}}\}$
3) The $\rho$-step: $\{\rho\}$
To solve the overall optimization, we run the $\rho$-step and the $f$-$x$ step alternatively, and then we execute the $F$-step. Finally, we update the dual variables. We repeat this process until convergence. In the following, we briefly explain each individual step. Please refer to the supplementary material for more details.
**The $F$-step.** The deformation gradients in $L(V)$ from different tetrahedrons do not affect other variables when they are fixed. Then, the $F$-step is decomposed into $n_t$ small sub-problems. Each sub-problem can be carried out within one tetrahedron in parallel. Then we use the well-known L-BFGS method to solve these separated problems. Usually it will converge within 10 steps.
**The $f$-$x$-step.** In this step, every $f$, $x$ can be split into small sub-problems within each vertex. Moreover, all the iterations in this step has a closed-form solution, which makes this step extremely fast. Please refer to the supplementary material for the derivation of the closed-form solution.
**The $\rho$-step.** The energy term involving $\rho$ can be written as:
$$\min_{\rho} \sum_{j=1}^{n_t} f^j (\rho^j) + \lambda_{\text{smooth}} \rho^T L \rho$$
(33)
where $f^i(\cdot)$ is a polynomial function of fourth-order. Then, the task is to optimize a multi-variable polynomial. We use ADMM instead of the Newton method which requires a large linear system to be solved at each iteration. The inner ADMM steps in the $\rho$-step can be decomposed into two substeps as well, one of which can be solved in parallel and another admits a closed-form solution.
7 EXPERIMENTAL RESULTS
We implemented our algorithm in C++ on a desktop computer with an Intel Core i7-8700k 4.3GHz CPU. We validate the undesired deformation caused by material-mixing and then demonstrate the effectiveness of our design approach with various simulation results, real-world fabrications, and evaluation experiments.
Fig. 6 shows the undesired deformation with respect to the SMP material ratio $\alpha$, where $\alpha = 1$ means the material is pure SMP and $\alpha = 0$ means the material is pure TPE. In this experiment, we only change the $\alpha$ while keeping other variables (e.g., permanent shape, external forces, material parameters) the same across all the simulated results. We normalize the undesired deformation $R_r$ with the deformation between the permanent shape $X_{\text{perm}}$ and the resulting temporary shape $X_{\text{final}}$, i.e., $R_r = \frac{\text{dist}(X_{\text{final}}, X_{\text{med}})}{\text{dist}(X_{\text{final}}, X_{\text{perm}})}$, where $\text{dist}(\cdot)$ is the Hausdorff distance between two tetrahedral meshes. Ideally, $R_r$ should be equal to 0 when $\alpha = 1$, meaning that the undesired deformation will not happen for pure SMP materials. As shown in Fig. 6, $R_r$ is monotonically decreasing when $\rho$ increases, indicating that its limit could be 0 when $\alpha \to 1$. Another observation is that $R_r$ is larger when fewer SMP materials are used (as we preferred), which confirms the need of predicting the undesired deformation in our material modeling and integrating it into our optimization.
Results. Fig. 7 shows three sets of virtual results generated by our approach, where the material distribution and external forces are visualized. Comparing the material distribution among the results, we find that Twist Bar requires the highest SMP material ratio, indicating that twisting deformation might demand more SMP materials than the others (e.g., bending) to realize the self-actuated deformation behavior. The rightmost column visualizes the undesired deformation, which can obviously be perceived. The resulting temporary shape looks like an intermediate frame between the permanent shape and the median shape (e.g., see Human). This can be illustrated as an interaction of internal forces between the SMP and TPE materials, i.e., SMPs keep the median shape while hyperelastic TPEs attempt for the permanent shape.
We evaluated our optimized results (i.e., material distribution and external forces) by simulation. In detail, we take the user-specified permanent shape $X_{\text{perm}}$ with optimized material distribution $\rho$ as inputs, and simulate the shape programming process under the optimized external forces $\{f_{\text{ext}}\}$. By this, we obtain a resulting temporary shape in our simulation denoted as $X'_{\text{temp}}$. We compare the simulated temporary shape with our optimized temporary shape by computing the Hausdorff distance $\text{dist}(X'_{\text{temp}}, X_{\text{final}})$. The distance values are $9.8 \times 10^{-3}$, $4.7 \times 10^{-4}$ and $2.2 \times 10^{-3}$ for the three results (from top to bottom) in Fig. 7, which are all relatively small. Note that the distance cannot be zero as the simulation uses discrete material distribution and sparse external forces, which are different from the optimization. This experiment verifies that the accuracy of our optimized results is sufficiently close to that of our simulation.
Fabrication. We fabricated some of our results using dual-material additive manufacturing. Specifically, we employed a conventional FDM 3D printer equipped with dual extruder heads in conjunction with two material filaments made of SMP\footnote{Our experiments used SMP material (type: Ether MS5520) from SMP Technologies Inc; see http://www2.smptechno.com/en/smp/} and TPE. To execute the computed external forces accurately, we build an actuator rig that can fix the object and apply controlled forces (both size and direction) on the object; see Fig. 8. We validate our material modeling and design algorithm by fabricating an Eiffel Tower result and deforming it by using the actuator rig to apply the computed external force. In this experiment, we observe that the permanent, median, and resulting temporary shapes computed by our algorithm are closely identical with those of the fabricated counterpart; compare Fig. 8 (top) and (middle).
Fig. 8: Validate a result generated by our algorithm (top) in a real-world thermomechanical experiment (middle), where the corresponding temperature (in orange) and applied external force size (in red) are visualized over time (bottom). From left to right: shape heating, deforming, fixing and cooling, undesired deformation after unloading, and recovery.
Fig. 9: Our fabricated results: EIFFEL TOWER 2 (top), HUMAN (middle), and SMILEY FACE (bottom). From left to right: input permanent and temporary shapes, fabricated permanent shape, resulting temporary shape, and recovered shape.
Fig. 10: Given (a&b) the same input, we compare (c&d) our optimization approach with (e&f) a baseline approach that distributes the same amount of SMP materials randomly across the whole shape. (c&e) We obtain the same median shape by applying different external forces on the two results. (d) The resulting temporary shape of our optimized result is close to (b) the target than (f) that of the baseline result.
Fig. 9 (top) shows another EIFFEL TOWER result, which is deformed into a bent shape by two external forces applied using the actuator rig. Fig. 9 also shows HUMAN and SMILEY FACE results, where the external force configurations are too complex to be applied using the actuator rig. Thus, we manually deform the objects following by the computed forces. Note that building a device that can apply arbitrary controlled forces is beyond the scope of this work. After reheating, all objects recovered to its original shape; see the supplementary video for the demo.
**Evaluation.** We performed two physical experiments to evaluate our optimization approach and to verify our assumption, respectively. To evaluate our optimization (mainly on the material distribution), we compare it with a baseline approach that randomly distributes clusters of SMP materials over the whole object. By clustering the SMP tetrahedrons, the baseline approach avoids isolated SMP tetrahedrons that cannot be precisely fabricated due to the limited 3D printing resolution. We use the baseline approach to generate another EIFFEL TOWER, 3D print it, and compare it with our optimized result in Fig. 8. During the experiment, we applied different external forces to deform the two results such that they have the same median shape; see Fig. 10(c&e). Fig. 10(d&f) shows that the resulting temporary shape of our optimized result is closer to the target one than that of the baseline result; see also the supplementary video. This experiment verifies the effectiveness of our modeling on the undesired deformation and optimization on the material distribution.
The second experiment is to verify Assumption 2. We fabricated a cylinder with pure SMP material and let the cylinder undergo multiple (i.e., 20 in our experiment) iterations of shape programming and recovery. After this process, we found that the cylinder could still return to its original shape; see the supplementary video. This simple experiment verifies that the plastic deformation in SMP material is sufficiently small to be neglected.
| Models | #Fig | #tri | #vert | #tetrs | $\lambda_{\text{ave}}$ | $\lambda_{\text{pinal}}$ | $\lambda_{\text{mat}}$ | $\lambda_{\text{smooth}}$ | $\lambda_{\text{SMP}}$ | $\alpha$ | # force | Runtime |
|-----------------|------|-------|-------|--------|------------------------|--------------------------|------------------------|--------------------------|------------------------|---------|---------|-----------|
| Flower | Fig. 2 | 19442 | 2619 | 8520 | 40 | 100 | 15 | 1 | 3.4 | 0.53 | 21 | 2h59min |
| Twist Bar | Fig. 7 | 4176 | 768 | 1705 | 10 | 100 | 10 | 0.6 | 0.5 | 0.69 | 2 | 1h1min |
| Fish | Fig. 5 | 25463 | 3309 | 11397 | 10 | 100 | 10 | 0.6 | 0.5 | 0.08 | 1 | 5h8min |
| Human 1 | Fig. 7 | 10242 | 1542 | 3515 | 10 | 100 | 10 | 0.6 | 0.5 | 0.18 | 1 | 4h17min |
| Eiffel Tower 1 | Fig. 8 | 5919 | 872 | 2564 | 40 | 100 | 15 | 0.8 | 0.8 | 0.29 | 1 | 1h5min |
| Eiffel Tower 2 | Fig. 9 | 5919 | 872 | 2564 | 40 | 96 | 0.4 | 0.027 | 0.026 | 0.59 | 2 | 1h21min |
| Human 2 | Fig. 9 | 7926 | 1092 | 3515 | 10 | 100 | 10 | 0.6 | 0.5 | 0.30 | 3 | 4h16min |
| Smiley Face | Fig. 9 | 28324 | 3638 | 12716 | 40 | 60 | 10 | 1.8 | 5e-5 | 0.09 | 5 | 5h26min |
| Grasper | Fig. 11 | 8950 | 1139 | 4045 | 40 | 90 | 15 | 1.6 | 2.6 | 0.14 | 14 | 4h14min |
| Key-lock | Fig. 11 | 8951 | 1139 | 4045 | 40 | 100 | 15 | 1.5 | 3.1 | 0.16 | 2 | 2h8min |
| Snake | Fig. 11 | 38800 | 3025 | 14400 | 40 | 800 | 15 | 2.4 | 1.0 | 0.40 | 5 | 5h36min |
TABLE 1: Statistics of our results. From left to right: model name, corresponding Figure ID, number of triangles (#tri), number of vertices (#vert), number of tetrahedrons elements (#tetrs), values for the optimization weights ($\lambda_{\text{ave}}, \lambda_{\text{pinal}}, \lambda_{\text{mat}}, \lambda_{\text{smooth}}, \lambda_{\text{SMP}}$), SMP material ratio ($\alpha$), number of external forces (#force), and the overall running time. Note that the different orders of magnitude for $\lambda_{\text{SMP}}$ is caused by resolutions and shapes of input tetrahedral meshes.
Parameters and Statistics. In our fabrication, the transition temperature of the SMP material we used is $b_T = 328K$ and the temperature offset $\Delta \theta = 15K$. The shear modulus and bulk modulus of the SMP material are $\mu = 1.86e8$Pa and $\kappa = 1.13e9$Pa in the glassy phase, and $\mu = 1.18e8$Pa and $\kappa = 7.15e7$Pa in the rubbery phase. The shear modulus and bulk modulus of the TPE material are $\mu = 1.00e8$Pa and $\kappa = 6.07e8$Pa. All the material parameters are offered by the manufacturer. In Fig. 7, the shear modulus and bulk modulus of the SMP material in the glassy phase are set to $\mu = 1.00e8$Pa and $\kappa = 6.07e8$Pa, while all the rest parameters remain unchanged. Our optimization is not sensitive to the penalty parameters $\beta$, so we set $\beta_{\text{ff}} = \beta_{\text{pm}} = 1e5$ and $\beta_{\text{ft}} = \beta_{\text{tm}} = 0.1$ for all the results. We enlarge the penalty parameters if the combined residual [31] does not decline for certain number of iterations. The optimization terminates if the combined residual is lower than $1e^{-6}$.
We report statistics of our generated results in Table 1, in particular, weights in Equation 21 and 26. We adjusted the weights based on the observation that we expect the SMP material ratio $\alpha$ to be as low as possible to reduce the total fabrication cost, on the condition that the optimized design is fabricatable. Initially, we use a relatively small SMP penalty weight $\lambda_{\text{SMP}}$ while adjusting all the other weights to generate results. We check whether each optimized result is acceptable based on two criteria: 1) the optimized result should have less than 0.1% tetrahedrons whose material distribution $\rho^i$ is within $[0.05, 0.95]$ as it is difficult to decide whether SMP or TPE material should be assigned to these tetrahedrons; 2) the optimized result should have less than 30% isolated SMP tetrahedrons among all SMP tetrahedrons as clustered rather than isolated SMP tetrahedrons can be more precisely fabricated due to the limited 3D printing resolution. Once we find an acceptable result, we could further increase the SMP penalty weight $\lambda_{\text{SMP}}$ by using the bisection method.
Applications. We showcase three applications of our designed deformable objects, for which the printed shapes are empowered with functionalities by the materials’ shape recovery effect rather than relying on special mechanisms. The first application is a self-actuated grasper, inspired by [32]; see Fig. 11 (top). The deformed grasper is used to grab a ball-shaped object in the water. When heated, the grasper executes the grasping task by closing its fingers. Another application is a smart key-lock; see Fig. 11 (middle). The key and lock are separated at the beginning. After being deformed, the key can be inserted into the lock. To lock the system, we simply need to heat it. The last application is a self-deployable assembly with 17 deformable parts; see Fig. 11 (bottom). Each deformable part is programmed independently, which could be compactly packed for storage and transportation. After assembled and heated, the shape recovery effect of the parts will deform the overall shape to a snake. Please watch the supplementary video for the demo.
8 CONCLUSION
In this paper, we propose an approach to design and fabricate self-actuated deformable solids with dual materials, thermo-responsive SMPS and elastic TPEs. When analyzing their shape programming behavior, we observe undesired shape deformation that needs to be considered and modeled for accurate predication of the resulting programmed shape. Our material modeling then expresses the shape programming process of thermo-responsive SMPS as two elastic models linked by a median shape, leading to a new simplified constitutive model that is feasible to be integrated into a computational framework. This new constitutive model provides the key insight to formulate our challenging design problem as an optimization over the SMP material distribution and the median shape. Our experiments show how this optimization allows creating self-actuated deformable solids of a wide variety of shapes and deformation behaviors, and how the shape recovery effect of these solids can be creatively used in a number of applications.
Limitations and Future Work. Our work has several limitations that open up interesting directions for future research. First, our method does not take into consideration of avoiding collisions, including object self-collisions and collisions between the object and cables, in the shape programming process. Involving these collision constraints will result in an extensive collection of variables and more complex solvers in the optimization.
Second, when the computed external forces are too complex (i.e., not co-planar) to be executed with the device in Fig. 9 (top), we realize the forces manually with hands (Fig. 9 (middle) and (bottom)), resulting in a loss of accuracy in the shape programming. To alleviate this issue, one possible solution is to add a co-planar constraint in our optimization such that the computed forces always can be executed by our device. However, if such co-planar forces do
not exist, a more complex device needs to be developed to realize the forces.
Third, theoretical analysis of our optimization, including global and local convergence analysis, needs to be conducted to understand its performance and convergence guarantee. Although there are research works investigating the convergence analysis of nonsmooth nonconvex ADMM [33], [34], they are inapplicable to our problem because of the existence of non-linear constraints. As a future work, we are interested in assumptions on the objective function and constraints that can ensure the convergence of our proposed solver. In addition, a theoretical study on weighting parameters in the optimization could be helpful for guiding their setting.
Lastly, we would like to study the potential of our method for being used in practical applications, including self-actuated graspers that can grab objects with irregular shape [35] and reconfigurable assemblies that can change their form automatically by heating.
ACKNOWLEDGMENTS
This work is supported by the National Natural Science Foundation of China (61672482, 62025207), the Zhejiang Lab (NO. 2019NB0AB03), and the SUTD Start-up Research Grant (SRG ISTID 2019 148).
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**Wending Ouyang** received the BS degree in Mathematics in the University of Science and Technology of China, where he is currently working toward the MS degree in Computer Graphics. His research interests include theoretical analysis and applications of optimization algorithms in Computer Graphics, with a particular focus on simulation and fabrication.
**Zhongyuan Liu** received the MA degree from the Luxun Academy of Fine Arts, in 2016. Currently, He is working toward the PhD degree at the University of Science and Technology of China. His research interests include computer graphics and geometry processing in Architecture and Art Design.
**Ning Ni** received the BS degree in Information and Computing Science in the University of Science and Technology of China in 2018. He is pursuing the master's degree in the same university with research interests in computational simulation and fabrication.
**Yann Savoye** is a Lecturer in Computer Science in the Department of Computer Science at Liverpool John Moores University (LJMU) in United Kingdom since 2019. He is a fellow of the Higher Education Academy in United Kingdom since 2017. From 2014 to 2016, he did several postdoctoral positions in Israel, China and Austria. In 2012, He obtained a PhD degree in Computer Science at Université de Bourgogne. He received a BSc and Msc in Computer Science from University Claude Bernard Lyon 1, France. He is research interests are focused on Computer Graphics, Computer Vision, Digital Fabrication and Deep Learning.
**Peng Song** is an Assistant Professor at the Singapore University of Technology and Design (SUTD), where he leads the Computer Graphics Laboratory (CGL). Prior to joining SUTD, he was a research scientist at EPFL, Switzerland. He received his PhD from Nanyang Technological University, Singapore in 2013, his master and bachelor degrees from Harbin Institute of Technology in 2009 and 2007 respectively. His research interests include computer graphics, geometry processing, and computational fabrication.
**Ligang Liu** is a professor at the University of Science and Technology of China. He received his PhD from Zhejiang University in 2001. He once worked at Microsoft Research Asia, Zhejiang University, and visited Harvard University. His research interests include computer graphics and geometry processing and has published over 30 papers in ACM TOG. He serves as the associated editors for journals including IEEE TVCG, CGF, CAGD, C&G, etc. He served as the conference co-chair of GMP 2017 and the program co-chairs of conferences including GMP 2018, SGP 2015, and SPM 2014. He serves as the steering committee member of GMP and the secretary of Asiagraphics Association.
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Exemplar-Based Human Action Pose Correction and Tagging
Wei Shen
Huazhong Univ. of Sci.&Tech.
Ke Deng
Microsoft Corporation
Baining Guo
Microsoft Research Asia
Xiang Bai
Huazhong Univ. of Sci.&Tech.
Zhuowen Tu
Microsoft Research Asia & UCLA
Tommer Leyvand
Microsoft Corporation
Abstract
The launch of Xbox Kinect has built a very successful computer vision product and made a big impact to the gaming industry; this sheds lights onto a wide variety of potential applications related to action recognition. The accurate estimation of human poses from the depth image is universally a critical step. However, existing pose estimation systems exhibit failures when faced severe occlusion. In this paper, we propose an exemplar-based method to learn to correct the initially estimated poses. We learn an inhomogeneous systematic bias by leveraging the exemplar information within specific human action domain. Our algorithm is illustrated on both joint-based skeleton correction and tag prediction. In the experiments, significant improvement is observed over the contemporary approaches, including what is delivered by the current Kinect system.
1. Introduction
With the development of high-speed depth cameras [1], the computer vision field has experienced a new opportunity of applying a practical imaging modality for building a variety of systems in gaming, human computer interaction, surveillance, and visualization. A depth camera provides depth information as different means to color images captured by the traditional optical cameras. Depth information gives extra robustness to color as it is invariant to lighting and texture changes, although it might not carry very detailed information of the scene.
The human pose estimation/recognition component is a key step in an overall human action understanding system. High speed depth camera with the reliable estimation of the human skeleton joints [22] has recently led to a new consumer electronic product, the Microsoft Xbox Kinect [1].
Even though the depth data provides invariant and informative cues, existing systems (e.g. classification-based approaches for skeleton joint detection [22]) are not all satisfactory due to severe occlusions. Fig. 1 illustrates a pipeline of pose recognition, which includes three important steps: (1) background removal, (2) initial pose estimation, and (3) pose correction. After the background is removed from the depth image, skeleton joints are estimated from the foreground depth information using e.g. [22, 10]. Note that, serious errors exist in the estimated skeleton in Fig. 1(c). The pose correction stage further takes in these initial per-frame estimations (as “noisy” input) and tries to correct the errors and deliver more robust results. In this paper, we focus on the third step, pose correction, which also plays a very important role in the overall pose detection/recognition pipeline. To show to what extent the third stage can help, the pose correction stage performs “de-noising” by working on extracted “noisy” skeleton joints only, without looking back at the original depth data.
To perform pose correction, e.g. obtaining the result shown in Fig. 1(d) from a noisy estimation in Fig. 1(c), two types of information can be leveraged: (1) temporal motion consistency and (2) the systematic bias. Using the temporal information to enforce the motion consistency has been extensively studied in the literature [11, 6] but studying the systematic bias has received relatively less attention. Generally, the biases are non-linear and are associated with complex data manifolds. As illustrated in Fig. 2, the systematic biases do exist, especially in domain specific actions.
For a general estimation problem, its systematic bias might be significant and has an explicit analytic function [2]. In our task of human action pose recognition, each pose
is represented by a number of skeleton joints; each joint is estimated/extracted using local and contextual depth features [22]. The bias estimation problem in our task observes two properties: (1) human action has certain (sometimes strict) regularity especially when some actions, e.g. golf or tennis, are performed, and (2) the bias is not homogeneous in the data manifold. For example, when a person is facing the camera with no occlusion, the initial estimations are accurate; when a person is standing in a side-view with certain hand motion, there is severe occlusion and the initial estimation may not be all correct, as illustrated in Fig. 1. In this paper, the main contribution is learning the inhomogeneous bias function to perform pose correction and we emphasize the following two points: (1) exemplar-based approach serves a promising direction for pose correction in depth images, (2) learning an inhomogeneous regression function should naturally perform data-partition, abstraction, and robust estimation. With a thorough experimental study, our approach shows encouraging results.
Motion and action recognition from optical cameras has been an active research area in computer vision; typical approaches include 3D feature-based [7], part-based (poselets) [3], and segment-based [16] approaches. Although insights can be gained, these methods are not directly applicable to our problem.
From a different view, bias estimation has been a long standing problem in statistics [2]. Related work in the pose correction task uses physical-model-based approaches [23], Kalman-like filters [12], or exemplar-based approaches but with very specific design, which is hard to adapt to the general task [15]. Here we adopt the random forest regressor, which takes in both the estimated solutions and their estimation uncertainties. We show significant improvement over other regressors such as nearest neighborhood [9], Gaussian process regression [20], support vector regression [21], and logistic regression [17]. Our approach is real-time and can be directly applied to the Kinect system.
2. Data
In this section, we introduce the data used for our pose correction problem. The recently launched Kinect camera [1] is able to give $640 \times 480$ image at 30 frames per second with depth resolution of a few centimeters. Employing the Kinect camera, we are able to generate a large number of realistic depth images of human poses. The human skeleton estimated from the depth image by the current Kinect system [22] is the direct input for our approach, which is called $ST$ (Skeleton esTimation) in the rest of this paper. As shown in Fig. 3(a), there are 20 body joints in a skeleton, including hips, spine, shoulders, head, elbows, wrists, hands, knees, ankles, and feet.
As suggested by the recent work [22, 10], the ground truth positions of the body joints can be captured by motion capture (mocap) system. We obtain a set of mocap of human actions as the ground truth of the estimated skeletal joints. The mocap data is also called $GT$ (Ground Truth) in the rest of this paper. In our experiments, we limit the rotation of the user to $\pm 120^\circ$ in both training and testing data. Fig. 3(b) shows several pairs of $ST$ and $GT$.
3. Pose Correction
3.1. Objectives
We focus on two tasks: joint-based skeleton correction and pose tag prediction. Our inputs are $m$ estimated skeletons $st = (ST_1, \ldots, ST_m)$ from a video sequence of $m$ depth image frames. Each skeleton estimation $ST$ includes $n$ ($n = 20$ here) joints: $ST_j = (\hat{x}_j, c_j; j = 1, \ldots, n)$, where $\hat{x}_j \in \mathbb{R}^3$ denotes the world coordinates of the $j$th body joint, as shown in Fig. 3. $c_j$ indicates the confidence for the estimation $\hat{x}_j$ by the skeleton joint detector, i.e. if joint $j$ has high confidence, $c_j = 1$; Otherwise, $c_j = 0$. As shown in Fig. 1 and Fig. 2, color dots correspond joints of high confidence whereas joints without color dots are low confidence.
The first task (joint-based skeleton correction) is to predict the “true” position of each joint: $\hat{x}_j \rightarrow x_j$ and the “true” skeletons $gt = (GT_1, \ldots, GT_m)$ where each $GT = (x_j; j = 1, \ldots, n)$ and $x_j \in \mathbb{R}^3$. In training, we are given a training set of $\{(st, gt_i)\}_{i=1}^{K}$ of $K$ pairs of $st$ and $gt$; in testing, we want to predict the “true” $gt$ from a given input $st$.
The second task (pose tagging) is to predict the pose tag $\Upsilon = (\Upsilon_1, \ldots, \Upsilon_m)$ from a given $st = (ST_1, \ldots, ST_m)$. The tag is a real value ranging from 0.0 to 1.0, indicating a specific stage in a particular action, e.g. golf swing. Each type of poses is assigned a tag, as illustrated in Fig. 4. In the somatosensory game, the tag is used to drive the avatar to put on the same pose as the player performs. In training,
we are given a training set of \(\{(\text{st}, \Upsilon)_k\}_{k=1}^K\) of \(K\) pairs of \(\text{st}\) and \(\Upsilon\); in testing, we want to predict the tag values \(\Upsilon\) from a given input \(\text{st}\).
The tag is actually a low dimensional manifold coordinate of the pose. Both of the two tasks are performed to recover the pose from a noisy initial estimation, so we categorize them into the tasks of pose correction.
### 3.2. Normalized Skeleton Joints Coordinates
From the world coordinates, we want to have an intrinsic and robust representation. Based on the \(n = 20\) joints, we show the kinematic skeleton template as displayed in Fig. 3(a), which is a directed graph. Each joint is a node of the graph. Given an \(ST = (\hat{x}_j, c_j; j = 1, \ldots, n)\), we compute its normalized coordinates for our problem, denoted as \(H(ST) = (r_j, c_j; j = 1, \ldots, n)\). Since \(\hat{x}_j\) denotes the world coordinate, we normalize them to the template to remove not only the global translation but also the variation in individual body differences. We use the skeleton joint C. Hip as the reference point, the origin, \(r_1 = (0, 0, 0)\), and map the other joints to the sphere as \(r_j = \frac{\hat{x}_j - \hat{x}_{j_o}}{\|\hat{x}_j - \hat{x}_{j_o}\|_2}\) where joint \(j_o\) is the direct predecessor of joint \(j\) on the skeleton (directed graph).
The design of the transformed coordinates \(H(ST)\) is motivated by the kinematic body joint motion. \(H(ST)\) observes a certain level of invariance to translation, scaling, and individual body changes. We can actually drop \(r_1\) since it is always on the origin. One could add other features computed on \(ST\) to \(H(ST)\) to make it more informative but this could be a topic of future research.
### 3.3. Joint-based Skeleton Correction
#### 3.3.1 Joint offset inference
To perform skeleton correction from a noisy input \(ST\), instead of directly predicting the “true” positions of the body joints, we infer the offsets between the joints in the \(ST\) and those in the \(GT\). This has its immediate significance: when a person is facing the camera with no occlusion, \(ST\) is actually quite accurate, and thus has nearly zero difference to \(GT\); when a person is playing the game in side view with severe occlusions, there is often a large and inhomogeneous difference between \(ST\) and \(GT\). This is essentially a manifold learning problem. Certain clusters of \(ST\) on the manifold can directly be mapped to, e.g. very low values, if we would predict the offsets; predicting the direct coordinates of \(GT\) however would have to explore all possible \(ST\) in the data space.
Now we show how to compute the offsets between the joints in \(ST = (\hat{x}_j, c_j; j = 1, \ldots, n)\) and those in \(GT = (x_j; j = 1, \ldots, n)\), where \(\hat{x}_j, x_j \in \mathbb{R}^3\) are the world coordinates of joint \(j\) in \(ST\) and \(GT\), respectively. To ensure the scale invariance of the offsets, skeletons are normalized based on the default lengths of the skeleton edges in the template shown in Fig. 3(a). First, we choose a set of stable joints \(J_S = \{\text{Spine, C. Shouldor, Head, L. Hip, R. Hip, L. Knee, R. Knee, L. Ankle, R. Ankle}\}\). We call them stable joints because other joints in the \(ST\), such as Hand and Wrist, are often occluded by the human body, thus the skeleton edge lengths between them are prone to errors. Given an \(ST\), for each skeleton edge between the stable joints and their direct predecessors, we compute the proportion to the template skeleton edge length: \(\lambda(j, j_o) = \|\hat{x}_j - \hat{x}_{j_o}\|_2 / \|T_j - T_{j_o}\|_2\), where \(T_j\) is the \(j\)th joint for the
template $T$ (shown in Fig. 3), which is fixed in this problem. Then, the scale proportion of the $ST$ is
$$\lambda(ST) = \frac{\sum_{j \in J_S} \lambda(j, j_o) \cdot \delta(\|\lambda(j, j_o) - \frac{\sum \lambda(j, j_o)}{|J_S|}\|_1 \leq th)}{\sum_{j \in J_S} \delta(\|\lambda(j, j_o) - \frac{\sum \lambda(j, j_o)}{|J_S|}\|_1 \leq th)},$$
(1)
where $\delta(\cdot)$ is an indicator function which is a robust measure to exclude the outliers and
$$th = 3 \sqrt{\frac{\sum_{j \in J_S} (\lambda(j, j_o) - \frac{\sum \lambda(j, j_o)}{|J_S|})^2}{|J_S|}}.$$
(2)
Finally, the offset of a joint $j$ between the pair of $\hat{x}_j$ and $x_j$ is computed as
$$\Delta_j = (\hat{x}_j - x_j)/\lambda(ST),$$
(3)
and $D = (\Delta_1, \ldots, \Delta_n)$ for each skeleton of $n$ joints. For the entire sequence of $m$ images, we have $d = (D_1, \ldots, D_m)$. Note that we do not need to explicitly align the pair of $ST$ and $GT$, since they are obtained from the same depth image.
### 3.3.2 Learning the regression to joint offsets
In this section, we discuss how to learn a regression function to predict the offset to perform pose correction. We are given a training set of $S = \{(\text{st}, \text{gt}_i)\}_{i=1}^{K}$ of $K$ pairs of st and gt (for denotational simplicity, we let $K = 1$ and thus $k$ can be dropped for an easier problem understanding). Using the normalization step in Sec. 3.2, we obtain $h(\text{st}) = (H(ST_1), \ldots, H(ST_m))$ where each $H(ST) = (r_j, c_j; j = 1, \ldots, n)$; using the offset computing stage in Eq. 3, we compute the offset, $d = (D_1, \ldots, D_m)$. Thus, our goal is to predict the mapping $h(\text{st}) \rightarrow d$.
We first learn a function to directly predict the mapping $f : H(ST) \rightarrow D$ by making the independent assumption of each pose. From this view, we rewrite the training set as $S = \{(H(ST_i), D_i)\}_{i=1}^{m}$.
Random forest [4, 18, 14] includes an ensemble of tree predictors that naturally perform data-partition, abstraction, and robust estimation. For the task of regression, tree predictors take on vector values and the forest votes for the most possible value. Each tree in the forest consists of split nodes and leaf nodes. Each split node stores a feature index with a corresponding threshold $\tau$ to decide whether to branch to the left or right sub-tree and each leaf node stores some predictions.
Our objective is to learn a random forest regression function $f : H(ST) \rightarrow D$. Following the standard greedy decision tree training algorithm [13, 22, 10], each tree in the forest is learned by recursively partitioning the training set $S = \{(H(ST_i), D_i)\}_{i=1}^{m}$ into left $S_l$ and right $S_r$ subsets according to the best splitting strategy $\theta^* = \arg \min_\theta \sum_{p \in \{l,r\}} \frac{|S_p(\theta)|}{|S|} e(S_p(\theta))$, where $e(\cdot)$ is an error function standing for the uncertainty of the set and $\theta$ is a set of splitting candidates. If the number of training samples corresponding to the node (node size) is larger than a maximal $\kappa$, and $\sum_{p \in \{l,r\}} \frac{|S_p(\theta^*)|}{|S|} e(S_p(\theta^*)) < e(S)$ is satisfied, then recurse for the left and right subsets $S_l(\theta^*)$ and $S_r(\theta^*)$, respectively.
The selection of the error function $e(\cdot)$ is important for learning an effective regressor. Here, we employ the rooted mean squared differences:
$$e(S) = \sqrt{\frac{\sum_{i=1}^{m} \|D_i - \frac{\sum_{j=1}^{m} D_j}{|S|}\|^2}{m}}.$$
(4)
In the training stage, once a tree $t$ is learned, a set of training samples $S_t^{lf} = \{D_i^{lf}\}_{i=1}^{|S_t^{lf}|}$ would fall into a particular leaf node $lf$. Obviously, it is not effective to store all the samples in $S_t^{lf}$ for each leaf node $lf$. Instead, we would do an abstraction for the learning purpose. One choice is to store the mean $D^{(lf)} = \sum_{i} D_i^{lf}/|S_t^{lf}|$ of the set $S_t^{lf}$. One could store other abstractions such as the histogram of $S_t^{lf}$ as well. In addition, each tree $t$ would assign a leaf node label $L_t(H(ST_t))$ for a given $H(ST_t)$.
In the testing stage, given a test example $ST = (\hat{x}_j, c_j; j = 1, \ldots, n)$, for each tree $t$, it starts at the root, then recursively branches left or right. Finally, it reaches the leaf node $L_t(H(ST))$ in tree $t$, then the prediction given by tree $t$ is $F_t(H(ST)) = \delta(lf = L_t(H(ST))) \cdot D^{(lf)}$, where $\delta(\cdot)$ is an indicator function. The final output of the forest ($T$ trees) is a probability function:
$$P_{H(ST)}(D) = \frac{1}{T} \sum_{t=1}^{T} \exp(-\| \frac{D - F_t(H(ST))}{h_D} \|^2),$$
(5)
where $h_D$ is a learned bandwidth. The mean can be considered as another output of the learned regression function $f(H(ST)) = E_{P_{H(ST)}}[D]$ where $E_{P_{H(ST)}}[\cdot]$ indicates the expectation. The corrected skeleton is obtained by (if we would use the $f(H(ST))$ as the output)
$$CT = ST^- + \lambda(ST) \cdot f(H(ST)),$$
(6)
where $ST^- = (\hat{x}_j; j = 1, \ldots, n)$ and the components in $CT$ are $CT = (\hat{x}_j; j = 1, \ldots, n)$. In the experiments, we refer to this method (using the $f(H(ST))$ as the output) as RFR.
### 3.3.3 Regression cascade
In the recent work [8], an algorithm named cascaded pose regression (CPR) is proposed, which iteratively trains a series of regressors to approach the ground truth. Inspired by CPR, we propose a regression cascade (RFRC) here.
As described in Sec. 3.3.2, we learn a regression function \( f : H(ST) \rightarrow D \). Here, we rewrite it as
\[
f^{(0)} : H(ST) \rightarrow D^{(0)}.
\]
Then we obtain the corrected skeleton \( CT^{(1)} \) by
\[
CT^{(1)} = ST^- + \lambda(ST) \cdot f^{(0)}(H(ST)).
\]
Then we compute the normalized skeleton joint coordinates \( H(CT^{(1)}) \) and learn the second layer of regression function:
\[
f^{(1)} : (H(ST), H(CT^{(1)})) \rightarrow D^{(1)},
\]
where \( D^{(1)} \) is the offsets between \( CT^{(1)} \) and \( GT \) computed by the stage in Eq. 3. Then repeat the process mentioned above. The \((i+1)\)th layer of regression function is
\[
f^{(i)} : (H(ST), H(CT^{(i)})) \rightarrow D^{(i)}.
\]
The output skeleton is
\[
CT^{(i+1)} = CT^{(i)} + \lambda(ST) \cdot f^{(i)}(H(ST), H(CT^{(i)})).
\]
For consistency, we define \( CT^{(0)} = \emptyset \) and obtain
\[
CT^{(i+1)} = ST^- + \lambda(ST) \cdot \sum_i f^{(i)}(H(ST), H(CT^{(i)})).
\]
Fig. 5 shows an illustration for the process of the regression cascade.
### 3.3.4 Temporal constraint
Taking the motion consistency into account, we could use the temporal constraint to improve our correction results. Our learned regression function outputs a probability distribution as shown in Eq. (5), which can be used to employ the temporal information. Given the estimated skeleton sequence \( st = (ST_1, \ldots, ST_m) \), our goal is to obtain \( h(st) \rightarrow d \), where \( d = (D_1, \ldots, D_m) \), with the corresponding corrected skeleton sequence \( ct = (CT_1, \ldots, CT_m) \). To meet the real time requirement, our approach follows a causal model, i.e. the current prediction only depends on past/current inputs/outputs. For the \(i\)th input estimated skeleton \( ST_i \), its offset is computed as
\[
D_i = \begin{cases}
f(H(ST_i)) & \text{if } i = 1 \\
\arg \min_{D \in \mathbb{R}^{n \times s}} E(D|ST_i, ST_{i-1}, D_{i-1}) & \text{otherwise}
\end{cases},
\]
where \( E(\cdot) \) is an energy function defined as
\[
E(D|ST_i, ST_{i-1}, D_{i-1}) = \alpha \cdot (-\log(P_{H(ST_i)}(D))) + (1 - \alpha) \|ST_i^- + \lambda(ST_i)D - (ST_{i-1}^- + \lambda(ST_{i-1})D_{i-1})\|_2^2,
\]
where \( \alpha \) is a weight factor. We use coordinate descent to solve Eq. 14. Finally, the corrected skeleton \( CT_i \) is
\[
CT_i = ST_i^- + \lambda(ST_i)D_i.
\]
In the experiments, we refer to the random forest regression and cascade methods under temporal constraint as RFRT and RFRCT respectively.
### 3.4 Pose tag prediction
In this section we discuss how to learn a regression function to predict the tag of a pose. The learning process is the same as what we did for the skeleton correction; so we follow the notions in Sec. 3.3.2 and 3.3.4 except for replacing the offset \( D \) by the tag value \( Y \). As stated in the previous section: we are given a training set \( \{(st, Y)_k\}_{k=1}^K \) of \( K \) pairs of \( st \) and \( Y \) (for denotational simplicity, we let \( K = 1 \) and thus \( k \) can be dropped for easier problem understanding). Using the normalization step in Sec. 3.2, we obtain \( h(st) = (H(ST_1), \ldots, H(ST_m)) \), where each \( H(ST) = (r_j, c_j; j = 1, \ldots, n) \). Thus our objective is to obtain \( h(st) \rightarrow Y \), where \( st = (ST_i; i = 1, \ldots, m) \) and \( (Y = Y_i; i = 1, \ldots, m) \). Similarly, a random forest regression function to directly predict the tag only based on the individual skeleton \( f : H(ST) \rightarrow Y \) is also learned first. Here, each leaf node in tree \( t \) also stores the mean tag values of the samples falling into the leaf node. In the testing stage, given a test example \( ST \), the prediction \( F_t(H(ST)) \) given by tree \( t \) is also computed similarly as in Sec. 3.3.2. The final output of the forest (\( T \) trees) is a regression in probability function:
\[
P_{H(ST)}(Y) = \frac{1}{T} \sum_{t=1}^T \exp(-\|\frac{Y - F_t(H(ST))}{h_Y}\|^2),
\]
where \( h_Y \) is a learned bandwidth. The mean is also considered as another output of the learned regression function \( f(H(ST)) = E_{F_t(H(ST))}[Y] \).
A tag is a point on the manifold of the coherent motion, therefore the temporal constraint would be much more useful and effective in predicting the tag value. Our approach for tag prediction is also a cause model. Given the estimated skeleton sequence \( st = (ST_1, \ldots, ST_m) \), the goal is to
obtain the tag sequence \((\Upsilon_1, \ldots, \Upsilon_m)\). For the \(i\)th input estimated skeleton \(ST_i\), similarly \(\Upsilon_i\) is predicted as:
\[
\Upsilon_i = \begin{cases}
f(H(ST_i)) & \text{if } i = 1 \\
\arg \min_{\Upsilon \in [0,1]} E(\Upsilon|ST_i, \Upsilon_{i-1}) & \text{otherwise}
\end{cases},
\]
where
\[
E(\Upsilon|ST_i, \Upsilon_{i-1}) = \alpha \cdot (-\log(P_{H(ST_i)}(\Upsilon))) + (1 - \alpha)(\Upsilon - \Upsilon_{i-1})^2,
\]
where \(\alpha\) is the weight factor. The minimization of the above energy can be done similarly as before.
4. Experimental Results
In this section, we show the experimental results and give the comparisons between alternative approaches, including what is delivered in the current Kinect system. In the remainder of this section, unless otherwise specified, we set the parameters for learning random forest as: the number of trees \(T = 50\) and leaf node size \(\kappa = 5\). The bandwidths \(h_D\) and \(h_T\) and the weight factor \(\alpha\) are optimized on a hold-out validation set by grid search (As an indication, this resulted in \(h_D = 0.01m\), \(h_T = 0.03\) and \(\alpha = 0.5\)). We set the number of the layers of regression cascade as \(L = 2\).
4.1. Joint-based skeleton correction
To evaluate our algorithm, we show the performance on a challenging data set. This data set contains a large number of poses, 15,815 frames in total, coming from 81 swing motion sequences. Some pose examples are shown in Fig. 3. We select 19 sequences containing 3,720 frames as the training data set. The rest 12,095 frames are used for testing.
4.1.1 Error Metrics
Given a testing data set \(\{(ST_i, GT_i)\}_{i=1}^{m}\), we obtain the corrected skeletons \(\{CT_i; i = 1, \ldots, m\}\). We measure the accuracy of each corrected skeleton \(CT = (z_j; j = 1, \ldots, n)\) by the sum of joint errors (sJE) \(GT = (x_j; j = 1, \ldots, n)\):
\[
\varepsilon = \sum_j \|z_j - x_j\|_2.
\]
To quantify the average accuracy on the whole testing data, we report the mean sJE (msJE) across all testing skeletons: \(\sum_i \varepsilon_i / m\) (unit: meter).
4.1.2 Comparisons
In this section, we give the comparison between the methods for joint-based skeleton correction.
**Current Kinect approach.** To illustrate the difficulty of the problem, we compare with the approach in the current Kinect system. The current Kinect system for skeleton correction is complex, which employs several strategies such as temporal constraint and filtration. The main idea of the approach is nearest neighbor search. For a testing \(ST\), The approach searches its nearest neighbor in the estimated skeletons in the training set. Then the ground truth of the nearest neighbor is scaled with respect to \(ST\) to be the corrected skeleton of \(ST\). The details of this system is unpublished. We refer to the current approach in Kinect system as K-SYS in the rest of paper. On the whole testing set, K-SYS achieves 2.0716 msJE, while RFR achieves 1.5866. We illustrate some examples of the corrected skeletons obtained by K-SYS and our algorithm in Fig. 6(b).
**Regress the absolute joint position.** To show the significance of learning the offsets between joints in \(ST\) and \(GT\), we also give the result by directly predicting the absolute joint position by random forest regression (RFRA). To learn the absolute position, for each \(GT = (x_j; j = 1, \ldots, n)\) in the training set \(S = \{(ST_i, GT_i)\}_{i=1}^{m}\), we translate the C. Hip \(x_1\) to \((0, 0, 0)\) to align them. The absolute joint position of each \(GT = (x_j; j = 1, \ldots, n)\) is obtained by \(\tilde{x}_j = (x_j - x_1)/\lambda(GT)\). Then a regression function \(\hat{f}: H(ST) \rightarrow (\tilde{x}_1, \ldots, \tilde{x}_n)\) is learned as the process in Sec. 3.3.2. Given a testing \(ST = (x_j; j = 1, \ldots, n)\), the joint positions of the corrected skeleton \(CT = (z_j; j = 1, \ldots, n)\) are obtained by \(CT = \lambda(ST)\hat{f}(H(ST))\). Finally, the C. Hip \(z_1\) of the obtained \(CT\) is translated to \(x_1\) to align the \(CT\) with the \(ST\). As shown in Fig. 6(a), RFRA does not perform as well as RFR.
**Other regression algorithms.** We also apply other regression algorithms to joint-based skeleton correction, such as Gaussian process regressor [20] (GPR) and support vector regressor [21] (SVR). The implementation of GPR was taken from the GPML toolbox [19], which learns the parameters of the mean and covariance functions of Gaussian processes automatically. GPR achieves 1.7498 msJE. Fig. 6(a) shows the apparent advantage of RFR over GPR. We employ the implementation of SVR taken from the package of LIBSVM [5]. We utilize radial basis function (RBF) kernel for SVR, and obtain 1.6084 msJE. The result obtained by SVR is also worse than RFR. Besides, to train the model of SVR, quite a few parameters need to be tuned.
We illustrate the performances of all the methods mentioned above in Fig. 6(a). The baseline is the msJE of the input estimated skeletons, which is 2.0389 msJE. RFRFT, R-FRC and RFRCT achieve 1.5831, 1.5766 and 1.5757, respectively. The results demonstrate that both performing in the way of cascade and adding temporal constraint can help improve the performance. Generally, our approach decreases 44% and 16% error with and without occlusion respectively.
4.1.3 Parameter Discussion
We investigate the effects of several training parameters on regression accuracy. As shown in Fig. 7(a), the mean sJE
Figure 6. Comparison with several methods on our testing data set. (a) The quantitative results obtained by several methods. The baseline is the msJE of the input testing estimated skeletons. (b) Examples of the human skeletons. In each example we see the $GT$, the $ST$, the $CT$ obtained by K-SYS, and the $CT$ obtained by RFRC. The $CT$s obtained by RFRC are more similar to the $GT$s.
Figure 7. Training parameters vs. performance on joint-based skeleton correction. (a) Number of trees. (b) Leaf node size.
decreases as the number of trees increases. We also show the performance by varying the leaf node size. The tree depth is controlled by the leaf node size. The smaller is the leaf node size, the deeper is the tree. As shown in Fig. 7(b), the performance of RFR would decrease when setting larger leaf node size. However, encouragingly, RFRC even obtains better result when setting larger leaf node size.
4.2. Pose tag prediction
To evaluate our method for pose tag prediction, we collect a larger data set totally containing 185 swing motion sequences (mocap data is unnecessary here, so it’s convenient to collect more data). We annotate all the sequences and select 37 sequences containing 3,066 frames as training data; the rest 148 sequences containing 12,846 frames are used for testing.
4.2.1 Error Metrics
Given the testing data set $\{(ST_i, \Upsilon_i)\}_{i=1}^m$, where $\Upsilon_i$ is the annotated tag of $ST_i$, we obtain the predicted tags $\{\hat{\Upsilon}_i\}_{i=1}^m$. The tag prediction accuracy on the whole testing data set is quantified by the rooted mean square (RMS) distance: $\sqrt{\sum_{i=1}^m (\hat{\Upsilon}_i - \Upsilon_i)^2 / m}$.
4.2.2 Comparisons
In this section, we give the comparison between the methods for tag prediction.
**Current Kinet approach.** The current approach in Kinet system (K-SYS) for tag prediction also contains many details such as imposing temporal constraint and filtering. The main idea of K-SYS is also nearest neighbor search. For a testing $ST$, K-SYS searches its nearest neighbor in training set, then the predicted tag of its nearest neighbor is taken as the tag of the $ST$. K-SYS achieves 0.1376 RMS, which is even better than RFR (0.1406 RMS). This observation indicates the significance of the temporal constraint in tag prediction. Our algorithm RFRT significantly improves RFR, it achieves 0.1164 RMS. We also compare with K-SYS by varying the size of training data set. We divide our data set into 10 folds with equal sizes, then randomly select $N_t$ folds for training and use the rest for testing. We compute the mean and the standard deviation of the RMS distances obtained by repeating the random selection for 5 times. The results for $N_t = 4, 6, 8$ using 10 trees are shown in Fig. 8(b).
**K-nearest neighbors search.** To show the advantage of random forest in data abstraction and robust estimation, we compare with K-nearest neighbors search (KNNS). Given a testing sequence $(ST_1, \ldots, ST_m)$, for each $ST_i (i \in \{1, \ldots, m\})$, $K$ nearest neighbors are searched from the training set, and the tags of the neighbors are obtained: $\Upsilon_K = \{\Upsilon_k : k = 1, \ldots, K\}$. Then we obtain the probability distribution $P_{H(ST_i)}(\Upsilon) = \frac{1}{K} \sum_{k=1}^K \exp(-\|\frac{\Upsilon_k - \Upsilon_i}{h_{ST_i}}\|^2)$. Then considering the temporal consistency, using the method in Sec. 3.4, the optimal value is searched from the distribution $P_{H(ST_i)}(\Upsilon)$ as the predicted tag of $ST_i$. KNNS only achieves 0.1451 RMS.
**Other regression algorithms.** We apply GPR and SVR to tag prediction, which achieve 0.1563 RMS and 0.1426 RMS respectively. The tag is a real value ranging from 0.0 to 1.0, so we also apply logistic regression (LR) [17] to tag prediction. However, it only achieves 0.1806 RMS. Unlike RFR, which benefits from optimization under the temporal constraint, GPR, SVR and LR have no such advantage.
We illustrate the results of tag prediction on our testing data set in Fig. 8(a). Fig. 8(c) shows tag curves of three example sequences. The horizontal and vertical axes of the tag curve are the frame index of the sequence and the tag value, respectively. The curves obtained by RFRT (black) fit the annotated curves (green) best.
Besides the golf swing motion, we also compare RFRT
Figure 8. Comparison with several methods on the testing data set. (a) The quantitative results obtained by several methods. (b) Accuracy versus size of training data set (c) The tag curves of three example sequences. In each example, we show the annotated curve (green) and those obtained by K-SYS (red), RFR (blue) and RFRT (black). The yellow curves fit the green best.
Figure 9. Training parameters vs. performance on tag prediction. (a) Number of trees. (b) Leaf node size.
Table 1. The runtime of our approach on Xbox. The runtime is measured by millisecond per frame. For the two tasks, joint-based skeleton correction and tag prediction, we report the runtime of RFR and RFRT, respectively.
| Number of trees | 10 | 20 | 30 |
|-----------------|------|------|------|
| Skeleton correction (RFR) | 6.6ms | 11.8ms | 17.2ms |
| Tag prediction (RFRT) | 5.9ms | 8.8ms | 11.8ms |
with K-SYS on a football throwing motion data set. R-FRT and K-SYS achieve 0.0791 RMS and 0.0883 RMS respectively. The results for golf swing and football throwing show our approach is applicable to any pose correction.
4.2.3 Parameter Discussion
The effects of the training parameters, including the number of trees and leaf node size, on tag prediction accuracy is shown in Fig. 9. Generally, using more trees and setting smaller leaf node size help improve the performance.
Runtime Our approach is real-time and can be directly embedded into the current Kinect system. We give the runtime of our approach on Xbox in Tab. 1.
5. Conclusion
We have presented a new algorithm for pose correction and tagging from the initially estimated skeletons from Kinect depth images. Our exemplar-based approach serves a promising direction and we highlighted the importance of learning the inhomogeneous systematic bias. Performing cascaded regression and imposing the temporal consistency also improves pose correction. Our experimental results for both pose joints correction and tag prediction show significant improvement over the contemporary systems.
Acknowledgements This work was supported by Microsoft Research Asia; it also received support from Office of Naval Research Award N000140910099, NSF CAREER award IIS-0844566, National Natural Science Foundation of China #60903096 and #61173120.
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The work of Nikolaj Bendix Skyum Larsen touches upon one of the most sensitive, pressing and divisive issues of our time for the European continent, that of mass migration, its miseries and hopes. The topic is extraordinarily delicate from the political and cultural perspectives as it is changing forever the face of the continent. It can also be seen as a trial, for the migrant as well as for the host, a trial with transformative powers on each and many individuals.
Parts of the European population, including media-acknowledged intellectuals, younger generations moved by a genuine concern or in need of a cause, and in general all the segments of society that are ill at ease with the traditional concepts of cultural identity, nations and borders, is emotionally involved in the welcoming of migrants, which they view as either a form of human duty or an indirect means to do away with the “old”. Let us call it the “Antigone side” of society, by reference to Sophocles’ masterpiece.
Another part, more numerous but less vocal because resistance is less prone to activism, but also because it is culturally less visible, views migrants as a slow but unstoppable invasion that will ultimately destroy whatever is left of Europe, its civilization and its many cultures. Let us call it the “Creon side” of society.
Both attitudes are understandable, but “coloured” as if by different musical tones. In the first group reigns a mixture of optimism, generosity, ideology and illusion: it is in C major. In the second, where experience, pessimism, nostalgia, and a good deal of resignation darken the mood, we hear an A minor. It is the age-old difference that results from directing one’s attention either to the individual with its sorrows and charms, or the anonymous crowd, and its historic role: empathy is the enemy of policy, passion is the enemy of the State.
However, Larsen’s work goes significantly beyond this endlessly – and legitimately - rehashed issue, that is clearly redefining immense cultural territories for better or for worse. He also dwells, through the question of the migrants’ quasi-initiatory journeys, on more fundamental matters of human “desire to live”, of transformation through trial. It is the connection of this archetypal level and current historic events that provides its weight to a work which has found in video one of its most convincing instruments of expression.
Larsen is not intent on having us weep and commiserate; in fact, most of migrants’ destinies can be seen as ultimately enviable, and of their own making. Questions which are posed by Larsen’s work include that of the legitimacy of art to address suffering and misery, and the conditions thereto; that of the inevitable ambiguity of addressing suffering in itself, irrespective of its causes and of the consequences of the events which provoke such misery; that of the nature of utopian aspirations in a world closed upon itself; that of the tragic opposition between θεαμός, the ancient custom sanctioned by the gods which became “natural right”, and νόμος, the body of rules issued by a state and by which society is governed.
Historically, art has always been cautious with the topic of suffering, a relatively recent concern. One may think of a few works to illustrate this point, such as *The Dying Galatian*, a Roman marble sculpture which may be seen in the Capitoline Museums in Rome. It could be a copy of a now-lost Hellenistic sculpture made to celebrate the victory of Attalus I of Pergamon over the Galatians. This sculpture is particularly noteworthy because of the pathos expressed by the fighter’s face, a very rare occurrence indeed in the art of Antiquity. The wrinkles on the forefront, the head bent over the right shoulder, the eyes turned towards the ground...
without watching anything else but the imminent approach of the death, the visible wound on the torso, consistent with Pliny’s description of the Galatians as men fighting naked, their open wounds visible on their white skins, all contribute to making it a powerful image of suffering, one capable of arousing empathy, for what is an image of suffering if not a call to empathy?
The Dying Gaul (Musei Capitolini, Rome)
Traditionally, sculpture was dedicated to the task of elevating men to the status of heroes, or at least to celebrate such elevation, not to lead anyone to some form of commiseration: being the object of commiseration was indeed humiliating. This is probably why the *Dying Galatian* was commissioned in the first place: by showing the sufferings of the dying fighter, the Galatians were deprived of their heroic quality, they were symbolically degraded, and their victors enhanced by implication, despite their being absent from the sculpted scene.
War, a permanent companion of European history during so many centuries, has started to be considered from the perspective of its inflicted sufferings only quite late, and to a very limited extent. If we except the eighteen etchings of Jacques Callot, *Les Misères et les Malheurs de la Guerre*, published in 1633, which depict some of the horrors of war but without showing any human face and therefore any emotions, Francisco Goya is perhaps the first major artist to address human misery with the eighty-two prints of *Los Desastres de la Guerra*, created between 1810 and 1815 during the invasion of Spain by Napoleon’s army.
An important aspect of this work is that Goya refers directly to cruelty, terror, injustice, and misery as the fatal consequences of war for individual human beings; he also violently exposes the absurdity of war given its inevitable sufferings, and turns heroism upside down in an engravings such as Gran hazaña, y con muertos! (“Great feat, and with dead!”). With the Age of Enlightenment and the surge of the ideology of rationalism, the tide is turning, the age of heroes which had lasted since the Bronze Age is on the wane.
An interesting painting to be remembered before discussing Larsen’s work is of course the Raft of the Medusa, painted by Théodore Géricault in 1818 – 1819. This monumental canvas depicts the fate of the survivors of the frigate Medusa which had run aground in 1816, some fifty miles off the coasts of today’s Mauritania; of the 147 people who had sailed on a raft, only fifteen had survived when finally rescued, after suffering dehydration and practicing cannibalism during their thirteen days at sea... In Géricault’s masterpiece, bodies are idealized, in obvious contradiction with their probable condition after such an ordeal. The scenography is dramatically organized around two triangles, the left one with a summit on top of the broken mast being all about despair, abandonment and death, the right one with a summit on the white cloth held by a sailor who spotted a ship in the distance, all about a faint hope. Hope and dereliction, two themes which run as a basso continuo in all of Larsen’s work. This canvas horrified Géricault’s contemporaries, all the more so that this horrible episode was due entirely to the crass incompetence of the captain, who had never commanded a frigate before, not even sailed for twenty years due to his exile during the Revolution. A disaster with a human cause but diluted responsibilities, as so often. In a sense, this was a political symbol of the exhaustion of the monarchy, just as today’s climate-induced migrants might become someday a symbol of the exhaustion of an entire civilization. Art had transformed the survivors into quasi-mythical characters, just as Dante had done with Ugolin della Gherardesca in the 33rd canto of Hell, where the old captain, condemned to be starved to death with his grandsons, “let hunger have more power than sorrow”. No sign of compassion or pity in Géricault’s canvas, no call to tears and cuddling of the survivors, no collective guilt, no accusation: we are reaching the end of the heroic times, but we are not quite there yet.
It is probably the monstrous mass massacre of the First World War that has been the tipping point. *The Skat Players* or *The Trench* (1918) by Otto Dix, his series of etchings on the war, are violent visual reminders of what war makes to man, and by implication of its “non-sense”. With his *Portrait of the Artist’s Parents I*, dated 1921, we have one of the first great paintings of empathy: the elderly couple is shown in his loneliness, poverty, sadness, and despite everything a form of “dignity of the vanquished” of society, or of History itself.
Otto Dix – *The Trench* (1918)
*Portrait of the Artist’s Parents I* (1921)
By a kind of cultural turnaround, victims, whether actual or ideologically constructed as such, have become mainstream as a subject of art and literature; they have replaced the hero, or rather they have *become* heroes, though measured by their defeats rather than their feats, whether those defeats are at the hands of men, of fate, or of prejudice. Interestingly, and contrary to literature, it is not the great massacres or sufferings that have inspired modern and contemporary *visual* artists, except film-makers who are able to *narrate* much as literature does: nothing much of any worth is to be seen on the Khmer or Tutsi genocides, on the Russian Gulag or its Chinese equivalent, on the victims of the Chernobyl radiations, on the beheaded victims of Daesh. Nothing much on the suffering of those millions who die in pain from all sorts of ills and crimes. It is not suffering *in itself* that interests contemporary artists. It is suffering that is made *socially visible by a pre-constructed narrative*: for instance, being a descendent of African slaves brought to America or the West Indies in the 18th and early 19th centuries (not slavery *in general*, which has been commonplace everywhere for thousands of years, and a great specialty of Arab tribes and the Ottoman Empire until the late 19th century), or gender-related discriminations which were constructed as “mental objects” by the likes of Judith Butler since the 1970s, or the plight of migrants into Europe (some of them: not the Vietnamese *boat people* of the late 1970s, around 700,000 of them, as they tended not to fit into the dominant narratives of that time, and charity did not exist yet as a political business). In short, major segments of the visual arts tend to be complementary, if not auxiliary, to mainstream narratives, which is hardly surprising. Images come on the wake of the underlying narrative, they literally *become visible* once supported by one or more political, social or religious narratives, which they can then magnify, expand, or even twist. When the original narrative ceases to be understood by a vast majority of people, as it is the case today of the Holy Scriptures, Greek mythology, or heroism on the battlefield, to take but a few examples, related images either cease to be produced, degrade into sentimental versions in order to appeal to instincts, or mutate into a contemporary correspondence of the archetype.
“Fixed” images are not capable of addressing a political matter in an emotionally neutral manner, because – contrary to literature or the cinema – they can neither explain nor deploy a chain of consequences. Images only suggest a conclusion, or induce a feeling, provided that they are “assembled” in the right way. Therefore, images addressing, in this instance, the matter of migrations *necessarily* take the perspective of one *particular* migrant, or group of migrants, actual or somehow represented, expanding it *by virtue of the supporting narrative, and by implication* to the whole intellectual “category” of migrants, since language – which proceeds by broad categories – is able to *universalize*. And on the receiving end of the image, that perspective can only be one of empathy or fear. Empathy for the perceived suffering of the person constrained to exile by misery or violence, fear for the perceived invader. The narrative prepares the mind to interpret the image in a certain way; then the image “speaks to the heart”; finally, the mind generalizes that feeling as it finds confirmation in the image of the pre-existing narrative. The image is never the *full picture*, but a fragment thereof which focuses our attention in such a manner that we end up ignoring the full picture. This very mechanism contributes to making images such a powerful instrument of propaganda, and in the case of the refugee crisis, which has been lasting for a decade now and is bound to continue to unfold, it is not possible to avoid discussing the topic of propaganda unless one agrees to be either its instrument or its recipient, for the *refugee crisis* oscillates – depending on time and place – between a vast social phenomenon and what might just as well be called a “migration war”.
Everyone remembers the photos of the three-year old Aylan (in reality Alan) Kurdi, a Syrian refugee of Kurdish background who drowned, and whose body drifted ashore on the Turkish coast near Bodrum in September 2015, while his rubber boat was on its way to the nearby Greek island of Kos with sixteen people.
on board, instead of the maximum of eight. The boy’s family had seemingly paid 5,860$ for their four “slots” on the boat.
Nilufer Demir, a photographer from the Dogan press agency who was allegedly strolling on the beach with her camera around dawn, saw the boy’s corpse, and was so moved that she took pictures and sent them around, notably to the director of the NGO *Humans Rights Watch*, who must have immediately understood the potential of a viral dissemination of the image; he later talked movingly of how important it was to preserve the privacy and dignity of the toddler. It is not possible to tell how the beach looked before the pictures were taken, nor why little Alan was the only body found on that spot, although several others from the same raft had drowned, but *that* image was selected on *that* day, out of all the other similar dramas which occurred along those years, as an instrument of Turkish foreign policy. The picture ultimately promoted by Turkish propaganda was one of the “good” soldier carrying the little body with fatherly care and a look of deep sorrow on his face, obviously in front of an army of “pre-positioned” cameras. Arguably one of the greatest propaganda successes of the last decade, considering its outcome: it softened public opinions to the point where European governments could not resist opening their doors to a massive influx of migrants from middle eastern countries, thus alleviating the financial burden on the Turkish government, allowing it to set in motion a financial and political blackmail by dosing the migration pressure depending on compensations received, and fostering an additional source of destabilization of European societies that would increase Turkey’s influence on Muslim minorities and its diplomatic muscle in future talks with Brussels. This outstanding instrumentalization of misery was made particularly effective by the pre-existing archetype of the “victim hero” which is so characteristic of the contemporary European conscience, and could be traced back to a particular reading of Sophocles’ *Antigone*.
The power of that image was certainly enhanced by the fact that the toddler had *drowned*, for drowning – just as being buried alive – always had a strong resonance in the psyche. Never mind the fact that the boy’s family – and most probably the corrupt local authorities – are clearly responsible for letting him on board in the first place, and for letting this overburdened raft to sail. The dominant *narrative* promoted by NGOs and the media, and coinciding with the geopolitical interest of some countries, was that the inhuman policies of the European states were directly responsible for his death, and this is the narrative which the image amplified, although the pictures of the corpse taken on the beach, endlessly broadcast and shared on all possible networks, were nothing short of pornographic. The question of who – or what – is being served by the Chinese artist Ai Weiwei when he stages himself for a picture in exactly the same position as the dead little Alan Kurdi on the island of Lesbos deserves to be asked. The same question applies to the boy’s image used by street artists in need of viewers. Art as a derivative product of death?
This discussion is a necessary preamble to discussing Larsen’s work, because the artist has managed most of the time to escape the propaganda “trap”, while elevating the migrants’ phenomenon – and sometimes plight – to a higher conceptual level where we are confronted with the interplay of conscience, liberty, ethics and history. One might dare say to the level of ontology, in his best work, far from the sobs of the mourners. In the tenth letter of his *Philosophische Briefe über Dogmatismus und Kriticismus*, Schelling writes that the Greek tragedy “pays tribute to human liberty insofar as it allows its heroes to fight against the infinitely stronger power of destiny”, and that the defeat of Man crystallizes its liberty, its need to act which determines the substance of its very self. And he is probably aware that, at a less metaphysical level, the conflict which is intrinsic to migrations illustrates the contradiction which exists between the public good and the individual conscience “bathed” in its historicity, between the universal and the singular, at least since the age of Enlightenment when the public and the private spheres started to commingle. Also between the ancestral *spirit* of the law, embodied by Antigone, and its *letter*, embodied by Creon: there is no painless travel between the ideal and the real, the celestial and the terrestrial, utopia and πόλις.
The life of Nikolaj Larsen took a different turn when in the Emirates. Going past a UAE National Lottery poster featuring the slogan “Change your life here”, he noticed the reflection of a Western Union logo on the TV screen. “Change your life” is the slogan of all illusionary propositions, of the lottery as well as of utopian ideologies, or for that matter calls to become an immigrant worker in the Emirates. The Western Union logo could be read as a fortuitous subtext which enlightens the reader: your chances of improving your life here match those of winning the lottery. Larsen would then read a “Nobody any income” tag written opposite that cheering message. These writings are a fine summary of the state of “slavery made bearable” which characterizes the Gulf’s tribal monarchies. The recipe is as ancient as slavery itself, and therefore as the State: you only need give something over *and above* what is required for survival in order to keep people working for you, and that *something* is shipped back to families in the home country, not without a hefty chunk being collected by the transferring company. More importantly, these words are also a reminder of the inevitable confrontation of desire with reality, while pointing to our Promethean moment in history when we somehow feel that reality *could* conform to desire if only enough enlightened willpower were applied to the task, given our financial and technical means. Larsen had the slogan and the tag embroidered as if representing two complementary *mantras* that would subsequently orient the visual renderings of his, and our, meditation on the questions he had elected to address.
As is well known, these not-quite-slaves are usually migrants from the Indian sub-continent, mostly men, and many of them from the State of Kerala. That is how Nikolaj Larsen became acquainted with the world of economic migrants, who seem willing to stay until kicked out: a temporary arrangement. Perhaps the young artist was struck by their dignity, their calm, a form of self-sacrifice for the benefit of a distant family. He made a series of videos of these men, standing in front of the camera without saying a word, vaguely smiling, and asked to think of their family back home. In what is a moving gesture of silent communication, he went to meet some of these families in India, also asking them to think of their relative who works hard in the Gulf, in order to send back to them some meagre cash surpluses. When the two videos are shown opposite one to the other in a dark room, with only but very slight movements of the body and features, one actually feels the flow of thoughts, of untold stories, thanks, regrets, powerless resignation perhaps: a portrait of fate, if fate ever had a face. Here are people who vaguely hoped to move towards something better, whatever better might mean, but that better is unlikely to apply to *them*: there will be no second generation walking up the ladder in the receiving country. Everyone silently acknowledges that this is more of a one-way street than a road to somewhere. Silence seems to mean “this is it” while still preserving the possibility that it might not be so, a possibility which words could somehow dispel. Hence the tragedy which is both deeper and less visible than the one of ordinary migrants who actually settle. No overturned boats,
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no drowned women and children, no police beatings: only lives sacrificed to pay for the locals’ air conditioning, perhaps, just as silently as those silent videos. A powerful work, no doubt, which does not attempt at drawing tears, or triggering indignation, or justifying the lives of would-be caretakers. The series *Rendez-vous* is among the earliest but also among the most moving of Larsen’s works.
Nikolaj Larsen is not an activist; he captures a mood, a climate, on the basis of which the watchers of his videos may elaborate their own views, dive into their own selves and reflect about such fundamentally human matters as dignity, sacrifice, or hope. In an age obsessed with guilt and retribution, an age that has forgotten the Greek side of its heritage, this is a refreshing attitude indeed, but also a very fine line that will not always prove easy to follow.
When asked by a curator to work on the giant migrants’ camp near Calais, the so-called “jungle”, Nikolaj Larsen had the benefit of having worked not on migration as such, as a demographic and political phenomenon about which most artists tend to take a rather emotional approach, but from the perspective of a slowly built intimacy with the persons themselves. He spent some time among the migrants trying to make it to England, day after day, sometimes succeeding and sometimes failing. As he could not show their faces because of the rules in the Dublin Treaty, he focused on their hands, their shacks, their pallets. On their attempts to cross the Channel aboard a ship or a truck. The point here is not their misery, as all were perfectly conscious of the risks taken, the chances, the obstacles to be overcome. What matters is the pull towards a promised land of which little if anything is known, the strength of desire which, since the great tale of the Exodus, has an obvious utopian and metaphysical dimension. And the observation that the most difficult part of the voyage is the very last one, when the Promised Land is actually visible, so close and yet still so far. When a life’s destiny seems to hang on the crossing of these few miles, when lost opportunities become so much more plausible, when shame awaits the one who goes back to where he came from, and that shame becomes a trap, a fate. This intimate tragedy is more powerful than the question of the mafias, the traffickers, or the physical harshness of life at the encampment. This is a video about the meanings of being on the verge of an accomplishment, about the expected inner violence of both failure and success. Something which is about to occur, but not quite yet, the vigil of a battle with one’s life story at stake. Interestingly, he mentions these Iranians who were afraid of being alone in Britain once they reached their goal, as a contrast to the collective adventure lived among fellow migrants in Calais despite all hardships; a feeling much akin to the experience of World War I veterans who had suffered in the trenches but felt at a loss in a society which did not need them any more in times of peace.
When Nikolaj Larsen returned to Calais sometime later, once the “jungle” had been dismantled, he took photographs of those places where the people he had known had lived, and later abandoned either because they had succeeded in their crossing to Britain, or because they had settled elsewhere in Europe, had been displaced by the authorities, or in some cases went back to their home country. These photographs are taken on a scene that the artist has “rearranged” in order to drive the eye towards a particular spot, the place of an absence, and to create an artificial perspective within the “natural” one, as if to emphasize the intellectual construct which we superimpose on lives that are driven by desire, hope, regret and sorrow, far from the political and ideological discourses which transform the phenomenon beyond and despite the intents of its players.
By watching these rods rearranged so as to converge towards some distance point, thus imitating the classic construction methods of artificial perspective, we are reminded of the use of such means by Paolo Uccello in his *Battaglia di San Romano*, thus introducing *reason* into the inexplicable chaos of warfare. In the same manner, these photographs are taken with a controlled lighting which enhances their artificiality, their scenographic nature: here is the *stage* of the tragedy.
A tragedy is not something awful occurring to someone, which would be a misinterpretation of the meaning of this word, an interpretation which calls for a culprit and invites a reading of good versus bad, just versus unjust, the opposite of a tragedy. A tragedy is a situation where the person is immersed, whether by “fate” or through her own unreasonable making, in a conflict where equally worthy values are engaged, but destiny has put each character on a particular side; neither reason nor justice can resolve the difference: the Antigone by Sophocles is a case in point. As noted by Max Scheler in *Zum Phänomen des Tragischen* (1914), fundamental conflicts such as the one between the law, order, universal principles which regulate societies on the one hand, and the unbound energies which sometimes take hold of the individual, on the other hand, cannot be resolved within the texture of reality.
A particularly superficial interpretation usually makes Creon into some malevolent fascist, and Antigone into some pure, altruistic woman defending supreme humanistic or divine values. The artist is not dwelling here on the nature of the tragedy, on the opposing values and forces at play; at least he does not make them explicit, but he does manage to make us feel the presence of such forces. In this particular body of works, he points at the tragedies which have been unfolding on that modest stage, and which we are not to become acquainted with. Tragedies where the impulse of *individual* human urges and aspirations have been confronted with the reason embodied in the State, to use a Hegelian approximation. The stage is now empty, empty of humans, but not of their struggles which continue to be called up by those humble objects left over.
In what is perhaps a more contentious piece of work, Larsen photographed migrants in the derelict neighborhood of Stalingrad, in the north-east of Paris. Here we can only see brightly lit and coloured blankets or sleeping bags, each “inhabited” by a person of whom nothing can be seen: no face, no feet, no hands. The environment has been removed and replaced by pitch black. Black as the sea at night, black as their destiny perhaps, with this bright shape as some precious cloth floating in the dark, indicating perhaps that the individual inside is himself as precious as the colour and brightness of the blanket suggests. One may wonder if there is no conflict here between ethics and aesthetics. Adornment and suffering are in a semiotic clash. It is not so much the question of the immorality of ornament *per se*, put forward by Adolf Loos in his essay *Ornament and crime* (1913), that comes to mind; but rather the question of whether or not the pleasure which may derive from the contemplation of a pleasant image conceals, or even
obliterates, the underlying reality. The ethical question does not stem from the pleasure given by the image, of course, but rather from the deflection from the implicit duty of care to which our look, our attention is supposed to be subjected. Each person will see it his own way.
An entirely different approach was taken by the artist when he started work on the migrants crossing the Mediterranean; he literally *invented* the shape which one is tempted to call the *sculpted body bag*. These consist of concrete canvas sheets, of the sort used for erosion control, folded around a “skeleton” made of wood and mesh fencing, and then bundled by ropes; these objects are then watered so that, once dry, they may become hard and keep their shape, a shape very similar to that of a greyish, coarse body bag: one cannot help but feel that an *actual* dead body is huddled inside. This invention crosses a frontier insofar as these shapes introduce a confusion between what is a symbol, related to the object by a rule of some kind, what is an index, actually affected by the object just as a symptom results from an illness, and what is an icon, where the sign resembles the object. It looks as if the *representamen* – to use Piercian terminology - were the icon of a body bag, its outer surface is folded *as if* by a body inside, becoming an index of this absent body, and nevertheless reason, but reason alone, tells us that it is but a symbol thereof.
When, on the occasion of the third Biennale of Thessaloniki in 2011, a number of these shapes were hoisted above ground in the dome of a church in Thessaloniki – which had also been historically a mosque under Ottoman occupation and a synagogue at some other time - the message was quite complex. As is well known, a dome represents the Heavens, and therefore these bodies were symbolically ascending towards a form of immortal rest, “elected” to sit among the righteous, heroes or saints. By contrast you might infer those *others*, who had allowed such a drama to occur, had their place in much lower regions of divine hierarchies. The setting also suggests an idea of sacrificial offering whereby the ones who failed have died so as to allow a new destiny for the ones who succeeded.
This is, after all, correct from a probabilistic perspective, but resonates more deeply in our collective memories. We are reminded indeed of the myth told in the *Aeneid*: when Aeneas leaves Carthage for the shores of Italy, terrible storms and disasters are instigated by Juno, the everlasting enemy of the Trojans, to prevent them from reaching their new home. Venus implores Neptune to let the fleet sail safely, a request which he accepts in exchange for the sacrifice of Palinurus, the experienced navigator who leads the fleet: “*Tutus quos optas portus accedet Averni; unus erit tantum, amissum quem gurgite quaeres : unum pro multis dabitur caput*” (“It will safely reach the haven of Averno, as you pray. One alone shall perish engulfed by the sea: one head alone will be given to save the many”). And as the fleet sails at night, Palinurus is overcome by sleep and pushed by the god into the sea. *Ode to the Perished* is unquestionably troubling *because* the elevation is organized in a church, and the church is a fundamental part of that work, which would carry a very different meaning were the sculptures to hang in a gallery or some industrial space. An *ode* is a lyric poem of Greek origin; meant to glorify an individual, it was accompanied by music. It could be argued that the suspension of the body bags in a space where music is usually sung in praise of God is a *mimesis* of the voices and prayers ascending towards Him, symbolically commending the dead to some principle higher than their own lives; otherwise the setting would be a mere scenery chosen to “look good”, to impress the viewer favourably, an act of egotism. But *what* is being glorified by this Ode? Not the individual, of whom nothing is known, and who accomplished nothing in *biographical* terms; it must be the individual as a proxy for Life itself, for the self that emerged from the darkness of indetermination by engaging in the act of embarking on a quest for his own singular destiny.
At some point, Larsen decided that he wanted the audience to walk around these body bags, a walk interspersed with physical testimonies of the later part of their lives. A dangerous step for a visual artist, as by reducing - to the point of abolishing - the distance between the representation and its object, he brings the conscience of the observer close to a direct experience of a drama, as if in a play where the actor, trained with the Stanislavsky method, would forget that he is acting, his reason overcome by his feelings; but this again is a selected fragment, a scene taken from of a much longer and complex play of which the actor knows little. We are used to be engulfed by music, carried away, but music does not *represent*
anything, even when it imitates the sounds of nature. It is capable of shaping our mood and our interpretation of a story however, and that is commonplace in filmmaking. What Larsen is doing, which remains so rare in the visual arts, is to give a “musical quality” to his installations so that the viewer’s mood is changed, his reason put in a state of greater permeability if not outright recess. This is indeed remarkable, although it increases in parallel the responsibility of the artist, his duty to permanently reconcile ethics and aesthetics. Larsen succeeds in this rather complex balancing act, given the inflammable nature of his subject.
A rather troubling experiment resulted from what is a kind of further elaboration on the *Ode to the Perished*, a work by the name of *End of Dreams*. It consisted initially in the suspension of a number of sculpted body bags under a raft moored near the small port of Pizzo Calabro in southern Italy.
A picture taken partly above and partly below the sea level shows these bags hanging below the raft while unsuspecting bathers were sun-tanning on top of it. It tells us at first sight how unaware, and how indifferent, a part of humanity is about the fate of another part. A rather universal experience. This is however a superficial observation, considering that the part “below the raft” ended up in that situation precisely because the aspired to finding themselves on the top of it, in those bathing suits, and becoming one of those potentially unaware group of people. They are in effect *the same*. The raft creates a visual barrier, a visual border between those *below*, the sufferers, and those *above*, the enjoyers, the affluent. But the raft is one, and it is indeed a fragile, vulnerable raft. Such a symbol is powerful for its simplicity and effectiveness in triggering an instinctive conclusion, but it brings about more and more readings the more one looks at it. Here also we face a symbolic representation of tragedy: if there were nothing to desire, whether it is beauty, affluence or fame, there would be no such drownings, although many other ills may have expected the very same persons who drowned, had they lived, or afflicted the ones on top, who are alive but suffer perhaps from worse, invisible woes. Being deprived of any possibility to *reasonably* aspire to reach a goal is perhaps an even greater misery than actually missing that goal. Let us remember what is written on the gates of Hell: *lasciate ogni speranza, voi ch’entrate* (“Abandon hope, all ye’ who enter”. In Dante, *Divine Comedy*, Inferno III, 1-21). The work of Nikolaj Larsen takes migration as a powerful metaphor of human yearning and aspiration, of that fundamental engine of life, and confronts it to the terrible forces of what was once considered fate, the result always of many inextricable factors.
Fate invited itself in the artist’s work: soon after it was installed, the raft was hit by a violent storm and capsized, with all the body bags torn away and sinking to the bottom of the sea. A search of these lost “sculpture bodies” was organized with local divers, and the video which documented that search became itself, although initially unintended, *the* work, a “poetic search” as the artist calls it. The icons of the dead bodies had drowned themselves, as if to achieve their iconic nature by being subject to the same fate as the individuals which were meant to be represented. By rescuing some of them, fourteen out of forty-eight, the divers had symbolically rescued the memory of these persons. But something remains symbolically of that incompletion, despite the fact that these are not actual bodies: the vanishing of a corpse at sea was always felt as particularly unbearable by the western tradition, because the loop cannot be closed, the dead cannot return among the dead. Charon refuses passage to anyone who died without a subsequent burial. “The End of the End of Dreams” is probably more powerful than *the End of Dreams* alone because it fortuitously introduced in the very fabric of the work the ingredient that makes tragedy, rather than mere drama: *fate*, that which is beyond reason and beyond ethics.
*Quicksand*
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With *Quicksand*, Larsen brilliantly reverses the situation so as to underscore the true topic of his work, and escape from any predominantly sentimental reactions. The video, shot in 2017 in black and white and co-written with Duncan Pickstock, is set in a not-so-distant future when Europe has no more work to offer, misery prevails, public health and education collapse, all presumably due to some form of far-right influences although the logic of that is as weak as the motive is superfluous. This turn of events presumably drives people to emigrate southwards in the hope of a better future; Jason is on board that skiff, which capsizes somewhere in the Mediterranean. We will never see him, but we can hear his voice, his story, the screams of his companions, the menacing noises of a rough sea, until we suddenly lose him. The point is clearly not to seek a culprit, as would usually result from the easy equations lazily established by a well-meaning and self-satisfied cultural establishment with their automatic equations between race, domination, colonial history and economic exploitation. The point is to explore the human condition faced with the merciless ebbing and flowing of history, to witness the power of hope and ambition, to meditate over the incomprehensible abyss of shattered aspirations.
Deeply ingrained archetypes are at work in such representations. Water is a age-old symbol of death, of a barrier to blessings; hence the splitting of the Red Sea (Exodus 14:21-22) in the Bible, to free the Israelites from captivity, hence the Beast “rising out of the sea” (Revelation, 13:1), hence the ritual of baptism where the baptized is plunged into water where he dies to his current life to be reborn in his new life. The allegory of hope tells a similar story, as Hope is usually represented as a young woman holding an anchor, the instrument which helps avoid the ship running ashore or getting carried away by the winds and currents.
Hope is, in a nutshell, the avoidance of chaos and purposeless wandering. On his way home from Troy, Ulysses and his companions are driven off-course by a powerful storm at sea, sent by Zeus, and carried beyond the bounds of the known world. This is the beginning of their trials. The Odysseus elaborates in a narrative and symbolic manner on the fundamental religious conception of the Bronze and Iron Ages, to which the Bible also belongs of course, and which Joseph Campbell so powerfully summarizes as the idea “that the inward turning of the mind (symbolized by the sunset) should culminate in a realization of an identity *in esse* of the individual (microcosm) and the universe (macrocosm) which, when achieved, would bring together in one order of act and realization the principles of eternity and time, sun and moon, male and female, Hermes ad Aphrodite, and the two serpents of the caduceus”. There may well be in this crossing of the river (Rio Grande, Meriç River…) or the sea (Mediterranean) an echo of these psychologically more fundamental – and seldom successful – crossings. Gerhard Richter famously said in a 1982 interview that “art is the highest form of hope”. This is not because art provides any hint at any *solution* to any problem;
it does not, or that “art” is not worth its salt. It is because it symbolically points at a “place” where, to borrow from Campbell, the sun and the moon meet, the individual and the universal.
We are not drifting so far apart from Larsen’s video by calling in such ancient images. The toiling and laments of Jason come from a soul which realizes that it has lost its anchor and is soon to be lost in nothingness. It is interesting indeed that the artist should have chosen the name *Jason* for his “hero”. In the Greek myth, Jason did overcome the great dangers which were thrown in his way once he had succeeded in crossing the sea, and thus accomplished his quest thanks to the passion which he had aroused in Medea. In Larsen’s video, Argo sinks, there will be no Medea, and the Golden Fleece will not be taken away. In mythology, the pairs of opposites (life and death, good and evil, beauty and ugliness and so on) are symbolized by the two clashing rocks of the Bosphorus, the Symplegades that clashed when a traveler attempted to go through. The Argonauts defeated them, and since then the rocks stopped moving. They are similar, in the words of Nicholas of Cusa (1401 – 1464), to the “Wall of Paradise” which prevents humans to be in the presence of God, until overcome. The drowning of Larsen’s Jason is a manner of symbolic reversal of the myth. The “Wall of Paradise” will not be crossed. Humanity will still wish to do so, and attempt the voyage, but to no effect, it will end up into a delusion. But while he fights for his life amidst the cold waves, Jason keeps recalling his past, in brief sequences. Perhaps the Golden Fleece was left behind because it could not be discerned, and is now out of reach. This is at least one of the readings which the video invites.
One could also refer to a tragic existentialism with Hegelian overtones; for Hegel, no individual may reach a true knowledge of himself before he realizes himself *through action* (“*ehe es sich durch Tun zur Wirklichkeit gebracht hat*”). Action is the dawn, the moment when the self emerges from its mere potentiality, from the “night of possibility”. Larsen’s Jason is struggling in darkness, fighting to emerge from that night of latent, unrealized possibilities. He will not reach the shore, he will not transform his thoughts and his talents into an individual trajectory; however, his attempt is *already* action, it is already the Hegelian *Tun der Tat*, the making of the Act. Jason has already become an “ethical substance” (*sittliche Substanz*) through his attempt.
It cannot have escaped Nikolaj Larsen that a largely autobiographical novel with the title *Quicksand*, written by the American author Nella Larsen, was published in 1928. Nella Larsen’s mother was Danish, and her father a Black from the West Indies. This novel is about the identity struggle of its mixed-race female protagonist, Helga Crane, partly set in the Harlem of the 1920s, precisely the years of the Harlem Renaissance and the Jazz Age. The question of *where do I belong?*, and of how to act as a bi-racial woman who did not easily fit into any socially determined category at that time, are dealt with in the novel without any clear conclusion, as one would expect.
It is in the end the heroin’s escape to Paris, a foreign and open environment where she would be less hostage to her mixed identity, that provides her with some solace, although it is a way to ditch the question.
Quicksand is - both in the novel and in the video - a place *in between*, the place of a quest, neither land nor sea, a place where you are at risk of losing yourself, of drowning literally and metaphorically. A place between what you fear or reject, and wish to leave, and what you aspire to and wish to reach, between perceived insecurity and perceived security.
The *Wanderers*, although conceived after *Quicksand*, consist of small, seven-to-ten inches black figurines molded in platicine around an aluminium foil core. Each one is different, and Larsen produced hundreds of them. In the exhibition *Le regard du temps*, 1107 of them are lined up in a huge crowd perhaps twenty figurines wide, all walking in the same direction. None has a face, a bit like those wooden dummies used by artists, but their gender is more or less identifiable; some carry a child. Here is the depiction of a quasi-biblical exodus. Let us re-read a passage of *Exodus* 12 and 13: “12 The Israelites journeyed from Rameses to Sukkoth. *There were about six hundred thousand men on foot*, besides women and children [...] 13 Then Moses said to the people, “Commemorate this day, the day you came out of Egypt, *out of the land of slavery*, because the Lord brought you out of it with a mighty hand. Eat nothing containing yeast. Today, in the month of Aviv, you are leaving. When the Lord brings you into the land of the Canaanites, Hittites, Amorites, Hivites and Jebusites—the land he swore to your ancestors to give you, *a land flowing with milk and honey*—you are to observe this ceremony in this month: For seven days eat bread made without yeast and on the seventh day hold a festival to the Lord...”. In the image of the *Wanderers*, there is implied *behind* them a “land of slavery”, which may be perhaps a land made unlivable by drought, climate change, or brutality, and *in front* of them a “land flowing with milk and honey”, be it only by contrast. In the Bible, the Israelites spend quite a while in between these two lands, forty years in the desert, with forty a number which symbolizes testing and trial; that period also corresponds to the moment when the last individual from the generation which left Egypt had died so that the honey could not have been for the ones who had set off. The desert is the tough place where they had to prove their fortitude, their faith. Larsen’s Wanderers are also experiencing the desert. They are all black because black is the colour of the unknown, the undifferentiated, the not-manifested, the colour also of fear and death; it is esoterically the colour of a trial, an ordeal to get through: every night, the Sun-God Rê crosses the world of darkness on his sun-bark to be reborn in the morning.
The absence of any facial or other features reinforces this element of undifferentiation, of identity either lost or yet to be found. The lightness and cheapness of the material, although a result of practicality rather
than symbolic intent, could also be interpreted as a sign of intrinsic worthlessness or at least of vulnerability during that period of exodus. Interestingly, some visitors gave up acquiring these figurines because they seemed to be made of bronze, but when lifted resulted too *light* to appear to be worth anything. Weight and value are semiotically connected.
In *Keep Moving Forward*, Larsen has created a sort of video apophthegm of dashed hope, building on a very moving letter in red Arabic letters which he once received from an Egyptian migrant met by chance on the streets of Paris. While the character in the video walks in the desert with nothing in sight, other than the occasional abandoned caravanserai, he recites the very words which this migrant had written to Larsen.
This is his story, the story of a disappointed, helpless, distraught man who confesses that he feels and perhaps always felt at a loss. And despite that, here he is, walking under a blazing sun in the desert towards something, but what? One immediately perceives the inconsistency between the quest of the man walking and suffering this loneliness and unbearable heat, which must be justified at least by the plausibility of reaching some desirable place, on the one hand, and the words he utters which seem to belie this hope, on the other hand. The man talks of going back to his country with some earnings and live there in peace, but not wanting to get back to that country to find it as it was when he left... as if the country would for some reason change during his absence, as if his travels were somewhat able to change that country through some mysterious connections. He walks in the desert of his present life, without family, friends or job, and keeps walking and talking of coming back. Confusion, absurdity if you will, but this act of walking in the metaphorical desert makes this man exist, it turns him into an archetype.
Hope is symbolized in this instance by a rainbow appearing in the desert, but is it hope or mere fantasy? A trial to be experienced so as to reach some higher state of felicity? Or a delusion under the guise of hope? A rainbow in the desert is certainly an unlikely occurrence... but precisely for this reason it is an ambiguous symbol of hope, hope that rain is at least possible if only one may go a little further, wait a little longer, but a hope strongly mitigated by a sense of delusion given the likelihood that such a "rain" will materialize. Here is an Exodus in reverse, it would seem, a crossing of the desert from Canaan towards Egypt once Canaan
itself has become disappointing, unlivable perhaps. Anyone may use "Canaan" and "Egypt" as metaphors corresponding to his own experience.
Last but certainly not least, the artist is currently working on a film (Keep Moving Forward) where a character, a European man in this case, is walking in the desert with the hope of reaching a utopian town on the other side, modelled on the NEOM project in north-western Saudi Arabia, the "City of dreams". A dream from afar and potentially a nightmare from within, if one thinks of total social control in the middle of the desert, with nowhere to escape.
Migration can of course be driven by compelling reasons, ranging from persecution to misery, from environmental disaster to war and civil unrest; its has its profiteers and its victims. One may flee the wrath of nature, the violence of states, the wretchedness of ideologies. But migration is also and in parallel an interior voyage, an exploration of what is most fundamental in the human condition, from relationships to identity, and from helplessness to hope, and that dimension is considerably more important than the economic or political one, because if it were not, we would be merely talking of the moving and loss of merchandise.
Nikolaj Larsen started his journey around the *topos* of migration with the question of estrangement, where the human "soul" is split by a deliberate separation between the forces of necessity – or reason if one likes – which are also derived from an inner imperative of self-respect, on the one hand, and the forces of emotion which are all dependent on our relationships, but to some extent "impure" in the sense that the strength of those attachments is perhaps not entirely unrelated to the remittances of the migrant... The silence in the confrontation of the images lets this potential unpleasantness untold. The *fatum* of separation is produced by a double constraint, namely expectations on one side, self-respect on the other, and it as inescapable as the gods of Antiquity.
A second phase of the artist’s work is centered on death, whether physical or social, as symbolized by the “body bags” as well as the folded blankets, and as suggested by the end silence in Quicksand. In all of these instances, no part of the body, no name, no traces or remains, not even the circumstance of the death are ever visible, as if the person had vanished, or never been really there, or perhaps never had any personal history, any identity: it is forever concealed from our eyes. A structural link is created between visibility and identity. Indeed, in the age of mass images and self-projection through a permanent production of mostly irrelevant images, this radical occultation of the self is a good metaphor of physical and social death, both being more or less interchangeable in a contemporary culture which only uses circumlocutions around the general idea of *departure* to talk of death.
A third moment in Larsen’s symbolic journey, which mimics to some extent the migrants’ journey but in reverse, is the utopian moment, whether individual as in the case of his last film, or collective as in the case of the *Wanderers*, a direct reminder of the Exodus. The difference between this particular utopia and the many ones which were fancied in the past is that Larsen’s “utopia” has no shape, no features, no name, no image. It is rather a utopian dream, the dream that perhaps there is indeed a utopia at the end of the road.
This utopia is akin to the famed Kingdom of Prester John, first reported by the German chronicler Otto von Freising in his *Chronicon* of 1145. Otto claimed to have met with an emissary of Prince Raymond of Antioch who told him that Prester John, a Nestorian Christian and supposed descendent of the Three Magi, had conquered the city of Ecbatana over the Persians and established a wealthy kingdom. A forged letter circulated in 1165 to the Byzantine Emperor, Manuel I Comnenus, describes this marvelous kingdom where all Christian values are perfectly abided by, and which is crossed by a river flowing directly from Paradise. Many a traveler looked for this kingdom, and many more were convinced of its existence. It even had a posterity in comic strips, for instance as a character created by Marvel Comics in 1966 and appearing in *Fantastic Four Vol.1 #54*. One is tempted to call this half legendary, half plausible territory in Larsen’s film the “Purpose Kingdom”, the place that will ultimately give a yet-undiscernible meaning to the journey.
https://visual-worlds.com
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David Kirkaldy (1820–1897) and his museum of destruction: the visual dilemmas of an engineer as man of science
Frances Robertson
Forum for Critical Inquiry, Glasgow School of Art, Scotland, UK
This paper examines codes of representation in nineteenth century engineering in Britain in relation to broader visual culture. While engineering was promoted as a rational public enterprise through techniques of spectacular display, engineers who aimed to be taken seriously in the intellectual hierarchies of science had to negotiate suitable techniques for making and using images. These difficulties can be examined in the visual practices that mark the career of engineer David Kirkaldy. Beginning as a bravura naval draughtsman, Kirkaldy later negotiated his status as a serious experimenter in material testing science, changing his style of representation that at first sight seems to be in line with the ‘objective’ strategy in science of getting nature to represent herself. And although Kirkaldy maintained a range of visual styles to communicate with different audiences, making rhetorical use of several technologies of inscription, from hand drawing to photography, nevertheless, his work does in fact demonstrate new uses of the concept of objectivity in representation when up against the practices of engineering. While these might seem merely pragmatic in comparison to the ethical weight given to the discourse of objective representation in science, in the messy world of collapsing bridges and law suits, virtuous engineers had to develop various forms of visual knowledge as practical science. This was not ‘applied science’ but a differentiated form of enquiry whose complexities hold as much interest as the better known visual cultures of late nineteenth century science or art.
In the nineteenth century, spectacular exhibitions of engines and machine drawings promoted engineering as both a profitable commercial enterprise and as a form of disinterested rational enquiry through events such as the Great Exhibition of 1851 that showed off engineers as ‘heroes of invention’. In this public arena, however, engineers were embroiled with other professional groups who had differing aims and values. As a result of the various alliances they had made on the one hand with men of science and on the other with civil servants in charge of state policy for technical and design education, engineers were in an ambiguous position. In their approaches to visual representation they were used to expressing their creative prowess through artistic means, but they also worried that bravura draughtsmanship was increasingly out of key with the ways in which serious science was represented. In addition, engineers were a focus for Victorian anxieties about industry such as John Ruskin’s horror of the dehumanising effects of factory work, or Thomas Carlyle’s warning that culture would be reduced to the ‘cash nexus’. Today, engineers’ fine presentation drawings from this era are shown mainly in museums of transport and technology, enjoyed by enthusiasts and steam punk aficionados, but largely ignored or treated with suspicion by many professional historians who discern their hidden ‘ideological’ messages. Furthermore, the true diversity of this visual culture remains largely hidden in libraries and archives. Although the recent publication *The Arts of Industry in the Age of Enlightenment* (Fox 2009) expanded on a wealth of unknown sketches and models from the earlier period of industrial development already associated with such figures of popular history as James Watt or John Smeaton, technical imagery produced later in the nineteenth century has not been so closely examined. This is creates a gap in the study of visual culture, especially because other researchers such as Lorraine Daston and Peter Galison with their consideration of the idea of ‘objectivity’ in science (1992 and 2007), or Martin Kemp in *The Science of Art* (1990) have now wakened up general readers to new ways of thinking about image making in science and art. As these researchers have described the period 1850–1900, new pictorial values came to the fore in science and art that aimed at a kind of purification of intention, signalled by the search for one true style. These new ideals might be usefully contrasted if we imagine first a gestural sketch by Van Gogh and then the graphic data laid down by the needle of a self-registering meteorological instrument. While we might find very similar wavering lines in both, the intentions behind these marks are very different, and are read differently by the viewer. Just as artists aimed to carve out a personal and recognisable expressive manner as proof of sincerity and integrity, so this was complemented by an equally ‘moralizing tone’ adopted by men of science as they struggled to represent the natural world in ways that appeared truthful, cool, accurate and, above all, objective. However, visual strategies of engineers and technical draughtsmen do not at first glance appear to fit with these ideals. Their enquiries
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1 For example, see Louise Purbrick (1998) ‘Ideologically technical: illustration, automation and spinning cotton around the middle of the nineteenth century’ *Journal of Design History* 11: 275–83, or Brown, John K. (2000) ‘Design plans, working drawings and the stylistic engineering tradition in Great Britain and the United States’, 1775–1947 *Technology and Culture* 41 (2): 159–238.
2 Daston, Lorraine and Peter Galison (1992) ‘The image of objectivity’ *Representations* 40, pp. 81–128; Daston, Lorraine and Peter Galison (2007) *Objectivity* New York: Zone Books; and see also Hentschel, Klaus (2008) review of *Objectivity* in *Centaurus* 50, 329–330.
aimed not simply to observe the natural world, but to change it. With this goal, it was impossible to lay claim to an ‘objective’ discourse separate from social and cultural constraints. But that does not mean that engineers did not develop forms of visual knowledge that had integrity.
This article will examine practices of drawing for engineering in order to ask how technical representations might fit into accounts of visual knowledge we are now familiar with from the history of science. For although the social and commercial aspects of scientific enterprises are now fully recognised by historians of science, in the visual realm the notion of technology as ‘applied science’ still lingers in a neglect of representations. Drawing and visual communication in engineering is ambiguous, being used not simply to observe or theorise natural phenomena, but also to make and shape new things. Shifts in pictorial style adopted by engineers were nonetheless neither pragmatic nor arbitrary but instead they represented the moral and intellectual complexities of ‘practical science’ in action. In looking at the different visual strategies developed by the Scottish engineer David Kirkaldy (1820–1897) during his working life we can move from an individual case study to a broader insight of some of the factors shaping visual knowledge in engineering, both in the context of the professional rivalries of his time, and in relation to our own current perceptions of that era.
Describing natural objects, what something ‘looks like’ when presented to the senses, is only one aspect of visual expression. Science and engineering also create knowledge through images such as diagrams or models of theoretical structures. In practising the art of ‘directing the great sources of power in Nature for the use and convenience of man’, engineers did not just observe natural structures, or put forward theories about them, but in addition they aimed to build new forms with strengths and weaknesses whose behaviour would not be fully known until they were built. Engineering knowledge was an ‘intermediate mode’ between the practical and the scientific. Ben Marsden has argued that William J.M. Rankine (1820–1872), Regius Professor of Civil Engineering and Mechanics at the University of Glasgow between 1855 and 1872, deliberately developed a creed of engineering as ‘pure science regulated by economy’, to defend his fledgling university department. Located in a major industrial city, he needed simultaneously to repel academic attacks from older established disciplines within the university whilst also recruiting students who might otherwise have gone straight into practical workshop training. The virtue of an engineer, claimed Rankine, was to recognise that knowledge in practical science had different aims from theoretical science, guided by the question: ‘what are we to do’, rather than ‘what are we to think’. Engineers used drawings for several purposes, in many styles, to propose new structures and mechanisms and to see if they would work as intended before expensive construction work. And while drawings were used to reassure potential clients, peers and rivals, the ways in which engineers learnt to draw and use images were also a crucial element in their drive to assert personal professional standing in rivalry with other emerging professions of nineteenth century Britain. Before turning to Kirkaldy and his work, it is important to consider some of these social factors that were in play in the development of British professional lives in the nineteenth century.
**Making science and progress visible**
Engineers made professional claims for status on several fronts from the late eighteenth century onwards, not least as ‘gentlemanly’ discoverers of new knowledge in equality with men of science. These aspirations resonated uncomfortably with English social and professional hierarchies. The working practices of engineers were derived from manual craft trades, and their training as apprentices always began in the workshops, in opposition to the view that only gentlemen with a ‘liberal education’ could judge impartially and make trustworthy statements in the ‘public sphere’. Nevertheless, prejudices and practices were often at odds. In the period from 1830 onwards, ‘gentlemen of science’ at the University of Cambridge began to develop an interest in engineering and engineering during their campaign to seize ownership of the British Association for the Advancement of Science (BAAS). Engineers were recruited as allies during the formation of the BAAS in order to ‘render visible’ the idea of progress, with frequent exhibitions of local manufactures at annual meetings. Nevertheless, they were kept in a subordinate position, and the respect they gained was ambiguous. Indeed, engineers who did associate themselves with BAAS meetings and experimental enquiries, such as William Fairbairn (1789–1874), were apparently happy to collude with this subordination in order to validate the cultural claims
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6 Rankine, W.J.M. (1859) *A manual of applied mechanics* London and Glasgow: Richard Griffen and Company; p. 1; Buchanan, D.B. (1983) ‘Engineering science as theory and practice’ *Technology and Culture* 24 (3): 101–8; Marsden, Ben (1992) ‘Engineering science in Glasgow: economy, efficiency and measurement as prime movers in the differentiation of a scientific discipline’ *British Journal for the History of Science* 25 (3): 319–346, p. 342. On ‘harmony of theory and practice in engineering’ in academic and entrepreneurial circles in Glasgow see Smith, Crausie and M. Norton Ware (1989) *Science and empire: a biographical study of Lord Kelvin* Cambridge: Cambridge University Press.
7 Buchanan, R.A. (1983) ‘Gentlemen engineers: the making of a profession’ *Victorian studies* 40: 27–58; Shaw, Steven (1994) *A social history of truth: quality and science in western thought* Oxford: Clarendon Press; see also Chubb, C. (1993) *Private eyes: Yes, Richard (1993) *Defining science: William Whewell, natural knowledge and public debate in early Victorian Britain* Cambridge: Cambridge University Press; Flach, Menachem and Simon Schaffer, eds *William Whewell: a composite portrait* Oxford: Clarendon Press.
8 Morrell, Jack and Arnold Thackray (1981) *Gentlemen of science: early years of the British Association for the Advancement of Science* Oxford: Clarendon Press, p. 286.
9 Aristocratic education, especially amongst those with major landholdings to manage, encouraged the engineering classes of construction, while poorer and dissenting families in the upperprofessional classes sought out the same subjects with relevance to industry on offer in Scottish and Continental universities for their children. Bennett, Jim and Stephen Johnston (1996) *The geometry of war 1500–1750* Oxford: Museum of the History of Science; Carwell, D.S.L. (1972) *The organisation of science in England* London: Heinemann, pp. 32–3.
of their work. So despite the overall aim of ‘making science visible’, engineers had to negotiate the danger that they were possibly too visible, outshining their patrons. In other words, according to Morrell and Thackray (1981), engineers like Fairbairn only managed to get their genuine scientific investigations recognised if they sheltered in the obscurity of conducting mere ‘applied science’, an example as Steven Shapin (1994) has it, that ‘pure science’ is a concept that in origin depended on the social standing of the investigator. In the nineteenth century, observers were indeed still keenly aware of such fine differences in status between engineers and natural philosophers. For example in one guide to professional career choice from 1857, engineers were first praised as the executors of the ‘system of great works now overspreading the country’, but then firmly put in their place: ‘very few have received anything approaching an education in their calling. They have been military engineers, intelligent foremen of works, successful builders, and land surveyors’. But despite such sneers, by mid-century it was so long so easy to dismiss people who worked for their living. Professional researchers and academics in science also nurtured professional ambitions of salaried careers. Ideas such as ‘pure science’ or ‘objectivity’ in image making were new values designed to augment the status and the veracity of men of science.
But just as in science, in engineering too organisations such as the Institution of Civil Engineers (founded 1818) advocated three ‘professional’ ends: to create specialist knowledge, to police boundaries of exclusion, and to develop means of publicity and self-presentation. Individual engineers also promoted their own status by developing and debating a science of engineering, often through the medium of illustrated descriptions of large construction projects such as the road and rail bridges over the Menai Straits produced by Thomas Telford in 1826 and Robert Stephenson in the 1840s. Such publicity was directed both to general non-expert readers and also to other professional groups claiming expertise. Even ‘big names’ strove to achieve professional status with their peers through an appeal to target audiences such as men of science or civil servants concerned with state policy for education in design and technical skills. In this uneven context, engineers cultivated many different personal styles; for example, through Fairbairn’s allegiance to the BAAS as already noted, whilst others such as Isambard Kingdom Brunel highlighted instead their capacity for masculine daring and risk-taking. Professional differentiation and self-presentation was however a fragmenting process and within engineering itself different specialisms fought for control of their fields, while elite engineers of all types vied with lower ranks. From mid-century, established engineers began to sneer at draughtsmen’s artistic skills, with the *Engineer* magazine of 30 December 1859 belittling ‘mere adventurers in drawing’, or like marine engineer John Wigham Richardson, shuddering at the ‘continual chatter’ of drawing office. So while earlier engineers such as Smeaton or Watt believed their professional authority depended on their own handiwork at the drawing board, later engineers began to delegate the execution of drawings to subordinates.
Visual spectacles such as the Great Exhibition of 1851, however, relied on artistic and graphic skills. Millions of visitors passed through this site, where the nature of the exhibits, press coverage and associated publications all show that elite engineers at this event achieved status as heroic individuals through visual display. But equally this was a moment at which engineers came up against other professional groups competing for cultural status through exhibition, whether men of science, artists or museum directors. Engineers were, for example, co-opted into various ‘design reform’ initiatives, dominated by the figure of the civil servant Henry Cole (1808–1882), one of the key organisers of the Great Exhibition. Certainly, the Exhibition did offer some elite engineers the means of getting a hearing for their ideas in scientific and government circles. For example Joseph Whitworth (1803–1887) used the exhibition to promote his ideas of standardised techniques of scientific manufacture, and of the importance of education. Nevertheless the very success of events such as the Great Exhibition set up conflicts of interest for engineers like Kirkaldy whose expertise lay in visual display. Kirkaldy’s own works as a draughtsman had been prominent both in the London Great Exhibition of 1851 and the Paris Exhibition of 1855 as we will see, but the very recognition he was accorded in this sphere brings forward some of the dilemmas of his quest for status as a serious experimenter. While these events appeared to be nothing but good publicity, asserting and confirming engineers and designers like Kirkaldy as ‘heroes of invention’, this did not necessarily support Kirkaldy’s ambition to develop his theoretical and scientific expertise in material testing or to recruit allies in this field.
**Presentation drawings and the display of engineering**
Kirkaldy began work as a bravoura naval draughtsman in the shipbuilding firm of Robert Napier & Sons, Glasgow, preparing presentation drawings as well as designing for construction on the drawing board. Unlike working drawings used to design machines or to direct workers on the shop floor, presentation drawings were given to clients, stored as company archive materials, and shown to potential customers as visualisations of a future reality. Kirkaldy, the son of a wealthy Dundee merchant, entered a late apprenticeship at Napier’s Vulcan Foundry in 1843 after an earlier liberal education at Edinburgh University. There, he spent four years training in manual workshop skills before moving to the drawing office in 1847 where he
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10 Thomson, H. Byerley (1857) *The choice of a profession* London: Chapman and Hall, p. 290–5.
11 Petrocki, Henry (1994) *Design paradigms: case histories and judgment in engineering* Cambridge: Cambridge University Press, pp. 99–115; Marsden, Ben and Crosbie Smith (2005) *Engineering empires: a cultural history of technology in nineteenth-century Britain* Basingstoke: Palgrave Macmillan, p. 248.
12 MacLeod, Christine (2007) *Heroes of invention: technology, liberalism and British identity, 1760–1914* Cambridge: Cambridge University Press; Fox, Celina (2008) *The arts of industry in the age of enlightenment* New Haven and London: Yale University Press, pp. 493–4.
13 Cole, Henry (1872), pp. 88–95; Baynton, Elizabeth and Anthony Burton (2005) *The great exhibition: the life and work of Henry Cole* London: V&A Publications, pp. 70–71.
14 For Whitworth’s ‘fact-finding’ trip to the USA, see Rosenberg, Nathan, ed. (1969) *The American system of manufactures: the report of the committee on the machinery of the United States of 1855 and the special reports of George Wallis and Joseph Whitworth 1854* Edinburgh: Edinburgh University Press.
became chief draughtsman and calculator. Napier’s drawing office had already established a style of finely wrought presentation drawings, and Kirkaldy developed further refinements.\textsuperscript{15} Presentation drawings used the same conventional linear pen and ink markings as working drawings, supplemented with watercolour washes. Watercolour shading created an illusion of three-dimensional form within the more schematic line drawing conventions of working drawings and helped non-specialists read the mechanism. Smoothly graded washes gave the illusion of light falling, creating gentle reflectivity on cylindrical machine bodies and forming applied shadows that help push projecting forms out towards us. At the same time, the use of orthographic projection, like a plan brought to life, displays all parts of the object with equal importance. In contrast to pictorial perspective that organises forms obliquely, as if from the viewpoint of one observer, orthogonal presentation is impersonal. Such images explain complex moving parts, but frozen to immobility, placing the viewer in control. As well as showing the final working out of the engine design, presentation drawings also displayed artistic skills of perspective construction and painterly judgment, and in comparison to surviving presentation drawings from other hands,\textsuperscript{16} Kirkaldy pushed the conventions of this style to an extreme to create aesthetic impact. His lines were exceptionally narrow and unvarying, and the effects of light were systematically, indeed obsessively, rendered, using a range of illusionistic devices. Shadows, highlights and reflected light all helped towards creating a powerful, hyperreal effect, with complex forms and their shadows calculated in accord with the finessing urged in draughtsmen’s handbooks.\textsuperscript{17} However, although these images looked real, they were all illusion. They were not based on observation, but were fantasy visualisations of perfect mechanical servants that in reality would be much more messy and unreliable.
Kirkaldy’s skills as a draughtsman were displayed far beyond the confines of the factory and its circle of clients and visitors. His work was reproduced as steel engravings in \textit{The Imperial Cyclopaedia of Machinery}, a souvenir of the London Great Exhibition of 1851 (Figure 1), and in a further and equally imposing illustrated publication, timed to coincide with the Paris Exhibition of 1855, where Kirkaldy’s original drawings were also on show as presentation gifts to Napoleon III. Finally, Kirkaldy also exhibited his drawings of the ‘Persia’ iron ship at the Royal Academy in 1861.\textsuperscript{18}
\begin{figure}[h]
\centering
\includegraphics[width=\textwidth]{image.png}
\caption{David Kirkaldy, detail from drawing of engine of ‘La Plata’ from \textit{The Imperial Cyclopaedia of Machinery}. The book showed the most imposing exhibits from the Great Exhibition of 1851 in an equally dominating style, with brush use of 33 double-page spreads of steel-engraved illustrations using the technical orthographic convention of plan, section and elevation. University of Glasgow Library, Special Collections.}
\end{figure}
Despite these successes, his biography of 1891 \textit{Illustrations of David Kirkaldy’s System of Mechanical Testing} claimed that Kirkaldy still felt like a subordinate at Napier’s and resented it. Although Kirkaldy’s son William was the named author of this work, he took care to assure the reader that his father had overseen every step of the writing. Indeed, we frequently hear the outraged paternal voice breaking into the narrative, railing against ‘those who have been unjust’. We read, for example, that Kirkaldy felt his research into materials and performance of vessels, propellers, engines and boilers, conducted whilst at Robert Napier & Sons, was being thwarted by ‘prejudice against his advanced ideas’. Equally, Kirkaldy’s plan to exhibit his drawings of the ‘Persia’ at the Royal Academy exhibition of 1861 was hatched as a secret act of defiance, adding éclat to his resignation from Napier’s in the same year. It was very unusual for engineers to exhibit in this bastion of fine art, and even rarer to win a prize. But at the same time as he honed his artistic persona for this feat, with the other side of his brain Kirkaldy was also pondering the correct ‘moral procedure’ for visualising his research into materials as he worked towards starting his own business in his London laboratory (that he called the ‘museum’) in 1866. His experimental work in the mechanical testing of the tensile strengths of materials evoked a second, different mode of visual expression.
**Material testing and visual data**
The 1891 biography was part of a lengthier work, ghosted throughout by David Kirkaldy in combative mode, promoting the family business of materials testing, and containing displays of data from twelve thousand experiments supplemented with illustrations of the workshops. Kirkaldy developed his main visual techniques for presenting complex experimental information in the period 1858–1861 during the test trials he had conducted for Robert Napier on the strength of iron plates and angle iron for the ships ‘Black Prince’ and ‘Hector’.\textsuperscript{19} As he informs us, he agonized
\textsuperscript{15} For an example of the Napier style see Baynes, K. and Pugh, F. (1961) \textit{The art of the engineer Guildford}: Lutterworth, p. 15.
\textsuperscript{16} The most well known and accessible holdings include The Beaton & Watt Archive held by Birmingham Central Library, and the Nasmith & Gaskell archive at the Institution of Mechanical Engineers (IMechE) London, and the many examples in Baynes and Pugh (1961).
\textsuperscript{17} See for example Johnson, William (1853) \textit{The practical draughtman’s book of industrial design}: forth-forty-first edition of \textit{Mechanical engineering, and architectural drawing}: translated from French, of \textit{L’art du dessin}, \textit{aide-Professeur de design} at the Conservatoire National des Arts et Metiers, and Arranged given, and Adapted for civil engineers, reprinted and arranged with additional matter and plates, and contemporary references and examples London: Longman & Co., pp. 96–108.
\textsuperscript{18} Kirkaldy, David (1861) \textit{Memorandum of the construction Board Mail steam ship ‘Arabia’ and of the Great Exhibition Board Mail steam ship ‘La Plata’, constructed by Robert Napier, Esq. Glasgow: William Mackenzie}; Kirkaldy, (1891), p. 266; Graves, A. (1905) \textit{Royal Academy of Art, dictionary of contributors 1769–1904} London: Henry Graves & Co. Ltd. Volume 2, p. 33. \textit{The Imperial cyclopaedia of machinery} (nd 1852–1856) Glasgow: William Mackenzie.
\textsuperscript{19} Kirkaldy, David (1862) \textit{Results of an experimental inquiry into the comparative tensile strength and other properties of various grades of wrought-iron and steel} Glasgow: Bell and Bain.
about the merits of different techniques of recording and displaying data (described as we have seen as a ‘moral’ quest), and eventually chose to display results as tables and graphs, supplemented with additional observational records of the internal structure of metal after its fracture (Figure 2). Kirkaldy developed his experimental technique further in the 1860s by cutting regular surface patterns into his specimens before testing as a visual means of sorting stress deformations in various iron and steel samples (Figure 3).
In this context Kirkaldy chose to minimise the impressive draughtsman skills he developed earlier in his career, instead contriving methods by which nature could be made to represent herself graphically in his laboratory of material testing. Although this concept of natural imagery has most often been connected to the adoption of photographic data in science in the last decades of the nineteenth century, Kirkaldy exploited the same notion in the medium of massive real-world materials such as rolled steel plate, in order to assert his status as an experimental observer, not an illusion merchant. His prowess in this new line of work was recognised by fellow engineers; for example by those who asked him to work for the Steel Committee of the Institution of Civil Engineers in the 1860s, or employed him as a consultant on major construction projects such as the St. Louis Bridge of J.B. Eads. Kirkaldy was also employed to analyse the afterlife of construction, notably as a consultant during the enquiry following the disastrous collapse of the first Tay Bridge in 1879. On the face of it, this sequence of events appears to follow a familiar trajectory of popular Victorian biography; a struggle to find a vocation and to gain agency, with Kirkaldy’s earlier work as a draughtsman perhaps constrained and tainted by the impurity of visual rhetoric in the service of commerce. However, in the context of the period, the implied opposition between ‘objective’ science and ‘spectacular’ engineering is misleading. Kirkaldy developed his visual strategies both as an engineer amongst colleagues and in response to techniques of exhibition and display that were developed by other occupational groups who were also grappling with questions of professional formation, self-presentation and authorship.
**Objectivity, understatement and the use of visual evidence**
Established preferences shown by men of science for understated drawing styles that appeared to record visual data in the simplest manner were reinforced by the promise of ‘objectivity’ in photographic representation after 1840. One of the most celebrated examples of changing attitudes is that of the photographic stop-motion experiments on the splash patterns of droplets when the physicist Arthur Worthington (1852–1916) was shocked to see evidence that his own inaccurate human perceptions had imposed a false pattern and symmetry on phenomena he had drawn from observation. Although men of science did not establish trust in their own modes of photography until after 1870, nevertheless the notion that nature could be made to represent herself through this medium had considerable force. Bernard Lightman has described how from around 1850 onwards, elite men of science such as Charles Darwin chose to use images transcribed from photographs as visual evidence. This was in contrast to the approach of popularizers of science, aiming to ‘keep natural theology alive’, who instead chose to deploy detailed, imaginative and spectacular artistic renderings of the natural world. In very broad terms, such conflicts of
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20 For the development of quantitative statistical graphs for the visual display of information see: Beniger, James R. and Robinson, L. Robert. (1976) ‘Quantitative graphics in statistics: a brief history’ *The American Statistician* 32 (1), pp. 1–11; Meadows, A.J. (1991) ‘The evolution of graphics in scientific articles’ *Publishing research quarterly* 7(1), pp. 23–32; Tufte, E.R. (1993) *The visual display of quantitative information* Cheshire Conn.: Graphics Press.
21 Tucker, Jennifer (2005) *Nature exposed: photography as eyewitness in Victorian science* Baltimore: John Hopkins Press; Baudry, Georges (1988) *Baudrillard and desire* Cambridge, Mass.: MIT Press, p. 63; Daston, Lorraine and Peter Galison (1992) ‘The image of objectivity’ *Representations* 40, pp. 81–128.
22 Lightman, Bernard (2000) ‘The visual theology of Victorian popularizers of science: from reverent eye to chemical retina’ *Isis* 91, pp. 651–80.
status about visual display within science might appear to place elite engineers in a dilemma. If an engineer wanted to display his professional expertise in designing and making manifest complex structures with detailed specifications, he might use arduous and detailed drawings, even though such styles merged with spectacular modes of bravura draughtsmanship. On the other hand, if he wanted to be given a serious hearing in scientific circles such as the BAAS, the Royal Society or similar learned societies, status was attached to more muted conventions.
Some aspects of Kirkaldy’s stylistic break in his practice are in accord with these more objective approaches to visual representation that were gaining strength in science. For example, the image in Figure 4, from *David Kirkaldy’s System of Mechanical Testing* shows ‘Museum D’ with ranks of full-sized items such as wood joists, bridge and roof links, railway-axles, ropes and cables tested in practice, reproduced in wood engraving from a photograph of the site. To our modern eyes, this image appears to be very similar to the skilled illusionism of the presentation drawing in Figure 1, but to the media-conscious reader in the photomechanical 1890s it would have been accepted as a transcription of a photograph, a factual record of experimental objects, rather than as a crafted image.\(^{23}\) Kirkaldy’s careful captioning emphasised the photographic origin of the image, and downplayed the role of human draughtsmanship. His own role here was to commission the image, while the engraver’s hand skills were swallowed up within the corporate name of ‘Messrs. Steinmetz’. At one level, this ‘photographic record’ of the museum is simple scene setting. But storing and displaying test specimens was also an application of the photographic concept of getting nature to represent herself carried in to the real world, with unedited raw visual data employed as a kind of ‘ready-made’.\(^{24}\) In the museum, ranks of shattered and wrecked forms display the gradations of stress that have been applied to them, thus showing a continuity of approach with images such as that in Figure 3 in which the tested steel plates, earlier inscribed with regular patterning, now present the deformations and fractures of their carefully quantified ordeales. Hence all Kirkaldy’s testing images, from graphs and tables through to the general view of the ‘museum’ adopt a ‘realist’ style that accentuates the observed data. In contrast to the sumptuous display of hand skills in the presentation drawings referred to in Figure 1, in relation to viewer expectations in its time Kirkaldy’s later style was instead in accord with the concept of ‘objectivity’ in scientific representation, using methods of displaying visual evidence that were distanced from fallible human draughtsmanship, and closer to scientific experimental procedures.
**The art of construction and manufacture**
However, Kirkaldy never renounced his earlier skills. This was not due to a lack of decisiveness or integrity, but is instead an indication that the notion of objectivity can only take us so far in getting at the virtues and knowledge on show in representations of the ‘practical science’ of engineering. In fact, this science was necessarily piecemeal and pragmatic amongst the social, legal and material complications in play. In addition, Kirkaldy’s different styles are an expression of two different branches of engineering science, on the one hand with construction, on the other with the destructive effects of wear, collapse and failure. His earlier presentation drawings, as in Figure 1, were the expression of a science of manufactures as ‘kinematics’ that aimed to analyse human and machine actions into simple geometrical forms. This called up a spare artistic expression that also demonstrated a science of rational control. Design and presentation drawings, however elegantly finished, are derived from this field of calculation. If this style looks abstract and airless, even at its most hyper-real, it is because it is not concerned with particularities or material qualities. The simplified geometric qualities of presentation drawings were used to unfold the technical know-how of prestigious high-capital projects, such as those of British sea power, overseen by the mechanisms of an imperial bureaucracy. Splendid technical drawings such as those made for Napier’s (see Figure 1), show a different kind of ‘objectivity’ that is at odds with the description of ‘objectivity’ in scientific images addressed by Daston and Galison. Instead, in the context of factory production, the inexpessive factual quality of technical and presentation drawings takes on a controlling function as a mask for power, in accord with a bureaucratic notion of objectivity developed by Theodore Porter as ‘the rule of law, not of men’ developed to lend ‘authority to officials who have very little of their own’. The clean and geometric operations of drawing served to assert that predictable and repeatable
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\(^{23}\) For commentaries on the construction of trust in photographic images in print media in the decade 1880–1900 see: Walter Benjamin, *Turing* (2006); and Daston and Galison, 1987. Noted above, Bennett, Gerry (1985): ‘The mechanization of the scene: facsimile, photography, and fragmentation in nineteenth-century wood engraving’, *Journal of Design History* 19(5) 8(4): 257–74; Gretton, Tom (2005) ‘Signs for labour-value in printed pictures after the photomechanical revolution: mainstream changes and extreme cases around 1900’, *Oxford Art Journal* 28 (3): 371–390.
\(^{24}\) Lynch, Michael (2006) ‘The production of scientific images: vision and re-vision in the history, philosophy and sociology of science’ in Luc Pauwels, ed, *Visual cultures of science: rethinking representational practices in knowledge building and science communication* Lebanon, New Hampshire: Dartmouth College Press, pp. 28–40.
machine actions were the means and the end of construction and production, minimising the existence of human conflicts of the workplace.\textsuperscript{25} While Daston and Galison claim that ‘mechanical objectivity’ was called into being in the mid-nineteenth-century sciences to rein in the excesses of a dynamic, will-centred self that threatened to make the world in its own image, this alternative objectivity in machine drawing uses impersonality to hide the operation of the engineer’s or entrepreneur’s will.
**The science of destruction**
When we turn to materials testing, Kirkaldy’s later engineering enterprise, we see a different enquiry from the mechanical science of kinematics, both in procedures and in modes of representation. Earlier systematic explorations into strength of materials had been largely undertaken by men of science or by military and naval state-sponsored engineers such as Jean-Victor Poncelet in France, who theorised the effectiveness of construction in a range of real workaday situations, and the stresses of specific circumstances such as the danger of vibrations caused by the rhythmic repetitions of soldiers marching in step across a bridge. British work on strength of materials in the first half of the nineteenth century had been more localised, specific to certain projects and with the aim of selecting the right materials from those available on the market. The main standard ‘ready-reference’ for working engineers was Thomas Tredgold’s \textit{A Practical Essay on the Strength of Cast Iron and other Metals} (1822) continuing through many editions until the early years of the twentieth century, despite the fact that his work was outmoded in academic terms even by its first appearance. The closest model to Kirkaldy can be seen in the career of William Fairbairn, well-known for testing the materials and structures for Stephenson’s Britannia Bridge in the 1840s, and for further investigations into this field with the BAAS and Royal Society. Like Kirkaldy, Fairbairn presented his findings in tables, supplemented with observational data, but unlike Kirkaldy, who tested specific materials for strength in relation to each other, Fairbairn’s work was directed towards isolating general structural properties of materials in order to develop standardised materials and procedures. Meanwhile Kirkaldy, in a dig against ‘professors’ and other ‘persons receiving grants of money’ (projects like those of Fairbairn’s, for example), examined individual specimens as self-contained, particular cases. He refused to work with laboratory bench, sized-refined, purified samples, maintaining with reason that raw materials and manmade structures are not uniform. Kirkaldy’s notion of ‘practical science’ took into account the constant variation of raw materials available to manufacturers that needed informed personal monitoring. So in the real world conditions of practical engineering, at least two forms of representation were needed, one suitable for universal general principles such as machine actions, the other suited to scrutinising and comparing many diverse examples.
Instead of the constructive and generalising aims of kinematics, experimental materials testing developed techniques of destruction, for this science was concerned, even obsessed, with the failure of construction and industrial production, and with good reason. Knut Styffe, the Director of the Technological Institute of Stockholm cautioned his students in 1869, ‘the lives of daily travellers are at the mercy of iron and steel.’ The failure of these materials caused some spectacular disasters in railways, ships and bridges in the nineteenth century. Railway bridges of course combined these dangers, so that when railroad engines and their train of heavy wagons shuddered their many wheels across hundreds of sleepers, the problem of marching feet was magnified to a frightening extent.\textsuperscript{26} To combat these fears, projects such Stephenson’s Britannia Bridge had as already noted incorporated strenuous testing during the design period. The completed bridge, although ‘hailed as a tremendous structural success’ that ‘stood for 120 years as a monument to its engineer’ was, according to Henry Petroski, really an expensive failure that demonstrated a foolish ‘tunnel vision’ dictated by the test results. The paradox of that close focus on the danger of failure meant that almost every other design factor such as cost or amenity for users was neglected, so that later travelers came to dread the ‘hellish’, clangorous experience of crossing, likened to speeding through an overheated unswept chimney. If kinematics, the ‘geometry of machines’, was a product of its social and political context, so too was the science of materials testing. Railway expansion and railway accidents provided a testing ground for British law in this period, and a prompt for subsequent regulation of the engineering industry by government experts from the mid-nineteenth century.\textsuperscript{27}
In terms of visual style, materials testing, a science of destruction, was in contrast to the science of mechanics. Instead of abstract and general forms, in Kirkaldy’s hands this science was concerned with particularities and localities. Iron and steel, like wine, each had a tincture of its own ‘terroir’ or region, and behaved differently under stress. Processing mattered too: different techniques of craft and science, such as annealing or puddling, cast iron versus wrought iron, all created testable variations. One of Kirkaldy’s typical test runs, published in 1862, compared iron and steel from Essen, Prussia, against apparently similar materials from six different Yorkshire foundries; the results, graded by strength, prompted threats of lawsuits from outraged ironmasters. Testing to destruction, with its emphasis on the observation of the behaviour of materials
\textsuperscript{25} Robert Willis, Franz Reuleaux, or W.J.M. Rankine all developed academic approaches to machine operations, as Kinematics, in the 1840s; for objectivity, see Porter, T.M. (1995) \textit{Truth in numbers: the pursuit of objectivity in science and public life} Princeton, NJ: Princeton University Press; for ‘objectivity’ as the objective reality of worker control see Schaffer, Simon (1994) ‘Babbage’s dream: the Critical Inquiry 21, pp. 205–227; for pure’ versus ‘practical science’ as a moral crusade, see Lambert, Kevin (2011) ‘The uses of analogy: James Clerk Maxwell’s “On Faraday’s lines of force” and early Victorian analogical argument’ British Journal for the History of Science 44 (1): 61–86.
\textsuperscript{26} Styffe, Knut (1869) \textit{Iron and steel: the elasticity, extensibility, and tensile strength} London: John Murray, pp.4–9.
\textsuperscript{27} By 1860 railway accidents were a focus for expensive liability claims, see Kostal, R.W. (1994) \textit{Law and English railway capitalism 1825–1875} Oxford: Clarendon Press, pp.13–28; for the role of government in regulating railway safety, see the collapse of railway bridges over the Dee in 1847 and the Tay in 1879, see Parris, Henry (1965) \textit{Government and the railways in nineteenth-century Britain} London: Routledge and Kegan Paul, or Buchanan, R.A. (1988) ‘Engineers and government in nineteenth-century Britain’ in Roy MacLeod, ed. \textit{Government and expertise: specialist administrators and professionals, 1860–1919} Cambridge: Cambridge University Press.
from specific places and manufacturing processes, gave visual form to the concept of a practical science of engineering in the social world. By displaying the deformations of individual specimens of materials under stress Kirkaldy exhibited both the disinterested scientific virtue of objective visual record, and a technique for developing public accountability.
**The virtues of practical engineering**
Kirkaldy constantly added new specimens to his ‘museum of fractures’, and combined both his visual styles with considerations of commercial exhibition display by showing specimens and reports from his own business at the Paris and Vienna Exhibitions of 1867 and 1873 respectively. Many engineers in the nineteenth century developed diverse visual styles to present their knowledge and themselves. In Kirkaldy’s case this involved pondering scientific and entrepreneurial virtues in order to find the correct ‘moral procedure’ that he then maintained in die-hard fashion. Kirkaldy’s example shows that Eugene Ferguson’s well-established notion of a distinctively non-verbal ‘intellectual component of technology’ already conceived within the ‘mind’s eye’ of the engineer does not fully address the complexity and variety of how knowledge was made and defended by visual means in engineering. Equally, though, in this relatively unexamined area of visual representation, we can see new ways of using and testing the notion of objectivity that has come to be established in the study of representations in science. In comparison to ideas of authenticity and purification we find in descriptions of visual representations in art and science Kirkaldy’s example suggests that finding several styles and knowing how to apply them was a virtue of ‘practical science’. The value that was given to engineering knowledge came into collision with different modes of theoretical science and practical science in different locations in Britain at a time when working scientists were asserting a notion of ‘pure science’ to defend their own professional expertise. Although Kirkaldy was undoubtedly a one-off, prickly ‘Scotch thistle’ depicted (admiringly) by the *American Engineer* in 1882, his example illustrates the wider context, and the dilemmas, faced by those claiming knowledge and virtue in the exhibition and representation of practical science, and the interest of this field of visual studies.
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rescuePY
Simulation-based Emergency Service Impact Assessment
Fabian Schuhmann\textsuperscript{1}, Maximilian Sievers\textsuperscript{1},
Stefan Schrott\textsuperscript{1}, Ivan Kapovich\textsuperscript{1}, Lijie Feng\textsuperscript{1}, and Markus Lienkamp\textsuperscript{1}
\textsuperscript{1}Technische Universität München, Germany
*Correspondence: Fabian Schuhmann, firstname.lastname@example.org
Abstract: Mobility in metropolitan regions is changing. The distribution of space in cities, the design of transport modes, and the organization of mobility are being rethought. However, no matter the changes and innovations on the way to a more sustainable future, essential constants must be upheld: In the event of minor, regionally limited emergencies, medical assistance must reach those in need quickly. When dealing with large-scale emergencies, the ability to evacuate the area promptly must be ensured. The impact analysis of mobility innovations on emergency services within urban areas so far has been based purely on empirical observations using existing data. Currently, it is only possible to analyze what-if considerations in a limited way. Nevertheless, due to the increasingly rapid changes in mobility, a comprehensive and interlinked analysis will be necessary. This is the key contribution of rescuePY: rescuePY is a simulation suite based on the mesoscopic and microscopic simulation environment hybridPY. It allows holistic and microscopic transport modeling of rescue infrastructure to quantify the impact of the mobility transition towards higher sustainability on the performance of rescue services.
The main features of this software are:
- Rescue system assessment for strategic, long-term planning
- Mobility-influence studies for operative, mid-term planning
- Activity-based urban evacuation modeling
The capabilities of rescuePY are demonstrated by two applications: a simulation-based, mesoscopic system analysis of emergency services in Munich compared to real-world data and microscopic modeling of emergency vehicles (EMVs) in different road architectures. Ongoing developments aim to improve the evaluation methodology for the aggregated impact analysis of mobility innovations on rescue response services.
Keywords: Simulation, Emergency Service, Mobility Changes
1 Introduction
The reorganization of urban transport to meet the requirements of sustainable mobility has far-reaching effects on various aspects of urban life. Measures that are already being implemented, e.g. [1], or medium-term visions, e.g. [2], envisage significant changes to the urban system.
In particular, it is critical to assess the impact of such changes on the operational effectiveness and capability of emergency services and fire departments. Figure 1 shows the simplified sequence of actions for a regular rescue operation.
Mainly, the journey to the site (step 5) as well as the ability to treat the emergency (step 6) are influenced by mobility innovations. More than anything, the fire and emergency services require the accessibility of buildings for fire and rescue vehicles, the use of aerial ladder vehicles to ensure the second rescue route, and the response time according to the legal requirements [3]. The emergency service report shows a Bavaria-wide increase in pure travel time by 1 minute and 31 seconds across all types of cities and municipalities from 2013 to 2022. Delays on the journey (e.g., due to traffic jams) were the third most common cause of emergency service response times exceeding the legal requirements, accounting for 13 percent of all delays [4]. In the case of large-scale area emergencies that require an evacuation of the affected area, mobility behavior, the availability of mobility options, and the changed transport network influence the course of the measure [5].
Integrating the requirements of emergency services as critical stakeholders into transport planning is crucial to ensuring that emergency services can continue to operate efficiently. Likewise, it guarantees that the city’s residents receive appropriate assistance as quickly as possible in the event of an emergency. On the one hand, the specific requirements of emergency services must be considered in the transport planning process. On the other hand, appropriate measures must be taken by the emergency services, such as the use of optimized vehicles, the relocation of fire stations or the creation of updated plans for the implementation of evacuation measures. These measures are necessary to ensure a safe and well-functioning urban environment [6]. rescuePY is the first step towards a simulation suite, enabling local authorities in charge of emergency planning and disaster control to run easy-to-use emergency simulations which consider changing transportation systems. rescuePY sets itself apart from other simulation software by covering the topics of strategic planning, the long-term rescue system planning, operative planning, the detailed and microscopic analysis of changes
to the transportation system in the context of preventive fire protection, and evacuation planning.
The following part is structured as follows: Chapter 2 discusses state-of-the-art system simulations of rescue services, individual vehicle modeling of rescue vehicles, and evacuation models. Afterward, in chapter 3, the implementation inside the rescuePY framework is presented. Finally, two use cases demonstrate the capabilities of rescuePY in chapter 4.
2 State of the Art
The following section provides a brief overview of the state of the art of simulation-based rescue service modeling. At the beginning of this section, the state of traffic simulation-based emergency service modeling is given. The second part examines the current state of microscopic EMV modeling. Finally, a brief overview of simulation-based evacuation modeling will be given.
2.1 Emergency Service System Assessment
Several models, like event-based simulations, hyper-cube models or optimization frameworks, exist for analyzing emergency services. In contrast, traffic simulation-based emergency service modeling on a city-scale level is rare in literature.
Zade et. al. [7] present a MATSim-based modeling of emergency response times in crisis scenarios. This approach provides a first test bed for analyzing emergency strategies. The study simulates a single ambulance station in New Windsor, NY. The researchers incorporate background traffic into their modeling and use synthetic incident data, assuming 100 emergency calls per day in a ten-day scenario. Their model is validated using averaged numbers. Yaneza [8] uses MATSim-based modeling to assist planning agencies of the Philippines in determining routes for disaster response vehicles in crises or disasters and validates the model using expert discussions. Their study focuses entirely on modeling disaster situations and neglects the daily operations. Muzzini [9],[10], and Li et. al. [11] are two modeling approaches for modeling emergency services responding to car accidents inside a road network. The first approach is implemented in MATSim and the second in SUMO; both allow time analysis but only represent a small part of the alarm spectrum and neglect the system level of emergency service systems. In both approaches, the utilization of the rescue system is not validated or discussed. Additionally, there exists the tool CIS-KOSMAS [12]. Despite modeling approaches based on open-source software, it is a piece of commercial software for simulating and analyzing emergency services. The tool is based on a simplified transport network and allows dynamic simulation of emergency service systems. Nevertheless, the software lacks flexibility in terms of scenario building.
In summary, current approaches based on open-source frameworks represent only parts of the emergency service system or neglect daily operations. They are not sufficient for simulating emergency services on a city-wide scale.
2.2 Microscopic Simulation of EMVs
A detailed behavioral model of EMVs and their interaction with the environment is required if one wishes to develop a form of operative planning and infrastructure design which conforms to the needs of emergency services. Likewise, in recent years, there has been a great interest in improving the modeling of EMVs in microscopic traffic simulation software. Table 1 provides an overview of recent research projects and the
Table 1. Recent Papers on Microscopic Modeling of Emergency Vehicles
| Paper Year | [13] 2020 | [14] 2020 | [15] 2021 | [16] 2021 | [17] 2022 | [18] 2023 | [19] 2023 | [20] 2021 |
|------------|-----------|-----------|-----------|-----------|-----------|-----------|-----------|-----------|
| Traffic simulators | VISSIM | VISSIM | VISSIM | SUMO | - | SUMO, CARLA | Paramics | SUMO |
| Covered topics: | | | | | | | | |
| - several EMV priority tiers | ✗ | ✗ | ✗ | ✗ | ✓ | ✗ | ✗ | ✗ |
| - EMV intersection priority | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✗ |
| - EMV driving behavior | ✓ | ✗ | ✗ | ✓ | ✗ | ✓ | ✓ | ✗ |
| - EMV V2X communication | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✗ | ✗ |
| - automated EMVs | ✓ | ✗ | ✗ | ✗ | ✗ | ✓ | ✗ | ✗ |
| - automated NVs | ✗ | ✗ | ✗ | ✗ | ✗ | ✓ | ✗ | ✓ |
| - reaction of NVs to EMVs | ✗ | ✗ | ✗ | ✓ | ✓ | ✓ | ✓ | ✓ |
| - NVs use areas not intended for motorized traffic to form rescue lane | ✗ | ✗ | ✗ | ✗ | ✓ | ✗ | ✓ | ✗ |
| - EMVs may drive on shoulder, bike lane, etc. | ✗ | ✗ | ✗ | ✗ | ✗ | ✗ | ✗ | ✗ |
| - varying size of EMVs | ✗ | ✗ | ✗ | ✗ | ✗ | ✗ | ✗ | ✗ |
| - varying lane count/width | ✗ | ✗ | ✗ | ✗ | ✗ | ✗ | ✗ | ✗ |
| - protected bike lanes | ✗ | ✗ | ✗ | ✗ | ✗ | ✗ | ✗ | ✗ |
| - modal shift | ✗ | ✗ | ✗ | ✗ | ✗ | ✗ | ✗ | ✗ |
primary topics covered by each.
In the available literature, the most common topic is modeling the priority of EMVs at intersections, be it through exploring the possibilities of V2X communication, e.g. through traffic light signal preemption for EMVs in [13]–[17], through the coordinated behavior of a system of connected, highly automated vehicles in [17] and [18] or through accurately representing current real-world intersections in papers [16] and [19]. Among the papers above, [17] took a unique angle by developing an algorithm that can handle several tiers of EMV priority. [13], [16], [18] and [19] analyzed the driving behavior of EMVs outside of intersections by comparing car-following or lane-changing models. Furthermore, the reaction of normal, non-emergency vehicles (NVs) to an approaching EMV outside of intersections was modeled in papers [16]–[20]. In particular, [20] specifically analyzed the reaction of autonomous NVs using deep reinforcement learning. Other projects investigated allowing NVs to drive onto the shoulder lane [17] or the sidewalk [19] to form a wider rescue lane for the EMV to pass by. Except for papers [17] and [19], there is no preexisting research on the simulation of motor vehicles using infrastructure not intended for motorized traffic in emergency service applications.
2.2.1 SUMO Emergency Vehicle Implementation
Due to its open-source nature and the preexisting implementation of EMVs, the software SUMO has been selected as the microscopic simulator within the rescuePY project. Release 1.19.0 of SUMO is used as the baseline for all SUMO-related development within this paper.
In SUMO 1.19.0, the standard implementation of EMVs is based on the work of [16]. EMVs can be defined in the configuration file by giving them the vehicle class emergency and equipping them with a blue light device. Vehicles defined this way will disregard the right of way and red lights, they are allowed to surpass the speed limit, and they can be given the right to drive on dedicated bus lanes or cycle paths. Additionally, they are more likely to drive on the opposite roadside even when they must overtake a long column of vehicles.
Surrounding Vehicles within 25 meters of an EMV will try to form a rescue lane. Vehicles react with a certain probability depending on the distance to the EMV (further away vehicles are less likely to form the rescue lane). All vehicles on the leftmost lane form the rescue lane by changing into the left sub-lane, and all vehicles on all other lanes change into the right sub-lane. The vehicles forming the rescue lane are not allowed to make lane changes to prevent them from using the rescue lane themselves. When driving into the rescue lane, the EMV slows to a maximum of 20 km/h.
When EMVs drive slower than half the maximum allowed road speed, the strategic lane changing gets deactivated, meaning they will use any lane that allows them to advance faster. Hence, the EMV may arrive at an intersection in the wrong turning lane. In such a case, it will be teleported to the closest lane which allows it to continue its route.
### 2.3 Evacuation Modeling
Understanding the type of event that necessitates an evacuation proved to be crucial for the development of evacuation models. In literature, the reasons for evacuation range from natural disasters, such as tsunamis [21], [22] or floods [23], to other types of situations, such as the discovery of explosive material in the middle of a city [24]. These diverse scenarios underline the need for adaptability and customization in evacuation models to address various scenarios.
Trip-based models and activity-based models are the two primary methodologies that travel demand models can be divided in. Trip-based models, alternatively referred to as the four-step models, forecast travel demand by estimating the number of trips that commence and conclude in designated locations, choosing appropriate modes of transportation, and allocating trips to specific routes. In contrast, activity-based models simulate a person’s daily activities and travel choices while considering time and space constraints and the connections between people, activities, and family members. Activity-based models allow for a more precise and comprehensive estimation of evacuation requirements.
Dynamic simulation is crucial to understanding and optimizing the evacuation process itself. The interactions between people and vehicles, the routes chosen, the traffic congestion, and the evacuation time can all be realistically reflected by these modeling techniques. Various simulation tools are employed, encompassing microscopic, mesoscopic, and macroscopic approaches. Notable among these tools were MATSim, EXODUS, SUMO, and others.
The choice of the modeling methodology depends upon the particular objectives and requirements of the evacuation plan. Systematic reviews, which provide a comprehensive overview of the evacuation modeling methodologies, can be found in [25]–[27]. Various studies, see table 2, have utilized diverse combinations to meet the specific requirements. [21] and [23] implemented evacuation plans utilizing trip-based models via MATSim. ABMs were employed to model travel demand in [21]-[23]. When examining both inside and outdoor building evacuation, EXODUS was determined to be more suitable [28][29][30]. Using SUMO’s rerouter, [22][31][24] concentrated on dynamic route adjustment in evacuation scenarios.
Summarizing, although studies address the influence of future climate and economic-demographic changes on evacuation modeling [32], the impact of trends in mobility on urban evacuation scenarios has not yet been analyzed. This gap in the literature highlights the need to explore and understand how transformations in mobility affect the effectiveness of urban evacuation plans and models. The use of a modeling framework offers the simple possibility to model different changes in urban mobility and analyze their effects on urban evacuation planning.
[33] and [34] present simulation pipelines for modeling evacuation scenarios. Nevertheless, their frameworks focus only on city-wide evacuations and do not provide any user interface.
Table 2. Overview of selected simulation based evacuation models
| Paper Year | [21] 2020 | [22] 2023 | [28] 2020 | [31] 2020 | [29] 2018 | [30] 2018 | [24] 2018 | [23] 2016 |
|------------|-----------|-----------|-----------|-----------|-----------|-----------|-----------|-----------|
| Urban Environment | ✗ | ✓ | ✗ | ✓ | ✓ | ✓ | ✗ | ✓ |
| Multimodal Simulation | ✗ | ✗ | ✓ | ✗ | ✓ | ✗ | ✗ | ✓ |
| Pedestrians | ✓ | ✓ | ✓ | ✗ | ✓ | ✓ | ✗ | ✓ |
| Vehicles | ✗ | ✓ | ✓ | ✓ | ✓ | ✗ | ✓ | ✓ |
| Microscopic Simulation | ✗ | ✓ | ✓ | ✓ | ✗ | ✓ | ✓ | ✓ |
| Validation with Real data | ✗ | ✗ | ✗ | ✓ | ✗ | ✗ | ✗ | ✗ |
| Implemented in SUMO | ✗ | ✓ | ✓ | ✓ | ✗ | ✗ | ✓ | ✗ |
| Modeling Future Mobility Trends | ✗ | ✗ | ✗ | ✗ | ✗ | ✗ | ✗ | ✗ |
3 Methodology
The following section describes the implemented methods behind the rescuePY framework. rescuePY is developed as plugin for hybridPY, a scenario management tool for SUMO and MATSim. The framework is available in python 3.9.
3.1 Strategic Planning
3.1.1 Objectives
The strategic planning module considers the entire emergency service system or a defined sub-area, such as the fire department. The module makes it possible to calculate an assignment of a-priori-defined incidents to the available emergency response infrastructure, taking into account the transport infrastructure. Calculating the assignment allows to quantify changes originating from changes in the emergency service, the volume of incidents, or the underlying transport infrastructure at an early stage far before realization.
In order to quantify the changes and assess the quality of incident coverage, the planning module determines the average travel time until the (first) EMV arrives at the scene or carries out a duplication analysis. In this context, the term duplication is used if the nearest EMV (defined by the routed distance between the emergency location and the ambulance or fire station) is already tied up with an incident, and a more distant EMV has to be used.
The module is shown in figure 2. The required input parameters are defined on the left-hand side of the picture. To calculate the assignment, first the available infrastructure must be defined. To do this, it is necessary to define the emergency stations with their location and their respective entry to the transport system. This represents the start of the respective deployment trip. For each emergency station, the available emergency infrastructure also has to be defined, e.g., EMVs, aerial ladder vehicles, or ambulances.
The road network can be imported from OSM using the standard function of [35]. The
application makes it possible to specify expected average speeds for EMVs, taking into account special rights and rights of way. The expected travel times can be derived from literature or can be determined by the operative planning module, see figure 2. Finally, shape files can be used to import zones which represent the basis for the sequential deployment order of the stations to an incident.
The demand that will be assigned to the infrastructure is specified by the incident data. An incident is specified by the time, the location, and the required resources. The data can be imported using generic '.csv' files. Thus, the incident data can directly be imported from existing and compulsory operations management system.
3.1.2 Implementation
Considering the strategic level makes it necessary to look at long-term time horizons, for example, months, quarters, or even years. Once the scenario has been created in rescuePY and the input data for the traffic simulation has been provided by the application, the simulation is carried out in the mesoscopic version of SUMO. The mesoscopic simulation network, in which EMVs are only inserted in the event of an incident, allows the application to be more tolerant of network modeling errors. The tour-based simulation logic without simulation of background traffic combined with the insertion in case of need makes it possible to save computing time, especially in periods without any incidents, compared to modeling with parking spaces, for example.
The graphic animation of the simulation is done with the help of polygons. This enables user-friendly verification of the data entered.
The simulation is implemented as a TraCI application and is depicted in a simplified form in algorithm 1. The current vehicle status is realized by numeric numbers. The numbering here is equivalent to reality. The EMVs can be dispatched on the basis of a static definition, whereby it is precisely defined which EMV from which station approaches which incident. Alternatively a precalculated zone based sequence defined with rescuePY can be used. Doing so, the closest available vehicle, measured on the
basis of the routed distance, is selected.
The parameters *meso-minor-penalty*, *meso-tls-penalty*, *max-speed*, and *speed-factor*, which define the time loss at intersections and the maximum speed, can be used to set the individual characteristic values for emergency journeys. The time difference at junctions between a journey with special rights and rights of way and without is neglected here. The presented algorithm uses open-source data and data from the operations management system of local emergency services. Using this algorithm, rescuePY is the first open-source framework that enables the flexible simulation of daily operations of rescue services on a city-wide scale.
### 3.2 Operative Planning
#### 3.2.1 Objectives
The strategic planning is based on average time losses at junctions and on-road sections. The values assumed can be determined for existing infrastructure, e.g., with the help of data recordings or derived from literature values [16]. Future infrastructure concepts or changes in transport demand require a simulative determination of (average) time losses due to the lack of measurability. The objective of the operative planning module, see figure 3, is the detailed and microscopic analysis of changes to the transportation system and their influence on rescue vehicles in the context of preventive fire protection.
Since travel times largely depend on microscopic influences, such as traffic light controls, microscopic modeling is required to determine them. The operative planning module of rescuePY, therefore, relies on the microscopic behavior model of EMVs, which will be presented in the following.
The vehicle specifications of the EMV, including the route to be considered, the traffic infrastructure, and the expected traffic demand, for example, are derived with the help of the hybridPY framework, serve as input parameters. The simulation is carried out iteratively and on the basis of varied random numbers. The result of the simulation is then the average travel time.
The following sections describe the testing methodology as well as the microscopic vehicle model. Based on [19] and expert discussions, the microscopic model was extended within the framework of rescuePY.
### 3.2.2 Testing Methodology
Within the operative planning module, a testing scenario represents an EMV deployment at a certain time of the day. Inside this scenario, constant vehicle flows are used for evaluation. This is based on the presumption that passing a street or a smaller urban district only takes the EMV a few minutes. During this brief travel time, the effects of temporal variability in demand are presumed to be so minuscule that they can be ignored. Demand variability of EMV deployments at varying times of the day is taken into account through the use of various scenarios. To diminish the effects of randomness each scenario is executed multiple times, with each run using a unique random seed for the SUMO simulation. This process continues until scenario has gone through the desired number of simulation runs.
During the warm-up phase of each simulation, as congestion is still increasing, the travel time of an EMV is overwhelmingly dependent on its departure time, not on other input parameters. After a certain minimum threshold simulation time, the simulation runs develop a stationary traffic situation, meaning that the departure time is no longer the dominant factor determining the travel time. As travel times are only documented if the trip has been finished before the end of the simulation, there is an increasing survivorship bias for EMVs with later departure times. Therefore, only data from vehicles with departure times between a minimum and maximum simulation time threshold is
considered significant for the travel time analysis. The thresholds for the minimum and maximum departure times can be determined via regression analysis.
3.2.3 Vehicle Implementation
Our EMV model was built upon the already existing SUMO EMV implementation described in section 2.2.1. The core features of our model are depicted in figure 4.
In the following, the behavioral adjustments are explained in detail. The first paragraph addresses the alternations made to the C++ source code of SUMO, while later paragraphs describe the behavior enabled through the use of the TraCI API. So far, both approaches have only been optimized for right-handed traffic.
The formation of rescue lanes for multi-lane streets is problematic in the standard EMV model because the vehicles on the leftmost lane would align to the left, with all other vehicles on all remaining lanes aligning to the right. When the EMV is in the rightmost lane, no valid rescue lane is formed because both the vehicles in the rightmost lane as well as the vehicles in the middle lane change into the right sub-lane. With our modified model, the alignment of vehicles in middle lanes depends on the position of the EMV, so a valid rescue lane always gets formed. This change reflects that, in general, forming rescue lanes is neither regulated nor mandatory in urban environments. Additionally, the standard EMV model has NVs align to the left side of the lane on single-lane roads, which does not reflect the reality and makes it harder for the EMV to overtake them on the opposite lane. In our model, vehicles on single-lane roads align to the right to allow the EMV easier overtaking. Furthermore, the blue light device can now be activated and deactivated via TraCI. This device grants any vehicle equipped with it the special driving permissions and behavior of an emergency vehicle. The standard version of SUMO permanently grants special, emergency driving rights to any vehicle with a blue light device. In contrast, our toggleable blue light device allows for the simulation of EMVs before and after being called to an incident. Only when the blue light device is activated does EMV operate with its special driving rights,
as described above and in section 2.2.1. When deactivated, the EMV follows all traffic rules like a NV.
For easier adaptation to varying traffic innovations, other features are implemented as a TraCI application. With regards to the EMVs, the TraCI application improves handling of situations in which the EMVs cannot move due to surrounding traffic. Assuming that in real life, the NVs would eventually manage to create a gap large enough for the EMV to pass, this problem is solved by teleporting the EMV to the next edge on its route after a certain amount of time has passed. If the EMV became stuck while passing vehicles on the opposite driving lane, its driving direction must be reversed. Otherwise, it would drive in the wrong direction after teleportation. This direction reversal command is given via TraCI. As this command is non-existent in the standard SUMO release, it can only interpreted by our modified version of SUMO.
While EMVs are only directly affected through the TraCI API in the form of occasional teleports, the moment-to-moment driving behavior of the NVs is heavily influenced using TraCI commands. If the operative simulation algorithm registers an EMV in moderate proximity of an NV, the NV is commanded to keep right. If the EMV is in close proximity of the NV, the exact behavior of the NV depends on the exact situation. Factors such as the vehicle class, the relative orientation of the EMV to the NV, possible movement-barriers determined by the permissions of the neighboring lanes as well as general simulation parameters affect the exact way an NV responds to an EMV.
With TraCI, when the EMV gets in close proximity of the car, the operative simulation algorithm of rescuePY is able to detect the bike lane next to it. In order to form a rescue lane, it stops the car and moves the car onto the bike lane so the EMV can pass. If there were no bike lane, the algorithm would allow the NV to keep driving and even ignore red lights to get the nearest free junction where it can pull over and let the EMV pass. In case there is no further lane to right, vehicles can still pull over and form a rescue lane by going off road, albeit with an optional time penalty compared to the bike lane scenario. Vehicles in close proximity to an EMV, but not being approached by an EMV from behind, are generally commanded to come to a full stop and may only move laterally to help the EMV pass.
The temporal and spatial parameters for this behavior are highly customizable in the TraCI application, allowing for the adaptation to the local rules and behavior of vehicles in the area one wishes to simulate.
3.3 Evacuation Planning
3.3.1 Objectives
The first two modules of rescuePY make it possible to investigate the question of how help can reach the patient or person in need quickly and what impact mobility innovations have on this. However, certain emergency situations, such as the discovery of a bomb or the release of hazardous substances, make it necessary for the affected people to leave the affected area as quickly as possible.
The evacuation planning of rescuePY is based on the assumption that the area to be evacuated corresponds to a small part of the city, for example, a certain district. After the warning is announced, people within the evacuation area must leave the area to be evacuated immediately, regardless of the activity they are engaged in. The area to be evacuated may no longer be entered by unauthorized persons after the warning has been issued. Persons who are evacuated must go to the specified accommodation. The procedure is shown in Figure 5. In rescuePY, the population from a defined area
is specified, the transport infrastructure is imported and the areas to be evacuated as well as the emergency shelters are defined.
By using this model, decision-makers gain a comprehensive understanding of all key evacuation parameters, such as the number and location of shelters, the arrangement and timing of vehicles leaving the area, the expected evacuation time and the proportion of people evacuated in a given period.
3.3.2 Implementation
The implementation of the evacuation model is divided into two parts. Firstly, the activity-based prediction model, which is based on [35], must be expanded to include an evacuation activity. Secondly, the route selection of the agents must be manipulated at simulation run time.
Evacuations usually happen during everyday events, disrupting people’s routines and requiring them to reorganize their entire day’s schedule in compliance with evacuation regulations. As a result, activity-based modeling can capture the effects of these scenarios precisely. The daily travel demand of the area must first be modeled using [35]. The modeling process can be briefly described: The first step is importing information about the virtual population and households (including gender, occupation, age, income, etc.) and assigning them to facilities based on the capacity of the building. Subsequently, the schedule of activities for the day is determined based on the attributes of the virtual population and predefined sequences. Lastly, based on the characteristics of the virtual population and the time and place of these activities, travel routes and transportation alternatives are generated.
Once the modeling of the basic activities of the day has been completed, it is necessary to take into account the elements of the evacuation model. The evacuation model consists of three crucial components: the time of evacuation, the choice of transportation mode for evacuation, and the choice of evacuation route. For instance, Figure 6 illustrates that around 12 o’clock, an evacuation order is sent. Considering only vp8 as an example, he must adjust his plans of action with consideration of the new situation after he receives the order. Here are four possibilities related to the current environment:
- **Case 1:** Neither his home nor his workplace need to be evacuated, then he will continue his normal life.
Case 2: If his home and place of work are in a zone that needs to be evacuated, he will immediately cease working and choose the most effective means of transportation to the nearest shelter based on the situation at that moment.
Case 3: When the workplace is in a location that needs to be evacuated and the home location is not, then he will immediately end his work and return home.
Case 4: When the place where his home is located needs to be evacuated and the place of work does not, then he will continue with his work and when it is over, will go to a shelter.
Once demand has been generated using the rescuePY model, specific adjustments must be made to the routes taken by individuals. Inside the rescuePY tool, the Dijkstra algorithm is utilized to define the route from origin to destination for the evacuees. Nevertheless, the priority for these persons is to leave the risk zone as quickly as possible.
TraCI provides the possibility to reroute vehicles based on the minimization of a cost function that considers different attributes of the network links as weights. During the evacuation, the network links are assigned relatively high-cost values. In this way, when rerouting road users, the new route will prioritize leaving the evacuation zone as soon as possible before heading towards their ultimate destination, be it their home or shelter. Additionally, individuals are prohibited from entering the area.
4 First Results and Discussion
In the following section, the benefits of the rescuePY simulation platform will be discussed using two case studies. Firstly, the strategic planning module will be compared
with real data. Secondly, a sensitivity analysis of the operative planning module and the associated enhancements compared to the basic implementation of [16] is conducted.
4.1 Strategic Planning
The strategic planning module aims to simulate the city-wide emergency response using a mesoscopic network. The mesoscopic network promises a simple and, at the same time, versatile use of the simulation due to its robustness against network errors. In order to check the validity of the approach, the travel times from the fire station inside the simulation are compared with the actual deployment data.
The study is based on actual incident data from March 2013 from the Munich Fire Department. This data set contains the incident location, the time of the alarm, the alerted vehicles, and the associated status changes. A status change occurs when a vehicle departs for an emergency (from the station), arrives at the scene, starts driving back to the station, and arrives at the station. The status is reported by manually pressing the respective number on the vehicle radio device.
The current road network of the city of Munich, based on OSM data, is used as the basis for the simulation. The road network was not adjusted or adapted.
Table 3. Overview of used simulation parameters
| variable | value |
|--------------|---------|
| $v_{max}$ | 90 km/h |
| $v_{over}$ | 1.28 |
| $\Delta t_{uls}$ | 0.1 |
| $\Delta t_{minor}$ | 3.5s |
| $\Delta t_{sim}$ | 10s |
The parameters used for the simulation are depicted in table 3. Parameters $v_{over}$ and $\Delta t_{minor}$ were measured by [16]. The other two parameters are based on expert discussions user-selected. The time step of the simulation $\Delta t_{sim}$ is defined as 10 seconds.
The simulation was executed on a standard laptop and consumed 10 minutes of calculation time. The results of the respective run are depicted in 9 exemplary for Munich fire station 2. The figure shows the simulated EMV travel times for the journey from station to site over the reported EMV travel times. The color of the point indicates the time of the alarm. The calculated average travel time for station 2 is $300s$, the mean absolute percentage error is $24\%$, and the mean absolute error is $-43s$. The results are comparable for other fire stations. The mean absolute error varies from $-3s$ to $-45s$. As it can be seen in figure 9, the simulated times differ heavily from the actual values during peak hours and night. Whereas the first point indicates the missing traffic adjustments, the second category can be explained by data errors.
4.2 Operative Planning
In the following section, the sensitivity of the microscopic EMV behavior modeling to changes in transport infrastructure and demand will be examined, and the observed behavior will be discussed.
The street selected for testing is the Schellingstraße in Munich, Germany, ranging from the intersection with the Ludwigstraße to the intersection with the Luisenstraße. The street has one driving lane and one parking lane in each direction. Given the location
near the city center and the high number of passing and parking cars, we can assume the parking lane to be nearly completely occupied for most of the day. As the occupied parking lane is not usable by moving traffic, only one driving lane per driving direction is modeled in our base scenario. There is a sidewalk on either side of the street but pedestrians are not simulated. All non-pedestrians must share the single driving lane per direction. The parked vehicles are taken into account as an impenetrable barrier in the base scenario, preventing vehicles from moving to the right of their lane towards the sidewalk.
The case study is conducted using four different scenarios on the Schellingstraße, shown in figure 8:
- **Base scenario as described above.**
- **Base scenario with off-road:** The lane of parked cars is replaced with a widened sidewalk or green space separated from the street by a curb. Using TraCI, NVs may mount the curb and go off-road to form a rescue lane.
- **Scenario with unprotected bike lanes:** The lane of parked cars is replaced with a normal, unprotected bike lane. Using TraCI, motorized NVs may move onto the bikelane to form a rescue lane.
- **Scenario with protected bike lanes:** The lane of parked cars is replaced with a protected bike lane: a bike lane separated from motorized traffic by a physical barrier, modeled as a separate edge in the network. This bike lane is just wide enough for the EMVs used in this scenario to drive on. While EMVs can only drive there with a reduced maximum speed, taking the protected bike lane may still be faster than being stuck in the congested motorized traffic lane. Using a
rerouting device, an EMV can adapt its route during run-time to find the quickest lanes. Due to the physical barrier, an EMV can only change between the protected bike lane and the motor vehicle lane at junctions. As the simulated section of the Schellingstraße is completely straight, it is assumed that real-life EMV drivers would be able to properly judge the traffic level up to the following intersection, too. Using TraCI, bicycles can move over to the sidewalk to form a rescue lane.
Several runs with varying random seeds were conducted for each simulation configuration. The resulting median travel times of the EMVs are depicted in figure 9. The baseline travel demand, depicted as the 100% demand level, is based on the measured peak hour demand on 21.07.2022 from 12:11 - 13:11, from the detector data in the Mobilithek\(^1\). The EMVs are assumed to drive from the real location of the fire station in the west to an emergency situation in the east, each traveling a route length of circa 1.1 km. A new EMV starts every 1200 seconds. The interval is chosen so that traffic may return to a stationary state before the appearance of the next EMV.
In figure 9, graphs labeled with "Normal SUMO" refer to simulations run with the standard 1.19.0 release of SUMO. "Our SUMO" refers to simulations executed with our modified version of SUMO 1.19.0, while the label "TraCI" means the simulations were performed with our TraCI algorithm in combination with our modified version of SUMO 1.19.0. As can be seen in the left chart of figure 9, for lower demand levels, the base scenario simulations show lower travel times with normal SUMO than with our SUMO. This stems from cyclists unrealistically moving to the center of the road to form a rescue lane, leaving just enough space for the EMV to pass them on the right. In our SUMO, despite the cyclists correctly moving to the right to form the rescue lane, the EMV does not appear to have enough room to pass on the left. This leads to slower travel times, as the EMV is hesitant to overtake vehicles and follows behind cyclists for extended periods of time. Under high levels of demand, our TraCI algorithm displays lower travel times even for the identical network. This can likely be attributed to NVs directly in front of the EMV running red lights and pulling over in junctions, as well as the EMV being able to teleport after being stuck for a significant amount of time. When going off-road is enabled using TraCI, a much wider rescue lane can be formed, leading to lower EMV travel times. Travel times for most demand levels are reduced even further with TraCI when unprotected bike lanes are added to the network, as the time penalty for motor vehicles moving onto the unprotected bike lane is set to be lower than the penalty for mounting a curb to go off-road. Without the TraCI algorithm, motor vehicles are not able to move over to the bike lane to form a rescue lane. The right chart of figure 9 shows the results when using the network with protected bike lanes. Due to this change in the network, all EMV algorithms display greatly reduced
\(^1\)https://mobilithek.info/
travel times compared to the base scenario. Nonetheless, the improvements made to our SUMO, e.g. more aggressive behavior of EMVs in junctions, help reduce travel times. The travel times are shortened once more when TraCI is used, as bicycles can now move over to the sidewalk to let the EMV pass more easily.
Overall, it could be shown that the EMVs model generates a plausible behavior in urban traffic and considers necessary effects in the interaction between EMVs and surrounding vehicles. Nevertheless, in future work the model needs to be calibrated (e.g., regarding reaction and teleportation times) using observations and trajectories and validated against the system travel times.
5 Conclusion and Outlook
This paper presents a modeling suite for creating a digital twin of the emergency service system. The strength of the framework is the combination of modeling the emergency service system alongside the detailed modeling of transport infrastructure. Although it is crucial to ensure the effective operation of emergency services, it is an often neglected aspect in transport planning. The presented framework allows local authorities in charge of emergency planning and disaster control to easily conduct simulation-based strategic, operative emergency, and evacuation planning.
The applicability of the simulation environment was demonstrated by comparing the times of simulated journeys with real journeys. With the help of freely available map data and incident documentation data, strategic questions can be easily answered. In order to make more accurate predictions in the future, the presented microscopic vehicle modeling will be calibrated with trajectory data from actual EMVs. In addition, the robustness of the microscopic model w.r.t. a greater variety of vehicle and infrastructure designs will be improved. Furthermore, it is planned to couple the microscopic and mesoscopic levels of the simulation suite in an automated way to enhance its usability.
Data Availability
The underlying SUMO networks originate from freely accessible and usable OpenStreetMap data extracts. The historic incident data used in this study is coming from the City of Munich and is currently (February 2024) not freely-accessible.
Author contributions
Fabian Schuhmann contributed to the paper in the following ways: conceptualization, methodology, data curation, formal analysis, visualization, software, and writing the original draft. Maximilian Sievers, Stefan Schrott, Ivan Kapovich, Lijie Feng, contributed in the following ways: methodology, visualization, software and reviewing and editing the manuscript. Markus Lienkamp contributed in the following ways: supervision and reviewing and editing the manuscript.
Competing interests
The authors declare that they have no competing interests.
Acknowledgements
The authors would like to thank the Munich Fire brigade (Branddirektion München) for the support and the discussions. For further information please refer to: https://stadt.muenchen.de/rathaus/verwaltung/kreisverwaltungsreferat/branddirektion.html
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Exploratory Survey on Climate Change Effects, Value Chain Processes and Supportive Services: Case Study from Potato Based Farming System of Awi-Zone, Ethiopia
Agregationu Shibabaw
Bahir Dar University
Getachew Alemayehu
Bahir Dar University
Yigzaw Desalegn
Amhara Agricultural Research Institute
Enyew Adgo
Bahir Dar University
Yoseph Tewodros
University of Natural Resource and Life Science (Boku)
Jorn Germer
University of Hohenheim (UHOH)
Folkard Asch
University of Hohenheim (UHOH)
Yeshitla Merene
Amhara Agricultural Research Institute
Bernhard Freyer
University of Natural Resource and Life Science (Boku)
Abstract – Exploratory field survey was conducted with the objective of to understand climate change effects, potato value chain actors, processes, activities and supportive services providers in 2013, Awi-Zone, Ethiopia. Expert and key informant interviews, focused group discussions and review of literature were used as study methodology. A total of 51 value chain actors composing farmers, traders, processors consumers and supportive service providers were involved. The survey result indicates that climate change affects the whole value chain of potato. Drought and erratic, delay and early cessation of rain-fall, heat wave, strong winds, and more flood and night frost were the observed effects of climate change in the study area. Heavy flood impeded input supply and transport services to farmers by damaging roads, while delayed and erratic rain fall reduced the yield of potato and enhanced more diseases and insect pest pressure, which in turn resulted in inconsistent supply of produce to the traders. Consumers were also affected by inconsistent potato market supply. Moreover, poor linkage among value chain actors and support service providers contributed for inadequate action on the use of adaptive measures. The sub sector in general faces a number of structural and technological challenges that need immediate attention to improve potato sector development. Hence, vertical and horizontal integration will be required among value chain actors, supportive service providers and private investors to enhance the sector.
Keywords – Climate Change, Climate Change Impacts, Irish Potato, Supportive Services and Value Chain.
I. INTRODUCTION
Climate change impacts and associated vulnerability are of particular concern to developing countries, where large parts of the population depend on climate sensitive sectors like agriculture and forestry for livelihood (Dinar & Ariel, 2008). Ethiopian economy also heavily dependent on rain fed agriculture which is extremely vulnerable to drought and other natural calamities such as floods, heavy rains, frost and heat waves (Kelbore, Zerihun, & Getachew, 2012). These extreme weather events have a negative impact on the growth and productivity of plants and livestock, cropping and grazing seasons, and the spread of pests and diseases (Thornton & Cramer, 2012).
Similarly, irrespective of size, location, products, and services, all agricultural businesses depend on the influence of weather and climate conditions. Changing weather and climatic conditions can affect the whole value chain of crop production. This includes the supply of raw materials, interrupt transport and logistics, damage infrastructure and physical assets, reduce revenues, and create other direct and indirect impacts (Thornton & Cramer, 2012).
Potato as agricultural commodity is highly vulnerable to climate change (Aniek et al., 2013). Unpredictable change of rain fall pattern, change in temperature, precipitation and unusual storms have affected yield and total profit of potato producers and other stakeholders. Moreover, rising temperatures accelerate plant development and leaf senescence, and thereby higher temperatures during tuber bulking reduce translocation of carbohydrates from other plant part to the tubers (CIPC, 2007).
Moreover, all other non-production chains of potato sector also vulnerable to climate variability. Climate affects every link in the potato value chain system. It brings high transaction costs and uncertainty on input and product markets supply, high access barriers and costs of information, and other market imperfections that restrict market access (MacFadyen & Allison, 2009). Workings together on improvement of institutional relationships undoubtedly assist smallholder farmers and other value chain actors to develop a competitive advantage in local and international markets (MacFadyen & Allison, 2009).
The value chain approach has been recommended as a useful tool to study specific challenges facing a sector due to various drivers of change, including climate change (MacFadyen & Allison, 2009). Such analyses can reveal context-specific response strategies to enhance the target sector from production to consumption level (Jacinto & Pomeroy, 2010). However such kind of information is not available in the study Zone. Hence, the objective of this research work was to understand the current and potential impacts of climate change on potato value chain actors, processes and functions, identify challenges and opportunities of potato value chain and to suggest climate change adaptive mechanisms.
II. MATERIALS AND METHODS
2.1 Description of the Study Area
Awi-Zone is one among ten Zones of Amhara Nation Regional State of Ethiopia. Its population is about 1,078,235 of which 86.5% resides in rural areas. The land use of Awi-Zone is 17.3% swampy areas, 6.9% cultivated land, 4.4% grazing land, 35% natural forest and 36.4% others (ANRS-BoFED, 2006).
The altitude of the zone ranges from as low as 550 to 3100 masl while the minimum and maximum annual temperature ranges between 5°C and 25°C. Daily temperature becomes very high during the months of March to May. Average mean annual rainfall for the area is about 1700 mm. The area has a uni-modal rain-fall pattern. The rainy months extend from March to the end of November. Rainfall during these months is erratic and has distribution challenges. However, peak rainfall occurs during the months of July and August. The soils in the area are predominantly Nitosol and some are of vertic properties (ANRS-BoFED, 2006).
Fig. 1. Geographical map of the study zone and locality
Source: Regional office of finance and economy
Fig. 2. Monthly maximum for Awi, Amhara (Span Years from 1983 -2010)
Source: National metrology agency
Fig. 3. Monthly minimum for Awi, Amhara (Span Years from 1983 -2010)
Source: National metrology agency
Fig. 4. Monthly rain fall of Awi, Amhara (Span Years from 1983 -2010)
Source: National metrology agency
The area is characterized by mixed farming system. Potato, wheat, barley, maize, field pea and faba bean are the dominant crops grown in the area. These crops cover around 90% of the cultivated area. Livestock production is an integral part of production system of the area. Production of cattle, sheep, horse and mule and poultry is a common practice with an average 0.5 to 1.5 ha per household land holding size. Sheep and cattle are dominant livestock in the study zone.
2.2 Sampling procedure and data collection
The primary data were collected from three systematically selected districts and from sampled actors/stakeholders who are involved in input supply, production, marketing, post harvest processing, consumption and supportive services along the potato value chain in Awi-Zone. Both focus group discussions and key informant interviews were employed to gather the information.
Two focus group discussion in each district composed of men and women were held in study districts. Check list was used to guide the discussion and helped to balance information collected by key informant interview survey. The check list was designed to include relevant information on the effect of climate change on potato value chain. It included climate change perception and understanding, climate change manifestation and local climate change adaptation strategies and determinants.
Table 1: The number and sex composition of participants in group interview
| District | Peasant Association | Participant (Average) |
|-------------------|---------------------------|-----------------------|
| | | Groups Number | Male | Female | Total |
| Guagusa Shikudad | Gusha | 2 | 10 | 4 | 14 |
| Banjia | Akayta | 2 | 10 | 5 | 15 |
| Fagita Lecoma | Amesha Shinkurie | 2 | 11 | 5 | 16 |
Besides to group discussion, a total of 36 individuals, on average 12 individuals in each district, were used as key informant interviewees that including Kebele (village) administrative, successful farmers, religious leader, women and local experts. Wholesalers, retailers, consumers, and zonal and regional experts were also interviewed and discussed. Semi-structured questionnaires were used for interview various stakeholders involved in potato production.
Table 2: Number and sex composition of participants involved in the individual interview
| District | Peasant association | Participant |
|-------------------|---------------------------|-------------|
| | | Male | Female | Total |
| Guagusa Shikudad | Gusha | 9 | 3 | 12 |
| Banjia | Akayta | 8 | 4 | 12 |
| Fagita Lecoma | Amesha Shinkurie | 8 | 4 | 12 |
| Total | | 25 | 10 | 36 |
Besides collecting those primary data, the secondary data were also gathered from various sources including district (“woreda”) and Zone offices of agriculture, farmers training centers, selected PAs, cooperatives and other NGOs who were involved in potato research and development activities. Moreover, relevant literature and official reports were also consulted as secondary data source. Data were analyzed with Simple descriptive statistics.
III. RESULTS AND DISCUSSION
3.1: Potato value chain and climate change effects
The potato value chain actors that include primary actors and supportive service providers are found without strong interaction in the study districts (woreda). The primary actors are input suppliers, producers, traders, processors and consumers. Each of these actors adds value in the process of changing product from one step to another. According to (Zemede, Abebe, Mesfin, Alemayehu, & Assefa, 2007), the main processes of potato value chain in Ethiopia include input supply, production, processing, trading, and consumption. There are also supportive service providers that indirectly involve in financial or non-financial service provisions such as credit agencies, government, researchers and extension agents.
The processes of all agricultural value chain including potato depend on weather and climate conditions. Changing weather and climatic conditions can affect the whole chain of potato from farm to fork. It was supported by the research of which presented that climate change globally influenced potato production (Hijmans & Robert 2003).
Similarly, the cross-sectional survey data in the study also indicates that climate change affects potato value chain actors, processes and functions. Drought and erratic, delay and early with drawl of rain fall, heat wave, strong wind, and more flood and night frost was the observed effects of climate change in the study Zone.
The majority (88.7%) of the respondent realizes that climate change is evident in the course of their potato production. Dawit and Habtamu (2011) also indicate that over 89.5% of Ethiopian farmers perceive that change in climate affect their produce. The increase in incidence of
observed extreme events such as floods and droughts in the study zone have caused extensive damage yield of potato and property of small holder farmers. Majority (94.4%) of the respondent explain that there has been delay at the beginning and early with drawl of rain falls than the past decades. Dawit and Habtamu (2011) also shows that rain fail start late and end earlier than the usual. Moreover, there has been frequent incidence of flood and heat wave occurring in present times.
Reduced yield and prevalence of more diseases and insect pest are the most obvious impacts for the effects of climate change (Watson, 1998). As much as 36% of the respondent clearly understood with these two important events.
In response to these perceived changes in climate, almost all respondent are adopting some form of adaptation. Common adaptation measures include diversifying crops, planting different crops or crop varieties, changing planting and harvesting dates, increasing the use of irrigation, and increasing the use of water and soil conservation techniques. According to ADB (2009) climate change adaptation techniques involve changes in cropping patterns and cropping calendar, improved farm management, inclined to irrigation production seasons, and use of climate-resilient crop variety. Diversification and irrigation are the most important adaptation measure that farmers employed in Awi-administrative zones. About 100 and 44% of farmers diversifying their crop and inclined to irrigated production crops respectively. (Haverkort et al., 2012) also indicate that there is a shift of production from main season to off season using irrigation to escape late blight infestation.
3.1.1 Inputs of the chain and climate change effects
The main inputs used in the study area include seeds, pesticides, and fertilizer. According to Alemayehu and Assefa (2011) fertilizer, fungicide, and improved seeds are most important input for Ethiopian potato growing farmers. Farmers in the study area use local potato varieties starting from a long period of time. It may be as long as following the introduction of potato to Ethiopia in 1858 by a German immigrant, Wilhelm Schimperes. Recycling of their local seed tuber is still the most important practice used in the study area and most farmers depend on their own seed partly preserved and stored from production used for consumption and sale. This seed system exists in all potato growing areas of Ethiopia. It is the major seed potato system. According to (Gildemacher et al., 2009), it supplies 98.7% of the seed tubers required in Ethiopia. The seed tubers supplied by this system have poor sanitary, physiological, physical and genetic qualities (Lemaga, Hailemariam, & Gebremedhin, 1994).
Improved varieties are not commonly found in the hands of the farmer’s except Gusha area. Unavailability and high costs were the challenges of improved varieties. However, there are farmers acquires seed potato from different sources like from other farmers, Adet agricultural research center, NGOs and FRG member. Due to the establishment of some farmer groups in Akayta and Gusha, there are possibilities to obtain some improved varieties. The overall picture of seed supply indicates that over 48.8% of the farmers have at least one improved varieties like Jalene, Zengena, Gera, Guassa and Belete in the farmers. However, the farmers are not ready to expand the improved varieties as the result of poor shelf life of the varieties. The rest of the farmers depend on local varieties only. The reason is that most farmers depend on local verities is that they produce for decades and it is stress tolerant.
Both Organic (compost and farm yard manure) and in organic mineral fertilizers are important sources of fertility potato production. Urea and DAP are the most important inorganic fertilizer and compost and farm yard manure are the most important organic fertilizer in all the study area. About 58.3% of the respondent use both organic and in organic fertilizer for potato production. Only 5.6% of the farmers depend on inorganic fertilizer. Farmers of Awi-Zone especially from Banja Woreda (district) said that “using organic fertilizer makes our soil poor”. Of course, the surrounding soil is exposed for high rainfall and become acidic so that it is not responsive for commercial fertilizer. Hence, farmers commonly apply compost and manure to fertilize their land. About 50% of the farmers depend on organic fertilizer only. While the rest of the farmers used both inorganic and organic fertilizers depending on the land size allocated to potato.
Supply and markets of modern inputs such as seed and fertilizer suffer from lot of climate related uncertainties. Climate change driven road damage is one of the challenges of that affect the supply of seed and fertilizer (MacFadyen & Allison, 2009). Extreme events of climatic conditions like heavy rain fall and strong flood result in infrastructure destruction. Seed and fertilizer transport become blocked, especially for small scale farmers where year around transport service is a challenge at peasant administration level.
3.1.2 Potato produce and climate change effects
The next major potato value chain actors following input suppliers are potato growers. They are generally smallholder farmers allocate on average 0.25ha land size for potato production. Almost 100% of respondents were found potato growers. Main, residual and irrigation production seasons are important system in the study locality. As much as 69.4% of the farmers produce potato three times annually and the rest 30.6% of growers produce potato two times per year. Yazie (2009) also identified three production season that farmers adapted in the area.
Potato growers are the major actors who perform most of the value chain functions right from farm inputs preparation on their farms or procurement of the inputs from other sources to post harvest handling and marketing. The major value chain functions that potato growers perform include plowing, ridging, planting; fertilization, weeding, pest/disease control, harvesting and post harvest handling. The average plowing and earthings up frequency is 7 and 3 times respectively. Blanket application of soil fertilizer is common in each district. Only 50 kg of DAP and urea each were applied on potato as the field supplemented with organic fertilizer. Redomile were applied only once at 2 kg per hectare bases.
The effects of climate change on potato production can also be complex (Haverkort AJ & Verhagen, 2008). The potato crop is very sensitive to changes in temperature and relative humidity. Howden et al. (2007) indicates that climate change impact to the potato production would be clearer in non-irrigated area where crop growth would be depended on high rain fall. The response of the crop to changes in temperature is driven by changes in emergence, metabolic, photosynthesis and respiration rates, and total dry matter production (Hijmans & Robert 2003).
In addition to a direct physiological effect on potato yield, climate change may indirectly affect potato production and productivity through the negative impact of pest and diseases. Among them, potato late blight caused by the pathogen *Phytophthora infestans* is the most important disease affecting the crop worldwide (Hijmans & Robert 2003). Perversely, rain fall was common in April and May, which is important for early germination of potato plantings. This condition helps potato to bulk more before late blight appears (Chakraborty, Sukumar, Newton, & Adrian 2011). However, these days there is delay in raining at the beginning and plantings of potato are pushed to the month of June. These conditions coincide the growth stage of potato with aggressive periods of late blight infestation. Yazie (2009) noted that squeezing of rain fall from June to August threat potato production in Amhara region. However, chemical control is emerged as management option for late blight of potato. Only 13.9% of the respondent depends on chemical control.
**Fig.5.** Diagrammatic representation of value chains of potato in Awi-zone
### 3.1.3 Potato marketing and climate change effect
The most important trading actors are wholesalers, brokers and retailers. They trade potato and potato recipes from producer to the consumer. In a value chain marketing system, traders are linked to consumers, producer and supportive service provider needs, working closely with suppliers and processors to supply the specific goods to consumers demand. In the traditional selling system of the study district, farmers produce commodities that are "pushed" into the market place. In selling systems, farmers/producers tend to receive minimal profit as they generally isolated from a majority of end-consumer and have little control over input costs or process received for their goods.
Wholesalers are those specialized potato traders dealing in big quantities of potato brought from farmers or brokers. The share of wholesaler is very significant in potato marketing. About 33% of the producer sells potato produces directly to wholesaler. Wholesale traders have three ways/options that they use to source potatoes for
their business. Some wholesalers buy directly from farmers, others use brokers and the rest acquire their ware potato from local collectors. They collect products and sell to other whole seller for the distant market and to retailers for local consumption (Zemede et al., 2007).
Retailers are key actors in potato value chain in the study Zone. They are the last link between producers and consumers. There are both urban and rural retailers involve in selling fresh potato. Over 36% of farmers’ potato product goes to the retailer and the rest sold to whole seller and consumer.
Brokers also play crucial role in potato marketing system of Awi-Zone through facilitating potato transaction by linking producers with traders, a wholesaler with another wholesaler, and wholesalers with retailers. Their role in potato marketing is low. Only 5.6% of the respondent goes to broker. The brokers sometimes go beyond facilitation of transaction and tend to control and fix potatoes price and make extra benefits from the process. The brokers in many parts of the district and here work in unregulated and informal way. According to (Bezabih and Mengistu, 2011) they do not follow proper business conduct and as a result they constraint the marketing system more than facilitation.
However, changing weather and climatic conditions can affect the marketing system like supply of raw materials, interrupt transport and logistics, damage infrastructure and physical assets, reduce revenues, and create other direct and indirect impacts (Haverkort et al., 2012). Traders need year round effective supply of potato produce. However, this is challenging particularly for small scale farmers who produce potato under uncontrolled environment. In the months of November to January potato availability is limited due to climate risks faced by the vulnerable small-scale producers. During, this scarce period’s traders shift to other businesses and the link between traders and producer became broken (Yazie, 2009).
3.1.4 Potato consumptions and climate change effects
Potato is commonly consumed in the form of boiled and cooked meals in different traditional dishes like souse. Recently, there is an interest of consuming potato chips, crisps, and roasted potato. This is becoming more common practices especially in large cities. Other potatoes products such as potato flour, starch, wine etc. are not yet to be commercially processed.
Climate change has the most profound effect on consumption of potato. Year round supply of potato to the nearest market is challenging due to the effect of climate change. There has been variation access to potato from season to season. Similarly consumption of potato products like boiled potato and stews has varied accordingly. During the deficient times food habit is replaced with cereals.
3.2 Potato support service providers
Apart from main actors of value chain there are supportive services which facilitate role for the whole value chain. They include input and equipment providers, financial services, and technology supplier. Most service providers play roles in more than one function and others are limited to a specific function. ACSI, cooperatives and unions provide finical service especially give credit for input supply. Agricultural extension services were given by experts in the various process of the value chain at input, production, processing and consumption levels.
However, the whole system of the value chain is none equally entertained. Many supportive services are focused only at inputs levels. The marketing and processing aspects of the value chain are neglected, even though they are crucial for production expansion. There are few trails by Adet Agricultural Research Center (AARC) in promoting the nutritional dimension of potato. Annual training on production and diseases management of potato were given by office of agriculture and AARC. However, it is not sufficient to improve the technical skill of the farmers. Adet Agricultural Research Center also involved in developing potato variety for wider adaptation, high yielding and resistant to biotic and a biotic stress. The center also tries to provide quality potato seed and technical support through capacity building.
IV. CONCLUSION AND RECOMMENDATIONS
Climate change affects every link in potato value chain. Heavy flood impeded input supply and transport services by damaging roads, delayed and erratic rain fall reduced the yield of potato and enhanced more diseases and insect pest pressure. Hence, adaptive measures like expanding of irrigation, construction of all year round road, use of high yilderer and diseases resistance variety, expansion of late blight control fungicide has to be adapted.
Moreover, low productivity, inefficient market linkage, poor infrastructure, inadequate input supply and absence modern processing unit are the challenges of potato value chain in Awi-zone. Hence, improving of infrastructure like defused light store and cold unit, advancement in improved seed supply system, Improving access for input like fertilizer, diseases free seed, and fungicide, expansion of processing unit, improving vertical and horizontal linkage among value chain actors and supportive services, will be required to enhance the sector.
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AUTHOR’S PROFILE
Agegnehu Shibabaw, Belete
Address (ex), Town: BAHIR DAR,
Postcode: 08/100, City: BAHIR DAR, Country: ETHIOPIA
Telephonet(s): OFFICE +251 058 3380591
Mobile: +251 0918705581
E-mail: email@example.com
Date of birth: October 19766 G.C., Place of birth: Bikolo
Date of Employment (Month and Year): October, 2003
Present Working Place: Adet Agricultural Research Center, Ethiopia
Working Experience: I have 10 years of work experience in agricultural research, crop protection since 2003. During my career time I was responsible for developing research proposals, designing and executing experiments, supervision of data collection, data analysis and interpretation, and writing experimental reports. Besides I was involved in various social and technical committees including horticulture case team leader.
Technical skills and competences: I have an experience in microbial laboratory techniques, in greenhouse and field experiments.
Computer skills and competences: Basic computer skills and statistical soft ware like SPSS, SAS, MSTATC and Agro base.
Publication
1. Agegnehu S., Wallalign Z., Bayah B., Fikremariam A., Abebe W., Dereje B., Esmelalem M. and Getachew A. (2006) Diseases, insect pests and parasitic weeds of common crops and their importance under irrigation conditions of Rib areas. On Current Research in Microbiology and Biotechnology, Vol. 1, No. 6 (2013): 262-265, ISSN: 2320-2246
2. Agegnehu S., Fikremariam A., Agumas B., Eshetie A., Minwuyelet J. and Getachew A. (2006). Effect of time and frequency of hand weeding on yield of direct seeded rice in Fogera plain. Current Research in Microbiology and Biotechnology, Vol. 1, No. 6 (2013): 266-269, ISSN: 2320-2246
3. Agegnehu S. Taye T and Selvaraje T (2010). Influence of effective microorganism based Parthenium (Parthenium hysterophorus L.) compost on the growth and development of tef (Eragrostis tef (Zucc.) and tomato (Lycopersicon esculentum Mill.), on Ethiopian journal of weed management. Volume 4, 2011. PP 82-87. Addis Ababa, Ethiopia
|
ST. JOSEPH
410 S. Race, Princeton, IN 47670
Pastor: Fr. Gary Kaiser
Business Manager: Angie Paul
Parish Secretary: Bryna Smith
Music Ministry Coordinator: Doris Stolz
Parish Office: 812-385-2617 9-3 M-F
Parish Council President: Angie Walden
Parish Website: stjosephprinceton.org
School Principal: Lynde Anquillare
School Secretary: Linda Yeryar
School Phone: (812) 385-2228
School Website: stjosephprinceton.com
MASS SCHEDULE
Saturday 7:00 a.m.
Sunday 10:30 a.m.
Tuesday 6:00 p.m.
Wednesday - Friday 8:15 a.m.
Adoration
Second Friday of month (24 hrs.) 9 a.m. - 9 a.m.
Sacrament of Reconciliation:
Tuesdays 5:00-5:45 p.m. Saturdays 3:00-3:45 p.m.
Sacrament of Baptism:
Call the parish office to make arrangements.
Sacrament of Marriage:
Call the parish office at least six months in advance.
Sacrament of the Sick:
Administered annually and by appointment.
ST. BERNARD
5342 E. State Road 168, Ft. Branch, IN 47648
Pastor: Fr. Gary Kaiser
Catechetical Leader: Rose Obert
Office Manager: Angie Paul
Parish Council President: Dennis Gress
Altar Society President: Terry Fuhs
Bulletin Editor: Terri Ziliak
School Hall Rental: Rose Obert
Table & Chair Rental: Jeff & Tammy Meny
Office Phone: 812-385-2617
Parish Website: stbernardsnakerun.org
MASS SCHEDULE
Sunday 8:30 a.m.
Thursday 6:00 p.m.
Adoration
First Friday of each month 8 a.m. - 4 p.m.
Sacrament of Reconciliation:
Sundays 8:00-8:15 a.m.
Sacrament of Baptism:
Call the parish office to make arrangements.
Sacrament of Marriage:
Call the parish office at least six months in advance of wedding date.
Sacrament of the Sick:
Administered annually and by appointment.
June 5, 2022 ~ Pentecost Sunday
ST. JOSEPH CATHOLIC CHURCH
MASS SCHEDULE AND INTENTIONS
MONDAY, JUNE 6, 2022
No Mass
TUESDAY, JUNE 7, 2022
6:00 p.m. † James Weiss
WEDNESDAY, June 8, 2022
8:15 a.m. † Alvin Koberstein
2:00 p.m. † Jean Riedford
THURSDAY, JUNE 9, 2022
8:15 a.m. Fr. Bernie Etienne
FRIDAY, JUNE 10, 2022
8:15 a.m. † Eleanor Rapier
SATURDAY, JUNE 11, 2022
7:00 a.m. † Linus Koberstein
4:00 p.m. † Fred Bender
SUNDAY, JUNE 12, 2022
10:30 a.m. St. Joseph & St. Bernard Parishes
LITURGICAL MINISTRIES
Saturday, June 11 - 4:00 p.m.
Sacristan: Seth Stevens
Lector: David Lutz
Extraordinary Minister:
Karen Fischer
Bob Gibson
Servers: Shelby Thompson
Shane Thompson
Usher: Jeff Koberstein
Presenters: Charles Ingram Family
Greeters: John Beasley Family (A)
Chris Halbig Family (B)
Scrips: Karen Fischer
A) Bell Tower Entrance (B) Stormont Entrance (C) Chapel Entrance
Sunday, June 12 - 10:30 a.m.
Sacristan: Phil Perry
Lector: John Feutz
Extraordinary Ministers:
J.D. Wildt
Patty Wildt
Servers: Jessa Wright
Maverick Brengman
Usher: Joe Hurst
Presenters: Jack Sheridan Family
Greeters: Beth Putt Family (A)
Jeff Seibert Family (B)
Bruce Wheatley Family (C)
Scrips: Audrey Watt
THIS WEEK IN OUR PARISH
Sunday, June 5
11 a.m. - 3 p.m. Strawberry Festival
Monday, June 6
9:00 a.m. Josephines—Parish Center (last meeting)
2:00 p.m. Crocheters—Parish Center
Tuesday, June 7
5:00 p.m. Confessions
7:00 p.m. Euchre—Celestin Center
Wednesday, June 8
9:00 a.m. Quilters—Parish Center
Friday, June 10
9:00 a.m. Adoration
9:00 a.m. Church Cleaners—Crew 4
Gail Riedford & Mary Kay Turner
Parish Mission:
Reborn In Baptism; Transformed Into Disciples
HOMEBOUND COMMUNION MINISTER
June 12-18
Lisa Naas
CHILDREN’S LITURGY OF THE WORD
Summer Vacation
STEWARDSHIP OF TIME, TREASURE, & TALENT
Due to an early bulletin deadline, there will be no Stewardship of Treasure Thank you!
Blessing Box Report
| Month | Food Items | Hygiene/Cleaning Items | TOTAL |
|-------|------------|------------------------|-------|
| January | 252 | 187 | 439 |
| February | 212 | 135 | 347 |
| March | 135 | 202 | 337 |
| April | 324 | 197 | 521 |
A special THANK YOU to our Saturday Morning Men’s Prayer Group for their weekly donations!
NEW AND UPCOMING NEWS AT ST. JOSEPH
- Our BIG DAY is THIS Sunday! We need EVERYONE to make this a successful event!!
- We are planning a new Neighbor-to-Neighbor class in the summer. If you know someone who could benefit from this program, please ask them to call the parish for more details.
- Josephines last meeting is on June 6th.
- Crocheters: On the week that the K of C meets, the Crocheters meet in the Parish Center Conference Room at 6 p.m. On the alternate weeks, they meet at 2 p.m. in the same place.
- SUMMER HOURS—Starting May 27, the parish office will close at 11:00 am on Fridays.
- We want to thank Linda Yeryar, School Secretary, & Frank Creedon, School Custodian, for all of the wonderful years they have served our school... enjoy retirement!!!!
Would you like to get more involved at Mass? There are many opportunities for members of our parish family to share their time and talents to assist in our liturgical celebrations. We invite you to consider volunteering in one or more of the following ministries: Altar Servers, Lectors, Extraordinary Ministers, Ushers, Presenters, Greeters, Music Ministry and Rosary Leaders. Please call, 812-385-2617, or e-mail, email@example.com, to get signed up or make changes; we are working on the schedules for the 3rd quarter now.
WAYS TO GROW IN YOUR FAITH
- EUCHARISTIC ADORATION - THIS Friday, June 10 at St. Joseph beginning at 9:00 a.m. and concluding with Benediction at 9:00 a.m. on Saturday.
- SATURDAY MORNING MEN’S PRAYER GROUP - On Saturday mornings at 6:30 a.m. men in the parish meet in the church to pray a Rosary and Divine Mercy Chaplet before Mass begins at 7:00 a.m. Please join us!
- PRAYER - Please keep in prayer those who are on our prayer chain and all members of our St. Joseph family.
- THE SACRAMENT OF RECONCILIATION - Saturdays from 3 to 3:45 p.m., Tuesdays from 5-5:45 p.m.
St. Joseph School News
Vacation Bible School will be July 11 -15th. We are planning on having a parish meal to celebrate the VBS conclusion and to watch the students perform their songs on the 15th.
*Please return registration forms by July 5th.
Eucharistic Renewal Beginning on Corpus Christi Sunday, June 19!
All of the parishes and Catholic schools throughout our diocese—together with all of the dioceses in the U.S.—will be participating in an extraordinary initiative to foster renewed devotion to the Real Presence of Jesus in the Eucharist and greater appreciation for the awesome gift of the Mass. To learn more about the Eucharistic Renewal and to see your parish’s or school’s plans for the Renewal, please visit: evdio.org/Eucharistic-renewal!
Please remember in prayer the family of Sister Jane McConnell who entered into eternal rest on May 23, 2022 and the family of Leo S. Wheatley who entered into rest on May 21, 2022.
“Eternal rest grant unto him, O Lord”
We encourage our parishioners to patronize our sponsors. It is through their generosity that our weekly bulletin comes to you at no cost to the church. Our sponsor this week is:
FC Tucker /The Waldroup Team
Thank you to all the businesses who sponsor our bulletin.
Pentecost
Question:
Why do we celebrate Pentecost when we do?
Answer:
The book of Acts unpacks the events immediately following Jesus’ ascension into heaven. The Apostles and other disciples were told to pray in Jerusalem and await another outpouring of the Holy Spirit. As the weeks ticked on, the Jewish Festival of Weeks approached. This festival took place 50 days after Passover and celebrated the giving of the law on Mount Sinai. The Festival of Weeks (or “Pentecost” in Greek) was a great pilgrimage feast, with Jews from all over the ancient world convening on Jerusalem for the celebration.
It was on Pentecost that God chose to send the Holy Spirit. Here, the new law of love was etched into the hearts of the disciples. As he burst out onto the balcony above the multinational crowd, Peter proclaimed the message of the resurrection, and the Holy Spirit enabled every listener to hear in their native language. 3,000 people were baptized that day! The disciples — and every baptized person — receives the gifts and zeal necessary to bring a new message of salvation to the people of God.
St. Maria Goretti News
Upcoming Youth Events
June 7 – Holiday World
June 20 - HS Mass & Hangout w/ Dominican Sisters
June 23 - MS Mass & Hangout w/ Dominican Sisters
July 16-18 – TEC
July 17-22 – Mission Trip to KY
KY Mission Trip – Sponsor a Youth
We have 16 youth signed up!! Just needing a couple more adults. Please help send out our youth as the hands and feet of Christ and too have a life changing experience! Donations cover the cost of building supplies, food, and accommodations. We are asking for sponsorship gifts for the youth that are going ($50, $100, or any gift amount)! This year’s mission is July 17-22 to St. Vincent Mission in David, KY. Please contact Bryan at 664-7992 if you would like to be a Sponsor or drop off sponsorship gift at any parish office. Thank you!
HS Mass & Hangout with Dominican Sisters
On Monday, June 20 (during VBS week) the Dominican Sisters will kick back with our high school youth for some fresh fun and conversation! It’ll be at Sts. Peter & Paul. We’ll start with 6:30 Mass and afterward have Sandy’s Pizza and various activities! This is open to all HS youth. Bring a waiver and a friend!
MS Mass & Hangout with Dominican Sisters
On Thursday, June 23 the Dominican Sisters will join our middle schoolers for a fun night of fellowship! It’ll be at St. Bernard from 6 – 9 pm. We’ll start with Mass at 6:00 and have Sandy’s Pizza, outdoor games, and the Sisters will share a little about their lives! Bring a waiver and a friend!
TEC (Teens Encounter Christ) is a three-day experience for young people who are searching for goals, acceptance, meaning, and for community. Adults are also welcome and encouraged to attend as they increase our witness to our faith while experiencing their own encounter with Christ. Candidates can expect to meet others from all areas of the Diocese, find how God fits in your life, and encounter the Risen Jesus Christ. You will have time to reflect on your life, ideas, hopes, and dreams away from home, school, and/or work. You can find an application and more information at http://www.switec.org/. You must be a junior in HS to attend. The next weekend is July 16-18, 2022, at St. Mary’s Church in Ireland. Feel free to send in applications for any of the weekends, but please know that they may fill quickly, so send in your application soon.
Any questions/concerns about youth events please contact Bryan Macke at 664-7992 or firstname.lastname@example.org. Diocesan Event Waivers can be found in the back of each church or on our webpage at www.smgyouth.com
MASS INTENTIONS
SUNDAY, June 5
8:30 a.m. St. Bernard & St. Joseph Parishes
THURSDAY, June 9
6:00 p.m. Father Gary & Father Tony
SUNDAY, June 12
8:30 a.m. † Mildred Georges and Delores Sevier
LITURGICAL MINISTRY SCHEDULE
SUNDAY, JUNE 5
Rosary Dolores Ziliak
Sacristan Bernie Spindler
Cantor Sarah Reising
Greeters Jeff & Tammy Meny
Lector Elizabeth Ivy
Servers Blake Silva, Talan Strickland
Gifts Brooke Silva, Audrey Spindler
EM Lori Spindler
Money Counters James Silva, Camy Davis
Homebound Steve Obert
SUNDAY, JUNE 12
Rosary Dennis Titzer
Sacristan Melvin Ziliak
Cantor Leroy Seib
Greeters Kenny & Judy Page
Lector Lora Ziliak
Servers Emily Anderson, Molly Schnarr
Gifts Harrison & Annie Obert
EM Leroy Seib
Money Counters Dennis Gress, Melvin Ziliak
Homebound Dennis Gress
PRAYERS
Kenny & Marcia Reising, Jim Lubbers, Ralph Elpers, Kim Elpers, Crystal Williamson, Diane Denton, Lisa Wilson, Ace Turner, Gerald & Mary Allen, Julia Market, Janet Wempe, Frankie Rynkiewich, Tony Sevier, Dana Seninger, Diane Gress, Herb Bethe, Greg & Rose Obert
Please call Terri to add or remove someone 677-0511
Please help us to keep this list up to date. Let us know when someone can come off the list. Thank you
STEWARDSHIP OF TREASURE
Numbers were not available at the time of printing.
Renovation Account $121,276.17
Thank you!
Renovation Update
Our goal is becoming attainable! We are now at $121,276.17 of our $140,000 goal. Checks are coming in every week. We thank you for your support and look forward to starting our last step of the renovation in July! If you have not given yet, please put your donations in the collection as soon as possible. Thank you!
PEWS FOR SALE - If you would like to purchase a pew, please call the St. Joseph parish office (812-385-2617). Pews are 156 inches long. We have 14 left for a donation of $250. All money will be put toward the renovation.
Fleas
It’s time to start collecting fleas! All gently used items can be placed in the rectory basement. If you have any questions, please see Sarah Spindler or Jess Anderson. Help is also needed with sorting and pricing. If you can help, please contact Sarah Spindler.
Let’s Celebrate Father Gary!
The Altar Society will be hosting a party for Fr. Gary to celebrate his birthday, anniversary to his ordination, and going away. Lunch will be catered and will be served at noon on Sunday, June 12 in the school hall. Lunch will be free to St. Bernard parishioners but please sign up in the back of church so we can order food! We hope to see everyone there to celebrate Fr. Gary!!
Parish Council
The next PC meeting will be on Thursday, June 16 after the 6:00 pm Mass in the School Hall.
SAVE THE DATES
We will need all available men to help with the removal of the Pews and the carpet from the church on Monday, June 27 and Tuesday, June 28. We will start at 8:00 am. Please mark your name on the bulletin board or call Jan Schmitt at 812–664-7886 to let her know you can help. If you are not available during the day, we can use your help in the late afternoon, evening too. This will save her phone calls to ask for YOUR help!!
Also, mark your colander if you have bought a pew, to pick it up on Monday, June 27 at 6 p.m. If that does not work, please talk to Jeff Meny. We need everyone’s help with this project!!
Vacation Bible School Donations
There is a box in the back of church for donations for the upcoming Bible School. Donations will be posted on our Facebook link and as always monetary donations are accepted. Thank you for your support
June Church Cleaners
Sarah Reising, Bridget Blankenberger, Kathy Kates, Joan Nurrenbern, Cathy Reising, Jennyfer Strickland
Reminder: The First person listed on the list is responsible for contacting the others and arranging clean up!
Haubstadt Family Dentistry
New Patients Welcome!
(812) 768-6925
Dr. Kimberly Steckler, DDS
Goedde Oil & Fuel Supplier
Paul Goedde • 1-800-758-6196
Feutz Family Veterinarians
Serving the community since 1972
725 E. Broadway
812-385-2733 • PrincetonVet.net
LARGE & SMALL ANIMAL SERVICES
BOARDING • FARM CALLS
BRETT’S Auto Body
Brett Dewig, Owner
“Complete Collision Repair & Painting”
1023 S. Main St., Princeton 386-1506
Uebelhor
www.uebelhor.com
Jasper Vincennes
800-937-8721 800-264-0046
David E. Oldham
Director
707 Vail Street
Princeton, IN 47670
812-385-3323 . 800-840-5966
Anita Waldroup
REALTOR®/Broker, Manager
812.664.7202
email@example.com
TalkToAnita.com
Amity Waldroup
Licensed Assistant
812.386.6200
firstname.lastname@example.org
TalkToAnita.com
Kramer Auto Care
102 W. Garfield Ave.
(812) 386-7167
Donut Bank Bakery
Place Your Ad Here and Support our Parish!
Instantly create and purchase an ad with
AD CREATOR STUDIO
4lpi.com/adcreator
Princeton Council 1131
A Catholic, Family, Fraternal Service Organization
Thursday Bingo at 6pm
Membership Open To Catholic Men
Sandy’s Pizza
East Branch 603 S. Main St.
(812) 763-8392
www.sandyspizza.net
Stangle Propane Inc.
Propane Sales and Service
24 Hour Emergency Service
www.stanglepropane.com
Dan & Michael Stangle 5737 S. 6th St. Rd.
Vincennes, IN 47591
812-882-2622
Thomas Murray, DDS
1808 Sherman Dr., Princeton
812-385-2420
MEN’S ROSARY GROUP
Please join us in praying the Rosary
Every Saturday morning at 6:30 a.m.
Followed by Mass at 7:00 a.m.
410 S. Race St., Princeton, IN 47670
Contact Onie Partin to place an ad today!
email@example.com or (800) 477-4574 x6207
ABCdaskMe?
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Indiana/Illinois
Rena Rohrbach
812-677-0203
firstname.lastname@example.org
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Medicare I get it!
www.abcdaskrena.com
For ad info. call 1-800-950-9952 • www.4lpi.com
St. Joseph, Princeton, IN
A 4C 01-1430
|
The C# Programming Language
Third Edition
Anders Hejlsberg
Mads Torgersen
Scott Wiltamuth
Peter Golde
Many of the designations used by manufacturers and sellers to distinguish their products are claimed as trademarks. Where those designations appear in this book, and the publisher was aware of a trademark claim, the designations have been printed with initial capital letters or in all capitals.
The .NET logo is either a registered trademark or trademark of Microsoft Corporation in the United States and/or other countries and is used under license from Microsoft.
Microsoft, Windows, Visual Basic, Visual C#, and Visual C++ are either registered trademarks or trademarks of Microsoft Corporation in the U.S.A. and/or other countries/regions.
The authors and publisher have taken care in the preparation of this book, but make no expressed or implied warranty of any kind and assume no responsibility for errors or omissions. No liability is assumed for incidental or consequential damages in connection with or arising out of the use of the information or programs contained herein.
The publisher offers excellent discounts on this book when ordered in quantity for bulk purchases or special sales, which may include electronic versions and/or custom covers and content particular to your business, training goals, marketing focus, and branding interests. For more information, please contact:
U.S. Corporate and Government Sales
(800) 382-3419
email@example.com
For sales outside the United States please contact:
International Sales
firstname.lastname@example.org
Visit us on the Web: informit.com/aw
Library of Congress Cataloging-in-Publication Data
The C# programming language / Anders Hejlsberg ... [et al.]—3rd ed.
p. cm.
Rev. ed of: The C# programming language / Anders Hejlsberg, Scott Wiltamuth, Peter Golde, 2nd ed. 2006.
Includes bibliographical references and index.
ISBN 978-0-321-56299-9 (alk. paper)
1. C# (Computer program language) I. Hejlsberg, Anders.
QA76.73.C154H45 2008
005.13'3—dc22
2008030025
Copyright © 2009 Microsoft Corporation
All rights reserved. Printed in the United States of America. This publication is protected by copyright, and permission must be obtained from the publisher prior to any prohibited reproduction, storage in a retrieval system, or transmission in any form or by any means, electronic, mechanical, photocopying, recording, or likewise. For information regarding permissions, write to:
Pearson Education, Inc
Rights and Contracts Department
501 Boylston Street, Suite 900
Boston, MA 02116
Fax (617) 671-3447
ISBN-13: 978-0-321-56299-9
ISBN-10: 0-321-56299-2
Text printed in the United States on recycled paper at Courier in Westford, Massachusetts.
First printing, October 2008
It’s been eight years since the launch of .NET in the summer of 2000. For me, the significance of .NET was the one-two combination of managed code for local execution and XML messaging for program-to-program communication. What wasn’t obvious to me at the time was how important C# would be.
From the inception of .NET, C# has provided the primary means by which developers understand and interact with .NET. Ask the average .NET developer the difference between a value type and a reference type, and he or she will quickly say “struct versus class,” not “types that derive from System.ValueType versus those that don’t.” Why? Because people use languages, not APIs, to communicate their ideas and intention to the runtime and, more importantly, to one another.
It’s difficult to overstate how important having a great language has been to the success of the platform at large. C# was initially important to establish the baseline for how people think about .NET. It’s proven even more important as .NET has evolved, and features such as iterators and true closures (also known as anonymous methods) have been introduced to developers as purely language features implemented by the C# compiler, not as features native to the platform. The fact that C# is a vital center of innovation for .NET became even more apparent with the release of C# 3.0, which introduced standardized query operators, compact lambda expressions, extension methods, and runtime access to expression trees—again, all driven out of the language and the compiler.
It’s hard to talk about C# without also talking about its inventor and constant shepherd, Anders Hejlsberg. I had the distinct pleasure of participating in the recurring C# design meetings for a few months during the C# 3.0 design cycle, and it was enlightening watching Anders at work. His instincts for knowing what developers will and will not like is
truly world class—yet at the same time, Anders is extremely inclusive of his design team and manages to get the best design possible.
With C# 3.0 in particular, Anders had an uncanny ability to take key ideas from the functional language community and make them accessible to a very broad audience. This is no trivial feat. Guy Steele once said of Java, “We were not out to win over the Lisp programmers; we were after the C++ programmers. We managed to drag a lot of them about halfway to Lisp.” When I look at C# 3.0, I know that C# has managed to drag at least one C++ developer (me) most of the way.
As good as C# is, people still need a document written in both natural language (English, in this case) and some formalism (BNF) to grok the subtleties and ensure that we’re all speaking the same C#. The book you hold in your hands is that document. Based on my own experience, I can safely say that every .NET developer who reads it will have at least one “aha” moment and will be a better developer for it.
Enjoy.
Don Box
July 2008
The C# project started almost ten years ago, in December 1998, with the goal of creating a simple, modern, object-oriented, and type-safe programming language for the new and yet-to-be-named .NET platform. Since then, C# has come a long way. The language is now in use by more than one million programmers, and it has been released in three versions, each of which added several major new features.
This book, too, is in its third edition. A complete technical specification of the C# programming language, the third edition differs in several ways from the first two. Most notably, of course, it has been updated to cover all the new features of C# 3.0, including object and collection initializers, anonymous types, lambda expressions, query expressions, and partial methods. Most of these features are motivated by support for a more functional and declarative style of programming and, in particular, for Language Integrated Query (LINQ), which offers a unified approach to data querying across different kinds of data sources. LINQ, in turn, builds heavily on some of the features that were introduced in C# 2.0, including generics, iterators, and partial types.
Another change in the third edition is that the specification has been thoroughly reorganized. In the second edition of this book, the features introduced in C# 2.0 were described separately from the original C# 1.0 features. With a third helping of new features, this approach did not scale—the utility of the book would be impaired by the reader’s need to correlate information from three different parts. Instead, the material is now organized by topic, with features from all three language versions presented together in an integrated manner.
A final but important departure from earlier editions is the inclusion of annotations in the text. We are very fortunate to be able to provide insightful guidance, background, and perspective from some of the world’s leading experts in C# and .NET in the form of
annotations throughout the book. We are very happy to see the annotations complement the core material and help the C# features spring to life.
Many people have been involved in the creation of the C# language. The language design team for C# 1.0 consisted of Anders Hejlsberg, Scott Wiltamuth, Peter Golde, Peter Sollich, and Eric Gunnerson. For C# 2.0, the language design team consisted of Anders Hejlsberg, Peter Golde, Peter Hallam, Shon Katzenberger, Todd Proebsting, and Anson Horton. Furthermore, the design and implementation of generics in C# and the .NET Common Language Runtime are based on the “Gyro” prototype built by Don Syme and Andrew Kennedy of Microsoft Research. C# 3.0 was designed by Anders Hejlsberg, Peter Hallam, Shon Katzenberger, Dinesh Kulkarni, Erik Meijer, Mads Torgersen, and Matt Warren.
It is impossible to acknowledge the many people who have influenced the design of C#, but we are nonetheless grateful to all of them. Nothing good gets designed in a vacuum, and the constant feedback we receive from our large and enthusiastic community of developers is invaluable.
C# has been, and continues to be, one of the most challenging and exciting projects on which we’ve worked. We hope you enjoy using C# as much as we enjoyed creating it.
Anders Hejlsberg
Mads Torgersen
Scott Wiltamuth
Seattle, Washington
July 2008
A compile-time error occurs if either of these requirements is not satisfied. Otherwise, the `&&` or `||` operation is evaluated by combining the user-defined operator `true` or operator `false` with the selected user-defined operator:
- The operation `x && y` is evaluated as `T.false(x) ? x : T.& (x, y)`, where `T.false(x)` is an invocation of the operator `false` declared in `T`, and `T.& (x, y)` is an invocation of the selected operator `&`. In other words, `x` is first evaluated, and operator `false` is invoked on the result to determine if `x` is definitely false. Then, if `x` is definitely false, the result of the operation is the value previously computed for `x`. Otherwise, `y` is evaluated, and the selected operator `&` is invoked on the value previously computed for `x` and the value computed for `y` to produce the result of the operation.
- The operation `x || y` is evaluated as `T.true(x) ? x : T.| (x, y)`, where `T.true(x)` is an invocation of the operator `true` declared in `T`, and `T.| (x, y)` is an invocation of the selected operator `|`. In other words, `x` is first evaluated, and operator `true` is invoked on the result to determine if `x` is definitely true. Then, if `x` is definitely true, the result of the operation is the value previously computed for `x`. Otherwise, `y` is evaluated, and the selected operator `|` is invoked on the value previously computed for `x` and the value computed for `y` to produce the result of the operation.
In either of these operations, the expression given by `x` is evaluated only once, and the expression given by `y` either is not evaluated or is evaluated exactly once.
For an example of a type that implements operator `true` and operator `false`, see §11.4.2.
### 7.12 The Null Coalescing Operator
The `??` operator is called the null coalescing operator.
```
null-coalescing-expression:
conditional-or-expression
conditional-or-expression ?? null-coalescing-expression
```
A null coalescing expression of the form `a ?? b` requires `a` to be of a nullable type or reference type. If `a` is non-null, the result of `a ?? b` is `a`; otherwise, the result is `b`. The operation evaluates `b` only if `a` is null.
The null coalescing operator is right-associative, meaning that operations are grouped from right to left. For example, an expression of the form `a ?? b ?? c` is evaluated as `a ?? (b ?? c)`. In general terms, an expression of the form `E₁ ?? E₂ ?? ... ?? Eₙ` returns the first of the operands that is non-null, or `null` if all operands are null.
The type of the expression \(a ?? b\) depends on which implicit conversions are available between the types of the operands. In order of preference, the type of \(a ?? b\) is \(A_o\), \(A\), or \(B\), where \(A\) is the type of \(a\), \(B\) is the type of \(b\) (provided that \(b\) has a type), and \(A_o\) is the underlying type of \(A\) if \(A\) is a nullable type, or \(A\) otherwise. Specifically, \(a ?? b\) is processed as follows:
- If \(A\) is not a nullable type or a reference type, a compile-time error occurs.
- If \(A\) is a nullable type and an implicit conversion exists from \(b\) to \(A_o\), the result type is \(A_o\). At runtime, \(a\) is evaluated first. If \(a\) is not null, \(a\) is unwrapped to type \(A_o\), and this becomes the result. Otherwise, \(b\) is evaluated and converted to type \(A_o\), and this becomes the result.
- Otherwise, if an implicit conversion exists from \(b\) to \(A\), the result type is \(A\). At runtime, \(a\) is evaluated first. If \(a\) is not null, \(a\) becomes the result. Otherwise, \(b\) is evaluated and converted to type \(A\), and this becomes the result.
- Otherwise, if \(b\) has a type \(B\) and an implicit conversion exists from \(A_o\) to \(B\), the result type is \(B\). At runtime, \(a\) is evaluated first. If \(a\) is not null, \(a\) is unwrapped to type \(A_o\) (unless \(A\) and \(A_o\) are the same type) and converted to type \(B\), and this becomes the result. Otherwise, \(b\) is evaluated and becomes the result.
- Otherwise, \(a\) and \(b\) are incompatible, and a compile-time error occurs.
**ERIC LIPPERT** These conversion rules considerably complicate the transformation of a null coalescing operator into an expression tree. In some cases, the compiler must emit an additional expression tree lambda specifically to handle the conversion logic.
**CHRIS SELLS** The `??` operator is useful for setting default values for reference types or nullable value types. For example,
```csharp
Foo f1 = ...;
Foo f2 = f1 ?? new Foo(...);
int? i1 = ...;
int i2 = i1 ?? 452;
```
**FRITZ ONION** When I first saw the new `??` operator in C# 2.0, I was a bit skeptical. Did we really need another terse operator to further obfuscate our code? Over the last year or two, however, I’ve actually found myself using it quite a bit, and I think this operator actually enhances readability once you get used to it. So I guess the answer was yes, we—or I, at least—did need the `??` operator.
Consider the example of implementing a property that is backed by ViewState in ASP.NET (say, for a custom control):
```csharp
public string Title
{
get { return (string)ViewState["title"] ?? "Default title"; }
set { ViewState["title"] = value; }
}
```
I use this pattern quite a bit when implementing reference type properties backed by ViewState, and I quite like the way it succinctly expresses the check for null.
### 7.13 Conditional Operator
The `?:` operator is called the conditional operator (or sometimes the ternary operator).
```
conditional-expression:
null-coalescing-expression
null-coalescing-expression ? expression : expression
```
A conditional expression of the form `b ? x : y` first evaluates the condition `b`. Then, if `b` is true, `x` is evaluated and becomes the result of the operation. Otherwise, `y` is evaluated and becomes the result of the operation. A conditional expression never evaluates both `x` and `y`.
**DON BOX** Having learned Lisp late in life, I almost never used the conditional operator when I was a C++ programmer. When I started working with C# 3.0, its value became obvious. I use the conditional operator a fair amount now, and not just inside of lambda expressions.
The conditional operator is right-associative, meaning that operations are grouped from right to left. For example, an expression of the form `a ? b : c ? d : e` is evaluated as `a ? b : (c ? d : e)`.
The first operand of the `?:` operator must be an expression of a type that can be implicitly converted to `bool`, or an expression of a type that implements operator `true`. If neither of these requirements is satisfied, a compile-time error occurs.
The second and third operands of the `?:` operator control the type of the conditional expression. Let `X` and `Y` be the types of the second and third operands. Then,
- If `X` and `Y` are the same type, then this is the type of the conditional expression.
Otherwise, if an implicit conversion (§6.1) exists from \(X\) to \(Y\), but not from \(Y\) to \(X\), then \(Y\) is the type of the conditional expression.
Otherwise, if an implicit conversion (§6.1) exists from \(Y\) to \(X\), but not from \(X\) to \(Y\), then \(X\) is the type of the conditional expression.
Otherwise, no expression type can be determined, and a compile-time error occurs.
**ERIC LIPPERT** The Microsoft C# compiler actually implements a slightly different algorithm: It checks for conversions from the *expressions* to the types, not from *types* to types. In most cases, the difference does not matter and it would break existing code to change it now.
The runtime processing of a conditional expression of the form \(b ? x : y\) consists of the following steps:
- First, \(b\) is evaluated, and the `bool` value of \(b\) is determined:
- If an implicit conversion from the type of \(b\) to `bool` exists, then this implicit conversion is performed to produce a `bool` value.
- Otherwise, the operator `true` defined by the type of \(b\) is invoked to produce a `bool` value.
- If the `bool` value produced by the previous step is `true`, then \(x\) is evaluated and converted to the type of the conditional expression, and this becomes the result of the conditional expression.
- Otherwise, \(y\) is evaluated and converted to the type of the conditional expression, and this becomes the result of the conditional expression.
### 7.14 Anonymous Function Expressions
An *anonymous function* is an expression that represents an “in-line” method definition. An anonymous function does not have a value in and of itself, but rather is convertible to a compatible delegate or expression tree type. The evaluation of an anonymous function conversion depends on the target type of the conversion: If it is a delegate type, the conversion evaluates to a delegate value referencing the method that the anonymous function defines. If it is an expression tree type, the conversion evaluates to an expression tree that represents the structure of the method as an object structure.
Of all of the recently introduced features in C#, anonymous functions have been the one that has increased my productivity the most. Specifically, not having to factor blocks of functionality into named classes and methods makes it extremely efficient for me to get an idea from my brain into executable code.
For historical reasons, two syntactic flavors of anonymous functions exist—namely, *lambda-expressions* and *anonymous-method-expressions*. For almost all purposes, *lambda-expressions* are more concise and expressive than *anonymous-method-expressions*, which remain in the language for backward compatibility.
```
lambda-expression:
anonymous-function-signature => anonymous-function-body
anonymous-method-expression:
delegate explicit-anonymous-function-signature_opt block
anonymous-function-signature:
explicit-anonymous-function-signature
implicit-anonymous-function-signature
explicit-anonymous-function-signature:
( explicit-anonymous-function-parameter-list_opt )
explicit-anonymous-function-parameter-list
explicit-anonymous-function-parameter
explicit-anonymous-function-parameter-list , explicit-anonymous-function-parameter
explicit-anonymous-function-parameter:
anonymous-function-parameter-modifier_opt type identifier
anonymous-function-parameter-modifier:
ref
out
implicit-anonymous-function-signature:
( implicit-anonymous-function-parameter-list_opt )
implicit-anonymous-function-parameter
implicit-anonymous-function-parameter-list
implicit-anonymous-function-parameter
implicit-anonymous-function-parameter-list , implicit-anonymous-function-parameter
```
The => operator has the same precedence as assignment (=) and is right-associative.
The parameters of an anonymous function in the form of a *lambda-expression* can be explicitly or implicitly typed. In an explicitly typed parameter list, the type of each parameter is explicitly stated. In an implicitly typed parameter list, the types of the parameters are inferred from the context in which the anonymous function occurs—specifically, when the anonymous function is converted to a compatible delegate type or expression tree type, that type provides the parameter types (§6.5).
**BILL WAGNER** In general, your anonymous functions will be more resilient if you rely on implicit typing.
In an anonymous function with a single, implicitly typed parameter, the parentheses may be omitted from the parameter list. In other words, an anonymous function of the form
\[
\param \Rightarrow \expr
\]
can be abbreviated to
\[
\param \Rightarrow \expr
\]
The parameter list of an anonymous function in the form of an *anonymous-method-expression* is optional. If given, the parameters must be explicitly typed. If not, the anonymous function is convertible to a delegate with any parameter list not containing out parameters.
Some examples of anonymous functions follow:
\[
x \Rightarrow x + 1 \quad // Implicitly typed, expression body
\]
\[
x \Rightarrow \{ \text{return } x + 1; \} \quad // Implicitly typed, statement body
\]
\[
(\text{int } x) \Rightarrow x + 1 \quad // Explicitly typed, expression body
\]
\[
(\text{int } x) \Rightarrow \{ \text{return } x + 1; \} \quad // Explicitly typed, statement body
\]
\[
(x, y) \Rightarrow x * y \quad // Multiple parameters
\]
\[
() \Rightarrow \text{Console.WriteLine()} \quad // No parameters
\]
\[
\text{delegate (int } x) \{ \text{return } x + 1; \} \quad // Anonymous method expression
\]
\[
\text{delegate } \{ \text{return } 1 + 1; \} \quad // Parameter list omitted
\]
The behavior of *lambda-expressions* and *anonymous-method-expressions* is the same except for the following points:
- *anonymous-method-expressions* permit the parameter list to be omitted entirely, yielding convertibility to delegate types of any list of value parameters.
- *lambda-expressions* permit parameter types to be omitted and inferred, whereas *anonymous-method-expressions* require parameter types to be explicitly stated.
- The body of a *lambda-expression* can be an expression or a statement block, whereas the body of an *anonymous-method-expression* must be a statement block.
- Because only *lambda-expressions* can have *expression* bodies, no *anonymous-method-expression* can be successfully converted to an expression tree type (§4.6).
**BILL WAGNER** This point is important for building queries that rely on expression trees, such as those in Linq to SQL and Linq to Entities.
### 7.14.1 Anonymous Function Signatures
The optional *anonymous-function-signature* of an anonymous function defines the names and optionally the types of the formal parameters for the anonymous function. The scope of the parameters of the anonymous function is the *anonymous-function-body* (§3.7). Together with the parameter list (if given), the *anonymous-method-body* constitutes a declaration space (§3.3). For this reason, it is a compile-time error for the name of a parameter of the anonymous function to match the name of a local variable, local constant, or parameter whose scope includes the *anonymous-method-expression* or *lambda-expression*.
If an anonymous function has an *explicit-anonymous-function-signature*, then the set of compatible delegate types and expression tree types is restricted to those that have the same parameter types and modifiers in the same order. In contrast to method group conversions (§6.6), contravariance of anonymous function parameter types is not supported. If an anonymous function does not have an *anonymous-function-signature*, then the set of compatible delegate types and expression tree types is restricted to those that have no out parameters.
An *anonymous-function-signature* cannot include attributes or a parameter array. Nevertheless, an *anonymous-function-signature* may be compatible with a delegate type whose parameter list contains a parameter array.
Note that conversion to an expression tree type, even if compatible, may still fail at compile time (§4.6).
This is a subtle point. If you have two overloads—say, `void M(Expression<Func<Giraffe>> f)` and `void M(Func<Animal> f)—and a call `M(()=>myGiraffes[++i])`, then the expression tree overload is chosen as the better overload. In this situation, a compile-time error occurs because the increment operator is illegal inside an expression tree.
### 7.14.2 Anonymous Function Bodies
The body (expression or block) of an anonymous function is subject to the following rules:
- If the anonymous function includes a signature, the parameters specified in the signature are available in the body. If the anonymous function has no signature, it can be converted to a delegate type or expression type having parameters (§6.5), but the parameters cannot be accessed in the body.
- Except for ref or out parameters specified in the signature (if any) of the nearest enclosing anonymous function, it is a compile-time error for the body to access a ref or out parameter.
- When the type of this is a struct type, it is a compile-time error for the body to access this. This is true whether the access is explicit (as in `this.x`) or implicit (as in `x` where `x` is an instance member of the struct). This rule simply prohibits such access and does not affect whether member lookup returns a member of the struct.
- The body has access to the outer variables (§7.14.4) of the anonymous function. Access of an outer variable will reference the instance of the variable that is active at the time the lambda-expression or anonymous-method-expression is evaluated (§7.14.5).
- It is a compile-time error for the body to contain a goto statement, break statement, or continue statement whose target is outside the body or within the body of a contained anonymous function.
- A return statement in the body returns control from an invocation of the nearest enclosing anonymous function, not from the enclosing function member. An expression specified in a return statement must be compatible with the delegate type or expression tree type to which the nearest enclosing lambda-expression or anonymous-method-expression is converted (§6.5).
It is explicitly unspecified whether there is any way to execute the block of an anonymous function other than through evaluation and invocation of the lambda-expression or anonymous-method-expression. In particular, the compiler may choose to implement an anonymous function by synthesizing one or more named methods or types. The names of any such synthesized elements must be of a form reserved for compiler use.
7.14.3 Overload Resolution
Anonymous functions in an argument list participate in type inference and overload resolution. Refer to §126.96.36.199 for the exact rules governing their behavior.
The following example illustrates the effect of anonymous functions on overload resolution.
```csharp
class ItemList<T> : List<T>
{
public int Sum(Func<T, int> selector) {
int sum = 0;
foreach (T item in this) sum += selector(item);
return sum;
}
public double Sum(Func<T, double> selector) {
double sum = 0;
foreach (T item in this) sum += selector(item);
return sum;
}
}
```
The `ItemList<T>` class has two `Sum` methods. Each takes a `selector` argument, which extracts the value to sum over from a list item. The extracted value can be either an `int` or a `double`, and the resulting sum is likewise either an `int` or a `double`.
The `Sum` methods could, for example, be used to compute sums from a list of detail lines in some order.
```csharp
class Detail
{
public int UnitCount;
public double UnitPrice;
...
}
void ComputeSums() {
Itemlist<Detail> orderDetails = GetOrderDetails(...);
int totalUnits = orderDetails.Sum(d => d.UnitCount);
double orderTotal = orderDetails.Sum(d => d.UnitPrice * d.UnitCount);
...
}
```
In the first invocation of `orderDetails.Sum`, both `Sum` methods are applicable because the anonymous function `d => d.UnitCount` is compatible with both `Func<Detail, int>` and `Func<Detail, double>`. However, overload resolution picks the first `Sum` method because the conversion to `Func<Detail, int>` is better than the conversion to `Func<Detail, double>`.
In the second invocation of `orderDetails.Sum`, only the second `Sum` method is applicable because the anonymous function `d => d.UnitPrice * d.UnitCount` produces a value of type double. Thus overload resolution picks the second `Sum` method for that invocation.
### 7.14.4 Outer Variables
Any local variable, value parameter, or parameter array whose scope includes the lambda-expression or anonymous-method-expression is called an **outer variable** of the anonymous function. In an instance function member of a class, the `this` value is considered a value parameter and is an outer variable of any anonymous function contained within the function member.
- **BILL WAGNER** This is the formal definition of how closures are implemented in C#. It’s a great addition.
#### 188.8.131.52 Captured Outer Variables
When an outer variable is referenced by an anonymous function, the outer variable is said to have been **captured** by the anonymous function. Ordinarily, the lifetime of a local variable is limited to execution of the block or statement with which it is associated (§5.1.7). However, the lifetime of a captured outer variable is extended at least until the delegate or expression tree created from the anonymous function becomes eligible for garbage collection.
- **BILL WAGNER** In the next example, notice that `x` has a longer life than you would expect, because it is captured by the anonymous method result. If `x` were an expensive resource, that behavior should be avoided by limiting the lifetime of the anonymous method.
In the example
```csharp
using System;
delegate int D();
class Test
{
static D F() {
int x = 0;
D result = () => ++x;
return result;
}
}
```
the local variable \( x \) is captured by the anonymous function, and the lifetime of \( x \) is extended at least until the delegate returned from \( F \) becomes eligible for garbage collection (which doesn’t happen until the very end of the program). Because each invocation of the anonymous function operates on the same instance of \( x \), the example produces the following output:
```
1
2
3
```
When a local variable or a value parameter is captured by an anonymous function, the local variable or parameter is no longer considered to be a fixed variable (\$§18.3), but is instead considered to be a moveable variable. Thus any unsafe code that takes the address of a captured outer variable must first use the `fixed` statement to fix the variable.
### 184.108.40.206 Instantiation of Local Variables
A local variable is considered to be *instantiated* when execution enters the scope of the variable. For example, when the following method is invoked, the local variable \( x \) is instantiated and initialized three times—once for each iteration of the loop.
```csharp
static void F() {
for (int i = 0; i < 3; i++) {
int x = i * 2 + 1;
...
}
}
```
By comparison, moving the declaration of \( x \) outside the loop results in a single instantiation of \( x \):
```csharp
static void F() {
int x;
for (int i = 0; i < 3; i++) {
x = i * 2 + 1;
...
}
}
```
When not captured, there is no way to observe exactly how often a local variable is instantiated—because the lifetimes of the instantiations are disjoint, it is possible for each
instantiation to simply use the same storage location. However, when an anonymous function captures a local variable, the effects of instantiation become apparent.
The example
```csharp
using System;
delegate void D();
class Test
{
static D[] F() {
D[] result = new D[3];
for (int i = 0; i < 3; i++) {
int x = i * 2 + 1;
result[i] = () => { Console.WriteLine(x); };
}
return result;
}
static void Main() {
foreach (D d in F()) d();
}
}
```
produces the following output:
```
1
3
5
```
When the declaration of `x` is moved outside the loop,
```csharp
static D[] F() {
D[] result = new D[3];
int x;
for (int i = 0; i < 3; i++) {
x = i * 2 + 1;
result[i] = () => { Console.WriteLine(x); };
}
return result;
}
```
the output changes as follows:
```
5
5
5
```
If a `for-statement` declares an iteration variable, that variable itself is considered to be declared outside of the loop. Thus, if the example is changed to capture the iteration variable itself,
only one instance of the iteration variable is captured, which produces the following output:
3
3
3
It is possible for anonymous function delegates to share some captured variables, yet have separate instances of others. For example, if F is changed to
```csharp
static D[] F() {
D[] result = new D[3];
int x = 0;
for (int i = 0; i < 3; i++) {
int y = 0;
result[i] = () => { Console.WriteLine("{0} {1}", ++x, ++y); };
}
return result;
}
```
the three delegates capture the same instance of x but separate instances of y, and the output is as follows:
1 1
2 1
3 1
Separate anonymous functions can capture the same instance of an outer variable. In the example
```csharp
using System;
delegate void Setter(int value);
delegate int Getter();
class Test
{
static void Main() {
int x = 0;
Setter s = (int value) => { x = value; };
Getter g = () => { return x; };
s(5);
Console.WriteLine(g());
s(10);
Console.WriteLine(g());
}
}
```
the two anonymous functions capture the same instance of the local variable \( x \), and they can “communicate” through that variable. This example results in the following output:
\[
5 \\
10
\]
### 7.14.5 Evaluation of Anonymous Function Expressions
An anonymous function \( F \) must always be converted to a delegate type \( D \) or an expression tree type \( E \), either directly or through the execution of a delegate creation expression `new D(F)`. This conversion determines the result of the anonymous function, as described in §6.5.
### 7.15 Query Expressions
*Query expressions* provide a language-integrated syntax for queries that is similar to relational and hierarchical query languages such as SQL and XQuery.
```
query-expression:
from-clause query-body
from-clause:
from type_opt identifier in expression
query-body:
query-body-clauses_opt select-or-group-clause query-continuation_opt
query-body-clauses:
query-body-clause
query-body-clauses query-body-clause
query-body-clause:
from-clause
let-clause
where-clause
join-clause
join-into-clause
orderby-clause
let-clause:
let identifier = expression
where-clause:
where boolean-expression
```
A query expression begins with a `from` clause and ends with either a `select` or `group` clause. The initial `from` clause can be followed by zero or more `from`, `let`, `where`, `join`, or `orderby` clauses. Each `from` clause is a generator introducing a *range variable*, which ranges over the elements of a *sequence*. Each `let` clause introduces a range variable representing a value computed by means of previous range variables. Each `where` clause is a filter that excludes items from the result. Each `join` clause compares specified keys of the source sequence with keys of another sequence, yielding matching pairs. Each `orderby` clause reorders items according to specified criteria. The final `select` or `group` clause specifies the shape of the result in terms of the range variables. Finally, an `into` clause can be used to “splice” queries by treating the results of one query as a generator in a subsequent query.
7.15.1 Ambiguities in Query Expressions
Query expressions contain a number of “contextual keywords”—that is, identifiers that have special meaning in a given context. Specifically, these contextual keywords are `from`, `where`, `join`, `on`, `equals`, `into`, `let`, `orderby`, `ascending`, `descending`, `select`, `group`, and `by`. To avoid ambiguities in query expressions caused by mixed use of these identifiers as keywords and simple names, the identifiers are always considered keywords when they occur anywhere within a query expression.
For this purpose, a query expression is any expression that starts with “`from identifier`” followed by any token except “`;`”, “`=`, or “`,`”.
To use these words as identifiers within a query expression, prefix them with “@” (§2.4.2).
7.15.2 Query Expression Translation
The C# language does not directly specify the execution semantics of query expressions. Rather, query expressions are translated into invocations of methods that adhere to the query expression pattern (§7.15.3). Specifically, query expressions are translated into invocations of methods named `Where`, `Select`, `SelectMany`, `Join`, `GroupJoin`, `OrderBy`, `OrderByDescending`, `ThenBy`, `ThenByDescending`, `GroupBy`, and `Cast`. These methods are expected to have particular signatures and result types, as described in §7.15.3. They can be instance methods of the object being queried or extension methods that are external to the object, and they implement the actual execution of the query.
The translation from query expressions to method invocations is a syntactic mapping that occurs before any type binding or overload resolution has been performed. The translation is guaranteed to be syntactically correct, but it is not guaranteed to produce semantically correct C# code. Following translation of query expressions, the resulting method invocations are processed as regular method invocations. This processing may, in turn, uncover errors—for example, if the methods do not exist, if arguments have wrong types, or if the methods are generic and type inference fails.
- **BILL WAGNER** This entire section is a great way to understand how query expressions are translated into method calls and possibly extension method calls.
A query expression is processed by repeatedly applying the following translations until no further reductions are possible. The translations are listed in order of application: Each section assumes that the translations in the preceding sections have been performed exhaustively, and once exhausted, a section will not be revisited later in the processing of the same query expression.
Assignment to range variables is not allowed in query expressions. However, a C# implementation is permitted to not always enforce this restriction, because satisfying this constraint may sometimes not be possible with the syntactic translation scheme presented here.
Certain translations inject range variables with transparent identifiers denoted by *. The special properties of transparent identifiers are discussed further in §220.127.116.11.
CHRIS SELLS As much as I like the C# 3.0 query syntax, sometimes it’s difficult to keep the translations in my head. Don’t feel bad if you occasionally feel the need to write out your queries using the method call syntax. Also, any query methods that you implement yourself will not have language constructs, so sometimes you won’t have any choice except to use the method call syntax.
18.104.22.168 select and groupby Clauses with Continuations
A query expression with a continuation
from ... into x ...
is translated into
from x in ( from ... ) ...
The translations in the following sections assume that queries have no into continuations.
The example
from c in customers
group c by c.Country into g
select new { Country = g.Key, CustCount = g.Count() }
is translated into
from g in
from c in customers
group c by c.Country
select new { Country = g.Key, CustCount = g.Count() }
Its final translation is
customers.
GroupBy(c => c.Country).
Select(g => new { Country = g.Key, CustCount = g.Count() })
JOSEPH ALBAHARI The purpose of a query continuation is to allow further clauses after a select or group clause (which would otherwise terminate the query). After a query continuation, the former range variable, and any variables that were introduced through join or let clauses, are out of scope. In contrast, a let clause acts like a nondestructive select: It keeps the former range variable, and other query variables, in scope.
The identifier introduced by a query continuation can be the same as the preceding range variable.
22.214.171.124 Explicit Range Variable Types
A from clause that explicitly specifies a range variable type
```csharp
from Tx in e
```
is translated into
```csharp
from x in (e).Cast<T>()
```
A join clause that explicitly specifies a range variable type
```csharp
join Tx in e on k1 equals k2
```
is translated into
```csharp
join x in (e).Cast<T>() on k1 equals k2
```
The translations in the following sections assume that queries have no explicit range variable types.
The example
```csharp
from Customer c in customers
where c.City == "London"
select c
```
is translated into
```csharp
from c in customers.Cast<Customer>()
where c.City == "London"
select c
```
The final translation is
```csharp
customers.
Cast<Customer>().Where(c => c.City == "London")
```
Explicit range variable types are useful for querying collections that implement the non-generic `IEnumerable` interface, but not the generic `IEnumerable<T>` interface. In the preceding example, this would be the case if `customers` were of type `ArrayList`.
126.96.36.199 Degenerate Query Expressions
A query expression of the form
```csharp
from x in e select x
```
is translated into
```csharp
(e).Select(x => x)
```
The example
```csharp
from c in customers
select c
```
is translated into
```csharp
customers.Select(c => c)
```
A degenerate query expression is one that trivially selects the elements of the source. A later phase of the translation removes degenerate queries introduced by other translation steps by replacing those queries with their source. In this situation, it is important to ensure that the result of a query expression is never the source object itself, as that would reveal the type and identity of the source to the client of the query. As a consequence, this step protects degenerate queries written directly in source code by explicitly calling `Select` on the source. It is then up to the implementers of `Select` and other query operators to ensure that these methods never return the source object itself.
188.8.131.52 from, let, where, join, and orderby Clauses
JOSEPH ALBAHARI The cumbersome-looking translations in this section are what make query syntax really useful: They eliminate the need to write out cumbersome queries by hand. Without this problem, there might have been little justification for introducing query expression syntax into C# 3.0, given the capabilities of lambda expressions and extension methods.
The common theme in the more complex translations is the process of projecting into a temporary anonymous type so as to keep the former range variable in scope following a `let`, `from`, or `join` clause.
A query expression with a second `from` clause followed by a `select` clause
```csharp
from x1 in e1
from x2 in e2
select v
```
is translated into
```csharp
(e1).SelectMany(x1 => e2, (x1, x2) => v)
```
A query expression with a second `from` clause followed by something other than a `select` clause
```csharp
from x1 in e1
from x2 in e2
...
```
is translated into
```csharp
from * in (e1).SelectMany(x1 => e2, (x1, x2) => new { x1, x2 })
...
```
A query expression with a `let` clause
```csharp
from x in e
let y = f
...
```
is translated into
```csharp
from * in (e).Select(x => new { x, y = f })
...
```
A query expression with a `where` clause
```csharp
from x in e
where f
...
```
is translated into
```csharp
from x in (e).Where(x => f)
...
```
A query expression with a `join` clause without an `into` followed by a `select` clause
```csharp
from x1 in e1
join x2 in e2 on k1 equals k2
select v
```
is translated into
```csharp
(e1).Join(e2, x1 => k1, x2 => k2, (x1, x2) => v)
```
A query expression with a join clause without an into followed by something other than a select clause
```csharp
from x1 in e1
join x2 in e2 on k1 equals k2
...
```
is translated into
```csharp
from * in (e1).Join(
e2, x1 => k1, x2 => k2, (x1, x2) => new { x1, x2 })
...
```
A query expression with a join clause with an into followed by a select clause
```csharp
from x1 in e1
join x2 in e2 on k1 equals k2 into g
select v
```
is translated into
```csharp
(e1).GroupJoin(
e2, x1 => k1, x2 => k2, (x1, g) => v)
```
A query expression with a join clause with an into followed by something other than a select clause
```csharp
from x1 in e1
join x2 in e2 on k1 equals k2 into g
...
```
is translated into
```csharp
from * in (e1).GroupJoin(
e2, x1 => k1, x2 => k2, (x1, g) => new { x1, g })
...
```
A query expression with an orderby clause
```csharp
from x in e
orderby k1, k2, ..., kn
...
```
is translated into
```csharp
from x in (e).
OrderBy(x => k1).
ThenBy(x => k2).
...
ThenBy(x => kn)
...
```
If an ordering clause specifies a descending direction indicator, an invocation of `OrderByDescending` or `ThenByDescending` is produced instead.
The following translations assume that there are no `let`, `where`, `join`, or `orderby` clauses, and no more than the one initial `from` clause in each query expression.
The example
```csharp
from c in customers
from o in c.Orders
select new { c.Name, o.OrderID, o.Total }
```
is translated into
```csharp
customers.
SelectMany(c => c.Orders,
(c,o) => new { c.Name, o.OrderID, o.Total }
)
```
The example
```csharp
from c in customers
from o in c.Orders
orderby o.Total descending
select new { c.Name, o.OrderID, o.Total }
```
is translated into
```csharp
from * in customers.
SelectMany(c => c.Orders, (c,o) => new { c, o })
orderby o.Total descending
select new { c.Name, o.OrderID, o.Total }
```
The final translation is
```csharp
customers.
SelectMany(c => c.Orders, (c,o) => new { c, o }).
OrderByDescending(x => x.o.Total).
Select(x => new { x.c.Name, x.o.OrderID, x.o.Total })
```
where `x` is a compiler-generated identifier that is otherwise invisible and inaccessible.
The example
```csharp
from o in orders
let t = o.Details.Sum(d => d.UnitPrice * d.Quantity)
where t >= 1000
select new { o.OrderID, Total = t }
```
is translated into
from * in orders.
Select(o => new { o, t = o.Details.Sum(d => d.UnitPrice * d.Quantity) })
where t >= 1000
select new { o.OrderID, Total = t }
The final translation is
orders.
Select(o => new { o, t = o.Details.Sum(d => d.UnitPrice * d.Quantity) }).
Where(x => x.t >= 1000).
Select(x => new { x.o.OrderID, Total = x.t })
where \(x\) is a compiler-generated identifier that is otherwise invisible and inaccessible.
The example
from c in customers
join o in orders on c.CustomerID equals o.CustomerID
select new { c.Name, o.OrderDate, o.Total }
is translated into
customers.Join(orders, c => c.CustomerID, o => o.CustomerID,
(c, o) => new { c.Name, o.OrderDate, o.Total })
The example
from c in customers
join o in orders on c.CustomerID equals o.CustomerID into co
let n = co.Count()
where n >= 10
select new { c.Name, OrderCount = n }
is translated into
from * in customers.
GroupJoin(orders, c => c.CustomerID, o => o.CustomerID,
(c, co) => new { c, co })
let n = co.Count()
where n >= 10
select new { c.Name, OrderCount = n }
The final translation is
customers.
GroupJoin(orders, c => c.CustomerID, o => o.CustomerID,
(c, co) => new { c, co }).
Select(x => new { x, n = x.co.Count() }).
Where(y => y.n >= 10).
Select(y => new { y.x.c.Name, OrderCount = y.n})
where \(x\) and \(y\) are compiler-generated identifiers that are otherwise invisible and inaccessible.
The example
```csharp
from o in orders
orderby o.Customer.Name, o.Total descending
select o
```
has the final translation
```csharp
orders.
OrderBy(o => o.Customer.Name).
ThenByDescending(o => o.Total)
```
### 184.108.40.206 `select` Clauses
A query expression of the form
```csharp
from x in e select v
```
is translated into
```csharp
(e).Select(x => v)
```
except when \(v\) is the identifier \(x\). In the latter case, the translation is simply
```csharp
(e)
```
For example,
```csharp
from c in customers.Where(c => c.City == "London")
select c
```
is simply translated into
```csharp
customers.Where(c => c.City == "London")
```
### 220.127.116.11 `groupby` Clauses
A query expression of the form
```csharp
from x in e group v by k
```
is translated into
```csharp
(e).GroupBy(x => k, x => v)
```
except when \(v\) is the identifier \(x\). In the latter case, the translation is
```csharp
(e).GroupBy(x => k)
```
The example
```csharp
from c in customers
group c.Name by c.Country
```
is translated into
```csharp
customers.
GroupBy(c => c.Country, c => c.Name)
```
### 18.104.22.168 Transparent Identifiers
Certain translations inject range variables with *transparent identifiers* denoted by *. Transparent identifiers are not a proper language feature; they exist only as an intermediate step in the query expression translation process.
When a query translation injects a transparent identifier, further translation steps propagate the transparent identifier into anonymous functions and anonymous object initializers. In those contexts, transparent identifiers have the following behavior:
- When a transparent identifier occurs as a parameter in an anonymous function, the members of the associated anonymous type are automatically in scope in the body of the anonymous function.
- When a member with a transparent identifier is in scope, the members of that member are in scope as well.
- When a transparent identifier occurs as a member declarator in an anonymous object initializer, it introduces a member with a transparent identifier.
In the translation steps described earlier, transparent identifiers are always introduced together with anonymous types, with the intent of capturing multiple range variables as members of a single object. An implementation of C# is permitted to use a different mechanism than anonymous types to group together multiple range variables. The following translation examples assume that anonymous types are used, and show how transparent identifiers can be translated away.
The example
```csharp
from c in customers
from o in c.Orders
orderby o.Total descending
select new { c.Name, o.Total }
```
is translated into
```csharp
from * in customers.
SelectMany(c => c.Orders, (c,o) => new { c, o })
orderby o.Total descending
select new { c.Name, o.Total }
```
which is further translated into
```csharp
customers.
SelectMany(c => c.Orders, (c,o) => new { c, o }).
OrderByDescending(* => o.Total).
Select(* => new { c.Name, o.Total })
```
When transparent identifiers are erased, the final translation is equivalent to
```csharp
customers.
SelectMany(c => c.Orders, (c,o) => new { c, o }).
OrderByDescending(x => x.o.Total).
Select(x => new { x.c.Name, x.o.Total })
```
where `x` is a compiler-generated identifier that is otherwise invisible and inaccessible.
The example
```csharp
from c in customers
join o in orders on c.CustomerID equals o.CustomerID
join d in details on o.OrderID equals d.OrderID
join p in products on d.ProductID equals p.ProductID
select new { c.Name, o.OrderDate, p.ProductName }
```
is translated into
```csharp
from * in customers.
Join(orders, c => c.CustomerID, o => o.CustomerID,
(c, o) => new { c, o })
join d in details on o.OrderID equals d.OrderID
join p in products on d.ProductID equals p.ProductID
select new { c.Name, o.OrderDate, p.ProductName }
```
which is further reduced to
```csharp
customers.
Join(orders, c => c.CustomerID, o => o.CustomerID, (c, o) => new { c, o }).
Join(details, * => o.OrderID, d => d.OrderID, (*, d) => new { *, d }).
Join(products, * => d.ProductID, p => p.ProductID, (*, p) => new { *, p }).
Select(* => new { c.Name, o.OrderDate, p.ProductName })
```
The final translation is
```csharp
customers.
Join(orders, c => c.CustomerID, o => o.CustomerID,
(c, o) => new { c, o }).
Join(details, x => x.o.OrderID, d => d.OrderID,
(x, d) => new { x, d }).
Join(products, y => y.d.ProductID, p => p.ProductID,
(y, p) => new { y, p }).
Select(z => new { z.y.x.c.Name, z.y.x.o.OrderDate, z.p.ProductName })
```
where \(x, y,\) and \(z\) are compiler-generated identifiers that are otherwise invisible and inaccessible.
- **MADS TORGERSEN** The last example demonstrates one of the most powerful aspects of query expressions—the ability to introduce multiple range variables and have them pass through subsequent query operators in a manner transparent to the programmer.
### 7.15.3 The Query Expression Pattern
The *query expression pattern* establishes a pattern of methods that types can implement to support query expressions. Because query expressions are translated to method invocations by means of a syntactic mapping, types have considerable flexibility in how they implement the query expression pattern. For example, the methods of the pattern can be implemented as instance methods or as extension methods because both kinds of methods have the same invocation syntax. Likewise, the methods can request delegates or expression trees because anonymous functions are convertible to both.
The recommended shape of a generic type \(C<T>\) that supports the query expression pattern is shown below. A generic type is used to illustrate the proper relationships between parameter and result types, but it is possible to implement the pattern for nongeneric types as well.
```csharp
delegate R Func<T1,R>(T1 arg1);
delegate R Func<T1,T2,R>(T1 arg1, T2 arg2);
class C
{
public C<T> Cast<T>();
}
class C<T> : C
{
public C<T> Where(Func<T,bool> predicate);
public C<U> Select<U>(Func<T,U> selector);
public C<V> SelectMany<U,V>(Func<T,C<U>> selector,
Func<T,U,V> resultSelector);
public C<V> Join<U,K,V>(C<U> inner, Func<T,K> outerKeySelector,
Func<U,K> innerKeySelector, Func<T,U,V> resultSelector);
public C<V> GroupJoin<U,K,V>(C<U> inner, Func<T,K> outerKeySelector,
Func<U,K> innerKeySelector, Func<T,C<U>,V> resultSelector);
public O<T> OrderBy<K>(Func<T,K> keySelector);
public O<T> OrderByDescending<K>(Func<T,K> keySelector);
}
```
These methods use the generic delegate types `Func<T1, R>` and `Func<T1, T2, R>`, but they could equally well have used other delegate or expression tree types with the same relationships in parameter and result types.
Notice the recommended relationship between `C<T>` and `O<T>`, which ensures that the `ThenBy` and `ThenByDescending` methods are available only on the result of an `OrderBy` or `OrderByDescending`. Also notice the recommended shape of the result of `GroupBy`—a sequence of sequences, where each inner sequence has an additional `Key` property.
**BILL WAGNER** ThenBy will often have better performance than OrderBy, because it needs to sort only inner sequences that have more than one value.
The `System.Linq` namespace provides an implementation of the query operator pattern for any type that implements the `System.Collections.Generic.IEnumerable<T>` interface.
**BILL WAGNER** There is also an implementation for any type that implements `IQueryable<T>`.
**ERIC LIPPERT** This signature for Join is one of the primary motivators of the “accumulate bounds and then fix to the best one” part of the method type inference algorithm. If the inner key is, say, of type `int`, and the outer key of of type `int?`, then rather than having type inference fail due to the “contradiction,” it is better to simply pick the more general of the two types. Because every `int` is an `int?`, the type inference algorithm would choose `int?` for `K`.
7.16 Assignment Operators
The assignment operators assign a new value to a variable, a property, an event, or an indexer element.
\[
\text{assignment:} \\
\quad \text{unary-expression} \ \text{assignment-operator} \ \text{expression}
\]
\[
\text{assignment-operator:} \\
\quad = \\
\quad += \\
\quad -= \\
\quad *= \\
\quad /= \\
\quad %= \\
\quad &= \\
\quad |= \\
\quad ^= \\
\quad <<=
\]
\[
\text{right-shift-assignment}
\]
The left operand of an assignment must be an expression classified as a variable, a property access, an indexer access, or an event access.
The = operator is called the simple assignment operator. It assigns the value of the right operand to the variable, property, or indexer element given by the left operand. The left operand of the simple assignment operator may not be an event access (except as described in §10.8.1). The simple assignment operator is described in §7.16.1.
The assignment operators other than the = operator are called compound assignment operators. These operators perform the indicated operation on the two operands, and then assign the resulting value to the variable, property, or indexer element given by the left operand. The compound assignment operators are described in §7.16.2.
The += and -= operators with an event access expression as the left operand are called event assignment operators. No other assignment operator is valid with an event access as the left operand. The event assignment operators are described in §7.16.3.
The assignment operators are right-associative, meaning that operations are grouped from right to left. For example, an expression of the form \(a = b = c\) is evaluated as \(a = (b = c)\).
7.16.1 Simple Assignment
The = operator is called the simple assignment operator. In a simple assignment, the right operand must be an expression of a type that is implicitly convertible to the type of the left operand. The operation assigns the value of the right operand to the variable, property, or indexer element given by the left operand.
The result of a simple assignment expression is the value assigned to the left operand. The result has the same type as the left operand and is always classified as a value.
If the left operand is a property or indexer access, the property or indexer must have a set accessor. If this is not the case, a compile-time error occurs.
The runtime processing of a simple assignment of the form \( x = y \) consists of the following steps:
- If \( x \) is classified as a variable:
- \( x \) is evaluated to produce the variable.
- \( y \) is evaluated and, if required, converted to the type of \( x \) through an implicit conversion (§6.1).
- If the variable given by \( x \) is an array element of a reference-type, a runtime check is performed to ensure that the value computed for \( y \) is compatible with the array instance of which \( x \) is an element. The check succeeds if \( y \) is null, or if an implicit reference conversion (§6.1.6) exists from the actual type of the instance referenced by \( y \) to the actual element type of the array instance containing \( x \). Otherwise, a System.ArrayTypeMismatchException is thrown.
- The value resulting from the evaluation and conversion of \( y \) is stored into the location given by the evaluation of \( x \).
- If \( x \) is classified as a property or indexer access:
- The instance expression (if \( x \) is not static) and the argument list (if \( x \) is an indexer access) associated with \( x \) are evaluated, and the results are used in the subsequent set accessor invocation.
- \( y \) is evaluated and, if required, converted to the type of \( x \) through an implicit conversion (§6.1).
- The set accessor of \( x \) is invoked with the value computed for \( y \) as its value argument.
The array covariance rules (§12.5) permit a value of an array type \( A[] \) to be a reference to an instance of an array type \( B[] \), provided an implicit reference conversion exists from \( B \) to \( A \). Because of these rules, assignment to an array element of a reference-type requires a
runtime check to ensure that the value being assigned is compatible with the array instance. In the example
```csharp
string[] sa = new string[10];
object[] oa = sa;
oa[0] = null; // Okay
oa[1] = "Hello"; // Okay
oa[2] = new ArrayList(); // ArrayTypeMismatchException
```
the last assignment causes a `System.ArrayTypeMismatchException` to be thrown because an instance of `ArrayList` cannot be stored in an element of a `string[]`.
**BILL WAGNER** This point implies that array assignment does not copy the array, but rather adds a new reference to the same storage.
When a property or indexer declared in a *struct-type* is the target of an assignment, the instance expression associated with the property or indexer access must be classified as a variable. If the instance expression is classified as a value, a compile-time error occurs. Because of the points raised in §7.5.4, the same rule also applies to fields.
Given the declarations:
```csharp
struct Point
{
int x, y;
public Point(int x, int y) {
this.x = x;
this.y = y;
}
public int X {
get { return x; }
set { x = value; }
}
public int Y {
get { return y; }
set { y = value; }
}
}
struct Rectangle
{
Point a, b;
public Rectangle(Point a, Point b) {
this.a = a;
this.b = b;
}
}
```
public Point A {
get { return a; }
set { a = value; }
}
public Point B {
get { return b; }
set { b = value; }
}
in the example
Point p = new Point();
p.X = 100;
p.Y = 100;
Rectangle r = new Rectangle();
r.A = new Point(10, 10);
r.B = p;
the assignments to p.X, p.Y, r.A, and r.B are permitted because p and r are variables. However, in the example
Rectangle r = new Rectangle();
r.A.X = 10;
r.A.Y = 10;
r.B.X = 100;
r.B.Y = 100;
the assignments are all invalid, because r.A and r.B are not variables.
JOSEPH ALBAHARI An early release of the C# 1.0 compiler allowed assignments such as r.A.X = 10—but they failed silently because r.A returns a copy of a Point (i.e., a value) rather than a variable. People found this behavior confusing, so the condition was detected and reported as an error.
BILL WAGNER This discussion highlights yet another reason why structs should be immutable.
7.16.2 Compound Assignment
An operation of the form x op= y is processed by applying binary operator overload resolution (§7.2.4) as if the operation was written x op y. Then,
- If the return type of the selected operator is implicitly convertible to the type of x, the operation is evaluated as x = x op y, except that x is evaluated only once.
• Otherwise, if the selected operator is a predefined operator, if the return type of the selected operator is explicitly convertible to the type of \( x \), and if \( y \) is implicitly convertible to the type of \( x \) or the operator is a shift operator, then the operation is evaluated as \( x = (T)(x \ op \ y) \), where \( T \) is the type of \( x \), except that \( x \) is evaluated only once.
• Otherwise, the compound assignment is invalid, and a compile-time error occurs.
The term “evaluated only once” means that in the evaluation of \( x \ op \ y \), the results of any constituent expressions of \( x \) are temporarily saved and then reused when performing the assignment to \( x \). For example, in the assignment \( A()[B()] += C() \), where \( A \) is a method returning `int[]`, and \( B \) and \( C \) are methods returning `int`, the methods are invoked only once, in the order \( A, B, C \).
When the left operand of a compound assignment is a property access or indexer access, the property or indexer must have both a get accessor and a set accessor. If this is not the case, a compile-time error occurs.
The second rule permits \( x \ op= y \) to be evaluated as \( x = (T)(x \ op \ y) \) in certain contexts. The rule exists such that the predefined operators can be used as compound operators when the left operand is of type `sbyte`, `byte`, `short`, `ushort`, or `char`. Even when both arguments are of one of those types, the predefined operators produce a result of type `int`, as described in §22.214.171.124. Thus, without a cast, it would not be possible to assign the result to the left operand.
The intuitive effect of the rule for predefined operators is simply that \( x \ op= y \) is permitted if both of \( x \ op \ y \) and \( x = y \) are permitted. In the example
```csharp
byte b = 0;
char ch = '\0';
int i = 0;
b += 1; // Okay
b += 1000; // Error, b = 1000 not permitted
b += i; // Error, b = i not permitted
b += (byte)i; // Okay
ch += 1; // Error, ch = 1 not permitted
ch += (char)1; // Okay
```
the intuitive reason for each error is that a corresponding simple assignment would also have been an error.
This also means that compound assignment operations support lifted operations. In the example
```csharp
int? i = 0;
i += 1; // Okay
```
the lifted operator \( +(int?, int?) \) is used.
7.16.3 Event Assignment
If the left operand of a += or -= operator is classified as an event access, then the expression is evaluated as follows:
- The instance expression, if any, of the event access is evaluated.
- The right operand of the += or -= operator is evaluated and, if required, converted to the type of the left operand through an implicit conversion (§6.1).
- An event accessor of the event is invoked, with an argument list consisting of the right operand, after evaluation and, if necessary, conversion. If the operator was +=, the add accessor is invoked; if the operator was -=, the remove accessor is invoked.
An event assignment expression does not yield a value. Thus an event assignment expression is valid only in the context of a statement-expression (§8.6).
7.17 Expressions
An expression is either a non-assignment-expression or an assignment.
\[
\begin{align*}
\text{expression:} \\
& \quad \text{non-assignment-expression} \\
& \quad \text{assignment} \\
\text{non-assignment-expression:} \\
& \quad \text{conditional-expression} \\
& \quad \text{lambda-expression} \\
& \quad \text{query-expression}
\end{align*}
\]
7.18 Constant Expressions
A constant-expression is an expression that can be fully evaluated at compile time.
\[
\begin{align*}
\text{constant-expression:} \\
& \quad \text{expression}
\end{align*}
\]
A constant expression must be the null literal or a value with one of the following types: sbyte, byte, short, ushort, int, uint, long, ulong, char, float, double, decimal, bool, string, or any enumeration type. Only the following constructs are permitted in constant expressions:
- Literals (including the null literal)
- References to const members of class and struct types
• References to members of enumeration types
• References to const parameters or local variables
• Parenthesized subexpressions, which are themselves constant expressions
• Cast expressions, provided the target type is one of the types listed above
• checked and unchecked expressions
• Default value expressions
• The predefined +, -, !, and ~ unary operators
• The predefined +, -, *, /, %, <<, >>, &, |, ^, &&, ||, ==, !=, <, >, <=, and >= binary operators, provided each operand is of a type listed above
• The ?: conditional operator
The following conversions are permitted in constant expressions:
• Identity conversions
• Numeric conversions
• Enumeration conversions
• Constant expression conversions
• Implicit and explicit reference conversions, provided that the source of the conversions is a constant expression that evaluates to the null value
Other conversions including boxing, unboxing, and implicit reference conversions of non-null values are not permitted in constant expressions. For example,
```csharp
class C {
const object i = 5; // Error: boxing conversion not permitted
const object str = "hello"; // Error: implicit reference conversion
}
```
In this example, the initialization of `i` is an error because a boxing conversion is required. The initialization of `str` is an error because an implicit reference conversion from a non-null value is required.
Whenever an expression fulfills the requirements listed above, the expression is evaluated at compile time. This is true even if the expression is a subexpression of a larger expression that contains nonconstant constructs.
The compile-time evaluation of constant expressions uses the same rules as runtime evaluation of nonconstant expressions, except that where runtime evaluation would have thrown an exception, compile-time evaluation causes a compile-time error to occur.
Unless a constant expression is explicitly placed in an unchecked context, overflows that occur in integral-type arithmetic operations and conversions during the compile-time evaluation of the expression always cause compile-time errors (§7.18).
Constant expressions occur in the contexts listed below. In these contexts, a compile-time error occurs if an expression cannot be fully evaluated at compile time.
- Constant declarations (§10.4)
- Enumeration member declarations (§14.3)
- case labels of a switch statement (§8.7.2)
- goto case statements (§8.9.3)
- Dimension lengths in an array creation expression (§126.96.36.199) that includes an initializer
- Attributes (§17)
An implicit constant expression conversion (§6.1.8) permits a constant expression of type int to be converted to sbyte, byte, short, ushort, uint, or ulong, provided the value of the constant expression is within the range of the destination type.
### 7.19 Boolean Expressions
A boolean-expression is an expression that yields a result of type bool, either directly or through application of operator true in certain contexts as specified in the following discussion.
```
boolean-expression:
expression
```
The controlling conditional expression of an if-statement (§8.7.1), while-statement (§8.8.1), do-statement (§8.8.2), or for-statement (§8.8.3) is a boolean-expression. The controlling conditional expression of the ?: operator (§7.13) follows the same rules as a boolean-expression, but for reasons of operator precedence is classified as a conditional-or-expression.
A boolean-expression is required to be of a type that can be implicitly converted to bool or of a type that implements operator true. If neither requirement is satisfied, a compile-time error occurs.
When a boolean expression is of a type that cannot be implicitly converted to bool but does implement operator true, then following evaluation of the expression, the operator true implementation provided by that type is invoked to produce a bool value.
The DBBool struct type in §11.4.2 provides an example of a type that implements operator true and operator false.
A
\a escape sequence, 70
Abstract accessors, 38, 490–491
Abstract classes
and interfaces, 583–584
overview, 408–409
Abstract events, 497–498
Abstract indexers, 499
Abstract methods, 30, 473–474
Access and accessibility
array elements, 556
containing types, 438–440
events, 220
indexers, 220, 255
members, 20, 95, 434
accessibility domains, 97–100
constraints, 102–104
declared accessibility, 95–97
interface, 567–569
pointer, 634–635
in primary expressions, 242–246
protected, 100–102
nested types, 436–440
pointer elements, 635–636
primary expression elements, 253–255
properties, 219, 487–489
Accessors
abstract, 38, 490–491
attribute, 610
event, 496–497
property, 38, 480–486
Acquire semantics, 450
Acquisition in using statement, 388
add accessors
attributes, 610
events, 39, 496
Add method, 35
AddEventHandler method, 497
Addition operator
described, 12
uses, 290–292
Address-of operator, 636–637
Addresses
fixed variables, 640–645
pointers for, 628, 636–637
after state for enumerator objects, 525–527
Alert escape sequence, 70
Aliases
for namespaces and types, 395–400
qualifiers, 404–406
uniqueness, 405–406
Alignment enumeration, 48–49
Alloc method, 650
Allocation, stack, 648–649
AllowMultiple parameter, 604
Ambiguities
grammar, 246
in query expressions, 326
Ampersands (&)
for addresses, 630
in assignment operators, 339
definite assignment rules, 167–168
for logical operators, 307–311
for pointers, 636–637
in preprocessing expressions, 77
AND operators, 12
Angle brackets (<> ) for type arguments, 141
Anonymous functions
bodies, 318
conversions, 193–194
evaluation to delegate types, 146–148, 195
evaluation to expression tree types, 196
implementation example, 196–199
implicit, 179
definite assignment rules, 171
delegate creation, 51–52
evaluation of, 324
expressions, 146–147, 280, 314–317
outer variables, 320–324
overloaded, 319–320
signatures, 317–318
Anonymous objects, 271–273
AppendFormat method, 27
Applicable function members, 232–233
Application domains, 87
Applications, 4
startup, 86–87
termination, 88–89
Apply method, 50
Arguments, 24. See also Parameters
command-line, 87
for function members, 221–224
type, 141–143
type inference, 224–231
Arithmetic operators, 285
addition, 290–292
division, 287–288
multiplication, 285–287
pointer, 638–639
remainder, 288–290
shift, 296
subtraction, 292–295
ArithmeticException class, 287, 601
Arrays and array types, 6–7, 10, 137
access to, 254, 556
conversions, 177
covariance, 177, 556–557
creating, 555–556
elements, 43, 151, 556
with foreach, 372
IList interface, 554–555
initializers, 45, 557–559
members, 94, 556
new operator for, 43, 45, 266–269
overview, 43–45
parameter, 26, 462–465
and pointers, 632–633, 642–643
rank specifiers, 553–554
syntactic grammar, 715–716
ArrayTypeMismatchException class, 340–341, 557, 601
as operator, 305–306
Assemblies, 4–5
Assignment
in classes vs. structs, 541
definite. See Definite assignment
fixed size buffers, 648
Assignment operators, 13, 339
compound, 342–343
event, 344
simple, 340–342
Associativity of operators, 206–208
Asterisks (*)
assignment operators, 339
comments, 59–60, 653–654
multiplication, 285–287
pointers, 627–630, 634
transparent identifiers, 335
At sign characters (@) for identifiers, 62–64
Atomicity of variable references, 172
Attribute class, 53, 603
Attributes, 603
classes, 603–607, 619
compilation of, 614
compilation units, 393
instances, 613–614
for interoperation, 621
overview, 53–54
parameters for, 605–607
partial types, 421
reserved, 615
AttributeUsage, 615
Conditional, 616–619
Obsolete, 620–621
sections for, 607
specifications, 607–613
syntactic grammar, 718–720
AttributeUsage attribute, 603–606, 615
Automatic memory management, 116–121
Automatically implemented properties, 481, 486–487
B
\b escape sequence, 70
Backslash characters (\)
for characters, 70
escape sequence, 70
for strings, 72
Backtick character (`), 72
Banker’s rounding, 132
Base access, 256–257
Base classes, 21–22
partial types, 423
specifications for, 411–414
type parameter constraints, 419
Base interfaces
inheritance from, 562–564
partial types, 423
Base types, 217
before state for enumerator objects, 525–527
Better conversions, 234–235
Better function members, 233–234
Binary operators, 206
declarations, 506–507
in ID string format, 671
lifted, 214
numeric promotions, 212–213
overload resolution, 210–211
overloadable, 208–209
Bind method, 46
Binding, name, 428–429
BitArray class, 501–502
Bitwise complement operator, 282
Blocks
in declarations, 90–91
definite assignment rules, 158
exiting, 373
in grammar notation, 56
invariant meaning in, 241–242
in methods, 477
reachability of, 349
in statements, 350–351
for unsafe code, 624
Bodies
classes, 420
interfaces, 564
methods, 27–28, 477–478
struct, 538
bool type, 7, 133
Boolean values
expressions, 346
literals, 66
operators
conditional logical, 310
equality, 300
logical, 308–309
in struct example, 549–551
Bound types, 143
Box class, 473
Boxed instances, invocations on, 237
Boxing, 9, 137–138
in classes vs. structs, 542–544
conversions, 138–140, 178
break statement
definite assignment rules, 161
example, 16
for for statements, 367–368
overview, 374
for switch, 361–362
for while, 365
yield break, 390–392, 526–527
Brittle base class syndrome, 29, 249
Brittle derived class syndrome, 249, 253
Buffers, fixed-size
declarations, 645–647
definite assignment, 648
in expressions, 647–648
Bugs. *See* Unsafe code
Button class, 482, 493–494
byte type, 8
C
<c> tag, 656
Cache class, 386
Callable entities, 591
Candidate user-defined operators, 211
Captured outer variables, 320–321
Carets (^)
in assignment operators, 339
for logical operators, 307–308
Carriage-return characters
escape sequence, 70
as line terminators, 58–59
Case labels, 361–364
Cast expressions, 284–285
catch blocks
definite assignment rules, 163–164
for exceptions, 600–601
throw statements, 378–379
try statements, 380–384
char type, 129
Character literals, 69–70
Characters, 7
checked statement
definite assignment rules, 158
example, 17
overview, 385
in primary expressions, 276–279
Classes
accessibility, 20
attribute, 603–607, 619
base, 21–22, 411–414
bodies, 420
constants for, 443–445
constructors for, 36
instance, 510–517
static, 518–520
declarations, 407
base specifications, 411–414
bodies, 420
modifiers, 407–410
partial type, 410–411
type parameter constraints, 414–420
type parameters, 411
defined, 407
destructors for, 40, 520–522
events in, 38–39
accessors, 496–497
declaration, 491–494
field-like, 494–495
instance and static, 497
fields in, 22–23
declarations, 445–447
initializing, 451–452
read-only, 448–450
static and instance, 447–448
variable initializers, 452–455
volatile, 450–451
function members in, 34–40
indexers in, 38, 498–503
instance variables in, 150
interface implementation by, 47
iterators. *See* Iterators
members in, 19, 94, 429–431
access modifiers for, 434
constituent types for, 434
constructed types, 431–432
inheritance of, 432–433
instance types, 431
nested types for, 436–442
new modifier for, 433–434
reserved names for, 440–442
static and instance, 434–435
methods in, 24–34
abstract, 473–474
bodies, 477–478
declaration, 455–457
extension, 475–477
external, 474–475
parameters, 458–465
partial, 475
sealed, 472–473
static and instance, 466
virtual, 466–469
operators in, 40
binary, 506–507
conversion, 507–510
declaration, 503–505
unary, 505–506
overview, 18
partial types. See Partial types
in program structure, 4
properties in, 37–38
accessibility, 487–489
accessors for, 480–486
automatically implemented, 486–487
declarations, 478–479
static and instance, 479
vs. structs, 539–547
syntactic grammar, 706–714
type parameters, 20–21
types, 6–10, 136
Classifications, expression, 203–205
Click events, 494
Closed types, 143
<code> tag, 656
Collections
for foreach, 369
initializers, 264–266
Colons (:)
alias qualifiers, 404
grammar productions, 56
interface identifiers, 562
ternary operators, 170, 313
type parameter constraints, 415
Color class, 23, 448–449
Color enumeration, 48, 585–588
Color struct, 245
COM, interoperation with, 621
Combining delegates, 292, 594
Command-line arguments, 87
Commas (,)
arrays, 44, 557
attributes, 607
collection initializers, 265
ID string format, 667
interface identifiers, 562
object initializers, 262
Comments, 653
documentation file processing, 666–671
example, 672–677
lexical grammar, 59–60, 680
overview, 653–655
tags, 655–665
XML for, 653–654, 674–677
Commit method, 81
Common types for type inference, 231
CompareExchange method, 532
Comparison operators, 40, 297
booleans, 300
decimal numbers, 299–300
delegates, 303–304
enumerations, 300
floating point numbers, 298–299
integers, 298
pointers, 639
reference types, 301–303
strings, 303
Compatibility of delegates and methods, 595
Compilation
attributes, 614
just-in-time, 5
Compilation directives, 79–83
Compilation symbols, 76–77
Compilation unit productions, 57
Compilation units, 55, 393–394
Compile-time type of instances, 29, 466
Complement operator, 282
Component-oriented programming, 1–2
Compound assignment, 342–343
Concatenation, string, 291–292
Conditional attribute, 616–619
Conditional classes, 619
Conditional compilation directives, 79–83
Conditional compilation symbols, 76–77
Conditional logical operators, 12, 309–311
Conditional methods, 616–618
Conditional operator, 12, 313–314
Console class, 26, 485–486
Constant class, 30–31
Constants, 34
declarations, 356–357, 443–445
enums for. See Enumerations and enum types
expressions, 178–179, 344–346
static fields for, 448–449
versioning of, 449
Constituent types, 434
Constraints
accessibility, 102–104
constructed types, 144–145
partial types, 422–423
type parameters, 414–420
Constructed types, 141–142
bound and unbound, 143
constraints, 144–145
members, 431–432
open and closed, 143
type arguments, 142–143
Constructors, 34
for classes, 36
for classes vs. structs, 546–547
default, 125–126, 515–516
in ID string format, 669
instance. See Instance constructors
invocation, 221
static, 36, 518–520
Contexts
for attributes, 609–611
unsafe, 624–627
Contextual keywords, 65
continue statement
definite assignment rules, 161
for do, 366
example, 16
for for statements, 367
overview, 375
for while, 365
Contracts, interfaces as, 561
Control class, 496–497
Control-Z character, 59
Conversions, 173
anonymous functions, 146–148, 192–199, 317–318
boxing, 138–140, 178
constant expression, 178–179
enumerations, 175, 183
explicit, 180–188
expressions, 284–285
function members, 234–235
identity, 174
implicit, 173–179
standard, 188
user-defined, 191–193
method groups, 200–202
null literal, 176
nullable, 176, 183–184, 312
numeric, 174–175, 180–183
as operator for, 305–306
operators, 507–510, 671
for pointers, 631–632
reference, 176–178, 184–185
standard, 188
type parameters, 179, 186–187
unboxing, 140–141, 185
user-defined. See User-defined conversions
Convert class, 183
Copy method, 650–651
Counter class, 485
Counter struct, 543
CountPrimes class, 502
Covariance, array, 177, 556–557
cref attribute, 654
Critical execution points, 121
.cs extension, 2
Curly braces ({})
arrays, 45, 557
collection initializers, 265
grammar notation, 56
object initializers, 262
Currency type, 133
Current property, 527
Customer class, 426–428
D
Database structure example
boolean type, 549–551
integer type, 546–548
DBBoolean struct, 549–551
DBInt struct, 546–548
Decimal numbers and type, 7–8, 131–133
addition, 291
comparison operators, 299–300
division, 288
multiplication, 287
negation, 281
remainder operator, 290
subtraction, 293–294
Declaration directives, 78–79
Declaration space, 89
Declaration statements, 353–356
Declarations
classes, 407
base specifications, 411–414
bodies, 420
modifiers, 407–410
partial type, 410–411
type parameter constraints, 414–420
type parameters, 411
constants, 356–357, 443–445
definite assignment rules, 159
delegates, 592–594
enums, 49, 585–586
events, 491–494
fields, 445–447
fixed-size buffers, 645–647
indexer, 498–503
instance constructors, 510–511
interfaces, 561–564
methods, 455–457
namespaces, 91, 394–395
operators, 503–505
order, 5–6, 91
overview, 89–92
parameters, 458–459
pointers, 628
properties, 478–479
property accessors, 480
static constructors, 518–520
struct members, 539
structs, 537–538
types, 8, 403–404
variables, 154, 353–356
Declared accessibility
nested types, 436–437
overview, 95–97
Decrement operators
pointers, 637–638
postfix, 257–259
prefix, 282–284
default expressions, 126
Defaults
constructors, 125–126, 515–516
switch statement labels, 360–361
values, 125, 154–155
classes vs. structs, 541–542
expressions, 279–280
#define directive, 76, 78
Defining partial method declarations, 425–426
Definite assignment, 27, 149, 155–156
fixed size buffers, 648
initially assigned variables, 156
initially unassigned variables, 157
rules for, 157–171
Degenerate query expressions, 329
Delegate class, 591
Delegates and delegate type, 6–10, 137, 591
combining, 292, 594
compatible, 595
conversions, 146–148, 195
declarations, 592–594
equality, 303–304
instantiation, 595–596
invocations, 253, 596–598
members of, 94
new operator for, 269–271
overview, 49–52
removing, 294
syntactic grammar, 718
Delimited comments, 59–60, 653–654
Dependence
on base classes, 413
in structures, 540
type inference, 227
Depends on relationships, 413, 540
Destructors
for classes, 40, 520–522
for classes vs. structs, 547
exceptions for, 601
garbage collection, 117–121
in ID string format, 669
member names reserved for, 442
members, 19
Diagnostic directives, 83
Digit struct, 510
Dimensions, array, 9, 44, 553, 557–558
Direct base classes, 412–413
Directives
preprocessing, See Preprocessing directives
using, See Using directives
Directly depends on relationships, 413, 540
Disposal in using statement, 388
Dispose method, 52
for enumerator objects, 527, 535–536
for resources, 387
Divide method, 25–26
DivideByZeroException class, 287–288, 599, 601
Division operator, 287–288
DllImport attribute, 475
DLLs (Dynamic Link Libraries), 475
do statement
definite assignment rules, 161
example, 15
overview, 366
Documentation comments, 653
documentation files for, 653, 666
ID string examples, 667–672
ID string format, 666–668
example, 672–677
overview, 653–655
tags for, 655–665
XML files for, 653–654, 674–677
Documentation generators, 653
Documentation viewers, 653
Domains
accessibility, 97–100
application, 87
Double quotes ("")
characters, 70
strings, 70
double type, 7–8, 130
Dynamic Link Libraries (DLLs), 475
Dynamic memory allocation, 649–651
E
ECMA-334 standard, 1
EditBox class, 46–47
Effective base classes, 419
Effective interface sets, 419
Elements
array, 43, 151, 556
foreach, 369
pointer, 635–636
primary expression, 253–255
#elif directive, 76–77, 79–80
Ellipse class, 473
#else directive, 76, 79–83
Embedded statements and expressions
general rules, 165–166
in grammar notation, 56
Empty statements, 351–352
Encompassed types, 190
Encompassing types, 190
End points, 348–349
#endif directive, 76, 79–81
#endregion directive, 84
Entity class, 28–29
Entry class, 4–5
Entry points, 87
Enumerable interfaces, 524
Enumerable objects for iterators, 528
Enumerations and enum types, 585, 589
addition of, 291
comparison operators, 300
conversions
explicit, 183
implicit, 175
declarations, 585–586
description, 7, 9
logical operators, 308
members, 94, 585–589
modifiers, 586
overview, 48–49
subtraction of, 294
syntactic grammar, 717–718
types for, 133
values and operations, 590
Enumerator interfaces, 524
Enumerator objects for iterators, 525–527
Enumerator types for foreach, 369
Equal signs (=)
assignment operators, 339
comparisons, 297
operator ==, 40
pointers, 639
preprocessing expressions, 77
Equality operators
boolean values, 300
delegates, 303–304
lifted, 214
and null, 304
reference types, 301–303
strings, 303
Equals method
on anonymous types, 273
DBBool, 551
DBInt, 548
List, 35
with NaN values, 299
Point, 673
#error directive, 83
Error property, 486
Error strings in ID string format, 666
Escape sequences
characters, 70
lexical grammar, 681
strings, 70
unicode character, 61–62
Evaluate method, 31
Evaluation of user-defined conversions, 189–191
Event handlers, 39, 491, 494
Events, 4
access to, 220
accessors, 496–497
assignment operator, 344
declarations, 491–494
example, 36
field-like, 494–495
in ID string format, 666, 670–671
instance and static, 497
interface, 566–567
member names reserved for, 442
overview, 38–39
Exact parameter type inferences, 228
<example> tag, 657
Exception class, 378, 381, 599–600
Exception propagation, 379
<exception> tag, 657
Exception variables, 381
Exceptions
causes, 599
classes for, 601–602
for delegates, 596
handling, 1, 600–601
throwing, 378–380
try statement for, 380–384
Exclamation points (!)
comparisons, 297
definite assignment rules, 169
logical negation, 281
operator !=, 40
pointers, 639
preprocessing expressions, 77
Execution
instance constructors, 513–515
order of, 121
Exiting blocks, 373
Expanded form function members, 233
Explicit base interfaces, 562
Explicit conversions, 180
enumerations, 183
nullable types, 183–184
numeric, 180–183
reference, 184–185
standard, 188
type parameters, 186–187
unboxing, 185
user-defined, 187, 192–193
Explicit interface member implementations, 47, 571–574
explicit keyword, 507–510
Explicit parameter type inferences, 227
Expression class, 30–32
Expression statements, 14, 159, 357–358
Expressions, 203
anonymous function. See Anonymous functions
boolean, 346
cast, 284–285
classifications, 203–205
constant, 178–179, 344–346
definite assignment rules, 165–170
fixed-size buffers in, 647–648
function members
argument lists, 221–224
categories, 217–221
invocation, 236–237
overload resolution, 231–235
type inference, 224–231
member lookup, 214–217
operators for, 206
arithmetic. See Arithmetic operators
assignment, 339–344
logical, 307–311
numeric promotions, 211–213
overloading, 208–211
precedence and associativity, 206–208
relational, 297
shift, 295–296
unary, 280–285
overview, 10–13
pointers in, 633–640
preprocessing, 77–78
primary. See Primary expressions
query, 324–325
ambiguities in, 326
patterns, 337–338
translations in, 326–337
syntactic grammar, 691–700
tree types, 146–148, 196
values of, 205
Extensible Markup Language (XML), 653–654, 674–677
Extension methods
example, 475–477
invocation, 250–253
extern aliases, 395–396
External constructors, 510, 518
External destructors, 521
External events, 493
External indexers, 501
External methods, 474–475
External operators, 504
External properties, 479
F
\f escape sequence, 70
False value, 66
Field-like events, 494–495
Fields, 4
declarations, 445–447
example, 34
in ID string format, 666, 668–669
initializing, 451–452, 545
instance, 22, 447–448
overview, 22–23
read-only, 23, 448–450
static, 447–448
variable initializers, 452–455
volatile, 450–451
Fill method, 556
Filters, 384
Finalize method, 522
finally blocks
definite assignment rules, 163
for exceptions, 600
with goto, 376–377
with try, 380–384
Fixed-size buffers
declarations, 645–647
definite assignment, 648
in expressions, 647–648
fixed statement, 630, 640–645
Fixed variables, 630–631
Fixing type inferences, 228
float type, 7–8, 130
Floating point numbers
addition, 290–291
comparison operators, 298–299
division, 287–288
multiplication, 286
negation, 281
remainder operator, 289
subtraction, 293
types, 7–8, 130–131
for statement
definite assignment rules, 161
example, 15
overview, 366–368
foreach statement
definite assignment rules, 164
example, 15
overview, 368–372
Form feed escape sequence, 70
Forward declarations, 5
Fragmentation, heap, 642
Free method, 650–651
from clauses, 325, 329–334
FromTo method, 530–531
Fully qualified names
described, 115–116
interface members, 569–570
nested types, 436
Function members
argument lists, 221–224
in classes, 34–40
invocation, 236–237
overload resolution, 231–235
overview, 217–221
type inference, 224–231
Function pointers, 591
Functional notation, 209
Functions, anonymous. See Anonymous functions
G
Garbage collection, 1
at application termination, 89
for destructors, 40
in memory management, 116–121, 155
and pointers, 627
for variables, 630
GC class, 117, 120
Generic classes and types, 21, 123
anonymous objects, 273
boxing, 138, 542
constraints, 144, 146, 414–417, 422
declarations, 407, 412
delegates, 194
instance type, 431
interfaces, 574
member lookup, 215
methods, 457, 466, 575–577
nested, 215, 440
overloading, 235
overriding, 470
query expression patterns, 337
signatures, 24
static fields, 22
type inferences, 224–226, 229–230
unbound, 141–143
Generic interface, 554–555
get accessors, 490
for attributes, 610
defined, 37
working with, 480–486
GetEnumerator method
for foreach, 369–370
for iterators, 528–534
GetEventHandler method, 497
GetHashCode method
on anonymous types, 273
DBBool, 551
DBInt, 548
GetHourlyRate method, 32
GetNextSerialNo method, 28
GetProcessHeap method, 651
GetScriptDescriptors method, 523
GetScriptReferences method, 523
Global declaration space, 89
Global namespace, 93
goto statement
definite assignment rules, 161
example, 16
for switch, 361–362, 364
working with, 375–377
Governing types of switch statements, 360, 363
Grammars, 55
ambiguities, 246
lexical. *See* Lexical grammar
notation, 55–57
syntactic. *See* Syntactic grammar
for unsafe code, 720–723
Greater than signs (>)
assignment operators, 339
comparisons, 297
pointers, 630, 634–635, 639
shift operators, 295–296
Grid class, 502–503
group clauses, 325, 327–328, 334–335
H
Handlers, event, 39, 491, 494
HasValue property, 134
Heap
accessing functions of, 649–651
fragmentation, 642
HeapAlloc method, 651
HeapFree method, 651
HeapReAlloc method, 651
HeapSize method, 651
Hello, World program, 2–3
Hello class, 82
HelpAttribute class, 53, 605–606
HelpStringAttribute class, 612
Hexadecimal escape sequences
for characters, 70
for strings, 73
Hiding
inherited members, 90, 111–112, 433
in multiple-inheritance interfaces, 569
in nesting, 109–110, 437
properties, 483
in scope, 106
Hindley-Milner-style algorithms, 226
Horizontal tab escape sequence, 70
I
IBase interface, 568–569, 578, 583
ICloneable interface, 570, 573, 577–578
IComboBox interface, 46, 563–564
IComparable interface, 570
IControl interface, 46–47, 563
implementations, 570–571
inheritance, 580–581
mapping, 578–580
member implementations, 573–574
member names, 569–570
reimplementations, 581–582
ICounter interface, 567
ICounter struct, 544
ID string format
for documentation files, 666–668
examples, 667–672
IDataBound interface, 46–47
Identical simple names and type names, 245
Identifiers
interface, 562, 566
lexical grammar, 681–682
rules for, 62–64
Identity conversions, 174
IDerived interface, 578–579
IDictionary interface, 571
IDisposable interface, 120, 371, 387–390, 572
IDouble interface, 568
IEnumerable interface, 369–370, 523–524, 528
IEnumerator interface, 524
#if directive, 76–77, 79–83
if statement
definite assignment rules, 159
example, 14
working with, 358–359
IForm interface, 578
IInteger interface, 568
IL (Intermediate Language) instructions, 5
IList interface, 554–555, 567, 571
IListBox interface, 46, 563, 579
IListCounter interface, 567
IMethods interface, 582–583
ImpersonationScope class, 52
Implementing partial method declarations, 425–426
Implicit conversions, 173–174
anonymous functions and method groups, 179
boxing, 178
constant expression, 178–179
enumerations, 175
identity, 174
null literal, 176
nullable, 176
numeric, 174–175
operator for, 507–510
standard, 188
type parameters, 179
user-defined, 179, 191–192
implicit keyword, 507–510
Implicitly typed array creation expressions, 267
Implicitly typed iteration variables, 368
Implicitly typed local variable declarations, 354–355
Importing types, 400–402
In-line methods, 51
In property, 486
Inaccessible members, 95
<include> tag, 654, 657–658
Increment operators
for pointers, 637–638
postfix, 257–259
prefix, 282–284
IndexerName Attribute, 621
Indexers
access to, 220, 255
declarations, 498–503
example, 35
in ID string format, 670
interface, 567
member names reserved for, 442
overview, 38
IndexOf method, 33–34
IndexOutOfRangeException class, 254, 601
Indices, array, 43
Indirection, pointer, 630, 634
Inference, type, 224–231
infoof operator, 274
Inheritance
from base interfaces, 562–564
in classes, 22, 92–93, 432–433
in classes vs. structs, 541
hiding through, 90, 111–112, 433
interface, 580–581
parameters, 605
properties, 483
Initializers
array, 45, 557–559
field, 451–452, 545
in for statements, 367
instance constructors, 512–513
stack allocation, 648–649
variables, 452–455, 513
Initially assigned variables, 149, 156
Initially unassigned variables, 149, 157
Inlining process, 485
InnerException property, 600
Input production, 57
Input types in type inference, 227
Instance constructors, 36
declarations, 510–511
default, 515
execution, 513–515
initializers, 512–513
invocation, 221
optional parameters, 517
private, 516–517
Instance events, 497
Instance fields
class, 447–448
example, 22–23
initialization, 451–452, 455
read-only, 448–450
Instance members
class, 434–435
protected access for, 100–102
Instance methods, 24, 28–29, 466
Instance properties, 479
Instance types, 431
Instance variables, 150, 447–448
Instances, 18
attribute, 613–614
type, 135
Instantiation
delegates, 595–596
local variables, 321–324
int type, 8
Integers
addition, 290
comparison operators, 298
division, 287
literals, 66–68
logical operators, 307
multiplication, 286
negation, 281
remainder, 289
in struct example, 546–548
subtraction, 293
Integral types, 7–8, 128–130
interface keyword, 561
Interface sets, 419
Interfaces, 4, 561
base, 562–564
bodies, 564
declarations, 561–564
enumerable, 524
enumerator, 524
generic, 574
implementations, 570–571
abstract classes, 583–584
base classes, 414
explicit member, 571–574
generic methods, 575–576
inheritance, 580–581
mapping, 576–580
reimplementation, 581–583
uniqueness, 574–575
inheritance from, 562–564
members, 94, 564–565
access to, 567–569
events, 566–567
fully qualified names, 569–570
indexers, 567
methods, 565–566
properties, 566
modifiers, 562
overview, 46–47
partial types, 423
struct, 538
syntactic grammar, 716–717
types, 6–7, 9–10, 137
Intermediate Language (IL) instructions, 5
Internal accessibility, 20, 95
Interning, 73
Interoperation attributes, 621
IntToString method, 649
IntVector class, 506
InvalidCastException class, 141, 185, 306, 601
InvalidOperationException class, 134, 533
Invariant meaning in blocks, 241–242
Invocation
delegates, 253, 596–598
function members, 236–237
instance constructors, 221
methods, 218
operators, 221
Invocation expressions, 166, 247–253
Invocation lists, 594, 596
is operator, 304–305
isFalse property, 550
isNull property
DBBool, 550
DBInt, 547
ISO/IEC 23270 standard, 1
isTrue property, 550
Iteration statements, 364
do, 366
for, 366–368
foreach, 368–372
while, 365
Iteration variables in foreach, 368
Iterators, 522–524
enumerable interfaces, 524
enumerable objects for, 528
enumerator interfaces, 524
enumerator objects for, 525–527
implementation example, 528–536
yield type, 524
ITextBox interface, 46, 563, 569–571, 574, 579
J
Jagged arrays, 44
JIT (Just-In-Time) compiler, 5
Jump statements, 373–374
break, 374
continue, 375
goto, 375–377
return, 377–378
throw, 378–380
Just-In-Time (JIT) compiler, 5
K
KeyValuePair struct, 542
Keywords
lexical grammar, 682
list, 65
Kleene operators, 56
L
Label class, 484–485
Label declaration space, 90–91
Labeled statements
for goto, 375–377
overview, 352–353
for switch, 160, 361–364
Left-associative operators, 207
Left shift operator, 295–296
Length of arrays, 43, 553, 558–559
Less than signs (<)
assignment operators, 339
comparisons, 297
pointers, 639
shift operators, 295–296
let clauses, 329–334
Lexical grammar, 57, 679
comments, 59–60, 680
identifiers, 681–682
keywords, 682
line terminators, 58–59, 679
literals, 683–685
operators and punctuators, 685
preprocessing directives, 686–689
tokens, 681
unicode character escape sequences, 681
whitespace, 60–61, 681
Lexical structure, 55
grammars, 55–57
lexical. See Lexical grammar
syntactic. See Syntactic grammar
lexical analysis, 57–61
preprocessing directives, 74–76
conditional compilation, 76–77, 79–83
declaration, 78–79
diagnostic, 83
line, 84–85
pragma, 85–86
preprocessing expressions, 77–78
region, 83–84
programs, 55
tokens, 61
identifiers, 62–64
keywords, 65
literals, 65–74
operators, 74
unicode character escape sequence, 61–62
Libraries, 4, 475
Lifted conversions, 189
Lifted operators, 213–214
#line directive, 84–85
#line default directive, 85
Line directives, 84–85
Line-feed characters, 59
#line hidden directive, 85
Line-separator characters, 59
Line terminators, 58–59, 679
List class, 34–40
<list> tag, 658–659
ListChanged method, 39
Lists, statement, 350–351
Literals, 65–66
boolean, 66
character, 69–70
in constant expressions, 344
conversions, 176
integer, 66–68
lexical grammar, 683–685
null, 74
in primary expressions, 238
real, 68–69
simple values, 127
string, 71–73
Local constant declarations, 14, 356–357
Local variable declaration space, 91
Local variables, 153–154
declarations, 14, 353–356
instantiation, 321–324
in methods, 27–28
scope, 109–110
lock statement
definite assignment rules, 165
example, 17
overview, 385–387
Logical operators, 307
AND, 12
for boolean values, 308–309
conditional, 309–311
for enumerations, 308
for integers, 307
negation, 281–282
OR, 12
shift, 296
XOR, 12
LoginDialog class, 493–494
long type, 8
Lookup, member, 214–217
Lower-bound type inferences, 228
lvalues, 171
M
Main method
for startup, 86–87
for static constructors, 518–520
Mappings
interface, 576–580
pointers and integers, 632
Members, 4, 19, 92–93
access to, 20, 95, 434
accessibility domains, 97–100
constraints, 102–104
declared accessibility, 95–97
interface, 567–569
pointer, 634–635
in primary expressions, 242–246
protected, 100–102
accessibility of, 20
array, 94, 556
class, 94, 429–431
access modifiers for, 434
constituent types, 434
constructed types, 431–432
inheritance of, 432–433
instance types, 431
nested types, 436–442
new modifier for, 433–434
reserved names for, 440–442
static and instance, 434–435
delegate, 94
enumeration, 94, 585–589
function. See Function members
inherited, 90, 92–93, 111–112, 432–433
interface, 94, 564–565
access to, 567–569
events, 566–567
explicit implementations, 47, 571–574
fully qualified names, 569–570
indexers, 567
methods, 565–566
properties, 566
lookup, 214–217
namespaces, 93, 402
partial types, 424
pointer, 634–635
struct, 93, 539
Memory
automatic management of, 116–121, 155
dynamic allocation of, 649–651
Memory class, 650–651
Message property, 600
Metadata, 5
Method group conversions
implicit, 179
overview, 200–202
type inference, 230–231
Methods, 4, 24
abstract, 30, 473–474
bodies, 27–28, 477–478
conditional, 616–618
declarations, 455–457
extension, 475–477
external, 474–475
in ID string format, 666, 669–670
instance, 24, 28–29, 466
interface, 565–566
invocations, 218, 247–253
in List, 35
overloading, 32–34
overriding, 29, 469–471
parameters, 24–27
arrays, 462–465
declarations, 458–459
output, 461–462
reference, 460–461
value, 459–460
partial, 424–428, 475
sealed, 472–473
static, 24, 28–29, 466
virtual, 29–32, 466–469
Minus (−) operator, 281
Minus signs (−)
assignment operators, 339
decrement operator, 257–259, 282–284
pointers, 630, 634–635, 637–639
subtraction, 292–295
Modifiers
class, 407–410
enums, 586
interface, 562
partial types, 422
struct, 538
Modulo operator, 288–290
Most derived method implementation, 467
Most encompassing types, 190
Most specific operators, 189
Move method, 673
Moveable variables
described, 630–631
fixed addresses for, 640–645
MoveNext method, 370, 391, 525–527, 530, 533–535
Multi-dimensional arrays, 9, 44, 553, 557–558
Multi-use attribute classes, 604
Multiple inheritance, 46–47, 569
Multiple statements, 350
Multiplication operator, 12, 285–287
Multiplicative operators, 12
Multiplier class, 50–51
Multiply method, 50
Mutual-exclusion locks, 385–387
N
\n escape sequence, 70
Named constants. See Enumerations and enum types
Named parameters, 605–606
Names
binding, 428–429
fully qualified, 115–116
interface members, 569–570
nested types, 436
hiding, 109–112
reserved, 440–442
simple
in primary expressions, 239–242
and type names, 245
namespace keyword, 394
Namespaces, 3–4, 112–115, 393
aliases, 395–400, 404–406
compilation units, 393–394
declarations, 91, 394–395
fully qualified names in, 115–116
in ID string format, 666
members, 93, 402
syntactic grammar, 704–705
type declarations, 403–404
using directives in, 396–402
NaN (Not-a-Number) value
causes, 130
in floating point comparisons, 299
Negation
logical, 281–282
numeric, 281
Nested array initializers, 557–558
Nested blocks, 92
Nested classes, 408
Nested members, 97–98
Nested scopes, 106
Nested types, 403, 421, 436
accessibility, 436–438
fully qualified names for, 436
in generic classes, 440
member access contained by,
438–440
this access to, 438
Nesting
aliases, 399
with break, 374
comments, 60
hiding through, 109–110, 437
object initializers, 262
New line escape sequence, 70
new modifier
class members, 433–434
classes, 408
delegates, 592
interfaces, 562
new operator
anonymous objects, 271–273
arrays, 43, 45, 266–269
collection initializers, 264–266
constructors, 36
delegates, 269–271
hidden methods, 112
object initializers, 262–264
objects, 259–260
structs, 42
No fall through rule, 361–363
No side effects convention, 485
Non-nested types, 436
Non-nullable value type, 134
Non-virtual methods, 29
Nonterminal symbols, 55–56
Normal form function members, 233
Normalization Form C, 63
Not-a-Number (NaN) value
causes, 130
in floating point comparisons, 299
Notation, grammar, 55–57
NotSupportedException class, 525
Null coalescing operator, 311–313
Null field for events, 39
Null literals, 74, 134, 176
Null pointers, 628
Null-termination of strings, 645
Null values
for array elements, 45
in classes vs. structs, 541–542
escape sequence for, 70
garbage collector for, 118
Nullable boolean logical operators, 308–309
Nullable types, 9–10, 134
conversions
explicit, 183–184
implicit, 176
operators, 305–306
equality operators with, 304
NullReferenceException class
array access, 254
with as operator, 306
delegate creation, 270
delegate invocation, 596
description, 601
foreach statement, 371
throw statement, 378
unboxing conversions, 141
Numeric conversions
explicit, 180–183
implicit, 174–175
Numeric promotions, 211–213
Object class, 125, 136
Object variables, 10
Objects, 123
creation expressions for
definite assignment rules, 166
new operator, 259–260
initializers, 262–264
as instance types, 135
Obsolete attribute, 620–621
Octal literals, 67
OnChanged method, 35, 39
One-dimensional arrays, 44
Open types, 143
Operands, 10, 206
Operation class, 30–31
Operator notation, 209
Operators, 10, 36, 40, 74, 206
arithmetic. *See* Arithmetic operators
assignment operators, 13, 339
compound, 342–343
event, 344
simple, 340–342
binary. *See* Binary operators
conditional, 313–314
conversion, 507–510, 671
declaration, 503–505
enums, 590
in ID string format, 671
invocation, 221
lexical grammar, 685
lifted, 213–214
logical, 307–311
null coalescing, 311–313
numeric promotions, 211–213
operator `!=`, 40
operator `==`, 40
overloading, 208–211
precedence and associativity, 206–208
relational. *See* Relational operators
shift, 295–296
type-testing, 304–305
unary. *See* Unary operators
Optional parameters, 517
Optional symbols in grammar notation, 56
OR operators, 12
Order
declaration, 91
execution, 121
orderby clauses, 325, 329–334
Out property, 486
Outer variables, 320–324
OutOfMemoryException class, 267, 270, 292, 601
Output parameters, 25–26, 152–153, 461–462
Output types in type inference, 227
Overflow checking context, 276–279, 385
OverflowException class
addition, 291
checked operator, 277–278
decimal type, 132
description, 602
division, 287–288
increment and decrement operators, 283
Overload resolution, 147
anonymous functions, 319–320
function members, 231–235
Overloaded operators, 10
purpose, 206
shift, 295
Overloading
indexers, 38
methods, 32–34
operators, 208–211
signatures in, 32, 104–105
Overridden base methods, 469
Override events, 497–498
Override indexers, 499
Override methods, 469–471
Overriding
event declarations, 498
methods, 29
property accessors, 38, 489
property declarations, 489–490
P
Padding for pointers, 640
Paint method, 46, 473
Pair class, 21
Pair-wise declarations, 506–507
<para> tag, 660
Paragraph-separator characters, 59
<param> tag, 654, 660
Parameters
anonymous functions, 315
arrays, 462–465
attributes, 605–607
entry points, 87
indexers, 38, 499–500
instance constructors, 513, 517
methods, 24–27
declaration, 458–459
types, 459–465
optional, 517
output, 152–153, 461–462
reference, 151–152, 460–461
type. *See* Type parameters
value, 151, 459–460
<paramref> tag, 661
params modifier, 26–27, 462–465
Parentheses ()
anonymous functions, 315
in grammar notation, 56
in ID string format, 667
for operator precedence, 208
Parenthesized expressions, 242
Partial methods, 475
partial modifier, 410–411
interfaces, 562
structs, 538
types, 420
Partial types, 410–411, 420–421
attributes, 421
base classes, 423
base interfaces, 423
members, 424
methods, 424–428
modifiers, 422
name binding, 428–429
type parameters and constraints, 422–423
Patterns, query expression, 337–338
Percent signs (%)
assignment operators, 339
remainder operator, 288–290
Periods (.) for base access, 256
<permission> tag, 661
Permitted user-defined conversions, 189
Phases, type inference, 226–227
Plus (+) operator, 280
Plus signs (+)
addition, 290–292
assignment operators, 339
increment operator, 257–259, 282–284
pointers, 637–639
Point class, 41–42, 263
base class, 21
declaration, 18
properties, 486–487
source code, 672–675
Point struct, 43, 341, 540–542, 545–547
Point3D class, 21
Pointers, 623
arithmetic, 638–639
arrays, 632–633
conversions, 631–632
element access, 635–636
in expressions, 633–640
for fixed variables, 640–645
function, 591
indirection, 630, 634
member access, 634–635
operators
address-of, 636–637
comparison, 639
increment and decrement, 637–638
sizeof, 639–640
types, 627–630
variables with, 630–631
Pop method, 4
Positional parameters, 605–606
Postfix increment and decrement operators, 257–259
#pragma directive, 85
#pragma warning directive, 85–86
Precedence of operators, 10, 206–208
Prefix increment and decrement operators, 282–284
Preprocessing directives, 74–76
conditional compilation, 76–77, 79–83
declaration, 78–79
diagnostic, 83
lexical grammar, 686–689
line, 84–85
pragma, 85–86
preprocessing expressions, 77–78
region, 83–84
Preprocessing expressions, 77–78
Primary expressions
anonymous method, 280
checked and unchecked operators, 276–279
default value, 279–280
element access, 253–255
invocation, 247–253
literals in, 238
member access, 242–246
new operator in
anonymous objects, 271–273
arrays, 266–269
collection initializers, 264–266
delegates, 269–271
object initializers, 262–264
objects, 259–260
parenthesized, 242
postfix increment and decrement operators, 257–259
simple names in, 239–242
this access in, 256
typeof operator, 274–276
Primary operators, 11
PrintColor method, 48
Private accessibility, 20, 95
Private constructors, 516–517
Productions, grammar, 55
Program class, 533–534, 543–544
Program structure, 4–6
Programs, 4, 55
Projection initializers, 273
Promotions, numeric, 211–213
Propagation, exception, 379
Properties, 4
access to, 219
accessibility, 487–489
automatically implemented, 486–487
declarations, 478–479
example, 35
in ID string format, 666, 670
indexers, 500
interface, 566
member names reserved for, 441–442
overview, 37–38
static and instance, 479
Property accessors, 38
declarations, 480
overview, 480–486
types of, 486
Protected accessibility, 20
declared, 95
instance members, 100–102
Protected internal accessibility, 20, 95
Public accessibility, 20, 95
Punctuators
lexical grammar, 685
list of, 74
PurchaseTransaction class, 81
Push method, 4
Q
Qualifiers, alias, 404–406
Query expressions, 324–325
ambiguities in, 326
patterns, 337–338
translations in, 326–337
Question marks (?)
null coalescing operator, 311–313
ternary operators, 170, 313
R
\r escape sequence, 70
Range variables, 325, 327–329
Rank of arrays, 44, 553–554
Reachability
blocks, 349
do statements, 366
for statements, 368
labeled statements, 352–353
overview, 348–349
return statements, 378
throw statements, 379
while statements, 365
Read-only fields, 23, 448–450
Read-only properties, 37, 482–485
Read-write properties, 37, 482–483
readonly modifier, 23, 448
Reads, volatile, 450
Real literals, 68–69
ReAlloc method, 650
Recommended tags for comments, 655–665
Rectangle class, 263–264
Rectangle struct, 341–342
ref modifier, 25–26
Reference conversions
explicit, 184–185
implicit, 176–178
Reference parameters, 25, 151–152, 460–461
Reference types, 6–7, 135
array, 43, 136
class, 136
constraints, 415, 419
delegate, 136
equality operators, 301–303
interface, 137
object, 136
string, 136
References, 123
parameter passing by, 25
variable, 171–172
Referencing static class types, 410
Referent types, pointer, 627
Region directives, 83–84
Regular string literals, 71–72
Reimplementation, interface, 581–583
Relational operators, 12, 297
booleans, 300
decimal numbers, 299–300
delegates, 303–304
enumerations, 300
integers, 298
lifted, 214
reference types, 301–303
strings, 303
Release semantics, 450
Remainder operator, 288–290
<remarks> tag, 662
remove accessors
for attributes, 610
for events, 39, 496
RemoveEventHandler method, 497
Removing delegates, 294
Reserved attributes, 615
AttributeUsage, 615
Conditional, 616–619
Obsolete, 620–621
Reserved names for class members, 440–442
Reset method, 536
Resolution
function members, 231–235
operator overload, 32, 210–211
overload, 147
Resources, using statement for, 387–390
return statement
definite assignment rules, 162
example, 16
methods, 28
overview, 377–378
with yield, 390–392
Return type
entry points, 89
inferred, 228–229
methods, 24, 457
<returns> tag, 662
Right-associative operators, 207
Right shift operator, 296
Rounding, 132
Rules for definite assignment, 157–171
RunMethodImpersonating method, 51–52
running state for enumerator objects, 525–527
Runtime processes
array creation, 267
attribute instance retrieval, 614
delegate creation, 270
function member invocations, 222, 236
increment and decrement operators, 258
object creation, 261
prefix increment and decrement operations, 283–284
unboxing conversions, 141
Runtime types, 29, 466
RuntimeWrappedException class, 381
S
sbyte type, 8
Scopes
aliases, 398–399
attributes, 609
vs. declaration space, 89
local variables, 355–356
for name hiding, 109–112
overview, 106–109
Sealed accessors, 490
Sealed classes, 409, 414
Sealed events, 497–498
Sealed indexers, 499
Sealed methods, 472–473
sealed modifier, 409, 472
Sections for attributes, 607
<see> tag, 663
<seealso> tag, 663–664
select clauses, 325, 327–328, 334
Selection statements, 358
if, 358–359
switch, 359–364
Semicolons (;)
accessors, 481
interface identifiers, 566
method bodies, 477
namespace declarations, 394
Sequences in query expressions, 325
set accessors, 490
for attributes, 610
defined, 37
working with, 480–483
SetItems method, 46
SetNextSerialNo method, 28–29
SetText method, 46
Shape class, 473
Shift operators
described, 12
overview, 295–296
Short-circuiting logical operators, 309
short type, 8, 127
ShowHelp method, 54
Side effects
with accessors, 485
and execution order, 121
Signatures
anonymous functions, 317–318
indexers, 500
methods, 24
operators
binary, 506
conversion, 509
unary, 505
in overloading, 32, 104–105
Signed integrals, 8
Simple assignment
definite assignment rules, 167
overview, 340–342
Simple expression assignment rules, 165
Simple names
in primary expressions, 239–242
and type names, 245
Simple types, 7, 124–128
Single-dimensional arrays
defined, 553
example, 44
initializers, 558
Single-line comments, 59–60, 653–654
Single quotes (') for characters, 69–70
Single-use attribute classes, 604
SizeOf method, 651
sizeof operator, 639–640
Slashes (/)
assignment operators, 339
comments, 59–60, 653–654
division, 287–288
Slice method, 476
Source files
compilation, 5
described, 55
Point class, 672–675
Source types in conversions, 189
SplitPath method, 462
Square brackets ([])
arrays, 9, 44
attributes, 607
indexers, 38
pointers, 630, 635–636
Square method, 50
Squares class, 27
Stack allocation, 648–649
Stack class, 4–5, 529–530
stackalloc operator, 630, 648–649
StackOverflowException class, 602, 649
Standard conversions, 188
Startup, application, 86–87
Statement lists, 350–351
Statements, 347
blocks in, 350–351
checked and unchecked, 385
declaration, 353–356
definite assignment rules, 158
empty, 351–352
end points and reachability, 348–349
expression, 14, 159, 357–358
in grammar notation, 56
iteration, 364
do, 366
for, 366–368
foreach, 368–372
while, 365
jump, 373–374
break, 374
continue, 375
goto, 375–377
return, 377–378
throw, 378–380
labeled, 352–353
lock, 385–387
overview, 13–18
selection, 358
if, 358–359
switch, 359–364
syntactic grammar, 700–704
try, 380–384
using, 387–390
yield, 390–392
States, definite assignment, 157
Static classes, 409–410
Static constructors, 36
in classes vs. structs, 547
overview, 518–520
Static events, 497
Static fields, 22, 447–448
for constants, 448–449
initialization, 451–455
read-only, 448–450
Static members, 434–435
Static methods, 24
garbage collection, 117
vs. instance, 28–29, 466
static modifier, 409–410
Static properties, 479
Static variables, 150, 447–448
Status codes, termination, 89
String class, 33, 136
string type, 7, 136
Strings
concatenation, 291–292
equality operators, 303
literals, 71–73
null-termination, 645
switch governing type, 363
Structs, 537
assignment, 541
boxing and unboxing, 542–544
vs. classes, 539–547
constructors, 546–547
declarations, 537–538
default values, 541–542
destructors, 547
examples
database boolean type, 549–551
database integer type, 546–548
field initializers in, 545
inheritance, 541
instance variables, 150
interface implementation by, 47
members, 93, 539
overview, 41–43
syntactic grammar, 714–715
this access in, 545
types, 6, 8, 126
value semantics, 540–541
Subtraction operator, 292–295
Suffixes, numeric, 66–69
<summary> tag, 654, 664
SuppressFinalize method, 89
suspended state, 525–527
Swap method, 25
switch statement
definite assignment rules, 160
example, 15
overview, 359–364
reachability, 349
Syntactic grammar, 57
arrays, 715–716
attributes, 718–720
basic concepts, 689
classes, 706–714
delegates, 718
enums, 717–718
expressions, 691–700
interfaces, 716–717
namespaces, 704–705
statements, 700–704
structs, 714–715
types, 689–691
variables, 691
System-level exceptions, 599
System namespace, 126–127
ToInt32 method, 476
Tokens, 61
identifiers, 62–64
keywords, 65
lexical grammar, 681
literals, 65–74
operators, 74
unicode character escape sequence, 61–62
ToString method, 292
and boxing, 543–544
DBBool, 551
DBInt, 548
Point, 673–674
Translate method, 673
Translations in query expressions, 326–337
Transparent identifiers in query expressions, 327, 335–337
Tree class, 533–534
Tree types, expression, 146–148
Trig class, 516–517
True value, 66
try statement
definite assignment rules, 162–165
example, 17
for exceptions, 600
with goto, 376–377
overview, 380–384
Two-dimensional arrays
allocating, 44
initializers, 558
Type casts, 49
Type inference, 224–231
Type names, 112–115
fully qualified, 115–116
identical, 245
Type parameters, 20–21, 145–146
class declarations, 411
constraints, 414–420
conversions, 186–187
implicit conversions, 179
partial types, 422–423
Type-safe design, 1
Type testing operators
as, 305–306
described, 12
is, 304–305
T
\t escape sequence, 70
Tab escape sequence, 70
Tags for comments, 655–665
Target types in conversions, 189
Targets
goto, 376
jump, 373
Terminal symbols, 55–56
Termination, application, 88–89
Terminators, line, 58–59, 679
Ternary operators, 206, 313–314
TextReader class, 389
TextWriter class, 389
this access
classes vs. structs, 545
indexers, 38
instance constructors, 517
nested types, 438
overview, 256
properties, 479
static methods, 28
Three-dimensional arrays, 44
Throw points, 379
throw statement
definite assignment rules, 161
example, 17
for exceptions, 599
overview, 378–380
Tildes (~)
bitwise complement, 282
conversion, 671
TypeInitializationException class, 600, 602
typeof operator
pointers with, 627
primary expressions, 274–276
<typeparam> tag, 665
<typeparamref> tag, 665
Types, 123
aliases for, 395–400
attribute parameter, 606–607
boxing and unboxing, 138–140
constructed, 141–145, 431–432
declarations, 8, 403–404
in ID string format, 666–668
importing, 400–402
instance, 431
nested, 403, 436–442
nullable. See Nullable types
overview, 6–10
partial. See Partial types
pointer. See Pointers
reference. See Reference types
syntactic grammar, 689–691
underlying, 48–49, 134
value. See Value types
U
uint type, 8
ulong type, 8
Unary operators, 280
cast expressions, 284–285
described, 11, 206
in ID string format, 671
lifted, 213–214
minus, 281
numeric promotions, 212
overload resolution, 210
overloadable, 208–209
overview, 505–506
plus, 280
prefix increment and decrement, 282–284
Unassigned variables, 157
Unbound types, 141, 143
Unboxing conversions
described, 185
overview, 140–141
Unboxing operations
in classes vs. structs, 542–544
example, 9
unchecked statement
definite assignment rules, 158
example, 17
overview, 385
in primary expressions, 276–279
#undef directive, 76–79
Undefined conditional compilation symbols, 76
Underlying types
enums, 48–49, 585
nullable, 134
Underscore characters (_) for identifiers, 62–64
Unicode characters
escape sequence, 61–62
lexical grammar, 57, 681
for strings, 7
Unicode Normalization Form C, 63
Unified type system, 1
Uniqueness
aliases, 405–406
interface implementations, 574–575
Unmanaged types, 627
Unreachable statements, 348
Unsafe code, 623
contexts in, 624–627
dynamic memory allocation, 649–651
fixed-size buffers, 645–648
fixed statement, 640–645
grammar extensions for, 720–723
pointers
arrays, 632–633
conversions, 631–632
in expressions, 633–640
types, 627–630
stack allocation, 648–649
unsafe modifier, 624–627
Unsigned integrals, 7
Unwrapping non-nullable value types, 134
User-defined conversions, 188
evaluation, 189–191
explicit, 187, 192–193
implicit, 179, 191–192
lifted operators, 189
overview, 507–510
permitted, 189
User-defined operators
candidate, 211
conditional logical, 310–311
ushort type, 8
Using directives
for aliases, 397–400
definite assignment rules, 164–165
example, 18
for importing types, 400–402
overview, 387–390, 396–397
purpose, 3
Variables, 149
anonymous functions, 320–324
array elements, 151
declarations, 154, 353–356
default values, 154–155
definite assignment. See Definite assignment
fixed addresses for, 640–645
fixed and moveable, 630–631
initializers, 452–455, 513
instance, 150, 447–448
local, 153–154
in methods, 27–28
output parameters, 152–153
overview, 10
query expressions, 325, 327–329
reference parameters, 151–152
references, 171–172
scope, 109–110, 355–356
static, 150, 447–448
syntactic grammar, 691
value parameters, 151
Verbatim identifiers, 64
Verbatim string literals, 71–72
Versioning
of constants, 449
described, 1
Vertical bars (|)
assignment operators, 339
definite assignment rules, 168–169
logical operators, 307–311
preprocessing expressions, 77
Vertical tab escape sequence, 70
Viewers, documentation, 653
Virtual accessors, 38, 490
Virtual events, 497–498
Virtual indexers, 499
Virtual methods
overview, 29–32
working with, 466–469
Visibility in scope, 109
void type and values
entry point method, 88
events, 496
pointers, 628
return, 24, 28
with typeof, 275
Volatile fields, 450–451
W
WaitForPendingFinalizers method, 120
#warning directive, 83
warnings, preprocessing directives, 85–86
where clauses
query expressions, 329–334
type parameter constraints, 144, 415
while statement
definite assignment rules, 160
example, 15
overview, 365
Whitespace
in comments, 654
defined, 60–61
X
XAttribute class, 611–612
XML (Extensible Markup Language), 653–654, 674–677
XOR operators, 12
Y
yield statement
definite assignment rules, 165
example, 16
overview, 390–392
yield break, 526–527
yield return, 526–527
Yield type iterators, 524
|
Sparsity Signal Detection for Indoor GSSK-VLC System
Ting Zuo, Fasong Wang, Jiankang Zhang, Senior Member, IEEE
Abstract—In this paper, the signal detection problem in indoor visible light communication (VLC) system aided by generalized space shift keying (GSSK) is modeled as a sparse signal reconstruction problem, which has lower computation complexity by exploiting the sparse reconstruction algorithms in compressed sensing (CS). In order to satisfy the measurement matrix property to perform sparse signal reconstruction, a preprocessing approach of measurement matrix is proposed based on singular value decomposition (SVD), which theoretically guarantees the feasibility of utilizing CS based sparse signal detection method in indoor GSSK-VLC system. Then, by adopting classical orthogonal matching pursuit (OMP) algorithm and compressed sampling matching pursuit (CoSaMP) algorithm, the GSSK signals are efficiently detected in the proposed indoor GSSK-VLC system. Furthermore, a more efficient detection algorithm combined with OMP and maximum likelihood (ML) is also presented especially for SSK scenario. Finally, the effectiveness of the proposed sparsity aided detection algorithms in indoor GSSK-VLC system are verified by computer simulations. The results show that the proposed algorithms can achieve better bit error rate (BER) and lower computation complexity than ML based detection method. Specifically, a signal-to-noise ratio (SNR) gain as high as 12 dB is observed in the SSK scenario and about 5 dB in case of a GSSK scenario upon employing our proposed detection methods.
Index Terms—Visible light communication (VLC), generalized space shift keying (GSSK), compressed sensing (CS), maximum likelihood (ML), signal detection.
I. INTRODUCTION
As a promising new communication technology in wireless communication system, visible light communication (VLC) has many unique advantages compared with traditional radio frequency (RF) communication, such as rich spectrum resources, good confidentiality, no license requirements, anti-electromagnetic interference, etc. [1], [2]. The research on VLC has aroused strong interest of researchers in various fields from both academia and industry. The combination of VLC and multiple-input multiple-output (MIMO) technology can significantly improve the transmission rate and performance of the communication system [3]. Based on these advantages, MIMO transmission in indoor VLC has been widely studied in recent years.
Spatial modulation (SM), as a simple and efficient MIMO scheme, has been widely studied in the last decade. It utilizes the active antenna index to convey additional information and achieves effective improvement of spectral efficiency (SE) [4]. The latest and detailed research results of SM technology in recent years was described in [5]. Furthermore, some extended schemes based on SM have been proposed to improve the performance of the application systems in [6]–[13]. Specifically, space shift keying (SSK) is one of the SM technologies with the lowest device complexity and the easiest implementation [6], which employs only spatial symbols to convey information. Then, to improve the SE of systems, the generalized SSK (GSSK) [7] and generalized SM (GSM) [8] schemes were proposed by activating multiple transmitting antennas simultaneously. Different from traditional SM that employs the index of transmitting antenna to transmit information, by exploiting the index of receiving antenna to convey spatial information, a pre-coding SM scheme was proposed in [9], [10]. Then, by extending the spatial symbols to in-phase components and orthogonal components, the spatial SE of quadrature SM (QSM) technology is doubled compared with traditional SM, and the bit error rate (BER) of the system can also be improved [11]–[13]. Furthermore, based on these advantages of QSM technology, a generalized pre-coding QSM (GPQSM) scheme was proposed in [12], the authors also proved that GPQSM scheme was superior to traditional GPSM scheme at the same SE. Additionally, practical application of GQSM combined with NOMA technology was designed in vehicle collaborative networks [13]. Actually, as one of the successful multiple antenna technologies in RF based wireless communication systems, GSSK has been extensively studied due to its less cost, fewer RF links and lower complexity [14]. SSK is one of the GSSK technologies with the lowest device complexity and the easiest implementation. In practice, for the limited luminous flux of an individual light-emitting diodes (LED) and the size of a typical room, multiple LEDs are usually utilized for obtaining adequate illumination. When multiple LEDs are activated to transmit information, these spatially distributed LEDs can be exploited for implicitly conveying information. Therefore, the GSSK scheme is also suitable for VLC systems [15], [16]. Furthermore, the advantages and disadvantages of GSSK technology in indoor VLC system have been thoroughly analyzed, the authors of [16] pointed out that GSSK is suitable for the situation where the receiver position is fixed, because the mobility of the receiver greatly affects its performance. In order to enhance the error performance of the traditional GSSK-VLC system, a low-complexity power allocation scheme was proposed in the direct-coded GSSK system, which improved the symbol error rate while increasing the transmission rate [17]. For the indoor VLC system based on GSSK, the physical layer...
security problem was considered in [18], [19], the security performance of the system was analyzed, and the methods of security improvement based on LEDs selection and artificial noise injecting were also proposed.
The detection methods in the above-mentioned indoor GSSK-VLC system are mainly based on the maximum likelihood (ML) method. Although the detection performance is optimal, the computational complexity brought by exhaustive search will increase dramatically when the number of LEDs at the transmitter is large. Therefore, it is very important to find a detection scheme with low complexity and a lower BER at the receiver. Linear detection algorithms, such as zero forcing (ZF) and minimum mean error (MMSE), have a significant complexity reduction compared with ML, but at the expense of error increasing. Furthermore, these two approaches are only applicable to the over-determined systems [20]. Recently, a low complexity logarithmic likelihood ratio (LLR) detection algorithm is employed in the joint mapping non-orthogonal frequency division multiplexing with subcarrier number modulation (JM-OFDM-SNM) scheme in [21]. Compared with ML, the LLR detector scheme has no obvious attenuation in performance, while the detection complexity is significantly reduced. Inspired by this, the LLR detector may be applicable to our considered GSSK-VLC system, but it needs further investigation to integrate them.
Practically, multiple LEDs are utilized for satisfying adequate illumination, and by GSSK modulation, only several LEDs are activated to transmit information. Therefore, the transmitted information signals have inherent sparsity. Consequently, by considering the sparse characteristics of GSSK signals in GSSK-VLC system, the sparse signal reconstruction method in compressed sensing (CS) theory can provide ideal balance between the computational complexity and the system error performance. As an innovative theory of signal acquisition, encoding and decoding, CS was proposed by Donoho et al. [22], among which greedy algorithm is one of the main algorithms involved in sparse signal reconstruction. The greedy algorithm includes orthogonal matching pursuit (OMP) and a series of improved algorithms of OMP [23], [24].
The application of CS theory in GSSK aided RF communication system has been extensively studied [25]–[29]. Specifically, a normalized CS algorithm was applied to demodulate GSSK signals in RF communication system by utilizing the OMP algorithm in [25]. Then, in order to improve the system performance, an equalizer based on OMP algorithm was applied to the receiver to make the equivalent channel matrix orthogonal [26]. Following this, by increasing the iteration number, a modified OMP algorithm in GSSK system was proposed to improve system performance, however in high signal-to-noise ratio (SNR) condition, flooring effect will appear [27]. Then, a new sparse reconstruction algorithm for detecting GSSK signals was proposed to enhance system performance compared with existing CS based detection algorithms in [28]. Different from the traditional CS algorithm, which uses inner product operation to find matching atoms, a new atomic matching criterion based on Euclidean distance was proposed in [29], which improves both the performance and complexity of the algorithm. With respect to the applications of CS technology in VLC system, indoor positioning was considered in [30], [31], while the experimental demonstration of CS based channel estimation for MIMO-OFDM VLC was given in [32].
To the best of our knowledge, there are no research results in the open literature on the comprehensive usage of GSSK-VLC system relying on CS based sparse signal reconstruction algorithm for signal detection, which inspired this treatise.
Motivated by the aforementioned issues, in this paper, we propose and study the signal detection problem in indoor GSSK-VLC system. In particular, we analyze the channel characteristics of indoor GSSK-VLC system, by utilizing a preprocessing approach to the measurement matrix of the CS aided system model, a series efficient sparse reconstruction algorithms are proposed to achieve signal detection. The contributions of this paper can be summarized as follows:
- Unlike the channel matrix in traditional RF communication, which approximately meets the restricted isometric property (RIP) in CS theory, the elements of channel matrix of indoor VLC system are almost fixed value determined by the locations of receiver and transmitter, and other system parameters. And consequently, it makes the measurement matrix always not meet the RIP characteristics, which is the prerequisite for the effective use of CS algorithm. Therefore, aided by this conclusion, a preprocessing approach on the channel matrix is proposed based on singular value decomposition (SVD), which theoretically guarantees the feasibility of utilizing CS based sparse signal reconstruction method in indoor GSSK-VLC system.
- In order to enhance the detection efficiency of ML method, by adopting classical OMP method and compressed sampling matching pursuit (CoSaMP) method, an efficient GSSK signal detection algorithm framework is proposed in the considered indoor GSSK-VLC system. Additionally, a more efficient detection algorithm combined with OMP and ML is also presented especially for SSK scenario. Compared with ML, these detection algorithms reduce the computational complexity dramatically and improve the BER performance obviously. Specifically, a SNR gain as high as 12 dB is observed in the SSK scenario and about 5 dB in case of a GSSK scenario upon employing our proposed detection methods.
The rest of this paper is arranged as follows: in section II, the model of indoor GSSK-VLC system is described in detail. In Section III, the CS aided detection algorithms are proposed for the considered indoor GSSK-VLC system. The parameter setting and detailed simulation experiments are provided in section IV. Finally, we conclude the whole paper in section V.
II. SYSTEM MODEL
A. Channel Model of Indoor VLC
In the indoor VLC system, the LEDs serve as the transmitter to provide lighting and conduct high-speed short-range communication simultaneously [33], and the receiver receives signals with photo-detectors (PDs). The transmitter of indoor VLC system is equipped with $N_t$ LEDs and the number of PDs
at the receiver is $N_r$. In this paper, intensive modulation/direct detection (IM/DD) is considered. In the system considered, it is further assumed that all LEDs are used to perform illumination and the lighting power is $I$. The activated LEDs implement IM to transmit information to accomplish communication, and the emitted symbol with an intensity of $I_m \in \mathbb{M}$, where $\mathbb{M}$ is the set of all possible emission signal intensity levels. $I_m$ can be expressed as: $I_m = \frac{M \cdot I_p}{M+1}, m = 1, 2, \ldots, M$, where $M$ represents the order of intensity modulation, $I_p$ represents the average optical power of the transmitted signal, and non-activated LEDs are only utilized for illumination.
Fig. 1 depicts a typical indoor VLC model with a room size of 5 m × 5 m × 3 m. The LEDs are 0.5 m away from the ceiling and the PDs are placed on a plane 0.8 m away from the ground. Due to the light propagation characteristics, the signals received by the receiver of indoor VLC system include line of sight (LOS) component and non-LOS (NLOS) components [19]. LOS means that the signal sent by LEDs is directly received by PD, while NLOS denotes the optical signal sent by LEDs reaches the receiver after refraction or reflection by the object. Because NLOS contains very little optical power, only LOS transmission channel is considered in this paper [34].
Assuming further that the LED has a generalized Lambert emission mode, Fig. 2 shows the geometric model of LOS transmission, where $\phi$ and $\theta$ are the angle of emergence and incidence at the PD, respectively. Furthermore, FOV is the field-of-view (FoV) semi-angle of the detector, and $\Phi_{1/2}$ is the half power semi-angle of LED, $d$ is the distance between transmitter and receiver.
**Fig. 1.** Indoor VLC system model with $N_t = 4, N_r = 4$
Then the channel gain between LED and PD can be expressed as [35]
$$h = \frac{A(k + 1)}{2\pi d_{i,j}^2} (\cos \phi)^k \cos \theta \text{rect}\left(\frac{\theta}{\text{FOV}}\right)$$
(1)
where $A$ is the area of PD, and $k$ is the mode number of the radiation lobe, which can be expressed as $k = -\ln(2)/\ln(\cos(\Phi_{1/2}))$. $\text{rect}(\cdot)$ function indicates that PD cannot receive optical signal when the incident angle of PD is greater than FOV, and the channel gain $h$ between LED and PD is 0 in this case. Then the optical MIMO channel matrix $\mathbf{H}$ with dimensional $N_r \times N_t$ can be expressed as
$$\mathbf{H} = \begin{bmatrix}
h_{11} & h_{12} & \cdots & h_{1N_t} \\
h_{21} & h_{22} & \cdots & h_{2N_t} \\
\vdots & \vdots & \ddots & \vdots \\
h_{N_r,1} & h_{N_r,2} & \cdots & h_{N_r,N_t}
\end{bmatrix}$$
(2)
where $h_{ij}$ represents the channel gain between the $j$th LED and the $i$th PD. In summary, the input-output relationship of the indoor VLC channel between the $N_t$ LEDs and the $N_r$ PDs can be modelled as
$$\mathbf{y} = \mathbf{Hx} + \mathbf{n}$$
(3)
where $\mathbf{x} = [x_1, x_2, \cdots, x_{N_t}]^\top \in \mathcal{R}^{N_t}$ is an information-bearing signal vector sent by LEDs, and $\mathbf{y} = [y_1, y_2, \cdots, y_{N_r}]^\top \in \mathcal{R}^{N_r}$ is the received signal vector by PDs. Finally, $\mathbf{n} \sim \mathcal{N}(0, \sigma^2)$ is zero-mean additive white Gaussian noise (AWGN) processes vector received by PDs.
### B. GSSK Modulation in Indoor VLC System
Assuming that there are $N_t$ LEDs in the considered service area. For the proposed GSSK-VLC system, only $N_a$ ($1 \leq N_a \leq N_t$) out of the $N_t$ LEDs are activated to simultaneously transmit their information by exploiting GSSK modulation, while the remaining $(N_t - N_a)$ LEDs are only employed for illumination. Hence, there are totally $M = \binom{N_t}{N_a}$ possible combinations, among which $2^{\eta_{GSSK}}$ with $\eta_{GSSK} = \lfloor \log_2 M \rfloor$ are used transmitting $\eta_{GSSK}$ bits per symbol, $\lfloor \cdot \rfloor$ denotes floor operation. In our following discussions, we explicitly select the first $2^{\eta_{GSSK}}$ combinations for conveying information. As a special GSSK modulation, SSK is the simplest case of GSSK, where only one LED is activated in each time slot, and information is transmitted only depending on the index of the single activated LED. Therefore, the number of bits of information transmitted by SSK in each time slot is $\eta_{SSK} = \lfloor \log_2(N_t) \rfloor$. Hence, all the following results can be straightforwardly applied to indoor SSK-VLC system by letting $N_a = 1$.
In summary, the system model of the GSSK scheme is illustrated in Fig. 3 with configuration $N_t = 4, N_a = 2$, thus a GSSK symbol carries $\eta_{GSSK} = 2$ bits of information. As an demonstration, the mapping criterion between activated
LEDs combination and transmission information bits can be defined as follows: \((1, 2) \rightarrow [0, 0], (1, 3) \rightarrow [0, 1], (1, 4) \rightarrow [1, 0], (2, 3) \rightarrow [1, 1]\), where the symbol \((n_i, n_j)\) represents the index of activated LEDs, where \(n_i \neq n_j\) and \(n_1, n_j = 1, 2, \cdots, N_t\), and the symbol \([m_i, m_j]\) represents the information bits with elements \(m_i, m_j = 0\) or 1. Since GSSK only uses the combination of activated antennas to send information, it may as well assume that the symbol intensity of all transmitted is identical and equals to 1. Hence, all possible transmitted signal vectors can be expressed in the following matrix with each column a possible information conveying signal vector as
\[
X = \begin{bmatrix} x_1, x_2, x_3, x_4 \end{bmatrix} = \begin{bmatrix} 1 & 1 & 1 & 0 \\ 1 & 0 & 0 & 1 \\ 0 & 1 & 0 & 1 \\ 0 & 0 & 1 & 0 \end{bmatrix}
\]
(4)
### III. Proposed Preprocessing and Detection Algorithms in GSSK–VLC System
CS theory shows that when the signal is sparse in a certain transformation domain, it can be compressed by a reasonably designed measurement matrix, and then the original high-dimensional signal can be recovered by sparse reconstruction algorithm [22]. This idea has been widely exploited in the field of signal processing [22]–[24]. The most significant aspect of CS theory is it can compress the signal simultaneously in the process of sampling, and is not limited by the Nyquist sampling theorem, which greatly reduces the cost of data storage and transmission [22]. In this paper, a class of signal detection approaches of the considered GSSK-VLC system are designed by employing sparse reconstruction algorithm based on CS theory. In our considered MIMO GSSK-VLC system, the proposed detection algorithm can achieve better BER performance and lower computation complexity than ML based detector.
However, CS aided sparse reconstruction algorithm has some limitations when applied to reconstruct the original signals accurately in applications. On the one hand, the original signals should be sparse or can be made sparse by proper transformations; On the other hand, the measurement matrix of the system should meet the RIP property, which is the premise of the utilization of CS based sparse reconstruction algorithm. Thus, the designment of the measurement matrix affects directly the quality of the reconstructed signal, and so the detection accuracy. In our considered GSSK-VLC system, the original signals have inherent sparsity property, hence, how to design the desired measurement matrix with RIP property is a major challenge.
According to CS theory, in order to accurately recover the original transmitted signal \(x\), the measurement matrix \(H\) needs to meet the RIP property. In RF communication, the elements in channel matrices are usually Gaussian random variables, and it has been shown that such matrices can satisfy the RIP property with a high probability [36]. In our considered GSSK-VLC system, whether the elements of measurement obey the Gaussian random distribution cannot be determined directly [37]. In order to investigate the RIP property of measurement matrix in the considered system, a hypothesis test approach, termed as the Jarque-Bera test [38], is executed to test the hypothesis that the distribution of the channel gain random variables is a Gaussian distribution at the 5% significance level. Based on the channel matrix model in section II and simulation parameter settings in Section IV, the test always returns a value of 1, which means that the elements of the measurement matrix do not obey the Gaussian distribution. Additionally, the simulation results depicted in Fig. 4 also confirmed that the CS aided sparse signal reconstruction algorithms could not be utilized directly. To resolve this issue, a preprocessing method of measurement matrix is proposed in this paper. By exploiting this preprocessing operation, a series signal detection algorithms based on sparsity are further proposed.
#### A. SVD Aided Preprocessing of Measurement Matrix
In this subsection, the measurement signal model (3) is considered. In order to facilitate the analysis, the influence of noise is not considered in the analysis process [22], [36].
**Theorem 1:** Suppose \(\tilde{H}\) is obtained by selecting \(N_r\) rows uniformly at random from \(N_t \times N_r\) orthonormal matrix and the columns of \(\tilde{H}\) are renormalized so that they are unit-normed. Then \(\tilde{H}\) presents an incoherent measurement and the RIP of measurement \(\tilde{H}\) holds with overwhelming probability [37].
**Proof:** The detailed proof can be found in Section 3.4 in [37]. ■
**Theorem 2:** For the channel matrix of the considered indoor GSSK-VLC system model, an SVD aided preprocessing makes the measurement matrix (channel matrix) satisfy RIP property in CS.
**Proof:** For the characteristics of the considered indoor GSSK-VLC system, without loss of generality, we assume that the measurement matrix \(H \in \mathbb{R}^{N_r \times N_t}\) satisfies full row rank, then it can be decomposed as
\[
H = U[\Delta, O]V^T
\]
(5)
where \(U \in \mathbb{R}^{N_r \times N_r}, V \in \mathbb{R}^{N_t \times N_t}\) are orthogonal matrices, \(\Delta = \text{diag}[\delta_1, \delta_2, \cdots, \delta_{N_r}]\), and \(\delta_1 \geq \delta_2 \geq \cdots \geq \delta_{N_r} \geq 0\) are the singular values of \(H, O \in \mathbb{R}^{N_r \times (N_t - N_r)}\) is a zero matrix.
Next, let \(\Delta^* = \text{diag}[\frac{1}{\delta_1}, \frac{1}{\delta_2}, \cdots, \frac{1}{\delta_{N_r}}]\), then we define the vector \(y_{SVD}\) as
\[
y_{SVD} = \Delta^* U^T y = \Delta^* U^T H x
\]
(6)
Let \( \mathbf{Z} = \Delta^* \mathbf{U}^T \mathbf{H} \), which is a partial orthogonal matrix and we get
\[
\mathbf{y}_{\text{SVD}} = \mathbf{Zx}
\] (7)
Furthermore, by utilizing (5), \( \mathbf{Z} \) can be simplified as
\[
\mathbf{Z} = \Delta^* \mathbf{U}^T \mathbf{H} = \Delta^* \mathbf{U}^T \mathbf{U} [\Delta, \mathbf{O}] \mathbf{V}^T = [\mathbf{I}_{N_c \times N_c}, \mathbf{O}] \mathbf{V}^T
\] (8)
Additionally, the preprocessed measurement matrix \( \mathbf{H}_{\text{SVD}} \) is defined by \( \mathbf{Z} \) as
\[
\mathbf{H}_{\text{SVD}} = \mathbf{Z} = \begin{bmatrix}
\frac{1}{\|z_1\|} & 0 & \cdots & 0 \\
0 & 1 & \cdots & 0 \\
\vdots & \vdots & \ddots & \vdots \\
0 & 0 & \cdots & \frac{1}{\|z_{N_c}\|}
\end{bmatrix} = \mathbf{Z} \mathbf{\Upsilon}
\] (9)
where \( z_1, z_2, \ldots, z_{N_c} \) is the column vector of the matrix \( \mathbf{Z} \), \( \| \cdot \| \) is the Euclidean norm of the vector. Following this, we can obtain
\[
\mathbf{Z} = \mathbf{H}_{\text{SVD}} = \begin{bmatrix}
\|z_1\| & 0 & \cdots & 0 \\
0 & \|z_2\| & \cdots & 0 \\
\vdots & \vdots & \ddots & \vdots \\
0 & 0 & \cdots & \|z_{N_c}\|
\end{bmatrix} = \mathbf{H}_{\text{SVD}} \Xi
\] (10)
Finally, we can arrive at the transformed representation of the preprocessed signal as
\[
\mathbf{y}_{\text{SVD}} = \mathbf{Zx} = \mathbf{H}_{\text{SVD}} \Xi \mathbf{x} = \mathbf{H}_{\text{SVD}} \mathbf{x}_{\text{SVD}}
\] (11)
where
\[
\mathbf{x}_{\text{SVD}} = \Xi \mathbf{x}
\] (12)
It can be seen that (12) has two advantages: On the one hand, as a scaled version of \( \mathbf{x} \), \( \mathbf{x}_{\text{SVD}} \) maintains the same sparsity as \( \mathbf{x} \); On the other hand, \( \mathbf{H}_{\text{SVD}} \) is a partial orthogonal matrix, from Theorem 1, it satisfies the RIP property.
Hence, once solving the sparse optimization problem and correctly reconstructing \( \mathbf{x}_{\text{SVD}} \), the original information signal can be obtained as
\[
\mathbf{x} = \mathbf{\Upsilon} \mathbf{x}_{\text{SVD}}
\] (13)
### B. Signal Detection Algorithms Aided by Sparsity
CS reconstruction algorithms are commonly divided into two categories: convex optimization algorithm and greedy algorithm. The reconstruction performance of convex optimization algorithm is always good; however, its computation complexity is high, which restricts its applications in some special cases. As a suboptimal sparse signal reconstruction approach, the greedy algorithm selects the most matching atom and iterates until it is close to the original sparse signal, among them OMP algorithm [23] and CoSaMP algorithm [24] are two most popular and efficient greedy algorithms. For the signal detection issue in the considered indoor GSSK-VLC system, by utilizing the proposed SVD aided preprocessing method, the classical OMP and CoSaMP algorithms will be firstly adopted to reconstruct the original sparse signal. For OMP algorithm in Table I, the inner product of measurement matrix \( \mathbf{H} \) and residual \( \mathbf{r} \) is calculated in each iteration and is denoted as \( \mathbf{p} \), then the position of the maximum absolute value of vector \( \mathbf{p} \) is found and put into the set \( \mathbb{S}_t \), and then the index set \( \Lambda_t \) and atomic support set matrix \( \mathbf{A}_t \) are updated. Additionally, \( \mathbf{H}_{\Lambda_t} \) denotes a submatrix of \( \mathbf{H} \) with columns indices defined by the set \( \Lambda_t \), and \( (\cdot)^T \) denotes the transpose of a matrix or vector. Then, the least squares method is utilized to estimate the signal \( \hat{\mathbf{x}}_t \), and the residual is finally updated. The above process is repeated until the end of the iteration of the OMP algorithm. CoSaMP algorithm is an improvement edition of the basic OMP; the main difference between CoSaMP and OMP lies in each iteration, CoSaMP finds the positions of \( 2N_a \) values with the largest absolute values in the inner product vector, while it is 1 of the OMP. Thus, the maximum \( N_a \) absolute values in \( \hat{\mathbf{x}}_t \) and their corresponding positions (eliminating the wrong atoms) are selected by exploiting the least squares method, and finally, the index set and residual are updated. The detailed steps of these two algorithms are presented in Table I and Table II, respectively.
Furthermore, a novel efficient detection algorithm combined with OMP and ML (OMP-ML) is proposed, which is specifically demonstrated as follows: in each iteration, to carry out signal estimation and residual update, \( K \) columns that are most relevant to matrix \( \mathbf{H} \) are selected to put into an index set. After \( N_a \) iterations, there will be \( N_a \) index sets, and each index set contains \( K \) elements. Then, \( N_a \) elements are randomly selected from all \( KN_a \) elements, and the number of combinations will not exceed \( \binom{KN_a}{N_a} \). Among these combinations, the optimal combination of activated antennas is then be determined by ML approach. Different from OMP, in the present scheme, the selection of multiple relevant atomic has a high probability to include the index of the activated antenna, and then the traversal search will be carried out on
### Table III
**OMP-ML Algorithm in GSSK-VLC**
| Input: | $H, y, N_a, K$ |
| Output: | $\hat{I}$ |
1. $r_0 \leftarrow y$, $t \leftarrow 0$, $\Lambda_0 \leftarrow \emptyset$, $A_0 \leftarrow \emptyset$, $\Gamma_0 \leftarrow \emptyset$
2. while $t < N_a$ do
3. $t \leftarrow t + 1$
4. $p \leftarrow H^T r_t^{(t-1)}$, $\lambda_k \leftarrow \arg\max_K (p)$, $i_t \leftarrow \arg\max(p)$
5. $\Lambda_t = i_t \cup \Lambda_{t-1}$, $\Lambda_\Delta = H_{\Lambda_t} \cup \Lambda_{t-1}$, $\Gamma_t \leftarrow \Gamma_{t-1} \cup \Lambda_t$
6. $\hat{x}_t = \arg\min_x \|y - Ax\|_2^2 = (\Lambda_\Delta^T A_\Delta)^{-1} \Lambda_\Delta^T y$
7. $r_t = y - A_t \hat{x}_t$
8. end while
9. $B = \binom{I}{\Lambda_\Delta}$
10. $\hat{I} \leftarrow \arg\max_{\hat{I} \in B} \|y - Hx_\Delta\|_2^2$
---
### Table IV
**Sparsity Aided Signal Detection Algorithm with SVD Preprocessing**
| Input: | Randomly generated bitstream $\rightarrow \{0, 1, 0, 0, \ldots\}$ |
| Output: | Recovered bitstream |
1. bits $\leftarrow \log_2(\text{length}(N_t, N_a))$, com-com($\cdot$, $N_t$, $N_a$), com-com($\cdot$, $2^b$, $\cdot$)
2. bits $\rightarrow \{0, 1, 0, \ldots\}$
3. GSSK Modulation: Generating transmit signal $x$
4. $y = Hx$; $[y_{SVD}, H_{SVD}] = \text{SVD}(y, H)$
5. $(I) = \text{OMP}(H_{SVD}, y_{SVD}, N_a)/\text{CoSaMP}(H_{SVD}, y_{SVD}, N_a)/\text{OMP-ML}(H_{SVD}, y_{SVD}, N_a)$
6. [idx, ia, lb] = intersect(I, com, 'rows')
if isempty(idx)
recovered bits = bits
else
recovered bits=de2bi(ub - 1, bt, 'left-msb')
end
7. BER = biter(bits, recovered bits)
---
### Table V
**Simulation Parameters**
| Simulation setup | |
|------------------|----------------|
| Room size ($L \times W \times H$) | $5 \times 5 \times 3$ m$^3$ |
| Number of LEDs | 9; 25; 64 |
| Number of PDs | 4; 16; 36 |
| LEDs height | 3 m |
| PDS height | 0.85 m |
| LEDs deployment area | $[2.1 : 0.2 : 3.5]$ m; $[2.1 : 0.3 : 3.3]$ m |
| PDS deployment area | $[2.4 : 2.6]$ m |
| Semi-angle at half power ($\Phi_{1/2}$) | 15° |
| Physical area of a PD ($A_{PD}$) | 1.0 cm$^2$ |
| Receiver FoV semi-angle ($\Psi_{\text{FoV}}$) | 30° |
---
### IV. Simulation and Numerical Results
In this section, three proposed signals detection algorithms, OMP-ML, OMP and CoSaMP are utilized to demodulate GSSK signals in the considered indoor GSSK-VLC system. For comparison, the ML detection method is also considered in all simulations. The performance is measured by BER. Meanwhile, the computational complexity is also discussed in detail. In all the following simulations, the value of $K$ in OMP-ML algorithm is set as $2N_a$.
#### A. Detection Performance Analysis of Indoor GSSK-VLC System
In this subsection, we will validate the performance of our proposed sparsity aided signal detection algorithms of the considered indoor GSSK-VLC system. Unless specially noted, we assume that the number of activated antennas is $N_a = 2$. The performance of ML detection and sparse reconstruction detection algorithms will be considered in the simulation with different number of LEDs and PDs, the main system simulation parameters for GSSK-VLC system are shown in the Table V.
In order to ensure that the sparsity aided detection algorithms can be utilized effectively, it is necessary to ensure that the measurement matrix $H$ meets the RIP property. Therefore, when implementing the detection algorithm based on sparsity,
the channel matrix $\mathbf{H}$ needs to be preprocessed by SVD before a sparse reconstruction algorithm is executed.
To investigate the effectiveness of the measurement matrix preprocessing method proposed in this paper, the detection performance of sparsity aided algorithm with and without SVD preprocessing on measurement matrix $\mathbf{H}$ is demonstrated below. Fig. 4 depicts the detection results without measurement matrix preprocessing, where $N_t = 64$ and $N_r = 36$ for the considered indoor GSSK-VLC system. Observed from the simulation results that upon increasing the SNR, all sparsity aided signal detection algorithms fail to detect GSSK signals and the BER tend to a constant value, which indicates that the greedy algorithm based on CS sparse reconstruction is almost unable to reconstruct the original signal if there is no preprocessing operation on measurement matrix. However, the ML detection approach can detect the GSSK signals successfully upon increasing SNR.
Then, to demonstrate the efficiency of the proposed preprocessing approach and detection algorithms, we consider a special case of GSSK modulation with $N_g = 1$ (i.e., SSK modulation), where the performance of each detection algorithm with different $\Phi_{1/2}$ is considered. In the simulation, the numbers of $N_t$ and $N_r$ are set to 9 and 4, respectively, LEDs are uniformly distributed in the $[0.6, 2.6] \times [0.6, 2.6]$ m$^2$ area, and PDs are uniformly distributed in the $[2.4, 2.6] \times [2.4, 2.6]$ m$^2$ area. As shown in Fig. 5, when measurement matrix $\mathbf{H}$ is preprocessed to satisfy the RIP property, the performance of sparsity aided algorithm is significantly improved, and the proposed OMP-ML algorithm provide the best BER performance. Moreover, it can also be seen that the detection performance enhances as the increase of $\Phi_{1/2}$. However, for ML detection, the detection performance decrease upon increasing $\Phi_{1/2}$.
Let us now focus on GSSK situation. We consider the following two scenarios: 1) $N_t = 25$, $N_r = 16$, the LEDs are uniformly distributed in the $[2.1, 3.3] \times [2.1, 3.3]$ m$^2$ region with an interval of 0.3 m of adjacent two LEDs; 2) $N_t = 64$, $N_r = 36$, the LEDs are uniformly distributed in the $[2.1, 3.5] \times [2.1, 3.5]$ m$^2$ region, and the LED interval is 0.2 m of adjacent two LEDs. In all simulations, the user’s PDs positions are fixed within the range of $[2.4, 2.6] \times [2.4, 2.6]$ m$^2$. Fig. 6 depicts the BER performance of ML, OMP-ML, OMP and CoSaMP detection algorithms with different SNRs. From Fig. 6, it can be seen that the BER performance of OMP algorithm is poor and affected by floor effect, while both OMP-ML and CoSaMP algorithms can detect the original GSSK signals efficiently. Additionally, we can observe from Fig. 6 that the ML detection approach can also detect the GSSK signals properly. Furthermore, the BER performance gap between ML and CoSaMP detection algorithms is almost 36 dB and 26 dB when BER is $10^{-5}$ with configurations $N_t = 64$, $N_r = 36$ and $N_t = 25$, $N_r = 16$, respectively.
From Fig. 6, we can also learn that the performance of three sparsity based detection algorithms is improved upon increasing the number of LEDs at the transmitter, and the performance improvement of CoSaMP is more obvious than that of OMP-ML and OMP. However, the performance of ML detector is deteriorated with the increase of the number of LEDs, because the increase of the number of LEDs will bring more serious interference and stronger correlation of channels, which results in performance loss of ML detection method.
Actually, this is determined by the detection characteristics of ML. However, for sparsity aided detection algorithms, with the increase of the number of LEDs, the transmitted signals become more sparser, which results in the improved detection performance.
It can also be seen from the simulation results in Fig. 6 that CoSaMP algorithm has more obvious advantages in GSSK-VLC system as $N_t$ increases. This is because the backtracking mechanism is adopted by CoSaMP algorithm, and the operation of elimination wrong selected atoms in each iteration can potentially improve the accuracy of signal reconstruction. Therefore, the CoSaMP significantly outperforms other non-backtracking sparsity aided greedy algorithms.
Fig. 7 depicts the performance for ML algorithm and our proposed sparsity aided signal selection algorithms OMP, CoSaMP and OMP-ML for the investigated two cases, where we have $N_t = 64$, $N_r = 25$ and $N_t = 64$, $N_r = 36$ for the indoor GSSK-VLC system. Observe that the performance of the three sparsity aided detection algorithms is significantly improved upon increasing the number of PDs at the receiver, and the performance enhancement of ML detection method is limited. Additionally, the floor effect of the performance of OMP-ML and CoSaMP detection algorithms can be effectively alleviated as the number of PDs increasing.
Finally, it can be seen from the simulation results that the sparsity aided detection algorithm has better performance than that of the ML detector. The main reason is that the detection principles of the two types of detection algorithms are different. Specifically, the sparse signal reconstruction algorithm based on CS filters out the noise of some non-sampling points when doing relevant sparse sampling or preprocessing the measurement matrix, while the principle of ML detection algorithm is through exhaustive search and enumeration. Consequently, when the signal to be recovered is sparse enough and the channel itself has poor quality, the non-sampling point (the position of the zero-value) will be added into certain amount of noise, which causes the detection performance of ML sharply declined. At the same time, in our considered indoor GSSK-VLC system, the signals to be transmitted has strong sparsity when the number of LEDs at the transmitter is large, and consequently the sparsity aided detection algorithms have better performance than that of the ML detector.
### B. Complexity analysis
Because the signals and elements of channel matrices in indoor VLC system are both positive real numbers. In this paper, we will analyze the complexity of ML detection algorithm as well as the proposed sparsity aided signal detection algorithms: OMP-ML, OMP and CoSaMP from the perspective of floating point operations (flops). The specific complexity calculation is shown in Table VI.
| Detection algorithm | Real-valued flops |
|---------------------|--------------------|
| ML | $(2N_r N_t + 2N_r - 1)2^B$ |
| OMP | $N_a N_t(2N_r - 1) + 23N_a + 5$ |
| OMP-ML | $N_a N_t(2N_r - 1) + 5N_r + N_r N_t(4N_a + 1) + j(2N_r - N_a^2 - N_a + (2N_r N_t + 2N_r - 1)(N_a^2))$ |
| CoSaMP | $\frac{N_r N_a(2N_r + 48N_a^2 + 7N_a)}{N_a(13N_a^2 + N_t - 21N_a - 525)} - 808$ |
(a) ML
(b) OMP
(c) OMP-ML
(d) CoSaMP
It should be noted that, the computation complexity of SVD is $4N_r^2 N_t + 22N_a^3$, furthermore, the SVD preprocessing needs only one operation. In the simulation process, the number of symbols is set to $10^5$, and the number of flops of ML is $10^5(2N_r N_t + 2N_r - 1)2^B$. Thus, the complexity of SVD here is negligible.
Note also that the parameters utilized in complexity analysis are the same as previous simulations as seen in Table V. In ML detection algorithm, parameter $B$ represents the spectrum efficiency of the system. Additionally, in the simulation process, the iteration number of sparsity aided algorithms are all set as the number of active antennas $N_a$. In Table VII, the number of real-valued flops required by the CS aided detection algorithms and the ML detector under different $N_t$
As can be seen from Fig. 8 to Fig. 10, ML detector has the highest complexity compared with sparsity aided algorithms under the same parameters setting, which also indicates that the sparsity aided signal detection algorithm is more suitable for large-scale MIMO scenarios with a large number of transmitting LEDs. Furthermore, the actual running time also validates our theoretical analysis.
V. CONCLUSION
In this paper, aiming at the problem of detection GSSK modulation signals in indoor VLC system, we propose a class of sparsity aided signal detection algorithms based on CS, which mainly solves the following two issues. Firstly, the SVD based preprocessing of the measurement matrix is proposed to enable the measurement matrix to meet the RIP property, which lays a theoretical foundation for the following signal detection methods based on CS sparse reconstruction algorithm. We characterize that, without special preprocessing strategy, the sparsity aided detection cannot work well. Then, three sparse detection algorithms for GSSK modulation signals in indoor VLC system are proposed, which are termed as OMP-ML, OMP and CoSaMP. This type of algorithm is fundamentally different from the ML based detection algorithm in principle, so as to effectively improve the BER performance and reduce the computational complexity in MIMO-VLC system. Through theoretical analysis and simulation results, the sparse signal detection scheme based on SVD measurement matrix preprocessing proposed can provide lower BER performance imposed by a lower computational complexity, which is especially suitable for MIMO system with a large number of LEDs.
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The fat body has long been a site of medical surveillance, and this has not changed during the COVID-19 pandemic. Early research focused on linking fatness with more severe disease outcomes,\textsuperscript{1} yet many have questioned the strength of this association, including within the pages of this journal.\textsuperscript{2,3}
Fat communities, such as the National Association to Advance Fat Acceptance (NAAFA), have contested society’s stubborn generalizations that associate fatness with disease and poor health outcomes, and push back against the assumption that fat people have little regard for themselves or their own well-being. They argue that thinking about obesity as a disease or medical risk (such as for severe COVID-19) contributes to stigma because it positions larger bodies as drains on an already-taxed health care system.
The NAAFA mobilizes the term “fat” in its fight against weight discrimination and fatphobia in all aspects of life, including in employment, health care and education. Similarly, as social scientists, we use the term “fat” rather than the deeply problematic medical term, “obesity,” which causes harm to people under the guise of benign objectivity. Categories can shape how individuals view themselves, as philosopher Ian Hacking has argued; they reinforce judgments about people who do not conform to a norm. Thus, “obesity” is not merely a statistical category, but is rather an evaluation about what constitutes an ideal weight. To “fatten” a category, Mollow and McRuer explain, “means examining it through the lenses of fat studies and the fat justice movement.”\textsuperscript{4}
Scholars of fat studies understand fatness as a way of thinking about bodily diversity.\textsuperscript{5} This literature maintains that fatness should be uncoupled from pathology, as such framings attach fatness to a sense of moral weakness and failed citizenship, and can fuel stigma in various settings, even health care.\textsuperscript{6} Such an uncoupling is increasingly supported by medical and population health research, which suggests that people who are labelled obese are not necessarily unhealthy.\textsuperscript{7}
Larger bodies have been associated with heightened health risks, chief among them rising rates of chronic illnesses such as diabetes, cardiovascular disease, hypertension, mental illness and some cancers.\textsuperscript{8} Early in the pandemic, research identified a link between larger-bodied patients and higher mortality rates from COVID-19, as well as more severe COVID-19 that required mechanical ventilation.\textsuperscript{9} As the authors of a recent meta-analysis on obesity and COVID-19 have cautioned, however, body weight may not be an independent predictor of poor health outcomes.\textsuperscript{10} Such findings are echoed by the recently developed Canadian Adult Obesity Clinical Practice Guidelines, which acknowledge the complex relation between weight and health, and link a person’s overall health and well-being to health markers such as blood pressure and sugar levels, which can be normal in larger-bodied people.\textsuperscript{11} Thus, a fat person might be at risk of a particular health condition, but the move to think about a person whose body mass index categorizes them as obese, or worse, “morbidly obese,” as generally unhealthy does little to promote the health of the person sitting in the doctor’s office.
Scholars of fat studies also point to the ways in which obesity is racialized, as higher levels of obesity are often associated with already marginalized communities. This is particularly important for the medical profession, given that physicians and other allied health professionals have recently engaged in efforts to challenge the
structural racism in health care experienced by Black, Indigenous and People of Colour (BIPOC) communities in Canada.\textsuperscript{11} The struggle for social justice is incomplete without serious attention to how fear, hatred and discrimination occur at the nexus of different identities, including among people labelled as obese. Fat studies scholars and activists have pointed to how the conflation of obesity with racialized and colonized communities is part of a long tradition of marking marginalized populations as diseased, and of associating pathology with Indigenous, Brown, Asian and Black bodies.\textsuperscript{12} As such, the surveillance and regulation of fat bodies must be understood in the context of colonialism and state regulation of Indigenous, Black and racialized communities. It is essential to think carefully and urgently about how “obese” bodies are treated as “risky” in this political moment, and to ensure that conversations about fatness are read with an appreciation for the realities of structural racism and the history\textsuperscript{13} of insufficient care for members of BIPOC communities.
How should physicians approach larger bodies in clinical settings? Physicians and health professionals should “fatten” their understanding of the complex factors associated with weight, and rethink some of the assumptions undergirding the association between weight and health by engaging with critical fat studies scholarship, as well as with fat activist perspectives, such as those advanced by the NAAFA. People who identify as fat should be understood as authoritative sources of knowledge, not passive recipients of occasional public or professional pity or sympathy. Physicians wield substantial power in the health care system — we are asking that doctors confront the possibility that how they interact with patients whose bodies are larger than the statistically ideal weight can harm their patient’s psychological and emotional wellbeing, as well as their physical health, if these interactions discourage them from seeking health care in the future. As a prominent blogger who writes under the name “your fat friend” explains: “Perhaps the largest factor that kept me out of doctors’ offices for eight long years was the relentless drumbeat of conversations about weight loss. Those conversations overwhelmingly ignored any history of eating disorders, food insecurity, and trauma. Often, health care providers skipped straight to a lecture without even asking about my current diet or activity levels. It felt like someone had pressed play on a recording, and I just had to wait it out.”\textsuperscript{14}
There are, however, no neat checklists for physicians who want to do better. Confronting fat stigma requires more than a list of do’s and don’ts. It behooves those in the medical profession to resist suggesting that there are only a few bad apples, and that most doctors and other health care professionals treat their fat patients respectfully. Living in a culture that is consumed by feel-good narratives of weight loss and recovery means that few of us are immune to a series of embedded assumptions about fatness. And yet, like members of other marginalized communities, fat people deserve compassionate, competent care that is based on careful understandings of bodily difference and that respects their human rights.
Deborah McPhail PhD
Department of Community Health Sciences, University of Manitoba, Winnipeg, Man.
Michael Orsini PhD
Institute of Feminist and Gender Studies, School of Political Studies, University of Ottawa, Ottawa, Ont.
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1. Obesity, race/ethnicity, and COVID-19. Atlanta: Centers for Diseases Control and Prevention; reviewed 2021 Mar. 22. Available: https://www.cdc.gov/obesity/data/obesity-and-covid-19.html [accessed 2021 July 16].
2. Long A. Link between obesity and COVID-19 may not be what it seems. CMAJ 2021 June 25. Available: https://cmajnews.com/2021/06/25/covid-obesity-1095952/ [accessed 2021 July 16].
3. Pausé C, Parker G, Gray L. Resisting the problematisation of fatness in COVID-19: in pursuit of health justice. Int J Disaster Risk Reduct 2021 Feb. 21:54 [Epub ahead of print]. doi: 10.1016/j.ijdrr.2020.100201.
4. Mollow A, McBuer R. Fattening austerity. Body Politics 2015;5:235–49.
5. McPhail D, Mazur L. Medicalization, maternity, and the materiality of resistance: “maternal obesity” and experiences of reproductive care. In: Thickening Fat: Bodies, Intersectionality, and Social Justice. New York: Routledge; 2019:46–62.
6. Rathbone JA, Cruys W, Jetten J, et al. When stigma is the norm: How weight and social norms influence the health messages we receive. J Appl Soc Psychol 2020 June 14 [Epub ahead of print]. doi: 10.1111/jasp.12689.
7. Canadian Adult Obesity Clinical Guidelines. Edmonton: Obesity Canada. Available: https://obesitycanada.ca/guidelines/ [accessed 2021 July 16].
8. Obesity and overweight [fact sheet]. Geneva: World Health Organization; 2021. Available: https://www.who.int/news-room/fact-sheets/detail/obesity-and-overweight [accessed 2021 July 16].
9. Belanger MJ, Hill MA, Angelidi AM, et al. COVID-19 and disparities in nutrition and obesity. N Engl J Med 2020;383:e69.
10. Yang J, Hu J, Zhu C. Obesity aggravates COVID-19: a systematic review and metaanalysis. J Med Virol 2021;93:1591–600.
11. Ofori O, Nnorom O. Time to dismantle systemic anti-Black racism in medicine in Canada. CMAJ 2021;193:E55-7.
12. Poidier J. The geneticization of Aboriginal diabetes and obesity: adding another scene to the story of the thrifty gene. In: Obesity in Canada: Critical Perspectives. Toronto: University of Toronto Press; 2018:103–121.
13. Boyer V. Health racism in Canadian healthcare. CMAJ 2017;189:E1408–9.
14. Dear doctor, here’s what fat patients need from you. Elemental 2020 Feb. 10. Available: https://elemental.medium.com/10-things-health-care-providers-can-do-to-better-treat-their-fat-patients-6ac711eb2b0c [accessed 2021 July 16].
This article has been peer reviewed.
Acknowledgements: The authors thank the anonymous reviewers for helpful feedback, and Dorian Deshauser, CMAJ deputy editor, for shepherding this to publication.
Competing interests: Michael Orsini reports funding from the Social Sciences and Humanities Research Council of Canada. No other competing interests were declared.
Content licence: This is an Open Access article distributed in accordance with the terms of the Creative Commons Attribution [CC BY-NC-ND 4.0] licence, which permits use, distribution and reproduction in any medium, provided the original publication is properly cited, the use is noncommercial (i.e. research or educational use), and no modifications or adaptations are made. See: https://creativecommons.org/licenses/by-nc-nd/4.0/
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The Hilltop Review, Vol 12, No. 2, Spring 2021
Jessica Rocheleau
Western Michigan University
Follow this and additional works at: https://scholarworks.wmich.edu/hilltopreview
Recommended Citation
Rocheleau, Jessica (2021) "The Hilltop Review, Vol 12, No. 2, Spring 2021," The Hilltop Review: Vol. 12 : Iss. 2 , Article 1.
Available at: https://scholarworks.wmich.edu/hilltopreview/vol12/iss2/1
This Complete Issue is brought to you for free and open access by the Graduate College at ScholarWorks at WMU. It has been accepted for inclusion in The Hilltop Review by an authorized editor of ScholarWorks at WMU. For more information, please contact firstname.lastname@example.org.
The Hilltop Review
A Journal of Western Michigan Graduate Student Research
Volume 12
Number 2
Spring 2020 - 2021
The Hilltop Review: A Journal of Western Michigan University Graduate Student Research
Editor and Director:
Jessica M. Rocheleau
Department of Psychology
Editorial Board:
Akshay Hiremath
Department of Philosophy
Viola Sawyer
Department of Sociology
Joseph Garcia
Department of History
GSA President:
Craig Morris
Department of Educational Leadership, Research and Technology
Cover Art:
“Polluted Waters” by Elizabeth V. Netcher
Notes from the Editor
Jessica M. Rocheleau
Articles
The Effect of Respondent Race and Sex on Police Use of Threatened Use of Force
Viola L. Sawyer
Freedom or Responsibility? On the Unreason of Public Reason
Mitchell L. Winget
The Macroeconomic Impacts of Entitlements
Ateeb Akhter Shah Syed
Delusional Mitigation in Religious and Psychological Forms of Self-Cultivation: Buddhist and Clinical Insight on Delusional Symptomatology
Austin J. Avison
Justifying Advocacy of Patients’ Belief Diversity w/ Support from William James’ Lectures on Pragmatism: A New Name for Some Old Ways of Thinking, the Variety of Religious Experiences & The Will to Believe
Sterling Courtney
Mentalities and the Search for Total History in the Works of Annalistes, Foucalt, and Microhistory
Jason U. Rose
Systematic Review of Transition Assessments for Young Children with Autism Spectrum Disorder from Early Intervention to Special Education
Akrum Hassan Eidelsafy
Art
Polluted Waters
Elizabeth V. Netcher
| Title | Page |
|------------------------------|------|
| Full Moon | 122 |
| *Elizabeth V. Netcher* | |
| Peace in Pink | 123 |
| *Elizabeth V. Netcher* | |
| **Creative Writing** | |
| As I go Along… | 124 |
| *Ivylove M. Cudjoe* | |
| How to be Held | 143 |
| *Andrew Collard* | |
| Age of the Universe | 148 |
| *Sydney Sheltz-Kempf* | |
| 3.14.21 – Spring | 150 |
| *Clayton Meldrum* | |
| The Star-Gazer | 152 |
| *Jennifer Kean* | |
Dear readers,
I am thrilled to present you with the Spring 2020 – 2021 issue of *The Hilltop Review*. Over one year ago, our university rapidly converted its offerings into online formats to allow students a safe education in the face of COVID-19. This issue serves as a collection of works submitted throughout our virtual experience as graduate students. The global pandemic has continued to affect our higher education system in major ways, and I am grateful to the incredible effort these authors invested in their work during such uncertain times. As an editor, it was my pleasure to continue offering students across disciplines the opportunity to publish their work.
Serving as the Director and Editor has provided me with an invaluable opportunity to manage the publication process of an interdisciplinary journal. First, I would like to thank the Spring 2020 – 2021 Executive Board of the Graduate Student Association for their assistance in communicating the needs of the journal throughout a virtual academic year. Next, I wish to thank the former President of the Graduate Student Association, Craig Morris, for his support throughout this term. In addition, I am thankful to those who served on the 2020 - 2021 Editorial Board for providing additional insight on manuscripts. Finally, I would like to offer a special acknowledgement to all who served as peer reviewers, for this issue would not be possible without their voluntary commitment to our journal’s success.
Sincerely,
Jessica M. Rocheleau
The Effect of Respondent Race and Sex on Police Use or Threatened Use of Force
By Viola L. Sawyer
Abstract: This study examines the interacting effects of race and sex on police use of force. Survey data drawn from the Police-Public Contact Survey were used to conduct a binary logistic regression to assess effects of different configurations of self-reported race and sex identities, respondents age, and absence of deference to authority on self-reported police use or threatened use of force in interactions with police officers. Results indicate that the multiplicative effect of respondents’ race and sex overall, had a statistically significant relationship with the likelihood of reporting police use or threatened use of force in police-public contacts. Additionally, age, overall, was found to have a statistically significant relationship with police use of force. Further, respondents who reported displaying insufficient deference, were more likely to report police use or threatened use of force in their interactions with police than those who did not. Limitations are discussed and directions for future research are proposed.
In the last few years, incidents of police violence against Black people in the United States have sparked a national discussion about the function of police in our society, the militarization of our police forces, police brutality, and, most importantly, police accountability. In the summer of 2014, we bore witness to the police shooting and killing of 18 year old Michael Brown in St. Louis, Missouri, and the use of an illegal chokehold on Eric Garner in Staten Island, New York, which ultimately killed him (Hill 2016). The deaths of Black men and boys, like Tamir Rice, garnered extensive coverage that appears to render invisible the experiences of Black women, and other people of color in their interactions with police.
Sandra Bland was a twenty eight year old Black woman who was on her way to start a new job when she was pulled over by Officer Brian Encinia, for failing to signal while turning on July 10th, 2015 (Pitman, Ralph, Camacho, and Monk-Turner 2017). Upon initial observation, this appeared as a routine traffic stop. However, this situation escalated after the state trooper took note of her irritated disposition, and her refusal to put out her cigarette at Encinia’s request. In response to Bland’s demeanor and behavior, Encinia threatened to “yank” Sandra out of her car, refused to answer questions, and warned her that he would “light [her] up” (Pitman et al. 2017: 1). When he ordered Bland to step out of her car, the state trooper threatened her with a Taser, injured her arm while throwing her to the pavement, and charged Bland with assaulting a public servant (Graham 2015; Pitman et al. 2017: 1). Within three days of her arrest, authorities reported Bland dead in her cell (Graham 2015). The medical examiner ruled that Bland’s death was a suicide. However, this finding has been widely contested as many argue that Bland did not take her own life (Graham 2015; Rogers 2016). Ultimately, the fundamental and common components in the deaths of Michael Brown, Eric Garner, Sandra Bland, and many others, are twofold: while Michael, Eric, and Sandra were racially marginalized, Sandra experienced racialized gender marginalization as a woman. Their interactions with police are situated within a social context informed by the interlocking systems of oppression that we call White supremacy and patriarchy, hence, their movement through social spaces—and their interactions with police officers were racialized and gendered. Secondly, at the core of the interactions between these three individuals is the issue of police use of force.
The purpose of the present study is to provide evidence that the intersection of race and gender is an important dimension of police use of force in police-public contacts. Since the summer 2014, we have continued to see the streaming of incidents in which police officers exert excessive and lethal force on unarmed civilians, who are often racially marginalized. We have borne witness to the rise of #BlackLivesMatter, #SayHerName, as responses to the public brutalization of Black men, women, and gender nonconforming people by police. We have also seen the backlash to such claims taking the form of “Blue Lives Matter.” In this paper, I review the pertinent literature about factors that influence police use of force, provide an overview of intersectionality theory and examples of intersectionality in criminology. Then, I discuss the logistic regression of the Police-Public Contact survey data (2008). Ultimately, the results of the binary
logistic regression provide support for the contention that the multiplicative identities of race and gender have an effect on police use, or threatened use, of force.
**Research on Factors Influencing Police Use of Force**
The relationship between a suspect’s race and police use of force has been widely examined (Engel and Calnon 2004; Lawton 2007; McCluskey and Terill 2005). The relationship between race and police use of force is one informed by an historical legacy of racialized social control (Blackmon 2008; Bass 2001). Bass (2001) asserts that during slavery, slave patrols constantly policed the movement of slaves and tracking down runaways whom they would punish with impunity. Further, Alexander (2010) argues that the hyper-surveillance of Black bodies and the exposure to physical force from state agents of social control continued after slavery ended, throughout Reconstruction, and through Jim Crow. Jim Crow refers to the period after the Civil War, between the 1870s and the 1960s, during which a brutal, formal, codified system of racial segregation emerged and crystallized in the American South (Blackmon 2008; Alexander 2010).
Immediately after the Civil War, almost every Southern state implemented several “interlocking laws essentially intended to criminalize black life” and routine black behaviors (Blackmon 2008: 53, 67). For example, by 1865 almost every Southern state outlawed unemployment (vagrancy); vagrancy was loosely defined so that any formerly enslaved person “not under the protection of a white man could be arrested for the crime” (Blackmon 2008: 53). Often Blacks were arrested for a range of actions including carrying a weapon, “riding on the empty freight train cars…, speaking loudly in the presence of White women” (Blackmon 2008: 67), failing to show deference to Whites in public spaces, violating segregation laws, “mischief” and a variety of behaviors that appeared to threaten the dominant racial social order (Kelley 2016: 19; Alexander 2010: 31).
Another behavior that appeared to threaten White supremacy was eye contact. Throughout slavery, slaves who made eye contact with whites were seen as committing an act of rebellion (Hill 2016: 69); this idea pervaded Jim Crow. Black men and women who made eye contact with whites and police officers were suspected of being “insufficiently deferential,” and starting trouble (Taylor 2016; Kelley 2016). This characterization of mundane behavior engaged in by Black people towards whites and police officers as “insufficiently deferential” persists today. When Black men and women fail to demonstrate appropriate deference, in the form of suspicious eye contact police officers or “talking back, they are often regarded by police officers as committing a “sign of guilt, an act of disrespect, and an affront to state power” (Hill 2016: 6). Because these assumptions remain today, Black men and women are often more likely to experience the threat of use of force or use of force from police officers when interacting with them (Hughey 2015).
Studies on police stops appear to be consistent with the persistence of the overrepresentation of racially marginalized people in stops. Findings from the Ferguson Report (2016:5) reveal racial dimensions of police stops:
Data collected by the Ferguson Police Department from 2012 to 2014 shows that African Americans account for 85% of vehicle stops, 90% of citations, and 93% of arrests made by FPD officers, despite comprising only 67% of Ferguson’s population...These disparities are also present in FPD’s use of force. Nearly 90% of documented force used by FPD officers was used against African Americans. In every canine bite incident for which racial information was available, the person bitten was African American.
As this evidence shows, the current era of neoliberal colorblindness has not encouraged a decline of the hyper-policing of Black communities. In fact, it has persisted.
Although the historical legacy of racialized social control of Blacks in the United States is an important element of understanding likelihood of police use or threatening to use force in police-public contacts, it is equally as important to explore the effects of racialization for other groups in the United States. In their study about the intersectionality of race and gender among Latino participants, Bell (2013) asserts that most research examining the intersection of race and gender is limited to Blacks and Whites. Incorporating Hispanics into the current study aids in disrupting binary understandings about race. Armenta (2017) considers the institutional production of immigrant criminality regarding Latinos and reveals the mechanisms by which Latinos are criminalized. This process occurs through the construction and implementation of facially neutral and colorblind policies, police practices, and through encounters with police, as part of the emergence of the “crimmigration” system (Stumpf 2006). Although Armenta’s (2017) work illustrates the unique process by which Latinos are criminalized, they do not consider the intersection of race and gender, and how criminalization of Latino people impacts differentially racialized and gendered Latino people.
While it is established that race is a prominent factor in terms of how often individuals from certain groups are likely to interact with police and experience police use of force (Brunson and Weitzer 2009; Russell-Brown 2009; Crutchfield, Skinner, Haggerty, Anne McGlynn, and Catalano, 2012), there are several different factors documented in the literature that inform police use of force. Westley (1953) found that police were more likely to deploy force when confronting a suspect who did not demonstrate respect for officers, and as a method to gain information. Paoline et al.’s (2018) study resulted in similar findings. They found that both White and Black police officers used force in response to suspects’ actions that undermine their authority. However, while their study suggests that Black officers only respond to threats to their authority, White police appeared to use more forceful actions against Blacks who undermine their authority as a result of the absence of deference \textit{and} because of the suspect’s race (Paoline et al. 2018). In other words, for White police officers, the need to maintain control over the encounter is informed by both their status and potentially perceived racial superiority.
Additional factors that are consistently identified with increasing the likelihood of police using force in interactions with citizens include evidence of criminal behavior being present (Paoline and Terill 2004), suspect is in possession
of a weapon (Rydberg and Terill 2010), officer is in the presence of conflict between citizens (McCluskey and Terrill 2005), and police officer is arresting the suspect (McCluskey and Terrill 2005). In addition, Rydberg and Terill (2010) found that social class impacts officer likelihood to use force. They found that lower class individuals have a greater risk of experiencing officers’ use of force during encounters. Bolger (2015) argues that there still exists uncertainty regarding the effect of the suspect’s sex on police use of force. In response to this uncertainty, Bolger (2015) suggests that the type of force used by police officers may impact the relationship between suspects’ sex and use of force.
**Intersectionality**
Multiracial feminism and intersectionality provide a useful lens through which we can explore how the intersection of race and sex impact police use of force. Throughout the 1970s and 1980s, women of color feminisms were challenging taken-for-granted explanations of women’s and people of color’s experiences. As a tenet of both Black feminism and critical race theory, intersectionality (Collins 2006; Potter 2013; Delgado and Stefancic 2012) acknowledges that oppression is not experienced along one dimension of social inequality. Davis (2008: 68) defines intersectionality as the interaction between race, class, gender, and “other locations of inequality in individuals’ lives, social practices, institutional arrangements and cultural ideologies, and the outcome of these interactions in terms of power.” In other words, an intersectional analysis takes into consideration and centers certain forms of intersecting systems of oppression (e.g., race, gender, class inequalities) and challenges us to acknowledge that these systems of oppression work simultaneously to produce inequality and injustice (Collins 2006).
Critical race and Black feminist scholars have used intersectional approaches to examine how the intersection of race and gender shape various experiences, including interpersonal victimization, criminal offending, and interactions with police. For example, Kimberlé Crenshaw (1989) applied Black feminism to understand how anti-racist and anti-violence against women movements, which either centered Black men or White women, erased Black women and neglected their interest. Because these movements were mobilized along single dimensions of social inequality (i.e., race and gender, respectively), Black women’s experiences as racialized gendered people, experiencing oppression as a result of their Blackness and femininity, were rendered precarious and vulnerable to racialized gendered violence in ways the Black men and White women were not. Similarly, Beth Richie (2012) deployed Black feminism to understand how Black girls and women uniquely experience gendered violence. In her work, she develops the male violence matrix, which is comprised of the “intersectional relationship between male violence and ideology around race, gender, sexuality, and class” (Richie 2012:132), and illustrates how Black girls and women experience physical and sexual assault, and emotional manipulation is unique ways. Bell (2013) used a multiracial feminist and intersectional approach explore offending across the early life course, and found that the intersection of race and gender is significant for young adult offending. Ritchie (2017) explicitly
explores the ways in which differently racialized women experience encounters with police, while demonstrating the historical and contemporary role of policing of gender and sexuality in the criminalization of communities of color.
While intersecting identities shape women of colors’ experiences with victimization, criminal offending and how they experience policing, Messerschmidt (2014) argues that intersecting identities also shape boys and men’s engagement in crime. Rios’ (2011) work demonstrates just how intersecting identities and systems of oppression shape youths’ interaction with formal social control agents. In *Punished: Policing the Lives of Black and Latino Boys*, Rios (2011) highlights the significance of exploring the relationship between racialized gender, class, and age, and policing for young Black and Latino adolescent boys in Oakland, California. Specifically, he examines the effect of racialized masculinity and policing, and found that these youth used the commission of crime and interactions with various social control agents, including police, as a method through which they construct and demonstrate their manhood. Rios (2015: 66) has also discussed issues regarding young Black and Latino boys and their expression of resilience and resistance in ways that were “were often rendered deviant, and the boys were excluded as criminal.” In sum, intersectionality has been used to examine the experiences of both boys and men, and girls and women in the criminal processing system.
Although attributing the concept of intersectionality to Black feminism is important, my use of intersectionality in the current study looks at two other racialized groups: Whites and Hispanics. Therefore, I am also drawing on a multiracial feminist perspective. According to Burgess-Proctor (2006: 28), multiracial feminism was developed by women of color who recognized the need to develop approaches to studying gender that called attention to issues of “power and difference in ways that previous models had not.” Like Black feminists, multiracial feminists reject gender-alone analyses of social phenomena. They assert that gendered experiences are informed by race, class, age, sexuality, physical ability, and “other locations of inequality;” and that the “social relations based on gender and race [are] interactive terms and not just additive” (Baca Zinn and Thornton Dill 1996: Burgess-Proctor 2006: 36). Thus, where Black feminism centers the lived experiences of Black women and other Black genders, and sexuality, marginalized people, multiracial feminism provides a framework to examine, and hold relationally to each other, differential racialized genders, and the effect that race and gender have on police use of force in police encounters.
**The Present Study**
*Data, Methods, and Hypotheses*
The survey data set in this study is from the Police-Public Contact Survey (2008), a supplement of the National Crime Victimization Survey (NCVS). The data were obtained from the Inter-University Consortium for Political and Social Research. The Police-Public Contact Survey (2008) was administered via telephone and in person interviews with a stratified, multistage cluster sample of U.S. households. It was administered as a supplemental survey in 2008 to all persons 16 years old or
older within households sampled for the NCVS (Bureau of Justice Statistics 2008).
The purpose of the Police-Public Contact Survey (2008) was to gather data regarding the nature and characteristics of face-to-face contacts between police and the public, including the reason for the contact and contact outcomes (Bureau of Justice Statistics 2008). Respondents were asked about police officer behavior during face-to-face interactions, whether police used force in interactions, whether they felt the use of force was excessive, whether respondents were injured in interactions with police and the type of injury suffered, whether respondents were arrested and handcuffed in this police-citizen interaction, as well the nature of their behavior when they interacted with police. Respondents were also asked about the reasons for contact with police, and a series of questions that pertained to traffic stops, specifically. Additionally, respondents were asked about whether they were searched by police in their interaction with them, and outcomes of other contacts with police (Bureau of Justice Statistics 2008). Demographic data including race, ethnicity, sex, age, and employment status were also collected. Ages of those surveyed ranged from 16 to 90, with a mean of 39.84 and a median of 38. Respondents were 53.1% male and 46.9% female, while 74.9% were White, 10.3% Hispanic, 9.5% Black, 3.5% Asian/Hawaiian/Pacific Islander, 1.1% two or more races, .7% American Indian/Alaskan Native (N= 37,872,494).
For the purpose of this study, I identified one dependent variable from this data set-- likelihood of police use or threatening to use force in face-to-face interactions with citizens. The specific question used in this analysis was, “During this contact, did the police USE or THREATEN TO USE force against you for any reason?” The frequency distribution of for this question can be found in Figure 1. A large majority reported that the police had not used or threatened to use force against them, 98.60%, while 1.40% reported that the police had used or threatened to use force against them. The dependent variable was dummy coded, where 1 = yes and 0 = no.
Figure 1 Frequency distribution of police using or threatening to use force in police-public contacts
Source: Police-Public Contact Survey, 2008
**Independent Variables**
---
1A filter was created so as to only include those who indicated that they had a face-to-face contact with a police officer in the last 12 months.
Primary independent variables for this study include race and sex, while control variables include age, verbal altercation with the police,\(^2\) respondent disobeyed the police, respondent tried to flee from the police, and respondent resisted arrest. All independent variables except for the intersectionality and age variables were transformed into dichotomous dummy variables (1=yes, 0=no) for analysis. The intersectionality variable is comprised of the sex and race variable and consists of six categories: White male, White female, Black male, Black female, Hispanic male, and Hispanic female.\(^3\) Age\(^4\) is a six-category variable comprised of the following intervals: 16 to 19, 20 to 29, 30 to 39, 40 to 49, 50 to 59, and aged 60 and older.
Review of literature regarding police use of force suggests that race is an important factor in police use of force, while the effect that sex has on use of force is fairly inconclusive. I hypothesize that, generally, the intersection of race and sex will have an effect on use of force. Specifically, I hypothesize that Black males, Black females, Hispanic males, and Hispanic females will have greater likelihood to report police use or threatened use of force than White males. I also expect White females to have a lesser likelihood to report police use or threatened use of force than White males.
Youths, adolescents, and young adults tend to have greater encounters with the police than older people (Langton and Durose 2013). As a result, I hypothesize that because they have more contacts with police, respondents between the ages of 16 and 19, and 20-29, will be more likely to report police use or threatened use of force than older respondents.
Displays of “insufficient deference” with police have been linked with police use of force, historically and contemporarily (Hill 2016: 69; Taylor 2016; Kelley 2016). Therefore, I hypothesize that respondents who indicated they had verbal altercations with police, disobeyed the police, attempted to flee the presence of the police, and attempted to resist arrest would be more likely to report police use or threatened use of force than respondents who did not indicate engaging in any of these behaviors.
**Analysis**
The dependent variable in my analysis of the Police-Public Contact Survey (PPCS) data was dichotomous. As a result, I ran a binary logistic regression model to assess the likelihood of respondents reporting that police either use or threatened to use
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\(^2\) The survey question was: At any time during this contact did you (a) disobey or interfere with the officers(s) (b) Try to get away? (c) Push, grab, or hit the police officer(s)? (d) Resist being handcuffed, arrested, or searched? (e) Physically do anything else? Please specify
\(^3\) Multicollinearity is not a problem as tolerance and VIF values were within the acceptable range of greater than .40 and less than 2.5, respectively (Allison 1999)
\(^4\) Multicollinearity is not a problem as tolerance and VIF values were within the acceptable range of greater than .40 and less than 2.5, respectively (Allison 1999)
force when interacting with people. Because this study relies on a binary logistic regression, I do not run the risk of violating core assumptions of the Ordinary Least Squares (OLS) regressions, including linearity (Pampel 2000). Moreover, there are multiple statistics that are used in the logistic regression analysis. The chi-square statistic shows me to determine whether the model is statistically significant, while the unstandardized slope, $B$, represents the change in the dependent variable based on the independent variables in log odds (Pampel 2000). For this logistic regression analysis, I use the Wald statistic to determine the statistical significance of the independent variables. In addition, the odds ratio estimated in the logistic regression allows me to determine the likelihood of a statistically significant independent variable increasing or decreasing the extent to which police used force or threatened to use force when interacting with respondents (Bachman and Paternoster 2004).
**Missing Data**
Listwise deletion of missing data in the logistic regression resulted in an insubstantial loss of cases in the data set; .5% of the 9,504 cases were dropped due to missing data.
**Results**
Table 1 presents the results of my logistic regression using the PPCS data. The model $\chi^2$ is statistically significant, indicating that the model significantly reduces the -2 loglikelihood ($\chi^2 = 962541.164, p = .000$). The Hosmer and Lemeshow test for goodness of fit of the model to the data is statistically significant, suggesting that we reject the null hypothesis of good fit ($\chi^2 = 19506.671, p = .000$). McFadden’s pseudo $R^2$ shows there is a 17.3% reduction in error compared with the null model.
**Table 1** Police-Public Contact Survey (2008): binary logistic regression coefficients, standard errors, and odds ratios for police use of force
| Variable | Coeff. | se | Odds |
|-------------------|----------|-------|------|
| White Male | - | .00 | .459 |
| Female | .779** | .04 | |
| Black Male | .789** | .05 | 2.201|
| Black Female | .646** | .05 | 1.909|
| Hispanic Male | .180** | .05 | 1.197|
The results of the regression indicate that the intersectionality variable, RaceSex, overall, had a statistically significant relationship with the likelihood of reporting police use or threatened use of force in police-public contacts. When observed as individual categories, being Black male ($\beta = .789$, $p < .01$), Black female ($\beta = .646$, $p < .01$), and Hispanic male ($\beta = .180$, $p < .01$), had statistically significant positive relationships with police use of force. Black males and females were about 2 times more likely to report police use, or threatened use, of force in police-public contacts than White males. Hispanic males were 19.7% more likely to report police use, or threatened use, of force in interactions with police than White males. These results support the hypotheses about the overall effects of the intersection of race and sex, on police use force, and they also support the hypotheses about the effects of being Black male, Black female, and Hispanic male on police use of force.
It was found that being White female ($\beta = -.779$, $p < .01$), and Hispanic female ($\beta = -.696$, $p < .01$), had statistically significant negative relationships with police use of force. White females were 54.1% less likely to report police use or threatened use of force in police-public contacts than White males, while Hispanic females were 50.2% less likely to report police use or threatened use of force in police interactions than White males. While results for White females support the hypothesis about the effect of being White female on police use of force, the results
for Hispanic females contradict the hypothesis about the effect of being Hispanic female on police use of force.
Age, overall, was found to have a statistically significant relationship with police use of force. For respondents between the ages of 50 and 59 ($\beta = .058$, $p < .01$), they were 6% more likely to report police use, or threatened use, of force than the oldest respondents, aged 60 and older. Respondents between the ages 40 and 49 ($\beta = .595$, $p < .01$), were 81.4% more likely to report police use or threatened use of force. Those between the ages of 30 and 39 ($\beta = 1.003$, $p < .01$), were 2.7 times more likely to report police use or threatened use of force than the oldest respondents. Respondents between the ages of 16 and 19 ($\beta = 1.599$, $p < .01$), and those between the ages of 20 and 29 ($\beta = 1.594$, $p < .01$), were about 5 times more likely to report police use, or threatened use, of force in police-public contacts than the oldest respondents. These results are consistent with the hypothesis about the youngest groups of respondents--those aged 16 to 19 and 20 to 29—would be most likely to experience force or the threat of force in police encounters.
Consistent with the hypotheses about the effect of absence of deference variables on police use of force, it was found that all four absence of deference variables had statistically significant positive relationships with police use of force. Respondents who indicated they disobeyed or interfered with the officer(s) ($\beta = 3.530$, $p < .01$) during contact were 34 times more likely to report police use, or threatened use, of force than those who did not. Respondents who claimed to have argued with, cursed at, insulted, or verbally threatened the police ($\beta = 2.733$, $p < .01$) were 15 times more likely to report police use, or threatened use, of force in contacts with police, than respondents who did not. Additionally, respondents who indicated that they resisted being handcuffed, arrested, or searched ($\beta = 1.405$, $p < .01$), were 4 times more likely to report police use, or threatened use, of force by police in police-public contacts. Respondents who claimed that they tried to get away from the police ($\beta = .951$, $p < .01$) were about 2.5 more likely to report police use of force than those who did not such attempts.
**Discussion and Implications**
This research analyzed whether the combined effects of respondent race and gender identities on police use, or threatened use, of force are significant. My hypothesis that the intersection of race and sex will have an effect on use of force, generally, was supported. The more specific hypotheses regarding Black males and females, White females, and Hispanic males were supported, while the hypothesis about Hispanic females was not supported. Because there remains a need for the quantitative exploration into the combined effect of race and gender on police officers use or threatened use of police force when interacting with civilians, this study aimed to address this need in the literature. The revelation of the positive association between Black males, Black females, and Hispanic males and police use of force is consistent with literature regarding racially marginalized populations and policing in the United States (Jacobs 2017; Kelley 2016) and may be related to police officers having racialized gendered expectations of members of marginalized groups (Kelley 2016, Paoline et al. 2018).
The significance of the insufficient deferential authority measures, and the significant effect that age has on police use of force in this model suggests that police officers also have racialized and gendered expectations for deference, especially among younger people. In his study about Black and Latino youth, Rios (2015) suggests that youth of color may engage in behaviors toward police officers, that police likely interpret as inadequate deference. As a result, police may feel the need to deploy force to “keep them in their place” (Bonilla-Silva 2014: 42). However, the likelihood of reporting that the police threatened the use of force or used force in their interactions, by respondents between the ages of 40 and 49 is a surprising finding; there is an expectation that the quality of interactions with police should improve as respondents age. This is a change we can see in the gradual decline in odds between those respondents in the response categories of 20-29 and 30-39. It is worth conducting an in-depth analysis on the factors and influences that shape respondents’ experiences with police who fall into the age range between 40 and 49 years old.
White females’ reduced likelihood to report police use or threatened use of force compared to White males was consistent with my expectations about effect of this combination of respondent’s race and sex, because White female’s position as the normative standard for femininity (Jacobs 2017) may afford them an assumption of innocence not extended to women of Color. In their study about Black women’s perceptions of the police, Gabbidon, Higgins, and Potter (2011) note White females are less likely to be arrested for violent offenses and incarcerated for drug offenses than Black females. White females’ lower arrest rate compared to their Black counterparts suggests that they also have fewer contacts with police than Black females. Additionally, White females’ social status may render them less likely to have interactions with police informed by the conflation of their racialized gender expressions with deviance, hyper-sexuality, or aggression-- all of which may been viewed as needing to be restrained (Jacobs 2017). It appears that Black females are disadvantaged by misogynoir, or the co-constitutive, anti-Black racist misogyny that Black women experience (Bailey 2010; Bailey and Trudy 2018), in their interactions with police in ways that White females are not.
The findings for Hispanic females suggest that, unlike their male counterparts who are more likely than White males to report police use or threatened use of force, they are less likely than White males to report that police used or
study aimed to address this need in the literature. The revelation of the positive association between Black males, Black females, and Hispanic males and police use of force is consistent with literature regarding racially marginalized populations and policing in the United States (Jacobs 2017; Kelley 2016) and may be related to police officers having racialized gendered expectations of members of marginalized groups (Kelley 2016, Paoline et al. 2018).
The significance of the insufficient deferential authority measures, and the significant effect that age has on police use of force in this model suggests that police officers also have racialized and gendered expectations for deference, especially among younger people. In his study about Black and Latino youth, Rios (2015) suggests that youth of color may engage in behaviors toward police officers,
that police likely interpret as inadequate deference. As a result, police may feel the need to deploy force to “keep them in their place” (Bonilla-Silva 2014: 42). However, the likelihood of reporting that the police threatened the use of force or used force in their interactions, by respondents between the ages of 40 and 49 is a surprising finding; there is an expectation that the quality of interactions with police should improve as respondents age. This is a change we can see in the gradual decline in odds between those respondents in the response categories of 20-29 and 30-39. It is worth conducting an in-depth analysis on the factors and influences that shape respondents’ experiences with police who fall into the age range between 40 and 49 years old.
White females’ reduced likelihood to report police use or threatened use of force compared to White males was consistent with my expectations about effect of this combination of respondent’s race and sex, because White female’s position as the normative standard for femininity (Jacobs 2017) may afford them an assumption of innocence not extended to women of Color. In their study about Black women’s perceptions of the police, Gabbidon, Higgins, and Potter (2011) note White females are less likely to be arrested for violent offenses and incarcerated for drug offenses than Black females. White females’ lower arrest rate compared to their Black counterparts suggests that they also have fewer contacts with police than Black females. Additionally, White females’ social status may render them less likely to have interactions with police informed by the conflation of their racialized gender expressions with deviance, hyper-sexuality, or aggression-- all of which may been viewed as needing to be restrained (Jacobs 2017). It appears that Black females are disadvantaged by misogynoir, or the co-constitutive, anti-Black racist misogyny that Black women experience (Bailey 2010; Bailey and Trudy 2018), in their interactions with police in ways that White females are not.
The findings for Hispanic females suggest that, unlike their male counterparts who are more likely than White males to report police use or threatened use of force, they are less likely than White males to report that police used or threatened to use force in their interactions. This indicates that the there is something unique about occupying a social position in which one is both Hispanic and female, that reduces the likelihood of police threatening or using force in their interactions with Hispanic females. Additionally, the institutional and structural dynamics that shape Hispanic females’ interactions with police officers may have a different impact on Hispanic males and may differ from those that influence Black males’ and Black females’ interactions with police. Future research should examine the broader social forces that shape Hispanic females’ interactions with police, and when police are more likely to threaten to use, or use, force when interacting with Hispanic females. In the last few years, we have seen anti-immigrant rhetoric targeting Hispanic and Latinos and their presence in the body politic, so it is important to consider how the more recent political climate influence interactions between police and Hispanic females.
Limitations
Although the results from this study have afforded us some insight into the effects of the intersection of race and sex on police use of force and provide support for the claims of criminologists who conduct intersectional analyses, this study is not without its limitations. First, I only examined the likelihood of police use or threatened use of force. Further questions raised by the results of this study include whether and to what extent the race*sex intersection predicts specific use of force outcomes, like the use of a Taser on a suspect, or being shot by the police. Additionally, due to the dichotomous nature of the use of force outcome in the data set, I was not able to examine whether there is a linear relationship between race*sex variables and use of force. Therefore, future research should examine more specific use of force outcomes and develop continuous measures of use of force to assess whether there exists a linear relationship between race*sex and other important variables. In particular, the use of continuous outcome variables may present an opportunity to conduct more complex analyses in the future.
Second, because this research utilizes a cross-sectional design, causality cannot be inferred from the model. While it may appear that the independent variables tested in this variable are in fact predictors of police use or threatened use of force in police-public contacts, it is also very much possible that variations in police behavior, like type of force used by individual police officers may influence the effect that the interaction of race and sex has on police use of force (Paoline and Terill 2004). Therefore, I propose the following suggestions. Future research should use a longitudinal research design to examine the effect of the intersection of race and sex on police use or threatened use of force, across time. Currently, there are several police-public contact survey data sets available, so it is a possible option for future researchers. It may be useful to test three-way interactions between respondent race, sex, and officer race, as well as respondent race, sex, and each of the different insufficient deference variables.
The use of secondary data sources presents a unique set of limitations for the present study. The purpose for collecting these data was to provide information about the nature and characteristics of face-to-face contacts between police and the public, including the reason and outcome. While these data were helpful in gaining insight about the effect of race and sex on police use or threatened use of force, I was still left with some less than ideal measures that resulted in the removal of categories from some variables that may have enriched the current study. The most pressing problem with using this data set is that there does not exist a gender variable. Because “sex” is being used as proxy for gender in this model, it is important to exercise caution about the conclusions that can be made about the combined effect of race and sex on police use of force. In other words, as sex refers to biological traits, not the more fluid and dynamic social construct that is gender, caution must be used when attempting to generalize these claims. Future research should merge available data sets from the police-public contact survey to provide enough cases in certain variables (e.g., race categories including two or more races), as a remedy for the former issue. For the latter, it is important that surveys and questionnaires that collect official data include items treating gender and sex
separately, including more than two sex categories for those who are intersex, and including more categories in the gender item beyond the binary “woman/man” categories to capture more than these two genders.
While this study draws on Black feminist and multiracial perspectives, the variables in the study do not allow for an exploration into the ways in which the Black, Hispanic, and White females and males are experiencing their interactions with police officers in uniquely gendered ways. In other words, we are not able to gain insight into how the context within which the situations in which police officers threatened to use force or use force in their interactions with civilians, are experienced differently by males and females. This is another direction in which future research may be directed.
Given the different odds ratios revealed in these analyses, future researchers may begin more in-depth, qualitative studies to explore the dimensions of racialized gender identities that either increase the odds of certain racially marginalized people to experience and report police use of force in interactions with police, and decrease them for others, compared to White males. Additionally, along with theorizing about how White maleness and masculinities are privileged in this society and how these privileges appear to make respondents more or less likely to report police use of force, we should conduct qualitative studies to explore those who identified as both White and male to understand what other social conditions, and identities enhance or minimize their likelihood to report police use, or threatened use, of force in interactions with police. Lastly, another possibility for future research might be to look at the interaction between intersectionality and the absence of deference items on likelihood to report police use, or threatened use of force in interactions with police.
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Freedom or Responsibility? On the Unreason of Public Reason
By Mitchell L. Winget
Abstract: This article argues that the public reason tradition of political normativity is flawed. As a result, I argue for a politically normative approach that rationally justifies morally legitimate political power for democratic political societies from outside the paradigm of public reason. To this end, I propose that neo-Aristotelian virtue theory lends us such a framework. Furthermore, I’ll defend this framework against the objections that such a theory of political normativity is unreasonable and anti-democratic.
Introduction
When considering what justice means in a contemporary liberal society, some notion of freedom often comes to mind. To paraphrase the late Gerald Gaus, our freedom is normatively basic and the onus of justification always falls on those who try and coercively limit freedom (Gaus, 2011, p. 17). But in the realm of politics whereby certain decisions always rule over the free will of others, freedom can be a rather paradoxical concept. In fact, since the Enlightenment, Western political philosophy has produced a long lineage of thinkers attempting to unravel this paradox while rationally preserving the moral value of freedom in political life. These thinkers belong to an intellectual tradition known as philosophical liberalism and for many centuries, one of the most prominent theories regarding the moral legitimacy of political power within that tradition has been public reason liberalism.\(^1\) Public reason liberals argue that freedom is preserved in political life when certain principles of political power can be demonstrated as justifiable to all reasonable persons who are subjected to such power.\(^2\) But again, one might wonder what sort of principles guiding the use of political power could ever achieve such a feat given that persons regularly reach opposing political conclusions in their reasoning. This is why contentious issues concerning what is just dominates our political discourse and political power always fails to secure comprehensive agreement among all rational persons who are subjected to it. Nevertheless, public reason liberals argue that in being *reasonable*, rational persons can converge on common principles of political power.
So then who are the reasonable and what kind of political power do they endorse? This article explores the answers to these questions offered by the public reason tradition and ultimately argues that the answers prove to be untenable. However, I’ll argue that a neo-Aristotelian framework of political virtue can avoid these pitfalls while providing a rational framework for political normativity. Of course, this transition is sure to elicit some serious objections. Firstly, the neo-Aristotelian account strikes many public reason liberals as unjustifiable. Secondly, the account seems at odds with democracy. In section I, I will survey the normative perspective underlying public reason liberalism and its theory of justice. In section II, I will explore the normative perspective of a neo-Aristotelian account and its own theory of justice. Then, in section III, I will argue that only the latter conception of justice is rationally acceptable. Lastly, I’ll conclude by briefly touching base on the practical implications of what I have argued.
\(^1\) According to Gaus, “social contract theory was fundamentally and explicitly concerned with identifying a source of public reason” (Gaus, 1996).
\(^2\) Various theorists will expand and contract the scope of “political power” as it concerns justice. For Rawls, justice applies only to constitutional essentials and the distribution of primary goods but not any further decisions of the legislature under such an order. See Rawls (2001, p 91). For other contemporary arguments in favor of public reason liberalism, see Nussbaum (2011), Gaus (2011), Quong (2010), Estlund (2008), Nagel (1991), Larmore (1987). Some have extended the tenets of public reason to moral epistemology itself. Gaus (2011), Darwall (2006), and Scanlon (1998).
The Freestanding Self
Perhaps the most influential articulation of the politically normative framework known as public reason liberalism comes from John Rawls. Rawls perceived the problematic contentions of society as marked by the fact that persons come to possess incompatibly doctrinal conceptions of a good life and thus they inevitably contend on the distribution of ‘primary goods,’ which is to say the liberties and economic means necessary to effectuate that life. Rawls referred to this as the fact of reasonable pluralism. Given this contention, Rawls felt that the chief task of political philosophy was to delineate political principles governing the distribution of primary goods that all rational persons can accept. In his seminal work, *A Theory of Justice*, Rawls attempted to derive these political principles with the construction of a thought experiment now famously known as The Veil of Ignorance. From behind The Veil, all rational persons are eclipsed from the many incompatible doctrines - or “burdensome judgments” - that facilitate our political contentions with one another so that we can freely and fairly choose principles of justice to govern our society. This experiment exemplified what it means to be reasonable according to Rawls. When deliberating on the issues of distributive justice, the reasonable are “mutually disinterested” persons who dismiss any burdensome political judgments in order to locate political judgments that all rational persons can assent to (Rawls, 1999 [1971], pp. 6-7, 58 – 59, 81-82).
Due to the fact of reasonable pluralism, Rawls believed that no society could reach or maintain any actual consensus concerning just political power and so our natural freedom would never be preserved in politics. Nonetheless, Rawls demonstrated that a kind of *political freedom* is preserved by advancing mutually disinterested principles that all *freestanding* rational persons can still accept in abstraction from the various incompatible doctrines that facilitate our contentions to begin with. Such a consensus is what Rawls would later refer to as an “overlapping consensus” (Rawls, 2005, p. 26). For Rawls, rational disagreement in the realm of everyday political discourse posed no threat to the overlapping consensus that reasonable persons uphold. For our purposes, we can think of this general argument as the Public Reason Argument for Justice (PRAJ), which goes as follows:
(1) All rational persons have sufficient reason to be mutually disinterested (i.e. reasonable).
(2) All mutually disinterested persons have sufficient reason to endorse a certain form of political power.
(3) If all rational persons have sufficient reason to be mutually disinterested, and all mutually disinterested persons have sufficient reason to endorse a certain form of political power, then all rational persons have sufficient reason to endorse a certain form of political power.
(4) Therefore, all rational persons have sufficient reason to endorse a certain form of political power.
So what exactly are these certain forms of political power that all rational persons have sufficient reason to endorse? Ultimately, Rawls delineated what he argued were the two principles of political power concerning the distribution of primary goods in this respect. The most controversial of these principles departed from classically liberal conceptions of economic justice and included a maximin scheme of state redistribution that ensured the greatest possible gains for the comparatively least well off. This “new liberal” take on economic justice was part of a principle that Rawls called the “difference principle.”\(^3\) Many rational persons in liberal societies endorse the difference principle, but many rational persons in liberal societies reject its highly redistributive powers in favor of the free market justice advocated by classical liberals. This contention is not unfamiliar in debates concerning economic justice today. However, let’s recall that mere disagreement alone does not challenge the public reason liberal. The point is to locate principles that preserve our political freedom by appealing to an overlapping consensus. In fact, this is precisely why Rawls rejected classical liberalism. Rawls believed that the free market conception of justice championed by classical liberals was unreasonable because it was not predicated on mutually disinterested reasoning but rather burdensome judgments concerning the moral supremacy of private property, and a doctrinal perception of persons as comprising a competing network of private associations. On Rawls’s account, classical liberalism could never maintain a publicly acceptable notion of justice because it fails to respect persons as freestanding individuals whose interests always stand prior to the doctrinal preferences of classical liberalism (Rawls, 2005 pp. 11, 264 - 65).
Although Rawls remained committed to the PRAJ, he would eventually begin to question how the principles he’d prescribed could be the practically feasible principles of any social order given that there was no guarantee that rational persons in a pluralistic society would come to see that they have reason to uphold mutually disinterested political principles over whatever principles might be entailed by the various doctrines that often guide us in our everyday lives (\textit{ibid}, p. 18). In effect, Rawls had acknowledged that premise 1 of the PRAJ could not be accepted as true in the absence of certain antecedent conditions. Thus, Rawls conceded that nothing of his theory had established that the principles of justice could be those of both a just and \textit{stable} society. However, in \textit{Political Liberalism}, Rawls argued that his principles of justice could be stably upheld from within a politically liberal ethos and its cultural perception of the self. According to Rawls, political persons in liberal societies generally have, above all else, a freestanding conception of the self as well as others in the public sphere as “self-authenticating
\(^3\) See Rawls (2001, p. 42). Maximin redistributions will permit economic inequalities over more equitable redistributions if such distributions would ultimately decrease the economic standing of the least well off under liberal market conditions. Because of this, not all egalitarians agree with Rawls. For example, socialists like G.A. Cohen have pointed out that the difference principle makes economic justice dependent upon the interests of the property-owning classes who otherwise have the capacity to threaten the economic standing of the least well-off in response to redistributive taxation under liberal market conditions, thus making greater economic equality appear unjustified by the standards of the difference principle. According to Cohen, no economic principle permitting such an imbalance of power could be a principle of justice. See Cohen (2008).
sources of valid claims” (ibid, pp. 26, 169). Therefore, liberal cultures are generally disposed to accept a “duty of civility” to actually uphold the mutually disinterested principles of political power that all freestanding rational persons can accept over the various doctrines that otherwise guide so many of us in our everyday lives.\(^4\)
Moving onto the next section, we’ll consider an alternative tradition of political normativity. Such a tradition departs from public reason liberalism’s commitment to the mutually disinterested judgments of freestanding rational persons and moves towards what can be called the virtuous judgments of responsible rational persons.
**Virtue and Responsibility**
When it comes to political normativity, Aristotle may have left us with an important insight:
“The city does not exist for the sake of an alliance…nor for exchange and [commercial] dealings…whoever is concerned about good government keeps an eye on political virtue and vice. It is therefore evident that virtue ought to be a care for every city that is truly…called a city. Otherwise, the city becomes an alliance…and law becomes a treaty…not that which makes the citizens good and just” (Aristotle, 1280a34-b12).
The suggestion here is that a legitimate political society will be one where persons flourish in the cultivation of virtuous ideals and the just political institutions that serve those ideals. But more must be said about virtues and human flourishing. Drawing from the MacIntyrian account of virtue, I’ll present a neo-Aristotelian account of political virtue.
On the neo-Aristotelian account of political normativity, there are two dimensions of human value: The external goods of distribution and the internal goods of human virtue (MacIntyre, 1993[1981]). The external goods of distribution (e.g. wealth, power, opportunities, etc.) are akin to what Rawls called “primary goods” and include any good that is external to the agent. We might think of external goods in the sense that any external good that I have is one that you don’t have. On the other hand, the internal goods of human virtue are internal to human practices. Such goods are an acquired human quality, the possession and
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\(^4\) This is also called the internal conception of public reason liberalism. For contemporary advocates, see Estlund (2008) and Quong (2010). However, it should be noted that this assumption that politically liberal persons have reason to endorse public reason liberalism in virtue of what it means to be liberal, is controversial. Liberal perfectionists, for example, reject the tenets of public reason while maintaining their own commitment to liberal values. For a prominent defense of liberal perfectionism, see Raz (1986).
exercise of which are of a cumulative value benefiting all who share in its collective developments (ibid, p. 232). So to further understand what a virtue is we must look to the concept of a practice as stipulated within the neo-Aristotelian tradition. According to MacIntyre, a practice constitutes: *an ongoing context present within human life whereby certain goals and themes of conflict present themselves, and whereby virtues can and have been realized, refined, and extended over time through a continued recognition of, and engagement with, its practical and relational structures*. It’s from the standpoint of one’s engagement with a practice that rational persons can begin to recognize certain virtuous ends, which is to say: *any feasible human pursuit, the cultivation of which rationally serves to overcome and improve upon the challenges of the practical and relational structures in which they are situated while remaining internally consistent with other similarly situated virtues*. Correspondingly, whatever ends fail to characterize these features while perpetuating the practical and relational challenges of the practice, are understood as vices. Therefore, virtues are constitutive of any successful – i.e. flourishing - practice (*ibid.*)
Given this framework, recognizing political virtue requires one to acknowledge their own engagement with (i.e. responsibility to) the practical and relational structures of politics as a practice. Since a practice constitutes an ongoing context present within human life whereby certain goals and themes of conflict present themselves within its practical and relational structures, political life arguably embodies a certain practice. Political life is that ongoing context whereby one must *attempt to communicate and/or uphold amidst contention, principles that are justifiable to all rational persons who must uphold them*. In other words, the practice of politics is essentially communal reasoning and this kind of activity is of course prior to any governing institutions. Furthermore, it’s important to recognize that politics is the most basic of social practices because it is inherent to all communities, as all communities have the capacity to reason with one another concerning community issues. Upon the recognition of politics as a practice, recognizing political virtue means calling into question those characteristic pursuits that *rationally serve to overcome and improve upon the challenges of the [political] practical and relational structures in which they are situated while remaining internally consistent with other similarly situated virtues*.
Given the practical and relational structure of the political practice, the neo-Aristotelian tradition is able to derive at least three virtues of political life: The political virtue of honesty as derived through experience with what it means to successfully engage in any attempt to *communicate* and/or *uphold amidst contention*, principles that are justifiable to all rational persons who must uphold them. Furthermore, the political virtue of courage as derived through experience with what it means to successfully engage in any attempt to communicate and/or *uphold amidst contention*, principles that are justifiable to all rational persons who must uphold them. Lastly, the virtue of justice as derived through experience with what it means to successfully engage in any attempt to communicate and/or *uphold amidst contention*, *principles that are justifiable to all rational persons who must uphold them*. In summary, flourishing political societies require rational
persons to be honest, courageous, and just if they are to successfully attempt to communicate and/or uphold amidst contention, principles that are justifiable to all rational persons who must uphold them. Public reason liberals needn’t find this general perspective to be that contentious. However, notice that on a neo-Aristotelian account, the normativity of justice is conceived somewhat differently than for public reason liberals. This is because neo-Aristotelians hold that one can only *successfully* engage in any attempt to communicate and/or uphold amidst contention, principles that are justifiable to all rational persons who must uphold them, in the event that all rational persons in question are responsible to the relevant practices in question.
In closing this section we now have two competing conceptions of justice:
(1) the public reason conception of justice as issuing mutually disinterested principles that all freestanding rational persons can accept and (2) the neo-Aristotelian conception of justice as issuing virtuous principles that all responsibly rational persons can accept. As we continue, I’ll argue that the first conception is not successfully pursuant of any *principles that are justifiable to all rational persons who must uphold them*. Nevertheless, from the standpoint of public reason liberalism, the essence of justice is to resist the allegedly “burdensome” moral judgments of virtue in political life. This objection will need to be overcome in order to proceed with the argument.
**Freedom or Responsibility?**
Any declaration concerning what persons ought to do in the event that such persons do not already wish to do so is undoubtedly controversial. In fact, the burdensome character of politically telling persons what they ought to do is what motivates the search for public reason. For the public reason liberal, it’s the fact that we have so many varying social circumstances and conceptions of the moral good that we’re incapable of true freedom in the form of normative principles that we all can accept. This is why any virtue theoretic approach like that of the neo-Aristotelian tradition generally strikes public reason liberals as unjustifiable. Nevertheless, the tendency to reject the virtue theoretic approach as unjustifiable comes predominantly from one of two misconceptions. The first misconception concerns the hierarchical and rather unscientific conception of teleological virtues found in the classical Aristotelian tradition. On the classical Aristotelian account, virtuous character was something available only to persons who were naturally inclined towards that purpose. Such a conception understandably lends itself to the contemporary notion that virtues are elitist. The second misconception concerns the Enlightenment conception of virtues found most readily in the work of David Hume. On Hume’s account, virtues were thought to be those qualities of human character that arouse in others the “pleasing sentiments of approbation” (Hume, 1998[1751], I.10). Such a conception understandably lends itself to the contemporary notion that virtues are non-rational, and hence the importance of
moral neutrality for the liberal tradition.\textsuperscript{5} Consequently, neither account was capable of explaining how it could be rational to say that any particular person ought to be virtuous. But none of this means that the prescriptive claims of virtue are rationally unjustifiable; it simply means that they are rationally unjustifiable if we assume that they are terms used simply for denoting naturally superior humans or an affectively pleasing character.
The neo-Aristotelian tradition allows for a rationally justifiable understanding of virtues. This is because wherever rational persons are engaged with (i.e. responsible to) any ongoing context present within human life whereby certain goals and themes of conflict present themselves...through the continued recognition of its practical and/or relational structures, then it’s rational to say that such persons ought to pursue what proves to be a feasible human pursuit, the cultivation of which rationally serves to overcome and improve upon the challenges of the practical and/or relational structures in which they are situated while remaining internally consistent with other similarly situated virtues. For example, an educational practice consists of such virtues as patience, attentiveness, and studiousness (among others). Now one may not be able to rationally derive the arbitrary conclusion that they ought to be patient from the simple fact that they are a rational person. However, from the fact that they are a rational person engaged with (i.e. responsible to) the practice of education, it can be rationally derived that they ought to succeed at doing what an educator does. Depending on the circumstances this might entail, among other things, patience, attentiveness, and studiousness. But notice that educational virtues do not depend on what an educational institution mandates, or whether virtues of education are emotionally agreeable, or whether the natural purpose of such a person is to be an educator. Instead, they depend on whether they serve to rationally overcome and improve upon the challenges presented by the practical and relational structures of education; challenges to which the virtuous practitioner perceives themselves responsible. Therefore, persons who are rationally responsible to education judge various preferences, affective approbations, and institutional mandates in accordance with virtue so that they can succeed in realizing the internal goods of the practice. To do otherwise suggests that one is either being irrational or does not see oneself as responsible to the practice of education.
Although public reason liberals generally reject the neo-Aristotelian tradition, they must adopt its framework in their own theory of justice. This is because to say that one ought to uphold the mutually disinterested principles that all freestanding rational persons can accept can only be rationalized in the event that one also perceives themselves as responsible to an attempt to communicate and/or uphold amidst contention, principles that are justifiable to all rational persons who must uphold them. We might also think of it this way. If any persons in question were not political persons but were rationally self-interested persons
\textsuperscript{5} Many have argued that such a principle of neutrality is central to liberalism. See Rawls (2005, pp. 56-57), Larmore (1987), Dworkin (1985), Ackerman (1980). See Simmons (2005) for a libertarian endorsement of the principle. Even J.S. Mill, a utilitarian, seemed to embrace the notion in his categorical rejection of legal moralism. See Mill (1859, Ch 1).
who, rather than engage themselves responsibly as political citizens, seek to overcome practical and relational contentions with actions that suppose no justifiability whatsoever but merely the effectuation of their immediate interests, then such a person could not possibly rationalize any obligation to justice.
One might object and say that invoking the practice of politics is irrelevant. Of course public reason justice isn’t justified to self-interested persons. The point of public reason justice is that it is justified to the freestanding rational perspective that everyone - even rationally self-interested persons – possesses at some level. However, this reply would be unsuccessful because all that can be said of the freestanding rational person from the public reason perspective is that, amidst contentions, persons attempt to rationally effectuate their ends and that such ends will require the use of external goods. But to assume that one is committed to doing this in a justifiable (i.e. political) fashion, rather than the apolitical nature of rational self-interest, is to move beyond the freestanding perspective of rational persons and to encumber them with certain tendencies towards resolving contention; tendencies that are not intrinsic to freestanding rational humanity but developed through experience. No political principle could be rationally justifiable to all freestanding rational persons merely in this sense because freestanding rational persons, in being freestanding, have no responsibilities to the practice of politics.
In securing the neo-Aristotelian framework, we can establish that claims of justice are justifiable to any rational persons in question if and only if (1) the rational persons in question are responsible to the practice of politics, and (2) what norms are being prescribed are successfully justifiable to all rational persons who must uphold them. The rational sensibility of such a framework is arguably why Rawls recast his theory of justice in *Political Liberalism*. If the principles he put forward were to be that of a just and stable social order, they had to be predicated on certain developments allowing persons to even rationalize the pursuit of justice to begin with. Rawls placed confidence in that achievement through the developments of a politically liberal culture where rational persons are said to perceive themselves as responsibly political yet otherwise freestanding rational persons. Thus in coming to recognize the antecedent conditions of a politically responsible community to which justice is prescribed, public reason liberals meet condition one. However, if the principles themselves are to meet condition two, then the principles must be virtuous principles from the standpoint of rational persons who are further responsible to whatever practice the norms in question apply. In other words, it must be a *feasible human pursuit*, *the cultivation of which rationally serves to overcome and improve upon the challenges of the practical and relational structures in which it is situated while remaining internally consistent with other similarly situated virtues*. It’s in meeting this condition that public reason liberalism fails to deliver because although it recognizes persons as politically responsible, it still presumes that they are to be otherwise freestanding with regards to whatever practice in which one has become political. Moving forward we’ll consider a particular domain, or practice, in which these shortcomings of public reason liberalism prove to be problematic - economic life. On this particular issue, the public reason liberal’s disposition
allows for no further rational normativity because just as rational persons must be responsibly political persons (in pursuit of political virtue) in order to rationalize the norms of political life, rational persons must be responsibly political \textit{and} economic persons (in pursuit of politically economic virtue) in order to rationalize the norms of a politically economic life.
Near the end of section I, I alluded to liberal society’s inability to rationalize to one another the norms of economic justice given the incompatible ends of new liberalism and classical liberalism. However, Rawls diagnosed this particular problem, not as a failure of public reason’s conception of justice, but rather the burdensome moralizations of unreasonable persons - i.e. classical liberals - when attempting to recognize justice. In other words, classical liberalism’s arbitrary attempt to characterize political persons as fundamentally private consumers complicates our understanding of \textit{principles that are justifiable to all rational persons who must uphold them}. Although this criticism may have challenged Nozickian or Randian-style libertarians, the critique does not undermine the claims of prominent public reason liberals like John Tomasi. Such theorists ground their classically liberal conceptions of economic justice on mutually disinterested principles that all freestanding rational persons can allegedly accept.\footnote{For public reason arguments against new liberalism and in favor of classical liberalism, see Tomasi (2012, pp. 241-243), Gaus (2011, p. 514).} Unfortunately, however, two public reason liberals attempting to advance rationally inconsistent principles of justice cannot be said to successfully communicate and/or uphold amidst contention, principles that are justifiable to all rational persons who must uphold them. Therefore, public reason liberals have failed to advance the principles of economic justice.
Of course, staunch defenders of either Rawlsian or classically liberal justice within the public reason tradition will reject this conclusion. From the standpoint of public reason, someone is still being unreasonable by issuing political principles predicated on “burdensome” doctrines concerning socially situated conditions (such as a practice), or moral conceptions of the good (such as virtues) rather than a political yet otherwise freestanding rational perspective from which we all can agree. But let’s look more closely at this political yet otherwise freestanding rational perspective that all rational political persons can supposedly use to derive the same principles of economic governance. Such a person is of the judgment that one must have, amidst economic contention, certain political principles of economic governance in order to politically and economically effectuate their conception of a good life. This judgment is political yet otherwise rationally freestanding because all rational political persons would still possess such a judgment in abstraction from the otherwise incompatible doctrines that guide their economically contentious lives. But as we continue, it turns out that this judgment concerning the politically economic effectuation of any good life is complicated further by reducing to competing questions of acquisition and possession.
Rawlsians argue that their political principles of economic governance are the reasonable ones because when rational persons abstract themselves from the various incompatible doctrines that guide their economically contentious lives, it becomes clear that all rational persons would accept the difference principle and its maximin redistributions of economic wealth as just. But this can only be true if we assume that politically protected *acquisition* is the only political yet otherwise freestanding means by which one economically effectuates their conception of the good life. After all, Rawlsian justice will always discriminate against certain political yet otherwise freestanding rational persons seeking political protection of the *possessions* by which they economically effectuate their conception of the good life. Rawlsians may attempt to reject appeals to possession as unreasonable, but this cannot succeed because possession is not an economically doctrinal concept like private property. All political yet otherwise freestanding rational persons can accept the basic proposition that in order to effectuate one’s conception of the good life, one must have the possessions needed to economically effectuate that conception of a good life. As a result, reasonable persons can still recognize that Rawlsian justice will produce a continuous class of freestanding possessors who will perceive themselves as unjustifiably subordinated under such a social order.
However, the same problem confronts public reason liberals in the classical sense. They argue that if persons abstract themselves from the various incompatible doctrines that guide their economically contentious lives, it becomes clear that all rational persons would accept extensive private property rights along with the efficiently generated wealth of politically liberated markets as just.\(^7\) But this can only be true if we assume that politically protected possession is the only political yet otherwise freestanding means by which one economically effectuates their conception of the good life. After all, classically liberal justice will always discriminate against certain political yet otherwise freestanding rational persons seeking political *acquisition* in order to economically effectuate their conception of the good life. Classical liberals may attempt to reject appeals to acquisition as unreasonable, but this cannot succeed because acquisition is not an economically doctrinal concept. All political yet otherwise freestanding rational persons can accept the basic proposition that in order to effectuate one’s conception of the good life, one must have the acquisitions needed to economically effectuate that conception of a good life. As a result, reasonable persons still recognize that classically liberal justice will produce a continuous class of freestanding acquirors who will perceive themselves as unjustifiably subordinated under such a social order.
Politically protected possession and acquisition are not doctrinal considerations of economic life but rather practical and relational structures that can be rationally deduced from any economic effectuation of a good life. In other words, any economic effectuation of a good life will necessarily entail some
\(^7\) Some classical liberals even argue for small levels of social assistance. See Tomasi (2012). However, they reject the maximin scheme of redistribution that new liberals endorse, as well as egalitarian economic justice in general.
interpersonal dimension of acquisition and possession. Therefore, no political yet otherwise freestanding rational person could dismiss the practical and relational reality of either acquisition or possession within any economic life while still remaining rational. If the production, distribution, and political management of economic goods were not practically and relationally situated but rather an entirely separate function from the body politic capable of producing economic goods while both providing for the acquisition of such goods as well as protecting private possessions, perhaps the institutions of this somewhat miraculous conception of a political and economic reality would be justified to all freestanding rational persons. Of course, public reason liberals do not actually have such a cartoonish notion of society, nor would its institutions need to be predicated on Rawlsian or classically liberal justifications. Nonetheless, only such a freestanding manifestation of society could be justified to all freestanding rational persons. Thus public reason liberals face a dilemma. If public reason justice requires reasonable persons to deny the place of possession and acquisition in economic life as doctrinal, then it cannot offer a practically feasible pursuit, the cultivation of which rationally serves to overcome and improve upon the challenges of the practical and relational structures in which it is situated. But if they permit this understanding, their principles will not be internally consistent. Therefore, the issuing of mutually disinterested principles that all freestanding rational persons can accept cannot be justifiable to all rational persons, and is thus not the virtue of justice.
One might try and argue here that the public reason principles of economic justice are those that impose upon acquisitive and possessive interests the least and that this is the operative concern when discerning principles from the standpoint of reasonable persons. This would acknowledge the place of possession and acquisition in economic life, but notice that applying this line of reasoning would not give equal respect to possessive and acquisitive persons as they are but rather it would attempt to aggregate them into categories of least imposing and non-least imposing while institutionally respecting only those persons who fall into the former camp at any given time. Therefore, this approach would not only fail to be just in creating an unjustifiable class of subjugated rational persons with regard to economic life, it isn’t even public reason liberalism. Conversely, it’s economic utilitarianism – a position that public reason liberals already reject for these reasons.
As this argument has shown, the freestanding perspective championed by public reason liberals is precisely what eviscerates us of rational normativity to begin with, while once again perpetuating the very structures of unjustifiable subordination that we wish to escape in political life. In economic life, the freestanding rational person is devoid of the practical and relational structures of possessive and acquisitive tendencies - tendencies that could otherwise be tempered by the virtues of responsible persons with any understanding of a politically economic community. Fortunately, however, this void isn’t exactly hopeless. Persons arguably have a continued recognition of the practical and relational challenges of possession and acquisition that comprise the ongoing context of a politically economic practice. Such practical and relational challenges
have been recognized with regard to something of vicious possession in the (e.g. greedy) possessors who politically neglect persons who are unwillingly destitute and vulnerable, economically speaking. Similarly, there is something of vicious acquisition recognized in the (e.g. exploitative) acquisitors who attempt to politically exploit one another’s economic contributions with no intention of making any contributions of equal value in return. Virtues and vices reveal themselves to rational persons who responsibly recognize a politically economic community, and thus political reasoning on these matters beyond the standpoint of freestanding persons speaks to feasible human pursuits, the cultivation of which rationally serve to overcome and improve upon the challenges of the practical and relational structures of an economic life. Furthermore, such virtues are internally consistent when guiding institutional design within the community, and are thus justifiable to all politically and economically responsible persons who must uphold them. This is because configurations of political power concerning both property and redistribution can be justifiable to all rationally responsible possessors and acquirors alike.\(^8\)
But what if virtues are fundamentally illusory to begin with? After all, I’ve conceded that the attempt to justify political norms in and of itself cannot be made rational from the standpoint of rational self-interest. For such persons, the justifiability of one’s actions is of simply no concern and so if humanity amounts to nothing more than this will to power, what is to rationally keep us from navigating our lives as so? Such a nihilistic position undermines political normativity of any kind. But I suspect that this is not a fact of human nature so much as a despondent reply to the rational failures of previous political traditions. Fortunately, nihilism cannot succeed as a critique of the neo-Aristotelian tradition because such a tradition allows for rational persons to transcend the paradoxical implications of preceding political traditions. There will always be unjustifiable subordination in the pursuit of political freedom or utility given the practical and relational reality of any social order, but this is not inevitable to the politically responsible pursuit of virtue. Recall an educational community and its virtues. For those who have committed themselves to a recognition of the practical and relational structures of an educational practice, internal goods - albeit demanding - are no longer deemed oppressive but rather an opportunity to cultivate *feasible human pursuits*, the cultivation of which rationally serves to overcome and improve upon the challenges of the practical and relational structures of education. The only means by which the cultivation of these internal goods becomes an oppressive proposition to the educator is in the event that they find themselves more concerned with external goods or mere self-interest. This is something gravely misunderstood in political life by utilitarians, public reason liberals, and their nihilistic successors. Under these circumstances, the responsible
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\(^8\) This is somewhat akin to the Aristotelian conception of justice as “treating equals equally” since its conception of justice shows equal regard for the ends of virtue, but not freestanding ends that are unequal in the eyes of virtue. See Aristotle (1130b-1132b). As neo-Aristotelians note, however, Aristotle’s own elitist philosophy falsely assumed that certain humans were naturally inclined towards virtue, and thus his conception morally expected subservience to such persons.
choice would be to resign from education, while the responsible choice for the latter would be to resign from government.
Although a nihilistic response to the rational failures of public reason liberalism is not irrational, one can still question the value of dismissing any attempt to communicate and/or uphold amidst contention, principles that are justifiable to all rational persons who must uphold them. Afterall, such a person lives either in continuous exile or proceeds politically with no more regard for courage, honesty, and justice than the cowardly, deceptive, and imperious tendencies of a tyrant. The immense existential challenge of either exile or indifference suggests that such a life is not only more demanding than justice but a far less viable path to human flourishing. Therefore, one might fare better in first trying to recognize the unresolved practical and relational conditions that have compelled them towards exile or indifference to begin with. The neo-Aristotelian tradition allows one to recognize these unresolved contentions while positing rational resolutions in response.
This leads us to our last criticism. Why should the neo-Aristotelian tradition justify the institutional structure of a democratic political society? After all, the virtue theoretic tradition can invoke antiquated notions of political life that once advocated subservience to authoritarian governance. But once again, the misconceptions surrounding these conservative applications of virtue should only be attributed to classical Aristotelian thought.\(^9\) Principles of subservience in political life fail to be virtuous because politically responsible rational persons recognize that if anything is to be a justifiable principle, then its authority must be rationally grounded in something other than the persons who issue those principles because such persons are fallible. Thus, if persons are fallible in the issuance of political principles, then politically responsible rational persons know that there is never any reason to be subservient to them. Hence the virtuous principle of mutual accountability that guides the institutional design of democratic governance is also pursuant of justice as issuing virtuous principles that all politically responsible rational persons can accept.
**Conclusion**
Public reason liberals continue to reject the neo-Aristotelian tradition of political normativity as unreasonable because they claim that the concept of virtue is inevitably unjustifiable to others. But as I’ve argued, not only is this criticism predicated on a misconception of virtue theory, no politically normative principle is capable of achieving rational justification from outside the neo-Aristotelian
\(^9\) In fact, this kind of elitism was not only prevalent in classical Aristotelian thought, but also the proto-liberal work of Thomas Hobbes. Hobbes, who was no fan of Aristotle, attempted to issue a political – i.e. allegedly justifiable – argument in favor of subservience to an absolutist state. See Hobbes (2010, pp. 106 – 112).
tradition of political normativity. This void is precisely why the public reason tradition itself continues to fracture into the oppositional camps of Rawlsianism and classical liberalism whereby allegedly “reasonable” persons still perceive one another as unreasonable in economic life. Therefore, the purpose of this argument has been to show that public reason liberalism has no good argument in rejecting the democratic voices of those who are politically guided by what virtues have been discerned through knowledgeable experience with the underlying practical and relational structures that our institutional powers come to govern.
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The Macroeconomic Impacts of Entitlements
By Ateeb Akhter Shah Syed
Abstract: The worries expressed by Alan Greenspan that the long run economic growth of the United States will fade away due to increasing burden of entitlements motivated us to empirically investigate the impact of entitlements of key macroeconomic variables. To examine this contemporary issue, we estimate a vector error-correction model to analyze the impact of entitlements on the price level, real output, and the long-term interest rate. The results show that a shock to entitlements leads to decrease in output and lends support to the assertion made by Alan Greenspan. Several robustness checks verify that the results remain unchanged qualitatively.
Introduction
Since the end of the great moderation era, the slowing down of the economic growth in recent years is appearing as a defining challenge for macroeconomists. In the United States (U.S.), this slowdown is generally attributed to increased spending on entitlements. The increasing share of entitlements in GDP of the U.S. has been a matter of serious concern for economists and policy makers. Since last two decades, numerous experts are expressing concerns by highlighting that the Americans are turning into a nation of takers and the Government of the U.S. has become an entitlements Machine Eberstadt (2012). This disproportionate growth in entitlements is viewed as unsustainable and would have serious repercussions for fiscal balances and economic growth.
The former Federal Reserve chairman, Ben Bernanke warned lawmakers that they need to fix the entitlement system. He pointed out that if early and meaningful action is not taken, the U.S. economy could be seriously weakened, with future generations bearing much of the cost. By attributing the rising burden of entitlements on budget to aging population in the United States, he emphasized that if difficult choices are not made, financial stability and healthy economic growth will be lost Bernanke (2010). Similar fears were expressed by Alan Greenspan, the former Federal Reserve Governor. While discussing the causes and implications of secular stagnation at the conservative American Enterprise Institute, he pointed out that spending on entitlements is crowding out gross national saving leading to decreased investment and low productivity Greenspan (2016). He warns recently in an interview that though in the short run economy looks reasonably good, the gains in the economy are draining out from the increasing entitlements and in the long run economic growth will fade away due to crowding out of capital investment Cox (2019). Like Bernanke, he attributes the rise in entitlements to aging population. Samuelson (2016), a renowned columnist highlights the thoughts of Greenspan and emphasizes repeatedly to control over growing burden of entitlements arguing that entitlements are draining funds productivity-enhancing investments.
The term entitlements are referred to benefits that are conferred on any person or unit of government that meets the eligibility requirements established by legislation (Congressional Budget Reform and Impoundment Control Act of 1974) History Art & Archives United States House of Representatives (2020). Social security, Medicare and Medicaid compose more than 75% of entitlement programs in the United States, therefore they are synonymously used as the term entitlements. As pointed out earlier, economists, researchers, analysts and politicians are showing great concern over the rising entitlements spending which is staining the budget, deficit is on the rise since several years. This situation is projected to turn into a nascent fiscal crisis and will fade away economic growth amid pandemic.
The share of entitlements spending in GDP is growing year after year and is projected to increase further. As reported in CBO report 2020, mandatory spending on social security and major health care programs make 10.3 percent of the GDP which is projected to be 12.4 percent of GDP by 2030. The budget deficit
is projected to climb to 5.0% of GDP in 2030 from 4.6 percent of GDP in 2020. Because of the large deficits, federal debt held by the public is projected to grow, from 81 percent of GDP in 2020 to 98 percent in 2030. The economic growth is projected to slow down. From 2021-2030, output is projected to grow at an average annual rate of 1.7% CBO report (2020).
Based on the above concerns and statistics, it appears that there is little doubt over the fear that entitlements are one of the major responsible factors for low economic growth and there should be cuts on entitlement expenditures or increase in taxes. However, Lawrence Summers (2013), the former U.S. treasury secretary warned the world about the secular stagflation in a seminal speech at the International Monetary Fund headquarters in New York. He suggested that the solution is increased government spending Summers (2013). Further, Summers (2020) asserts, “We don’t need fewer entitlements for the American middle class. We need more”. He argues that several other structural factors are responsible for slowing economic growth rather than increased entitlement spending. He explains that secular stagnation is due to persistent low interest rate, global inequality, and low productivity growth. He believes that real interest rate required to achieve full employment level is so far into negative territory which is effectively impossible. Hence, there is little room for monetary policy to be effective to increase investment and growth. He prescribes that more social insurance will enhance the demand in the economy and increase in interest rate will push the economy forward and contribute to financial stability.
Despite the serious concerns expressed on the role of entitlements in slowing down the growth, the recent literature provides little empirical evidence. Some studies examine the fiscal context of major entitlement programs such as social security, Medicare and Medicaid and recommend reforms in these programs by cutting these spending or increasing tax revenues [see for instance, Palmer (2006) and Gist (2007)]. The increased entitlements are due to aging population in the United States. Maestas, Nicole, Kathleen Mullen, and David Powell (2016) estimate the economic impact of aging population in the states of U.S. over the period 1980 to 2010. They document that 10% increase in the fraction of population ages 60+ decreases per capita GDP growth by 5.5% of which two-third is due to slower growth in labor productivity whereas one-third is caused by slower labor force growth. They predict that annual GDP growth will slowdown by 1.2 percentage points this decade and 0.6 percentage points in the next decade due to population aging. However, Acemoglu, Daron, and Pascual Restrepo (2017) investigated the impact of aging on economic growth across countries including OECD economies and conclude that the data do not verify the negative impact of aging population on economic growth. On the other hand, Sheiner (2018) analyzed the long-term impact of aging on the federal budget and showed that debt path of the United States is not sustainable. The literature though limited focuses on the impact of aging population on debt, budget deficit and economic growth. There is no empirical research which investigates the direct impact of entitlements on economy such as economic growth, interest rate and the price level.
The relationship between spending on entitlements and slow economic growth is yet to be empirically investigated as stated by Robert J. Samuelson,
“What other economists will think remains to be seen. An obvious question is whether Greenspan’s relationships are correlations, not cause and effect” Samuelson (2016). Hence, this article is an attempt to address the question raised by Samuelson. It will contribute to the existing literature in the following way; to best of our knowledge, it will be the first study to use a monthly dataset to empirically investigate the macroeconomic impact of entitlements in the U.S. using a VECM framework.
**Data Description**
The data for all the variables used in our paper is taken from Federal Reserve Bank of St. Louis Database (FRED). The main variable of interest is the entitlements. We use the seasonally adjusted personal current transfer receipts, government social benefits to persons measured in billions of
U.S. dollars as our measure of entitlements (E). As our sample runs through the time of the great financial crisis, we use the Federal Reserve’s assets (A)\(^1\) as a measure of monetary policy. We add A in our analysis to control for the monetary stimulus as it also has the ability to stimulate the economy in the short-run. We follow Wheeler (1999) in selection of variables that represent macroeconomy of the U.S., that is, the price level, real output and a long-term interest rate. For this purpose, seasonally adjusted industrial production is included as a measure of real output (Y), seasonally adjusted consumer price index, all items in the U.S. is included as a measure of the price level (P) and the 10-year government bond yields in included as a measure of interest rate (R). All the variables except the interest rate are in log-levels. The interest rate is in levels. The variable A is available only on a weekly basis; therefore, monthly average was taken to form the monthly variable. A is also not seasonally adjusted at the\(^2\) data source; therefore, it is seasonally adjusted using the U.S. Bureau of Census X11 seasonal adjustment program in statistical analysis software (SAS).
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\(^1\) For a detailed know-how on the unconventional policy approaches at the zero-lower bound, see Clouse et al. (2003), Bernanke and Reinhart (2004), Bernanke et al. (2004) and Kuttner (2018).
\(^2\)
Empirical Analysis
In our paper, we have considered two sample\(^2\) periods for empirical analysis. We start our analysis by testing each variable for stationarity. For this purpose, a series of Dickey and Fuller (1981) unit-root tests (ADF) were conducted on each variable. The results of these unit-root tests are presented in Table 1. Introduced by Schwarz (1978), we use the Bayesian information criteria (BIC) to determine the optimal lags to be used in the ADF tests. Panel A of Table 1 shows the results of the ADF test with drift. The test reveals that variables E, P, A, and Y are non-stationary in log-levels. R is found to be non-stationary in levels. However, all these variables are stationary in first difference.
Panel B of Table 1 shows the results of the ADF test with trend and drift. Similar to the drift test, the test reveals that variables E, P, A, and Y are non-stationary in log-levels. R is found to be non-stationary in levels. However, all these variables are stationary in first difference. All these variables are non-stationary in log-levels/levels; therefore, they should be first differenced to achieve stationarity. However, Engle-Granger (1987) points out that a vector autoregressive (VAR) model estimated in log-levels/levels is miss-specified if the variables are cointegrated. Therefore, we tested the data for presence of cointegration due to Johansen (1988) and Johansen and Juselius (1990). Johansen’s [(2000), (2002)] small-sample correction is also employed. The results of the cointegration analysis were obtained using CATs in RATs, version 2 (2005).
BIC is used to determine the optimal lags for cointegration test. BIC suggested to use 6 lags for the test cointegration. The results of cointegration trace test are presented in Table 2. The trace statistic shows that one cointegrating vector exists among the variables. Therefore, to evaluate the impact of E on the P, Y, and R, we employ a VECM model estimated using the Engle-Granger (1987) two-step estimator.
We estimate the VECM containing variables E, P, A, Y, and R. To preserve degrees of freedom, a maximum lag length considered is 6 lags for the model. The pre-sample extends from 2002M12 to 2003M6, and the estimation of the VECM models is carried out over 2003M7 to 2019M06. The lag length for the model is chosen with the BIC. The BIC suggested a lag length of 5. The residuals from each VECM equation are required to be white noise. To test for serial correlation among the residuals from each VECM equation, we conducted a series of Ljung-Box (1978) tests with the null hypothesis of no autocorrelation. The Q-
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\(^2\) The first estimation sample is from 2003M7 to 2019M6 (henceforth, short sample). The pre-sample for lags in the ADF tests and VECM for short sample extends from 2012M12 to 2003M6 (1 lag for the difference and 6 maximum lags for the estimation). The second estimation sample is from 2004M2 to 2019M6 (henceforth, long sample). The pre-sample for this exercise extends from 2012M12 to 2004M1 (1 lag for the difference and 12 maximum lags for the estimation). To conserve space, we only report the results of model using the short sample. The results qualitatively remain the same when long sample\(^2\) is used for the analysis.
The results of the model are presented in terms of the impulse response functions (IRFs). To compute IRFs, the residuals from the VECM must be orthogonalized. One technique to compute orthogonalized residuals is Choleski decomposition of contemporaneous relationships. Under the Choleski decomposition, variables in the system are required to be ordered in a particular manner. Variables higher in the ordering contemporaneously influence the variables lower in the ordering and not vice versa. We use the Choleski decomposition with ordering E, A, P, Y and R for our model, when short sample is used.
The current study is concerned with the response of the P, Y and R to a shock in E. This is consistent with the hypothesis we are testing. An increase in entitlement spending may act as a fiscal stimulus and impact the macroeconomy. Hence, it is placed first in the ordering. The key element of our ordering is positioning of policy variables E and A first in the ordering. This permits shocks to
these variables impact other variables in the system within the same month. However, these variables have an impact on E and A through the lags in the system. Hence, like Wheeler (1999), we assume that the policymaker’s information set only contains lags of P, Y and R.
In the short-run, certainly contemporaneously, prices are sticky. Hence, Y shocks do not have an impact on P. This places P above Y. Assuming markets are efficient and interest rates reflect all the available information quickly, R is placed at the end. P, Y and R are placed below E and A, the placement of these variables relative to each other is a matter of indifference as long as we are testing the impact of E on Y, P, and R. The conclusion of the model does not change when we alter the ordering of P, Y, and R relative to each other or use alternate ordering.\(^3\) Therefore, we report results with ordering E, A, P, Y, R.
In order to determine if the lag 6 of each variable in the system enters the equations of each variable in the system significantly, we performed a joint significance test on coefficients of this lag. We found that the coefficients on this lag is jointly insignificant. This provides further evidence that lag 5 is appropriate. However, as a robustness check, we also estimated the base model with 6 lags. The results obtained from this robustness check exercise qualitatively remained the same.
**Results and Discussion**
The results\(^4\) of our model are presented in Figures 1 through 3. Figure 1 indicates a shock to E has a positive and significant impact on P at first 4 forecast horizons. It also produces a negative and significant impact on P at forecast horizons 6 and 7. Hence, we find that entitlement expenditure is initially inflationary. We know that the funds transferred from the U.S. government to the economic agents leads to an increase in demand; therefore, it will lead to an increase in the price level. However, this impact dampens and eventually becomes insignificant forecast horizon 8 onwards.
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\(^3\) The alternate-ordering for the model estimated using 3 lags is: E, A, Y, P, R: The difference in this ordering is the placement real output before the price level and this exercise is performed as a robustness check. The main result of the model qualitatively remains the same. In addition to this robustness check exercise, we performed many other robustness exercises and found that the results remained qualitatively the same. These include: estimation of the model over the longer sample period, change in the ordering of the variables in the Choleski decomposition for the long sample, joint significance test on lags 5 through 12 for the long sample and estimation of the model with 6 lags [we do not use more than 6 lags for the long sample; 1) to match with the estimation exercise performed on the short sample, that is, estimation with 5 and 6 lags, 2) due to degrees of freedom that occurs due the use of a longer lag length].
\(^4\) The results of this paper are reported in terms of IRFs. To compute the confidence bands for the IRFs, MONTEVECM procedure is followed in RATs program. The confidence intervals for the IRFs are computed via ten thousand Monte Carlo draws. For each IRF, the bootstrapped confidence bands indicate the 0.05 and 0.95 percentiles of the draws.
The main emphasis of our paper is to find out, if the prosperous performance of U.S. fades away due to an increase in E. Hence, Figure 2 contains the most important results of our paper. An analysis of Figure 2 reveals that a shock to E has a short lived positive and significant impact on Y at forecast horizons 1, 2 and 5 months. However, shock to E has a negative and significant impact on Y at 14 forecast horizons (4, 7, 8, 10 to 16, 18 to 20, 22, 24 and 30 months). This result supports the concerns that majority of the experts of the U.S. who believe that economic performance achieved post great financial crisis will eventually start to fade due to increasing burden of E.
FIGURE 1 Response of the price level to a shock in Entitlements
FIGURE 2 Response of real output to a shock in entitlements
Figure 3 indicates that a shock to E has a positive and significant impact on R at first horizons 1 and 13. It also has a negative and significant impact on R at forecast horizon 6 to 8 and is insignificant otherwise. E are financed by tax money as well as through borrowing. Therefore, it may be the case that an increase in E led to an increase in demand for loans through the banking system and pushes R upward. This result is in line with a commonly known notion of the crowdingout effect, where a fiscal stimulus if financed by bank borrowing pushes the interest rates high enough that crowds out the private sector borrowing through this channel. However, the impact becomes negative for a few months and insignificant there onwards.
FIGURE 3 Response of 10-year government bond yield (interest rate) to a shock in entitlements
Conclusion
In this paper, we estimate a VECM to investigate the impact of entitlements on key macroeconomic variables of the U.S. economy. We report results in the form of impulse response functions. The IRFs from the base model reveal that a shock to entitlements has positive and short-lived negative, and significant impact on the price level and the interest rate, whereas output is impacted negatively and significantly at 14 forecast horizons. These results remain robust to a change in ordering of the variables in the Choleski decomposition, change in the lag length of the VECM from 5 to 6 lag and a change in the sample (short and long). Hence, this investigation provides empirical evidence on the statement made by Alan Greenspan that though in the short run economy is doing well; however, entitlements will pull healthy performance of the economy down. Thus, to move positively on growth trajectory, the U.S. must manage entitlements smartly.
Conflict of Interest
The author declares that there is no conflict of interest that could be perceived as prejudicing the impartiality of the research reported.
Data Availability
The data that supports the findings of this study are available in the supplementary material of this article.
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Delusional Mitigation in Religious and Psychological Forms of Self-Cultivation: Buddhist and Clinical Insight on Delusional Symptomology
By Austin J. Avison
Abstract: This essay examines Buddhist forms of self-cultivation and development that enable a psychosocial capacity for emotional, cognitive, and behavioral adjustment by improving an individual's characteristic mode of interaction within the world. First, we will consider the religious form of self-cultivation seen in the context of Buddhism and its desire to remove delusional perspectives through developmental practices. In this, we will consider the cultivating function of clinical psychology through the therapeutic application of cognitive restructuring techniques as a form of cultivation. Next, considering psychological self-cultivation, training, development, and education concerning the treatment of schizophrenia and its characteristic criterion of delusions. Further, Buddhism’s delusional-mitigation strategies will be compared to clinically based treatments of psychotic delusions within the spectrum of schizophrenia. Within religious self-cultivation is the development through the progressive growth of one's mind or capacities through intentional action; the project of clinical psychology, in the therapeutic setting, speaks to much of the same goals of religious self-cultivation.
The question and nature of human suffering will continue to be one of the most significant challenges humanity faces, and the means to alleviate human suffering continues to be a deserving aim of human activity. Human suffering is one of the most complex challenges we as a human species face in the forms of extreme hunger and poverty, domestic and inter-state conflict, famine, drought, health-care access, child mortality, racial, gender, and sexually-orientated forms of discrimination and prejudice that pose existential challenges to human happiness and flourishing. Central to the concerns of all the world’s religions is the nature of human suffering in the world. Countless religious and spiritual traditions have proposed ways of overcoming this suffering since the beginning of human history. Religion poses a unique cognitive method of dealing with and effectively responding and interacting with the world in which we are located.
The project of psychology shares a similar aim with that of many of the world’s religions: alleviating human suffering. Much of the science of psychology is directed towards the alleviation of human suffering, though the source and means of overcoming this suffering may differ between the approaches. The project of clinical psychology shares the goal of addressing human suffering, where suffering may be a feature of physical or mental illness that entails real human suffering to which psychological science seeks to alleviate and ultimately remove (Fleischman, 1999, pp. 3-32).
It is hypothesized that religion and psychology represent independent but compatible domains of addressing the problem of human suffering. Human beings have the radical ability to transform themselves and the world around them, and it is that religion and psychology enable radical human change in addressing the *real* presence of suffering in the world. The aim here is to consider how religion and psychology enable individuals and societies to effectively perceive and interact within the world of events. Buddhism and psychology effectively train individuals to respond to events by cultivating states of clear human perspective that enable greater happiness and flourishing through modifying delusional perspectives that influence human suffering.
**Buddhist Perspectives on Cultivation and Delusions**
Fundamental to the Buddhas’ teachings are to “avoid all evil, cultivate the good, purify your mind: this sums up the teaching of the Buddhas” (Easwaran, 2007, p. 170: Dhammapada, verse 183). The wide range of practices seen within Buddhism today still emphasizes cultivating what is ethically wholesome. The process of purifying one’s mind enables an understanding of how human beings may change themselves through a process of intentional action (Harvey, 2000). Buddhism has a variety of teachings that function as a process of helping individuals develop a calmer, more integrated, and compassionate disposition that removes delusions that reduce the ability to see things as they truly are (Harvey, 2000, p. 3). Delusions are central within Buddhism; delusions cause attachment, creating suffering for individuals and those they interact with (Harvey, 2000, p. 3). Buddhism provides a guide that enables the transformation of human experiences away from the reality of suffering in the *dharma*: the nature of reality.
regarded as a universal truth taught by the Buddha, with the end of suffering gained through reaching a liberated state in Nirvana (Harvey, 2000, p. 3). Buddhism essentially consists of understanding, practicing, and realizing the reality of the dharma (Harvey, 2000, p. 3).
The Buddha teaches that greed, hatred, and delusion (moha) are states that contribute to suffering; and are harmful to the person when they arise (Harvey, 2000, pp. 9-10). When an individual is overwhelmed by negative cognitive states, they are more likely to commit harmful deeds and suffer due to the karmic results of their action (Harvey, 2000, p. 10). The Buddha notes that the opposite of delusion, posed as a negative, in being non-delusional is beneficial, wholesome, and conducive to happiness, and therefore we should undertake to remove delusions as a means of producing happiness (Harvey, 2000, p. 10). The Buddha places a high value on states of mind, which are the antithesis of greed, hatred, and deluded unclarity or disorientation, as they are found to contribute to human happiness rather than human suffering (Harvey, 2000, p. 10). Delusions are suspended in the practitioner through the progressive development of human insight that facilitates greater understanding and introspection (Harvey, 2000, p. 10). Buddhists see the current context of life as a result of the karmic principle of actions, but Buddhism does not hold that individuals are to be presently blamed for their conditions since the actions of a past life are behind them; what is important is how they behave in the present and how others now treat them (Harvey, 2000, p. 16). Buddhist systems of belief and practice teach that human beings should not be judged and left to suffer, no matter the cause of such. Essential in the teachings of Buddhism is how individuals seek to address their conditions and how others treat them as capable of transformation.
The law of karma is seen as a natural and universal law inherent in the nature of things, and good and bad rebirths are not rewarding or punishing per se but are the natural result of certain kinds of actions (Harvey, 2000, pp. 16-17). Karma is viewed as the overall psychological impulse behind human emotion and action that influences their causes and affects karmic results (Harvey, 2000, p. 17). Deliberately mitigating negative affectivity is understood to derive good mental karma, where the mind is seen as continually generating good and bad karma (Harvey, 2000, p. 18). Buddhists hold that wrong views lead to wrong thought and that wrong speech and action come from misperceiving the nature of reality or being in discord with the fundamental nature of things: a delusion (Harvey, 2000, p. 18). Wrong actions or behavior results from misperceiving reality; *delusions go against the grain of reality*, and they naturally lead to unpleasant results (Harvey, 2000, p. 18).
Dukkha is of primary concern within Buddhism; dukkha is commonly translated: as suffering, unhappiness, pain, dissatisfaction, discontentment, or strain (Harvey, 2000, p. 33). The aim of overcoming dukkha or suffering is both a personal and collective concern (Harvey, 2000, p. 33; De Silva, 2005, p. 107). Buddhists come to understand the role of suffering in human existence by seeing that they contribute to their suffering through a path of incorrect perceptions, cognitions, and behaviors (Harvey, 2000, p. 33). Through our knowledge of suffering, we gain the knowledge and care that others also experience similar
qualities of suffering in existence. Individuals lack an understanding of impermanence, where the inherent nature of change and decay operates, and this lack of understanding concerning impermanence leads to suffering. Impermanence does not imply a fixed nature or self, which means humans are always capable of changing for the better and should be regarded accordingly, rather than dismissed as unworthy (Harvey, 2000, p. 34). Labeling someone as having a particular fixed nature often has a more harmful effect on them, whereas respecting them helps elicit change for the better, paralleling Carl Rogers’ unconditional positive regard (Rogers, 1951). Rogers held that it is necessary within a clinical setting to support individuals despite what they have said or done in order to facilitate positive humanistic growth (Rogers, 1951, p. 64).
Buddhists perceive delusion or spiritual misorientation as *the veiling of truth from oneself* that obscures clear states of cognitive perception (Harvey, 2000, p. 47). Non-delusional states entail a clarity of the mind that enables insight into the nature of reality (Harvey, 2000, p. 47). Buddhists hold that the roots of unwholesome and harmful actions are interrelated, where greed and hatred manifest in delusional states (Harvey, 2000, p. 47). Buddhists highly value developing or cultivating wisdom and knowledge to overcome deluded perspectives (Harvey, 2000, p. 47.) In Buddhism, human behavior is assessed in terms of its direct effects of causing suffering or happiness (Harvey, 2000, p. 47). Within the beliefs of Buddhist practitioners, a system of cultivation or development exists which helps individuals overcome negative states of greed, hatred, and delusion (Harvey, 2000, p. 51). Above all, the Buddhist perspective views prosocial behavior as part of a spiritual path that cultivates a more wholesome character by undermining ethical defilements through developing counteractive virtues (Harvey, 2000, p. 58). A process of gradual transformation is seen to culminate in a state of liberation (*Nirvana*) from all greed, hatred, *delusion*, and the subsequent suffering that follows. Liberation requires that people have not a fixed, unchangeable self but are capable of radical transformation brought about by analyzing the nature of the mind and behavior; this is the essential project of psychology. (Harvey, 2000, p. 58).
In conclusion, Buddhism aims to overcome greed/attachment, hatred, and delusion, which are seen as the roots of harmful actions, behaviors, and mental states that are the principal conditions of human suffering. The ultimate reality perceived within Buddhism is *Nirvana*, which entails the destruction of cognitive delusions and distortions. Delusions may be mitigated by avoiding intoxication and cultivating mental clarity that allows individuals to see things as they truly are through meditative development that cultivates insight (Harvey, 2000, p. 122).
**Clinical Insight on Delusions**
Delusional symptomatology is a characteristic and chronic feature of the schizophrenia spectrum and includes disorders such as schizophrenia, schizotypal personality disorder, schizoaffective disorder, and other psychotic disorders (Diagnostic and Statistical Manual of Mental Disorders, 2013, p. 87). Abnormalities define the spectrum of schizophrenia in one or more of the following five domains: delusions, hallucinations, disorganized thinking, speech,
and grossly disorganized or abnormal motor behavior (including catatonic states), and negative symptoms (i.e., those which take away affective or experiential states) (DSM-5, 2013, p. 87).
Delusions are highly personal ideas or belief systems, not endorsed by one’s culture or subculture, that are maintained with conviction despite irrationality or evidence to the contrary (American Psychological Association Dictionary, 2020). Delusions may be transient and fragmentary; in delusional disorders, they are often highly systematized and elaborate (American Psychological Association Dictionary, 2020). Statistical data suggests that delusions are not primarily logical errors but are derived from emotional events (Kiran & Chaudhury, 2009, pp. 3-18; American Psychological Association Dictionary, 2020). Some research suggests that delusions may be the most significant symptom of schizophrenia (American Psychological Association Dictionary, 2020).
Delusions are fixed beliefs that are not amenable to change considering conflicting evidence (DSM-5, 2013, p. 87). Common types of delusions are delusional jealousy, delusions of control, delusions of reference, nihilistic delusions, and somatic delusions (American Psychological Association Dictionary, 2020). Persecutory delusions entail the belief that one will be harmed, harassed, and so forth by an individual, organization, or group in the pursuit of goals (DSM-5, 2013, p. 87). Referential delusions entail the belief that certain gestures, comments, environmental cues are directed at oneself, falsely believing they have personal meaning or significance (DSM-5, 2013, p. 87). Grandiose delusions entail individuals believing they have exceptional abilities, wealth, or fame (DSM-5, 2013, p. 87). Nihilistic delusions involve conventions that a major catastrophe will occur (DSM-5, 2013, p. 87). Somatic delusions are preoccupations regarding health and organ functioning (DSM-5, 2013, p. 87). Erotomaniac delusions entail the false belief that another romantically desires them (DSM-5, 2013, p. 87). The DSM-5 does not address or specify religious delusions as a facet of the symptomatology of delusions and instead prefers to resist pathologizing religion. The Encyclopedia of Mental Disorders defines *religious delusions* as any delusion with religious or spiritual content, which may co-occur with other delusions (1998). It is necessary to note that beliefs considered normal for an individual's religious or cultural background are not delusions, regardless of their veracity (DSM-5, 2013).
Delusions may be bizarre and non-bizarre. Delusions are considered bizarre if they are implausible and are not understood, nor are common within same-culture peers and do not derive from ordinary life experiences (DSM-5, 2013, p. 87). Bizarre delusions are impossible; non-bizarre delusions are plausible, though they are not probable since they do not hold convincing evidence (DSM-5, 2013, p. 87). Delusions that express a loss of control over the mind or body are considered bizarre, including believing that one’s thoughts have been removed and other thoughts not of personal origin have been inserted (DSM-5, 2013, p. 87). Another example of bizarre delusions entails believing that one’s body is being manipulated by an outside force that entails delusions of control. The distinction between a delusion and a strongly held idea is sometimes difficult to differentiate and depends largely upon the level of conviction held with a
particular belief despite strong and clear contradictory evidence of its validity (DSM-5, 2013, p. 87).
**Psychological Forms of Delusion-mitigation through Cultivation**
In referencing psychological forms of cultivation, we employ a comparative analysis of the respective lexical domains of religious and scientific knowledge to consider religious cultivation in terms of development, benefit, or improvement that essentially strongly covaries with the construct of cultivation. The essential project of clinical psychology is aimed towards generating a healthy cognitive and behavioral composition of the person that enables the greatest level of functionality with a minimum amount of suffering. Psychology necessarily entails the cultivation or development of new cognitive states of human existence that transcend or mitigate the effect of major mental illnesses.
Self-cultivation is hypothetically constructed to define a process of cultivating the mind and body through a process of integration and communication. Self-cultivation is associated with attempts to go beyond normal states of being that enhance and continually develop an individual's capacities and potentials (Wang, Wang, and Wang, 2014, p. 351). Self-cultivation is conceived by Wang et al. (2014) as a psychological process that develops and improves one’s mind and body into a more stable and organic whole (pp. 340-351). Self-cultivation is a developmental model that sees human beings as progressively becoming integrated into larger and larger circles of human concern (Wang et al., 2014, pp. 340-351). Self-cultivation entails the possibilities for growth towards an individual’s potential (Wang et al., 2014).
There is a two-sided relation between nature and cultivation/improvement; culture relates to nature in a way that dialectically combines apparent contradictions between the nurturing of nature (Derksen, 2017, p. 202). Development as cultivation tends to shape and change nature, but the tools of cultivation are themselves derived from nature (Derksen, 2017, p. 202). Cultivation suggests spontaneous growth and its regulation through a natural process, while simultaneously, the practice of cultivation is a process that is intended through human regulation (Derksen, 2017, p. 202). The cultivated implies the uncultivated that comes before it; *cultivation transforms and shapes human nature, but only up to a point* (Derksen, 2017, p. 202). The concept of self-cultivation in psychology offers a perspective on human nature that entails transforming our conditions through developmental practices (Derksen, 2017, p. 202). Self-cultivation is increasingly done with the help of experts, but it is not done by experts (Derksen, 2017, p. 202).
The pursuit of well-being broadly refers to states of optimal development, flourishing, happiness, life satisfaction, or otherwise leading a life worth living (Sovereign & Walker, 2020, p. 1-20). Happiness is a complex construct describing optimal function and experience; subjective well-being is described as the integration of several socio-affective constructs (Sovereign & Walker, 2020, p. 1-5). Subjective well-being constructs encompass an individual’s emotional responses, cognitive satisfaction with their lives, and global judgments regarding their overall level of satisfaction (Sovereign & Walker, 2020, pp. 1-9). Sovereign
and Walker (2020) note that the innate capacity for human learning, growth, and development are regarded as humanity's greatest potentials for continual development (pp. 1-20). Sovereign and Walker (2020) hypothesized that cognitive mechanisms might be fortified through self-development techniques that enhance subjective well-being (pp. 1-20). The human capacity to shape oneself according to one’s own will has widely been held as the fundamental premise of most psychological and counseling techniques (Sovereign & Walker, 2020, pp. 1-9). This outlook is referred to as a growth mindset, one in which continually develops talents, skills, and abilities; and thereby increases the likelihood of attaining their ambitions (Sovereign & Walker, 2020, pp.1-20).
Within a clinical application of psychology, the cultivation, development, or improvement of clinically significant levels of delusional symptomatology are endowed through a process of cognitive restructuring. Cognitive restructuring refers to a process of recognizing negative thoughts and changing them to be more realistic and rational (Craighead & Nemeroff, 2004, p. 148). Cognitive restructuring is designed to help patients identify and challenge their patterns of thinking to see things in a more objective manner (Craighead & Nemeroff, 2004, p.148). Cognitive restructuring seeks to replace negative patterns of thought and perception with alternative thoughts that are positive, calming, and insightful (Craighead & Nemeroff, 2004, p.667). Cognitive restructuring entails identifying emotions, using emotions, understanding emotions, and managing emotions through self-regulation (Craighead & Nemeroff, 2004, p. 217). In the 1960s, psychologist Aaron Beck developed cognitive therapy based upon the principle that maladaptive behavior (ineffective, self-defeating behavior) is caused by irrational or deluded thinking patterns (Strickland, 2001, p. 134). Beck’s theory is based upon the idea that instead of reacting to a situation’s reality, individuals misperceive the situation and incorrectly respond to that context (Strickland, 2001, p. 134). Cognitive-based therapy seeks to change cognitive distortions by examining the rationality and validity of assumptions behind them; such is the process of cognitive restructuring (Strickland, 2001, p. 134; Craighead & Nemeroff, 2004, p. 148). One prominent therapy that employs this model is known as Cognitive-Behavioral Therapy (CBT).
Cognitive-Behavioral Therapy (CBT) involves exposing individuals to situations they apprehend until their anxiety subsides (i.e., in-vivo exposure) (Craighead & Nemeroff, 2004, p. 74). Second, CBT replaces anxious thoughts with a more balanced, realistic perspective, considering all possible factors rather than assuming the worst (Craighead & Nemeroff, 2004, p. 74). Third, CBT entails teaching individuals other relevant skills that help regulate their emotions (Craighead & Nemeroff, 2004, p. 74). CBT is a psychological treatment widely regarded as the treatment of choice for a wide range of mental disorders, including anxiety disorders, bulimia nervosa, and affective disorders (Craighead & Nemeroff, 2004, pp. 74, 148). Numerous studies have demonstrated that most patients treated with CBT benefit from treatment, and such improvements are durable in reducing symptomatology (Craighead & Nemeroff, 2004, p. 148). Woolfolk argues that psychotherapy, a form of talk therapy, comprises an activity involved in the development, elucidation, and application of practical knowledge.
through the cultivation of character or the development of practical wisdom that may be applied to the world in which they operate (2015, p. 5).
In the clinical setting, patients strive for development and improvement through a therapeutic exercise of cultivating positive regard for themselves and others as a means of developing a differential state of experience (Waring, 2012, p. 25-35). In the therapeutic setting, individuals engage in structured activities to cultivate, develop, and improve their mode of being in the world. The goals of treatment can include positive states of mental health that transcend symptom relief, entailing a changing of an individual’s emotional, cognitive, and behavioral dispositions in a way that increases the chances of achieving a satisfactory life (Waring, 2012, p. 25-35). The clinical application of psychology entails cultivating healthy psychological states through the development of practical wisdom by restructuring individuals’ cognitive and behavioral patterns (Woolfolk, 2015).
Delusions are fixed and false beliefs that accompany major mental disorders (Alberini, Ye, & Johnson, 2013, pp. 81-87). Models constructed within translational neuroscience indicate that delusions override brain mechanisms that influence predictive learning, where prediction errors mismatch our expectancy in a given situation, and what is actually experienced is central to the basis of delusional formation (Alberini et al., 2014, 81-117). From the perspective of Alberini et al., delusions form due to aberrations of brain systems that underpin the successful anticipation of an adaptation to external and internal events (2013, 81-117). CBT therapy for psychosis has demonstrated efficacy for treating delusions and hallucinations (Freeman, 2011, pp. 135-139). Reasoning biases, skewed views of self, and other factors based on adverse life experiences such as rumination, interpersonal sensitivity, catastrophic appraisals, and avoidance behaviors all show correlation with delusions (Freeman, 2011, pp. 135-139). Delusions entail distress for those experiencing them, and this distress contributes to human suffering, comparable to levels seen in generalized anxiety disorder (Freeman, 2011, pp. 135-139). Further, delusions can become exceedingly strong and override current environmental influences and social cues (Alberini et al., 2014, 81-117). Freeman (2011) found that by allowing individuals to discuss their experiences constructively in a psychoeducational setting, patients experienced a 25% reduction in their worries associated with persecutory delusions (pp. 135-139).
**Psycho-Religious Eastern and Western Cultivation**
Buddhism and Western psychology endow theoretical and methodological systems that facilitate well-being by cultivating mental balance through individuals intentionally and effectively addressing that which restricts human potential (Hwang & Chang, 2009, pp. 1010-1032). Traditional Buddhist literature does not generally discuss mental health as a topic distinct from teachings about the path to enlightenment (Hwang et al., 2009, pp. 1010-1032). However, Buddhist texts extensively explain how to train the mind in ways that alleviate suffering, which entails a psychological process of addressing the *causes* of human suffering (Hwang et al., 2009, pp. 1010-1032). All schools of Buddhist
thought share a similar aim with Western psychology in the fundamental goal of reducing suffering (Hwang et al., 2009, pp. 1010-1032). The emphasis on human well-being in the absence of suffering transcends a stimulus-driven basis and instead depends upon the cultivation of a specific type of enduring beliefs and attitudes developed in one’s psychological character (Hwang et al., 2009, pp. 1010-1032). This process of cultivating meaningful priorities, attitudes, perspectives, and behaviors is prominent within positive psychology, and it is strongly emphasized in Buddhist practice (Hwang et al., 2009, pp. 1010-1032).
Western psychology and Buddhism both hold that happiness resulting from internally mediated mental training is more likely to be durable than externally derived happiness (Hwang et al., 2009, pp. 1010-1032). Current psychological research suggests a preliminary confirmation of Buddhist teachings, which hold that the degree of one’s happiness is not fixed but instead can be consciously cultivated or developed (Hwang et al., 2009, pp. 1010-1032). In part, cognitive-based therapies sustain the Buddhist principle that all of existence is a creation of the mind, where people can gradually change their way of thinking, feeling, and acting *from psychological incongruity to homeostasis* that attains therapeutic goals (Hwang et al., 2009, pp. 1010-1032). It is noted that Buddhist meditation, in conjunction with psychotherapy, is effective in facilitating mood stabilization, reduced anxiety, reduced neurotic symptoms, and greater self-control (Hwang et al., 2009, pp. 1010-1032). Buddhist meditation helps one to be calm, relaxed, and peaceful and is effective for coping with negative emotions (Hwang et al., 2009, pp. 1010-1032).
Until recently, Western psychology primarily focused on diagnosing and treating mental disorders; now, scientific attention has shifted towards understanding and cultivating positive mental health (Hwang et al., 2009, pp. 1010-1032). In contrast, for the past 2,500 years, Buddhist teachings have systematically identified and diagnosed the symptoms of human suffering, determined their cause, and described cures for pathologies by providing a path to happiness and lasting contentment (Hwang et al., 2009, pp. 1010-1032). *Buddhism perhaps signifies one of the first forms of therapeutic counseling.* In many ways, the psychologist seems to play the role of the master in East Asian culture (Hwang et al., 2009, pp. 1010-1032). The psychologist comprehends the individual’s concerns and provides them with appropriate instruction on overcoming such concerns, where the individual cultivates themselves through the guidance of the psychologist.
However, it is necessary to note that the goal of cultivation within Buddhism is quite different from the conception within Western psychology (Hwang et al., 2009, pp. 1010-1032). Instead of using systematic methods of investigation for an individual’s authentic self, the Buddhist model encourages the individual to cultivate an understanding of non-self (Hwang et al., 2009, pp. 1010-1032). The construct of self is a core concept in Western psychology; contrary to this, Buddhism is based on a non-self-cultivating process that aims to minimize or extinguish the self, leading to selflessness (Shiah, 2016, pp. 2-7). The non-self-approach involves executing the self-cultivating principles of giving up desires, displaying compassion, practicing meditation, and seeking to understand Buddhist wisdom, which directly concerns human suffering and the means of
overcoming it (Shiah, 2016, pp. 2-10). Traditionally, Western psychology has sought to understand psychological functioning from an individualist perspective, emphasizing the need to satisfy, maintain, and strengthen the self (Shiah, 2016, pp. 1-2). The origin of the individualist view of self can be traced to early Christianity and marks an epistemological difference between the respective theoretical approaches of Western psychology and Buddhism (Shiah, 2016, p. 2). However, the ultimate aim of Western psychology and Buddhism is to overcome human suffering in pain and emotional disturbances caused by life’s difficulties, challenges, and stressors (Shiah, 2016, pp. 2-8).
The Buddha’s teachings aim to attain authentic and durable happiness by cultivating a transition from the self-state to the non-self-state (Dalai Lama, 1995; Shiah, 2016, pp. 2-10). Clinging to or being obsessed with delusions of self is a major cause of suffering as taught by the Buddha; in contrast to the Western construct of the self, the goal of Buddhists is Nirvana, or a state of selflessness (Dalai Lama, 1995). Human cultivation leads to Nirvana, or the state of non-self, in a state of total liberation (Shiah, 2016, pp. 2-10). However, the concept of a totally liberated state in Buddhism is complex and transcends the magisterium of Western clinical psychology (Shiah, 2016, pp. 2-10). Nevertheless, the non-self-state includes psychological benefits, such as authentic and durable happiness, which are of central concern to the project of clinical psychology. Ultimately Buddhism holds that personal identity, and therefore concepts of self, are delusional and that the individual, as the self, turns out not to exist (Shiah, 2016, pp. 2-10). From the perspective of Buddhism, everyone who is not liberated is ‘delusional’ and is in some sense ‘mentally ill.’
Self-cultivation in Buddhism is associated with attempts to go beyond normal states of existence and by enhancing the development of a person’s capacities and potentials (Wang et al., 2014, pp. 340-342). *Self-cultivation* is a psychological process that develops one’s mind and body to reach beyond the normal or current state of being (Wang et al., 2014, pp. 340-342).
Sustaining and fulfilling human development encompasses both separateness and belongingness. Any social or political system, such as individualism or collectivism that supports individuality or connection over the other is bound to interfere and distort human development (Wang et al., 2014, p. 340). Existential security is created through bonding, not separation (Wang et al., 2014, p. 342). Human development comes in the presence of a secure community that facilitates individual growth through prosocial and collective means (Wang et al., 2014, p. 342). Liberation from emotional disturbances leads to the reclaiming of existential and ontological security that is a human birthright or human right (Wang et al., 2014, p. 342). In Buddhism, to reclaim this birthright means to be reconnected with the essence of humanity through awakening the *‘heart-mind’* (Bai, Cohen, & Scott, 2013).
The Eastern idea of health extends beyond pathological reduction and instead encompasses existential and transpersonal concerns (Craighead & Nemeroff, 2004, p. 84). In the Eastern context, health is defined in terms of reducing unhealthy qualities, particularly regarding deluded perspectives, cultivation of healthy qualities, and maturation to transpersonal stages of development (Craighead & Nemeroff, 2004, p. 84). As all societies’ emotional
regulation processes have been influenced by their cultural philosophies and values, East Asian societies have been influenced by the values of forbearance, emotional self-control, and interpersonal harmony (Sanseeha et al., 2009; Wang, Wei, Koay, Lo, & Lee, 2019). Forbearance is a strategy used in East Asian cultures to regulate emotional processes through suppression, cognitive reframing, empathy, and self-cultivation (Wang et al., 2019, pp. 409-423). In the East Asian context, emotional regulation can involve several positive meanings and functions towards maintaining positive prosocial relations (Wang et al., 2019, pp. 409-423). A component of emotional cultivation in East Asian cultures is to regulate emotional affect by creating alternative thoughts and perceptions to understand how one’s thoughts and actions will affect one’s outcomes (Wang et al., 2019, pp. 409-423). Emotional cultivation in East Asian cultures strongly resembles the process seen in CBT. However, Buddhists’ conceptions of self, or lack thereof, resembles Skinner's view that the mind does not exist (Skinner, 1974, pp. 113-131). Skinner holds that the mind, and the self, as conceived in consciousness, is an illusion, a hypothetical construct of cognitive psychology that does not exist (1974, pp. 113-131). Skinner’s theory parallels the Buddhist belief that the self, as conceived in the mind, does not exist per se but rather is illusionary in nature. However, Pio notes that Buddhists tend to view psychological disorders as being primarily psychogenic or psychological in origin rather than somatic (physiological) in nature (1988, p. 127). This position of seeing disorder as psychological indicates a position towards cognitive-based approaches rather than a behavioral approach topsychology.
Buddhism suggests we apply the self-cultivating principle by following certain structured activities by applying compassion and obtaining new insight to overcome delusions of self and attain a non-self-state of authentic and durable happiness (Shiah, 2016, pp. 2-10). Eastern approaches to psychology emphasize that healthy mental states and qualities must be intentionally cultivated or developed to ensure psychological health and maturity entailing post-formal operational cognition and wisdom, post-conventional morality, transpersonal emotions, and meta-motives, such as altruism (Craighead & Nemeroff, 2004, p. 84). Post-formaloperational cognition and knowledge denotes individuals who are more flexible, logical, willing to accept moral and intellectual complexities (Craighead & Nemeroff, 2004, p. 579).
Post-conventional morality describes individuals who live by their own ethically formed principles expressed by moral actors who use a heuristic framework to make decisions based upon rights, values, duties, and ideals (Craighead & Nemeroff, 2004, p. 579).
**Clinical Insight on Buddhism and Psychotic Symptomatology**
This section will address the current clinical directions of research as they broadly relate to Buddhism, schizophrenia, psychotic delusions, and studies assessing Eastern-based cultivating practices. Raja, Azzoni, & Lubich (2000), investigated religious delusions through an observational study of 313 acute psychiatric inpatients admitted to emergency psychiatric care and compared patients with and without religious delusion (pp. 22–29). The authors note that
little is known about the clinical features associated with religious delusions and how religious delusions may differ across various diagnostic groups (Raja et al., 2000, pp. 22-29). Many patients were apprehended for displaying psychotic symptoms near St. Peter’s Basilica in the Vatican City State (Raja et al., 2000, pp. 22-29). Of those assessed, 20.1% expressed religious delusions on the Assessment of Positive Symptoms, finding no significant variation between male and female patients in the rates of religious delusion (Raja et al., 2000, pp. 22-29). The investigators also found that religious delusions are not associated with self-directed harm (Raja et al., 2000, pp. 22-29). Raja et al. (2000) found that nearly 40% of those with religious delusions were diagnosed with schizophrenia and schizophreniform disorder, and another 12% were diagnosed with schizoaffective disorder (Raja et al., 2000, pp. 22-29). It is necessary to note that the DSM-5 defines delusions as fixed beliefs that are not amenable to change considering conflicting evidence (DSM-5, 2013, p. 87). However, in religious delusions, cases carrying religious themes, the question of the validity of beliefs is not relevant since the veracity of religious beliefs cannot be assessed (Raja et al., 2000, pp. 22-29).
Raja et al. (2000) found religious delusions to be common among patients with psychotic symptoms, attributing the high rate of occurrence to regional religious influences (Raja et al., 2000, pp. 22-29). Raja et al. found that religious delusions occurred at similar rates in all forms of psychosis (2000, pp. 22-29). Raja et al. (2002) found that individuals who presented religious delusions also exhibited comorbid psychopathologies and more severe positive psychotic symptoms compared to other patients and had more chronicity in their psychopathological symptomatology (pp. 22-29). Raja et al. (2002) found an association between religious delusion and more severe and chronic courses of psychopathology (Raja et al., 2000, pp. 22-29).
Religious delusions exert an overt and covert influence on patients’ thoughts, affect, and behavior (Raja et al., 2000, pp. 22-29). Tateyama and colleagues (see Tateyama et al., 1993, pp. 151-185; 1998, pp. 59-68) compared the prevalence and contents of delusions of patients with schizophrenia in Japan to patients in Germany and Austria (Lysaker, Dimaggio, & Brune, 2014, p. 32). The number of patients with delusional symptomatology was equal in both samples. The number of patients with delusions about world-ending scenarios and the quantity of negative (paranoid ideas) and positive (grandiosity) delusions was the same (Lysaker et al., 2014, p. 32). However, the quality of these delusions differed; 20% of the German-speaking sample expressed religious delusions, only 6% of the Japanese samples expressed similar delusions (Lysaker et al., 2014, p. 32). In the German-speaking samples, delusional guilt was a common feature; it was rare in the Japanese sample (Lysaker et al., 2014, p. 32). Persecutory delusions were more common in the German-speaking sample than in the Japanese sample (Tateyama et al., 1998, pp. 59-68). One hypothesis into the source of these differences is that Asian religions, such as Buddhism, do not imply apocalyptic ideation or death as a penalty for or absolution from sin (Lysaker et al., 2014). In contrast, ideas of shame, burdensomeness, and being viewed as worthless formed the most common context of delusions in Japanese patients (Lysaker et al., 2014, p. 33). Delusions in the Japanese sample included
the feeling or perception that others spoke poorly about them (Tateyama et al., 1998, pp. 59-68). It is important to stress that East Asian countries are considered to be collectivist societies where one’s individuality is less important than the interest of one’s social group (Lysaker et al., 2014, p. 33). One’s own needs and wishes might need to be neglected or suspended in favor of the social group’s well-being; thus, individuals in collectivistic societies are more susceptible to social feelings of shame and worthlessness (Lysaker et al., 2014, p. 33). When considering Eastern and Western cultures, it is necessary to note that individualistic or collectivistic social models of organization influence an individual’s perspective of self. In the Eastern context, collectivists view themselves as dynamic entities, continually defined by their social context and relationships (Lysaker et al., 2014, p. 33). Individualistic societies perceive the individual self as a stable entity that is autonomous from other people and their environment (Lysaker et al., 2014, p. 33). Thus, differential concepts of self are epistemologically employed. Conceptions of the self are culturally determined, and these perspectives of the individual, in reference to the collective, differentiates views and representations of the self.
Schizophrenia is one of the most common types of severe and chronic mental illnesses, and it affects roughly 0.7% of the adult U.S. population at a given time (Sanseeha et al., 2009; DSM-5, 2013). Half of all of those who suffer from the disorder do not receive appropriate care, and roughly 90% of those with untreated schizophrenia live in developing countries (Sanseeha et al., 2009). Rates of psychopathology are generally similar around the world, while unique social and cultural influences in different population groups might impart differing perceptions of those pathologies (Sanseeha et al., 2009). Buddhism has been an integral part of Thai culture and influences how Thais view the world and express their beliefs (Sanseeha et al., 2009). The foundation of Buddhist morality is the law of cause and effect or the karmic principle that operates in the lifespan of individuals (Sanseeha et al., 2009). It is understood that malady results from wrong deeds done in the past, and *karma* emphasizes the cause and effect of deeds that will directly affect the person (Sanseeha et al., 2009).
Sanseeha and colleagues (2009) investigated the perspectives of Thais diagnosed with schizophrenia and the nature of individuals’ views concerning their pathology. Sanseeha et al. (2009) selected 18 individuals diagnosed with schizophrenia, all of whom were practicing Buddhists (Sanseeha et al., 2009). In the study, all participants expressed a belief in the law of karma (Sanseeha et al., 2009). Participants’ responses indicated that they view the cause of their illness as stemming from supernatural powers, bad karma from the past, or biological factors (Sanseeha et al., 2009). Many participants and their relatives attributed the cause of their psychopathology to bad karma (Sanseeha et al., 2009). Attributing the cause of their psychopathology to bad karma indicates a strong underlying role that Buddhism and its cultural values and beliefs play in individuals’ perceptions of the causes and nature of psychopathology (Sanseeha et al., 2009).
Buddhist Thai participants felt that they were discriminated against by society and were ashamed to be considered different, felt looked down upon because of their limitations, and felt isolated from society (Sanseeha et al., 2009). The findings of Sanseeha et al. (2009) echo the findings presented in Tateyama et
al. (1993, pp. 151-158; 1998, pp. 59-68) that Asian-collectivistic societies express more significant worry with social perceptions in the context of delusional symptomatology than do individualistic cultures, paralleling the more significant social concern expressed within Buddhism. In Sanseehas’ (2009) study, participants believed they were chronically ill and intentionally sought ways to mitigate their condition in realizing they had to manage their illness actively. Buddhist Thai practitioners did so by adjusting their self-care activities and social behaviors, encouraging themselves, seeking mental refuge, and following dharma or Buddhist morality to reduce the disorder’s negative impact on their lives (Sanseeha et al., 2009). The participants used Buddhist teachings to provide direction or guidance for being happy by practicing mindfulness, positive concentration, meditation, and chanting to encourage one’s mind to be at peace (Sanseeha et al., 2009).
**Clinical Research on Buddhist-Derived Interventions**
Over the past 30 years, a considerable number of mental health professionals have engaged in various forms of Buddhist psychotherapy such as compassion-based therapy, Buddhism-based grief therapy, and mindfulness-based techniques (Hwang et al., 2009, pp. 1010-1032; Shonin, Van Gordon, & Griffiths, 2014; Shiah, 2016, pp. 1-10). Mindful-based meditation techniques form the foundation of the Buddhist process of self-cultivation (Shiah, 2016, pp. 2-10). Many clinical researchers and theorists have attempted to integrate Buddhist practices into formalized psychotherapies, often focusing on meditation, and its effects on increasing emotional stability, positive affect, mindfulness, and improved attention (Shiah, 2016, pp. 2-10). It is of clinical and scholarly interest to investigate the causal relationship that is hypothesized between traditional Buddhist practices of self-cultivation that may serve the *function* of psychotherapy for individual practitioners and patients alike. For example, Zen Buddhism is used as a mode of psychotherapy in Japan (Shiah, 2016, pp. 2-10). Findings on Zen meditation’s psychological effects include reduced anxiety, reduced neurotic symptoms, increased self-control, increased work efficiency, and an enhanced sense of compassion (Shiah, 2016, pp. 2-10). The use of meditation in conjunction with psychotherapy has been found to produce desirable effects in lessening negative self-reprisals, mood stabilization, and a reduced tendency for drug abuse (Shiah, 2016, pp. 2-10).
Buddhist-derived practices of mindfulness in the form of mindfulness-based cognitive therapy are supported by the American Psychiatric Association for the treatment of specific forms of depression (Shonin et al., 2014). The clinical utility of Buddhist-derived interventions spans a wide range of psychological disorders, including mood disorders, anxiety disorders, substance use disorders, personality disorders, and of concern; here, schizophrenia-spectrum disorders (Shonin et al., 2014). Buddhist-derived interventions effectively improve psychological well-being, cognitive function, and emotion regulation capacity in subclinical and healthy adult populations, indicating possible benefits to a wide range of individuals (Shonin et al., 2014). The integration of Buddhist principles
into clinical practice is likely due to the similarities between Buddhism and established clinical modes of treatment, such as CBT (Shonin et al., 2014). CBT and Buddhism both encourage individuals to challenge their perceptions of the world to enable greater human happiness and flourishing. Convergent validity is a subtype of construct validity that measures the associations between the construct (i.e., cultivation) and other similar constructs (e.g., cognitive flexibility, cognitive reappraisal, and basic-psychological needs satisfaction) (Wang et al., 2019, pp. 409-423). As it is in every culture, East Asian emotional regulation is influenced by its particular cultural philosophies and values (Wang et al., 2019, pp. 409-423). The East Asian perspective on emotional regulation is defined by engaging in the practice of creating alternative thoughts to understanding how one’s beliefs and actions will affect their outcome (Wang et al., 2019, pp. 409-423). Wang and colleagues (2019) sought to examine the relationship between emotional cultivation, cognitive flexibility, and cognitive reappraisal. Cognitive flexibility refers to the ability to perceive alternative explanations or generate alternative solutions (Wang et al., 2019, pp. 409-423). Cognitive reappraisal is the modification of the meaning of an event to influence the experience of emotion (Wang et al., 2019, pp. 409-423). Wang et al. (2019) sought to establish the convergent association between emotional cultivation and positive affect, emotional regulation, basic psychological needs satisfaction, gratitude, and cognitive flexibility (pp. 409-423). Wang et al. (2019) defined the construct of cognitive emotion regulation strategies as procedures that regulate emotion through self-control that generates alternative thoughts that consider the best for self and others (pp. 409-423).
Cultivating emotional strategies and understanding emotional connotations together accounted for an additional 9% of the variance explained in predicting cognitive flexibility, 2% of the variance explained by positive affect, and 21% of the variance in predicting emotional cultivating strategies was accounted for by the satisfaction of basic psychological needs (Wang et al., 2019, pp. 409-423). Cultivating emotional strategies and understanding emotional connotations significantly and uniquely predicted basic psychological needs satisfaction and gratitude (Wang et al., 2019, pp. 409-423). Understanding emotional connotations significantly and uniquely predicted cognitive flexibility (Wang et al., 2019, pp. 409-423). Emotional cultivation and cultivation emotional strategies had an intercorrelation of .93, indicating they are 93% more alike than they are different (Wang et al., 2019, pp. 409-423). Cultivating emotional strategies and understanding emotional connotations have an intercorrelation of .57, representing 32% of the variance of emotional cultivation (Wang et al., 2019, pp. 409-423).
Wang et al. (2019) findings indicate that cultivating emotional strategies and understanding emotional connotations explain 32% of the variables of emotional cultivation (2019, pp. 409-423). Emotional cultivation is strongly correlated with cognitive flexibility and reappraisal to the extent of .59 and .61, respectively (Wang et al., 2019, pp. 409-423). Emotional cultivation is also strongly correlated with basic psychological needs satisfaction to the extent of .66 and .31 for positive affectivity (Wang et al., 2019, pp. 409-423). The findings of Wang et al. (2019) indicate that cultivating techniques endow a psychological
capacity to attain basic needs and a greater likelihood of experiencing positive psychological affect (pp. 409-423).
**Conclusion**
It is reasoned that Buddhist-based self-cultivating practices do represent an effectual therapeutic intervention that endows increased psychological well-being, cognitive function, and emotion regulation capacities (Hwang et al., 2009, pp. 1010-1032; Sanseeha et al., 2009; Wang et al., 2014; Shonin et al., 2014; Wang et al., 2019). It is ascertained that Buddhist-derived clinical interventions that entail cultivating practices may be effective treatments for a variety of psychopathologies, including mood-spectrum disorders, substance-used disorders, and schizophrenia (Hwang et al., 2009, pp. 1010-1032; Sanseeha et al., 2009; Wang et al., 2014; Shonin et al., 2014; Shiah, 2016, pp. 2-10; Wang et al., 2019).
It becomes discernible that Buddhism and Western psychology share a desire to overcome human suffering as a core and shared goal, while significant epistemological differences exist between these two magisterial forms of knowledge and meaning. Buddhism does endow a psychological capacity to mitigate delusional perspectives, but it is not towards the same aims seen in Western psychology. Western psychology seeks the alleviation of individual suffering; it is concerned with the individual, Buddhism is wholly concerned with the impermanent nature of human dispositions, and as such, it opposes the Western focus on enduring personality states. While psychology is concerned with the present state of the individual, Buddhism is concerned with the future direction of that individual. Western clinical psychology seeks to alleviate symptomatology that entails human suffering in clinical populations, while Buddhism sees the entire world as intrinsically deluded. In Buddhism, not only do clinical populations experience significant levels of suffering, but all who are not liberated from delusions indeed suffer.
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Justifying Advocacy of Patients’ Belief Diversity with Support from William James’ Lectures on Pragmatism: A New Name for Some Old Ways of Thinking, The Variety of Religious Experiences and the Will to Believe
By Sterling Courtney
Abstract: Predating monastic healthcare in the Middle Ages (Siraisi, 2019), spirituality and/or religion have been unified with healing, caring for the sick and consoling the dying, as documented by historical writings as early as c.3000 BCE-c.500 BCE in Mesopotamia and followed by coinciding accounts from c.750 BCE-c.280 BCE Greece and Rome (Mann, 2014). Via philosophy and science, a movement towards secularization has been perceived (as the Renaissance faded and the scientific revolution led into the Age of Enlightenment), therefore creating a dichotomy between treating the physical body separate from the metaphysical soul. In the early 1900’s, Abraham Flexner discredited any connection between health and religion triggering reform in medical education denying spirituality benefits (Puchalski, 2010, p. 12). In addition to a secular tendency, the atmosphere of caregiving had changed (with technology and scientific knowledge) from ceremonial dying with ritual fellowship to an environment void of communal support, with death often considered a failure in the recovery process. A brief history allows for reflection on how progress and technology change the interpersonal dynamics of families and communities…and valued traditions. Faith has been assessed to still be relevant to many patients regardless of secular trends (Puchalski, 2010, pp. 4-5, 14, 90). With reference to William James and other champions of pragmatism of the 19th century, justification of individuals’ faith or spirituality is validated and therefore given credence; valued for consideration by caregivers and physicians in today’s healthcare environment. James’ endorsement of pragmatism is supported by numerous romantic (as containing elements found in Romanticism’s literature) statements which encourage happiness and optimism. Leaning on James’ lectures published in text *The Varieties of Religious Experience*; aspects of pessimism leading to despair by virtue of a lack of faith, or maybe…active religiosity is proposed.
Introduction
Historically, most societies throughout the world, have shared a common approach in dealing with sickness and death. From ancient times and well into the 20th century care for the body and spirit were integrated into what today some may refer to as holistic medicine. Where the myriad of cultures varies with a diversity of personal and social dynamics as well as religious practices, it appears that caregiving and healing, or attending the dying have similar habitudes.
Although ceremonial and burial rituals vary markedly, the focus of integrating body and spirit has commonality. The vocational caregivers in society attended to both physical and spiritual needs according to the culture; there was no separation between the exigency of the body versus those of the spirit. Whether be the shaman, the witch doctor, or the medicine man; the vocational healer was also a religious figure. Of course, in Christianity, Jesus is seen as a healer of body and spirit. In last few decades, this dichotomy has developed resulting in religiosity that solely functions for spiritual concerns, while science dependent physicians focus on physical interests (Jawaid, 2014). Even though religion and medicine were closely integrated, to exacerbate the dichotomy, spiritual concerns are considered sentimental attachments of little value, thus ironically, health care sciences trend toward anti-religious bias (Lucchetti, 2019); spirituality has come to be considered an obstacle to scientific progress or worse, a burden. (Astrow, 2001).
Not confined to science, historically, philosophy has had secular influence expressed as counter arguments to religious philosophy. Modern philosophy and ethics are characterized by a movement toward secularization: Although philosophical systems strive to provide an alternative to religious appreciation, they never completely escape the influence of religion and its representation; at least insomuch as the “Tillichian” sense of numinous faith in an ideal goodness (Drane, 1994).
Although dated by more than two decades, the WHO (World Health Organization), in 1998, cited *health* as “a state of complete physical, mental and social well-being; not merely the absence of disease”. To briefly illustrate how healthcare or “caregiving” has changed over time in the following narrative, modern medicine may have depersonalized healthcare to an extreme, warranting a focus on reestablishing and securing a nurturing environment. Advances in technology and medical knowledge have enabled a new social group (in first world countries): this growing group, “the survivors,” require renewed attention to spiritual needs (Lucchetti, 2019). Putting the “care” back in healthcare, the WHO acknowledged that, “*Mechanical* treatment of objective findings in patients is no longer satisfactory.” Recreating a more holistic view of health, hope, and compassion; including consideration of faith and spirituality, should be integrated into healing process (Jawaid, 2014).
Although both spirituality and religion warrant attention, it is key to be cognizant of the difference when addressing either or both. Religiousness is less intrinsic, i.e., less elemental than spirituality, and is defined somehow in relation to religion. Spirituality, of course, tends to be more individualized and more personal, and may or may not be rooted in religion (Miller, 2003). Spirituality
refers to “the way individuals seek and express meaning and purpose and the way they experience their connectedness to the moment, self, others, nature, and to the significant or sacred” (O’Callaghan, 2019).
**A Brief Perspective History of Spirituality and Healthcare**
***Renowned ethicist, Allen Verhey chronicles a historical perspective of religion and healthcare authoring *The Christian Art of Dying: Learning from Jesus*, 2011:
Philippe Aries, a medieval historian, described Middle Ages (roughly the 5th - 15th centuries) dying traditions as simple and public, referring to meaningful rituals and attending companionship as “Tame Death.” As death was approached as an evil, it could be tempered, hence tamed, and given meaningful respect through rituals and the community (Verhey, 2011).
As the fall of Constantinople (1453) flourished with Renaissance humanism, which many neophytes to history (self-included), relate to as “the arts”, a revival of Neo-Platonism renaissance humanists embraced Christianity; as illustrated by some of the greatest works of the Renaissance period. The Church patronized many works of Renaissance art. *Ars Moriendi* (*the art of dying*), a 15th century book, considered the death of Jesus as archetypal for Christians’. The book helped establish a tradition of “how to die well”, concerning virtues of faithful dying (Verhey, 2011).
In 1945, 40% of deaths occurred in a hospital setting, by 1995, 90% did. Dying well or the “dying role” has become the “sick role,” wherein patients rely on competent medical experts and hope for recovery: Whereas most often reference to medieval practices are rhetorically considered backwards and confined to entertaining festivals, the afore mentioned “Tame death” has become “medicalized death.” Medicalized dying is depersonalized, often hooked up to machines; death symbolized by a flat line. Patients are often alienated from their bodies, their communities, and from faith, for the sake of survival. Contrary to the scope of humanity’s progress from the Middle Ages, tragically *Ars Moriendi* has become mechanicalized and medicalized. Should death not be reduced to a mere medical event such as “do not resuscitate” (Verhey, 2011)?
**Explaining Pragmatism**
If any idea or notion, whether an extrinsic suggestion/phenomenon or intrinsically supported from one’s own imagination, inspires belief, hope, or faith, that idea or notion is causal; deserving consideration for having the power to create such inspirations (Courtney, 2018).
Plato’s scripted dialogue, *Meno*, may be considered the first recorded pragmatic application. Socrates’ discussion with Meno regarding virtue, in summary, justifies a practical approach: Socrates tells Meno that the positive benefits to one’s character justifies one believing in the value of a seeking for truth or knowledge by saying “if we believe it right to look for what we don’t know” rather than “if we believe there is no point in looking because what we don’t know
we can never discover. Rephrased: “Pragmatic arguments are practical in orientation, justifying actions that are thought to facilitate the achievement of our goals, or the satisfaction of our desires” (Jordan, 2014).
Pragmatists maintain that most reflective topics such as epistemology, language, philosophical concepts, meaning, belief, and empirical science are all best viewed in terms of their practical uses and successes. Charles Sanders Peirce, referred as “the father of pragmatism,” applied pragmatism and statistical principles as aspects of scientific logic.
In his *Illustrations of the Logic of Science* series of articles, Peirce offers his ‘pragmatic maxim’ in an article titled *How to Make Our Ideas Clear*: Consider what effects, that might conceivably have practical bearings, we conceive the object of our conception to have. Then, our conception of these effects is the whole of our conception of the object. (Peirce C. S., How to Make Our Ideas Clear, 1878)
Pierce expressed the maxim in a brief and somewhat cryptic form; therefore, it has been interpreted in many ways (Swedberg, 2015). William James, Peirce’s close friend and colleague (Legg, 2021) further offered:
To develop perfect clearness in our thoughts of an object, then, we need only consider what effects of a conceivable practical kind the object may involve – what sensations we are to expect from it and what reactions we must prepare. (James, Collected Essays and Reviews, 1920)
This clarity in this explanation may be considered only marginally better. Notably, Pierce and James differed in the utility of pragmatism’s philosophy. While Pierce envisioned scientific applications, James found relevance for pragmatism’s avail addressing the metaphysical, faith, and spirituality (Atkin, 2020). In like manner, a frequently cited quote, from William James’ 1907 published lectures supports this basic idea of pragmatism. He writes: “If theological ideas prove to have a value for concrete life, they will be true, for pragmatism, in the sense of being good for so much (James, Pragmatism: A New Name for Some Old Ways of Thinking, 1907).” Therefore, it is rationally and morally defensible to believe a theological proposition because of the benefits thereby yielded.
For the resolve of this paper, the integration of faith and religion as pragmatic options must be introduced. Exploiting William James’ articulation of the advantages of pragmatic justification of faith, spirituality, or religiousness, which are causal for optimism and happiness; if all these characteristics have a positive effect on healthcare and recovery, then pragmatism is worthy as a lifestyle consideration. James’ provides justification through pragmatism (to which he has metaphorically applied a female gender) for the process of believing and the adoption of faith:
Pragmatism will entertain any hypothesis; she will consider any evidence. It follows that in the religious field she is at a great advantage both over positivistic empiricism, with its anti-theological bias, and over religious rationalism, with its exclusive interest in the remote, the noble, the simple, and the
abstract in the way of conception. (James, Pragmatism: A New Name for Some Old Ways of Thinking, 1907).
Credited as one of the earliest psychologists to consider scientific applications to psychology, pragmatism enables the intersection of healthcare and spirituality. James goes on to argue pragmatism’s encouragement of spirituality in more depth while reiterating pragmatism’s versatility:
*In short, pragmatism widens the field of search for God. Pragmatism is willing to take anything, to follow either logic or the senses and to count the humblest and most personal experiences. She will count mystical experiences if they have practical consequences.*
*Pragmatism's only test of probable truth is what works best in the way of leading us, what fits every part of life best and combines with the collectivity of experience's demands, nothing being omitted. If theological ideas should do this, if the notion of God, in particular, should prove to do it, how could pragmatism possibly deny God's existence? She could see no meaning in treating as 'not true' a notion that was pragmatically so successful. What other kind of truth could there be, for her, than all this agreement with concrete reality?"* (James, Pragmatism: A New Name for Some Old Ways of Thinking, 1907)
James does not make the claim of a universal truth that applies to all individuals. James expressed that truth was distinct and personal to individuals, and the "value" of any truth is dependent on its utility to the individual who holds it (Borden, 2017).
An important quality for pragmatism’s effectuality in ones’ life is what James refers to as “technical distinctions,” which, when considered, inspire action, in the context of faith spirituality, or religiosity, the action inspired is that of belief. Fundamentally, deadness or liveness of a given axiom or proposition is not *intrinsic* but *relational* to the individual of which it appeals. The liveness of a hypothesis is measured by its relational appeal motivating the willingness to act. James stresses that maximum willingness is to act decisively and irrevocably. An example of the contrary i.e., a dead axiom, would be religious consideration for an atheist, the concept of religion is dead from the start. Belief is a conscious willingness to act, the act of believing (James, The Will to Believe, 1896).
**Faith via Metaphysics Versus Science**
As observed with secular trends, faith, spirituality, and especially formal religion have been challenged by philosophers of alternative disciplines since the aforementioned Neo-Platonism revival. Religion is a metaphysical position that is not scientifically based, which is a persuasive argument against. Historically, science has proposed phenomena that was not empirically observable but that could be inferred indirectly through predicted effects.
Theoretical physicists subsist on abstractions and mathematical theory, much like theists subsist on a metaphysical conception of God. For example: It is unclear whether String Theory makes any observable predictions. This theory
links general relativity theory and field quantum theory and has eleven dimensions, none of which have yet been observed. Apart from relying on an interesting mathematical theory the status of *String Theory* is highly debated as to whether it is metaphysics or science (Miller, 2003).
Note however, scientific theories when tested can be falsified. Philosopher of natural and social science, Karl Popper 1902-1994, expressed “falsifiability” or *refutability* to the intention of the testability of scientific/empirical theories. The possibility of said refutation qualifies a theory as being scientific or empirical. Metaphysical theories cannot be tested and are *irrefutable* by definition (Popper, *Conjectures and Refutations: The Growth of Scientific Knowledge*, 1962). For an atheist, there are two approaches to the *repudiation* (not to be confused with *refutability*) of God’s existence: One approach is to claim that there is no deity, the other claim is that there is no evidence that proves the existence of a deity; the former group would have to produce evidence to establish that claim, which has not been done (Randi, 2005).
**Justification of Spirituality Albeit Faith, by Pragmatism’s Allure**
Invoking Immanuel Kant, James identifies the respect and consideration that Kant had for belief in God, even though it remains an enigma as to whether Kant nurtured an ontological argument for God or whether he was an influential apologist for traditional Christian faith:
*We can act AS IF there were a God; feel AS IF we were free; consider nature AS IF she were full of special designs; lay plans AS IF we were to be immortal; and we find then that these words do make a genuine difference in our moral life... We have the strange phenomenon, as **Kant** assures us, of a mind believing with all its strength in the real presence of a set of things of which no one can form any notion whatsoever.* (James, *The Varieties of Religious Experience*, 2012)
With this James enlists Kant’s philosophical reputation to consider metaphysical and/or existential truths.
Given that we have determined that pragmatism will not attempt to prove the existence of God, theistic pragmatic arguments support that believing that God’s existence is rational and convincingly prudent. Considering James’ requirement for “technical distinctions” to inspire maximum willingness for belief, one finds convincing endorsements articulated. One would expect for maximum willingness to be irrevocable and momentous; a significant level of ardor or fervor must be emboldened:
*If religion is to mean anything definite for us, it seems to me that we ought to take it as meaning this added dimension of emotion... This sort of happiness in the absolute and everlasting is what we find nowhere but in religion.* (James, *The Varieties of Religious Experience*, 2012)
Added consideration of James’s value of religion for an individual’s existentialism was expressed when writing “A man’s religion is the deepest and wisest thing in his life” (Anderson, 2006).
Although contemporaries, Peirce, with his contribution to the philosophy of pragmatism during the 1870’s, predates William James’ writings by two decades. Citing a passionate acceptance of a hypothetical God and prepared for a life of devotion:
Any normal man who considers... the hypothesis of God’s reality... will come to be stirred to the depths of his nature by the beauty of the idea and by its august practicality, even to the point of earnestly loving and adoring his strictly hypothetical God, and to that of desiring above all things to shape the whole conduct of life and all the springs of action into conformity with that hypothesis. (Peirce C. S., 2010)
As previously cited, James states that pragmatism’s adoption of faith does not depend on proving God’s existence; yet he supports God’s existence with metaphysical revelations in which he implies that contrary to challenges for proof of God’s existence, quantitatively satisfying “particulars” he refers:
I find it hard to believe that principles can exist which make no difference in facts. But all facts are particular facts, and the whole interest of the question of God’s existence seems to me to lie in the consequences for particulars which that existence may be expected to entail... In spite of its being so shocking to the reigning intellectual tastes, I believe that a candid consideration of piecemeal supernaturalism and a complete discussion of all its metaphysical bearings will show it to the hypothesis by which the largest number of legitimate requirements are met. (James, The Varieties of Religious Experience, 2012)
It may be irrelevant to the theme of justification of faith for healthcare considerations, but it would be remiss to neglect the “momentous” impression that the phenomena of communion illustrate as “liveness” for the believer in Christianity. James has this to say:
...elements of a theory to which the phenomena of religious life lend plausibility. I am so impressed by the importance of these phenomena that I adopt the hypothesis which they naturally suggest. At these places at least, I say, it would seem as though trans mundane (existing outside the physical or visible world) energies, God, if you will, produced immediate effects within the natural world to which the rest of our experience belongs. (James, The Varieties of Religious Experience, 2012)
As stated earlier, pragmatism “is willing to take anything” including the most personal mystical experiences.
James Considers the Psychology and Consequences of Lacking Faith
As a psychologist, in fact the ‘Father of American psychology’, William James encountered and addressed psychological conditions. Combining psychology and philosophy, one can appreciate James’ logic and plausibility recognizing a lack of faith and spirituality as causing pessimism and possibly depression. James proposes that two of the Hellenistic philosophies, Epicureanism and Stoicism are philosophies of despair. While admiring the dignity of resignation that these two schools of thought practice, he is cognizant of the sense deprivation endured. James is concerned with what he refers to as the “sense-happiness” or lack thereof. The Epicurean versus the Stoic, James says: “In the one the hot blood has grown cool, in the other it has become quite cold” (James, The Varieties of Religious Experience, 2012).
Spiritualism and faith are valued for resistance to depression, through a habitude of pessimism lacking piety, one, if predisposed, is at greater risk for depression. The paradox of happiness which results through religious demands of sacrifice without protest well beyond the inconvenience of secular pessimism: Devotion may require surrender and sacrifice which are positively embraced and revered. Unnecessary sacrifices somehow ensure that happiness may increase. In observance of states of mind lacking spirituality; the surrender is submitted as an imposition of necessity, and the sacrifice is made reluctantly. To the contrary, in the pious life:
Religion thus makes easy and opportune what in any case is necessary. Faith becomes an essential organ of our life, performing a function which no other portion of our nature can so successfully fulfill (James, The Varieties of Religious Experience, 2012)… Affording Asceticism some appeal.
James observes a differentiation between spiritual persons who tend to be resilient to melancholy regardless of their life circumstance and reflection upon death. Depression stated as an extreme result of pessimism is a pathologic melancholy which evil’s existence a “healthy-minded enthusiast” succeeds in ignoring. Furthermore, the victim of “the most atrocious cruelties of outward fortune,” if of healthy mind is seldom susceptible (James, The Varieties of Religious Experience, 2012).
Adopting Faith
Pragmatism gives spirituality flexibility in approaches to healthcare; in practice, ones’ circumstances may nurture faith. A small study group sampling comprised of both theist scholars and atheists was interviewed about the likelihood of patients adopting faith when confronted with a healthcare crisis. The group unanimously discredited the possibility, including the persons of faith, on the basis that considering faith under those circumstances would be insincere (Courtney, 2018). All participants were themselves healthy at the time of the interview, and this caveat may be causal for the lack of their consideration of piety in this context (Miller, 2003).
History reveals many notable conversions to the contrary; not confined to the Gospel of Luke where the good thief converts while crucified beside Jesus.
Among notable figures in history, French mathematician Blaise Pascal (Lataste, 1911) and author Oscar Wilde (McCracken, 2003), expressed demonstrative conversions of faith while facing perceived crisis. Twentieth century mathematician John von Neumann, inventor of “game theory,” also had a transformational revelation. To his colleagues’ surprise, for they knew him to be a lifelong agnostic, he turned to Catholicism when diagnosed with cancer (Dransfield, 2003). Von Neumann reportedly divulged: "There probably has to be a God. Many things are easier to explain if there is than if there isn’t." To his visiting Catholic Priest, he imparted “So long as there is the possibility of eternal damnation for nonbelievers it is much more logical to be a believer in the end” (Von Neumann, 2004) i.e., Pascal’s Wager.
Foreboding death, influencing introspection of life’s meaning, purpose, and transience has been professed to be the greatest threat to atheism (Lucchetti); inspiring the aphorism “There are no atheists in foxholes” (Clear, 1942). Likewise, research shows that atheism is rarely conspicuous among patients in hospital units being treated for life threatening diseases including but not limited to coronary crisis and cancer (Pargament, 2002). As a companion to the ‘atheist in foxholes’ reference, Pastor Michael E. Cavanagh offers through experience, “There are no atheists in oncology and bone-marrow transplant units” (Cavanagh, 1994). A related study,
S.R. Cohen et al., questioned the perception of quality of life to both healthy individuals and oncology patients. Their inquiry posed four dimensions to the quality of life: Physical, psychological, social, and existential well-being. While the healthy people reasoned all four dimensions of having equal impact, the oncology patients, likely suffering debilitating physical pain, rather than attesting to the ‘physical’ dimension, favored subjective well-being across existential domains, such as life’s meaning, life’s purpose, and their satisfaction in life, including religious beliefs regarding suffering and death (Cohen, 1996). Cohen’s survey suggests that spiritual considerations are of greater importance than other issues when life is threatened (Lucchetti, 2019). Faith in God provides patients with hope, an idea that is commonly referred to in cancer care but that is not easily quantified (Silvestri, 2003).
Gathering quantifiable data in psychology has been much more auspicious. Not only is the evidence of improved mental health readily available, but the measurable health benefits with improved lifestyle habits associated with fellowship and spiritual engagement are increasingly apparent, i.e., the relationship between spirituality and health is causal (Nelson, 2009). Duke University’s Center for Spirituality, Theology, and Health focuses on nurturing scholarly research regarding the intersection of religion and health. Current and past research publications and monthly newsletters are available at https://spiritualityandhealth.duke.edu/. Varied topics are presented, and all invited to monthly online meetings.
Living in the tail end of the Romanticism era, James’ phraseology includes optimism, the supernatural, and imagination: “The only thing that FAITH unequivocally testifies to… is that we can experience union with SOMETHING larger than ourselves and in that union find our greatest PEACE” (James, The Varieties of Religious Experience, 2012).
Dichotomy & Paradox
Research has demonstrated a “salutary” impact of religious belief and practice on patient well-being (Villani, 2019); therefore, it is crucial that spirituality and faith not be treated as quack medicine (Astrow, 2001). Yet there is a dichotomy between physicians’ values and their patients’. Poignantly, the specialties practiced which tend to treat patients with higher severity diseases are represented by physicians trending further towards secularization. The *Journal of Clinical Oncology* published a survey of 257 medical oncologists attending the annual meeting of the American Society of Clinical Oncology. With a questionnaire prioritizing seven possible aspects of healthcare, the 257 oncologists ranked faith in God as ‘least’ important, whereas the 100 cancer patients and family members surveyed ranked faith in God second ‘most’ important (Jawaid, 2014). Caregivers surveyed coincided with the patients choosing faith as second, more importantly than the ability of treatment to cure the disease. All groups agreed that the most important impact on outcome was the Oncologists’ knowledge and recommendations. Thus, in the study, most of the factor rankings coincided apart from faith in God. Caregivers’ rankings mimicked those of the patients’ sentiments.
In consideration of the dichotomy regarding medical specialties mentioned above, a survey of family physicians and patients showed a reasonable parallel of high religious orientation, as compared to a survey of psychiatrists of which the majority were admittedly secular (Maugans, 1991). It is curious to posit why physicians and specifically the field and scope of specialty influence their participation in faith: The degree and realm of scientific reasoning may not facilitate metaphysical considerations (Silvestri, 2003). Psychologists much like the Oncologists in the study trend towards secularization (American Psychological Association, 1975), whereas a national survey of family physicians found that their religious practices mirrored those of the general-public (Daaleman, 1999).
**Conclusion**
Patients and caregivers agree on the factors that are important in deciding treatment but differ substantially from doctors. For some, faith ranks very high as an important factor in medical decision making, more so than even the efficacy of treatment. If faith influences how some patients decide treatment, and physicians do not account for it, there is a disconnect; the decision-making process may be distressing and regrettable to all involved.
Numerous studies claim to document a better health outcome in patients with a strong religious faith. Most of these studies face vigorous debate, lacking empirical data and having questionable scientific methodology. The metaphysical nature of faith and healing does not afford the luxury of the mathematical theory that theoretical physics relies upon.
Whether physicians should even address the issue of religion with patients is also debatable, although increased participation in medical schools is a trend along with more offerings of medical ethics (Silvestri, 2003). If physicians find it difficult to find “common ground” with patients, at the very least, its physicians should not discredit the strongly held beliefs that patients may have. Without
appearing patronizing, acknowledgment, and respect by physicians of a patient’s personal beliefs will likely lead to higher satisfaction with the decision-making process for all involved (Silvestri, 2003).
James finds pragmatism suitable for every condition confronted in life. His referral to Pascal’s Wager during his lecture making a convincing argument for justification of faith, *The Will to Believe*, he does not apologize for the perceived insincerity of betting on God’s existence as a pragmatic gamble for God’s blessing (James, *The Will to Believe*, 1896). For practical life, *chance* of salvation is enough. With the following quote, pessimism and optimism are again at odds, resignation versus hope. Maybe faith ranks high as the pious relinquish their spirit for salvation:
*No fact in human nature is more characteristic than its willingness to live on a chance. The existence of the *chance* makes the difference... between a life of which the keynote is resignation and a life of which the keynote is hope.* (James, *The Varieties of Religious Experience*, 2012)
Whereas faith throughout this paper is confidence in a belief not necessarily based on proof, hope is an optimistic dynamic based on desired expectation. Faith addresses the present; hope speaks of the future.
**Solutions/Recommendations**
Most data for studies cited in this report which recognize the dichotomy between patients’ spirituality and physicians’ lack thereof, was observed in the 1990’s and early years of the 2000’s. Since highlighted, although slowly integrated, progress to close the spirituality divide is apparent through efforts of increased medical ethics curriculum in medical schools and the business model for healthcare facilities. Whether efforts are made to fulfill holistic mission, vision, and value statements are sincerely altruistic or forced upon healthcare institutions through patient satisfaction and reimbursement, etc… is not covered in this report, but could be the source of further studies.
The Manner in which believers experience reality, as well as the way they respond to it, is dependent on a religious narrative. Religious belief can function as the *foundation* of an institution’s commitment to the relief of suffering, which is obviously seen in faith-based healthcare facilities. It can be the source of its sensitivity as well as the justification for its respect of the patient’s worth and dignity (Drane, 1994). Several secular healthcare organizations have abandoned mission statements with virtues of compassion and charity to expedite financial objectives (Bart, 2002). The mission, vision, and value statements can indicate faith-based virtues but must also present inclusive (*pluralistic*) rhetoric to invite secular patients and the variety of theistic practices (Courtney, 2018).
The spiritual dichotomy in healthcare covered in this report and the facility for correction likely has more relevance in a *pluralistic* society, as is the United States. It is necessary and possible for health care professionals to address the spiritual concerns of patients in a respectful manner without needing to sacrifice any of the obvious gains of scientific medicine (Astrow, 2001).
In addition to the oncology patients referenced in this paper’s Silvestri study, it is a logical expectation to find patients with similar faith involvement among patients receiving palliative care; many of whom may be oncology patients. It seems advisable for palliative care services to directly ask patients and their caregivers whether they are interested in spiritual support. *Pastoral care* is appropriate: Although some secular persons may shun the idea of pastoral intervention for discomfort from religious interaction, the phrase simply comes from the shepherd protecting his flock. In all cultures and traditions, pastoral care is a timeless model inclusive of *non-religious* and *religious communities*. By directly asking at admission or another suitable time whether pastoral care is sought, we can avoid unnecessary intrusion and focus time on those who would benefit and appreciate this service (O’Callaghan, 2019).
Referring to the Silvestri data again, addressing the physician versus spirituality dynamic will present a challenge. Healthcare facilities can nurture a culture among caregivers through policies, practice, and education. If Silvestri’s data can be expected to duplicate in numerous and varied caregiving environments; and the caregivers had similar sentiments as their patients, then the disconnect is burdened by the physicians. Physicians need to be comfortable discussing spiritual concerns with their patients; carefully, respectfully, and professionally. They must recognize when to refer patients to others for spiritual support. From *Harper Lee’s* 1961 Pulitzer Prize winning novel, *To Kill a Mockingbird*: Atticus gives his daughter Scout a pivotal piece of moral advice that influences her development throughout the story: “*You never really understand a person until you consider things from his point of view . . . until you climb into his skin and walk around in it*” (Lee, 1960). Perhaps for physicians to respect a person’s spirituality they must first climb into their skin and walk around in it; physicians may need to nurture their own spiritual lives (Astrow, 2001).
References
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Mentalities and the Search for Total History in the Works of Annalistes, Foucalt, and Microhistory
By Jason U. Rose
Abstract: In this brief essay, the links between the Annales, the works of Michael Foucault, and microhistory are analyzed through the theoretical lens of histoire des mentalités (mentalités). Common threads that link these approaches include the willingness of using outside fields of analysis as well as the willingness to work with vagueness in search of those who Foucault calls, “lost people.” Relatedly, each of these groups and individuals are willing to analyze all aspects of the historical record to fully understand the minds, cultures, and histories of past people. The key to recognizing the relationship of these approaches involve knowing and acknowledging their differences while trying to understand them in their own words. Furthermore, understanding the nuisances of each group as well as learning how to utilize them “cohesively is a positive step toward a total history of humankind.”
“A remarkable amount of the most innovative, the most memorable and most significant historical writing of the twentieth century was produced in France.”
- Peter Burke
Historians, by nature, need to create periods, or ways to organize time so that events and people can be analyzed in search of patterns that demonstrate change over time. This process is called periodization and it has been done since historians have been telling true stories. For nearly a century, followers of the *Annales school* have attempted to measure history with unique calculations, considering lengthy spans of time as necessary for achieving *histoire total*, the concept of creating a total history of humankind.\(^2\) Total history has been described as the *Annales* attempt to “incorporate the methods of all the other social sciences in one great project of synthesis.” Therefore, making history “the queen of the social sciences by virtue of its ability to assimilate everyone else’s methods and topics.”\(^3\) According to the *Annales*, a holistic study of history can only be achieved by unfolding a society or a region layer by layer over a long span of time. This would be done by studying historical documents, utilizing statistical analysis, and borrowing techniques from other disciplines.\(^4\) This paper will briefly explain the origins of the *Annales* as a theoretical school of thought. Then the paper will go into a deeper analysis of their desire to create a total history through the *histoire des mentalités* (*mentalités*) and how it has permeated modern historical analysis via two unrelated channels: the works of Michael Foucault and microhistory.
**Origins of the *Annalistes***
The history of the *Annales* started in 1929 with the journal “*Annales d’histoire économique et sociale*.”\(^5\) Founded by historians Marc Bloch and Lucien Febvre, the idea germinated at the University of Strasbourg when they shared the hallways with like-minded academics from other disciplines. The journal was
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\(^1\) Peter Burke, *The French Historical Revolution: The Annales School 1929-2014* (Stanford, CA: Stanford University Press, 2015), 1.
\(^2\) Robert Forster, “Achievements of the Annales School,” *The Journal of Economic History* (1978): 6-7, 59; Michael Harsgor, “Total History: The Annales School,” *Journal of Contemporary History* (1978): 3, 6-7.
\(^3\) Joyce Appleby, Lynn Hunt, and Margaret Jacob, *Telling the Truth about History* (W. W. Norton & Company 1994), 82.
\(^4\) Peter Burke, *The French Historical Revolution*, 13, 18; Anne Green and Kathleen Troup, *The Houses of History* (New York: New York University Press, 1999), 91; Harsgor, 8; Martha Howell and Walter Prevenier. *From Reliable Sources: An Introduction to Historical Methods* (Ithaca: Cornell University Press, 2001), 110-111.
\(^5\) Ernst Breisach, *Historiography: Ancient, Medieval, & Modern* (Chicago: University of Chicago, 1983), 371; Burke, *The French Historical Revolution*, 4, 12; Howell and Prevenier, 110-111.
Origins of the *Annalistes*
The history of the *Annales* started in 1929 with the journal “Annales d’histoire économique et sociale.”\(^5\) Founded by historians Marc Bloch and Lucien Febvre, the idea germinated at the University of Strasbourg when they shared the hallways with like-minded academics from other disciplines. The journal was interdisciplinary in nature, publishing articles from history, economics, geography, and ethnology. This foundation helped solidify the interdisciplinary nature of the *Annales* and eventually other social sciences.\(^6\) Additionally, the journal encouraged scholars to review or submit research papers in fields outside their expertise, as long as it was broadly historical.\(^7\) This further cemented the legacy of the *Annales* and facilitated the incorporation of multiple disciplines and subfields into their historical analysis.
The second generation of the *Annales* was marked and, in many ways, dominated by Fernand Braudel’s *The Mediterranean and the Mediterranean World in the Age of Philip II*. Braudel fashioned a broad analysis of the geographical, social, and political factors of the Mediterranean, successfully creating a logical and consistent tapestry of historic inquiry that used other fields, which epitomized the *Annales* methodology.\(^8\) In *The Mediterranean*, Braudel argued that there were three main divisions of time: geographic time, social time, and individual time. Geographic time refers to the spatial relationship between humans and their environment, social time delineates historical events within cultures, and individual time is unique to individual people.\(^9\) It should be noted that each of these times run at different speeds. Also known as the *longue durée* (long duration), geographic time is considered the quintessential reference for time within the *Annales*.\(^10\) Braudel’s broad approach to history was revolutionary; studies which started with geographical analysis, then expanded to culture, and then finally examined political and individual realities were almost unheard of in the historical profession of the day.\(^11\) The establishment of time as a part of the discipline was another facet that the *Annales* employed to integrate the social sciences into historical inquiry.
While studying the *longue durée*, Braudel stressed the historical importance of slow-changing geographic factors. This is most clearly seen when he discusses the relationship between geography and human endeavors. Focusing on the *longue durée* allowed the *Annalistes* to integrate statistical analysis within their
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\(^6\) Harsgor, 8.
\(^7\) Burke, *The French Historical Revolution*, 4.
\(^8\) Breisach, 376; Burke, *The French Historical Revolution*, 53; Green and Troup, 89-90; Howell and Prevenier, 110-111.
\(^9\) Ludmilla Jordanova, *History in Practice* (New York: Oxford University Press. 2000), 39; Breisach, 375; Burke, *The French Historical Revolution*, 39; Harsgor, 2; Green and Troup, 91.
\(^10\) Burke, *The French Historical Revolution*, 17-18; Forster, 63; Howell and Prevenier, 110; Jordanova, 39; Jacques Le Goff and Pierre Nora, *Constructing the Past: Essays in Historical Methodology* (Cambridge: Cambridge University Press. 1974), 4.
\(^11\) Forster, 63-64; Howell and Prevenier, 112-113.
historical examinations, in an attempt to fully describe the geographical, political, economic, social, and cultural components of the past.\textsuperscript{12} Proponents of the \textit{longue durée} note that studying the past in the broadest possible time frame reveals patterns, trends, or \textit{mentalités} that may not otherwise be recognized. This could be viewed as a way to measure the true depth and scale of change over time, although this approach of fashioning a total history could become problematic or unwieldy if appropriate chronological boundaries are not established. Both the \textit{longue durée} and its interdisciplinary approach as epitomized by Braudel was an attempt to remove strict adherence to political or “great men” approaches to history. It also echoed the next move within the \textit{Annales}, one that focuses on the \textit{histoire des mentalités} to create a total history.
\textbf{\textit{Mentalités}}
As previously mentioned, \textit{Annalistes} incorporated outside fields to strengthen their historical analysis, most notably early on with the use of anthropology, geography, and sociology. To bolster their ability to create a total history, later \textit{Annalistes} employed psychology to help understand the past. In other words, they advocated incorporating psychological considerations, alongside cultural and social factors, when attempting to fully reconstruct and analyze the past. The \textit{histoire des mentalités} (\textit{mentalités}) was around since the beginning of the \textit{Annales}, especially with Bloch’s work on the royal touch, but it really gained prominence in the latter years of Braudel’s academic career; the so-called third movement within the \textit{Annales}. First, however, a definition of \textit{mentalités} is vital to understand this concept.
A working definition of \textit{mentalités} is necessary to see how it fits in within the construction of total history and the legacy of the \textit{Annales}. According to \textit{Annales} historian Jacques Le Goff, “the primary attraction of the \textit{histoire des mentalités} lies in its vagueness: it can be used to refer to the left-overs, the indefinable residue of historical analysis.”\textsuperscript{13} Le Goff uses the term “vagueness” discipline was another facet that the \textit{Annales} employed to integrate the social sciences into historical inquiry.
While studying the \textit{longue durée}, Braudel stressed the historical importance of slow-changing geographic factors. This is most clearly seen when he discusses the relationship between geography and human endeavors. Focusing on the \textit{longue durée} allowed the \textit{Annalistes} to integrate statistical analysis within intentionally as it allows historians room to maneuver in an effort to analyze the past with approaches that have not been pursued before the use of \textit{mentalités}. Le Goff continues:
\begin{footnotesize}
\textsuperscript{12} Forster, 70; Green and Troup, 91; Harsgor, 6; Howell and Prevenier, 110.
\textsuperscript{13} Jacques Le Goff, “Mentalités: A History of Ambiguities,” in \textit{Constructing the Past: Essays in Historical Methodology}, Jacques Le Goff and Pierre Nora ed. (Cambridge: Cambridge University Press, 1985), 166.
\end{footnotesize}
The *histoire des mentalités* operates at the level of the everyday automatisms of behavior. Its object is that which escapes historical individuals because it reveals the impersonal content of their thought: that which is common to Caesar and his most junior legionary, Saint Louis and the peasant on his lands, Christopher Columbus and any one of his sailors. The *histoire des mentalités* is to the history of ideas as the history of material culture is to economic history.\(^{14}\)
As can be seen from Le Goff, the uncertainties and ambiguities that are present in the concept of *mentalités* are what makes it useful for a historian to study parts of the past that were excluded from more traditional historical accounts.
Although Le Goff’s explanation of *mentalités* is insightful, it is not a workable definition for analyzing its use in producing total histories. Roger Chartier gives a more concrete definition: *mentalités* “is that of daily life and habits; it is what escapes the individual subjects of history because it reveals the impersonal content of their thoughts.”\(^{15}\) According to Peter Burke, the history of *mentalities* fills “the conceptual space between the history of ideas and social history, in order to avoid having to choose between an intellectual history with the society left out and a social history with the thought left out.”\(^{16}\) But he also cautions that the key to *mentalities* is to look at the people of the past through their eyes. He further warns historians to be careful not to “overestimate the degree of intellectual consensus” and that the belief must be one which is shared “with a number of contemporaries.”\(^{17}\) Therefore, in this paper, *mentalités* will be defined as something about a culture or a part of a culture that influences the thoughts and behaviors of its people. It allows historians to analyze past moments as a microcosm of the larger society. At least in theory, this allows the historian to produce an analysis of the past that maintains the agency of the past subject. This definition does have its problems. This is similar to the common historical conundrum: are the people of the past more similar or dissimilar to people of the present; does the building of a historical example of *mentalités*, especially one based on microhistory, reduce the complexities of the society as a whole to one person or one town? Essentially, is there a unitary thought pattern that can be used for historical analysis? In what ways do these studies, and the subjects thought patterns represent larger groups?\(^{18}\)
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\(^{14}\) Ibid., 169.
\(^{15}\) Roger Chartier, “Intellectual History or Sociocultural History? The French Trajectories,” in *Modern European Intellectual History: Reappraisals and New Perspectives*, ed. Dominick LaCapra and Steven L. Kaplan (Ithaca: Cornell University Press, 1982), 22.
\(^{16}\) Peter Burke, “Strengths and Weaknesses in the History of Mentalities,” in *Varieties of Cultural History* (Cornell University Press, 1997), 165.
\(^{17}\) Ibid., 170-171.
\(^{18}\) Burke, *The French Historical Revolution*, 96.
The earliest *Annales* to write about *mentalités* is Marc Bloch. In *The Royal Touch: Monarchy and Miracles in France and England*, Bloch analyzes scrofula, a disease of the lymph nodes, and the belief that monarchs could heal it by touch due to the divine rights of kings. While Bloch details the events and incidents regarding the royal touch, he digs deeper and argues that the common citizens who went to the king most likely did not believe that they would be healed. Nonetheless, they sought the royal touch, and they did so for well over a century. The study touches on rationalization and cognitive dissonance and attempts to see how people dealt with or ignored it during this time.
Another example of a similar phenomenon is Emmanuel Le Roy Ladurie's *Montaillou: The Promised Land of Error and Cathars and Catholics in a French Village*, a key work in the study of *mentalités*. In this work, Le Roy Ladurie explores Montaillou, a small mountain village in Southern France that was largely made up of Cathars, a sect deemed heretical by the Roman Catholic Church. The evidence used by Le Roy Ladurie comes primarily from the Fournier Register, which was a set of records from the Inquisition by Jacques Fournier (later Pope Benedict XII) who investigated Catharism in the region. The book, squarely fitting within the *Annales* tradition by describing the geography of the area before exploring the lives and beliefs of a handful of characters in the village: brothers Pierre and Bernard Clergue, poor but talented shepherd Pierre Maury, and countess Béatrice de Planisoles. This work, much like Bloch's, contains a set of main protagonists that suffered from cognitive dissonance as well. Pierre Clergue was a serial adulterer and a Catholic priest, while also a Cathar. His brother was the main magistrate, and consequently, the two were key power brokers in the area and were able to help keep the Inquisition away from Montaillou for several years. Béatrice de Planisoles was also a serial adulterer, including a dalliance with Pierre that resulted in a child. These interactions all took place while they were Cathars, who believed that intercourse was disruptive and procreation increased suffering.\(^{19}\) This again demonstrates the *mentalités*, while showing rationalization and cognitive dissonance of the town's citizens.
It should be noted that the study of *mentalités* does more than just show patterns of inconsistent beliefs within communities, although that is a great benefit of it as a theoretical approach.\(^{20}\) Another excellent example of the *histoire des mentalités* during the height of its popularity is Jacques Le Goff's *Time, Work, and Culture in the Middle Ages*. In this book, Le Goff uses both textual and material evidence to demonstrate the controversy surrounding two conceptions of time during the Middle Ages. The dispute is noted and crouched in the following language:
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\(^{18}\) Burke, *The French Historical Revolution*, 96.
\(^{19}\) Emmanuel Le Roy Ladurie, *Montaillou: The Promised Land of Error*, trans. Barbara Bray (Vintage Books, 1979), 167-169, 194, 238-242.
\(^{20}\) And one that could be used to help understand this phenomenon in the present as well. This approach could be a more effective means of understanding people working against their own best interests such as the elections of Thatcher and Reagan as well as the worldwide populism revival of the last five years.
Question: is a merchant entitled, in a given type of business transaction, to demand a greater payment from one who cannot settle his account immediately than from one who can? The answer argued for is no, because in doing so he would be selling time and would be committing usury by selling what does not belong to him.\textsuperscript{21}
So, what happened? According to Le Goff, there was a change in understanding of time during the Middle Ages, and how it can be quantified and commodified, which emerged from differing understandings of time between merchants and the church.\textsuperscript{22} One valued time as the ability to gain or maintain profit, while the other believed that time is immutable and cannot be sold as it belongs solely to God.
The new understanding of time was not developed by an individual, states Le Goff, or even a group of individuals. It was formulated by people “in the West between the twelfth and fifteenth centuries who were in possession of sufficient cultural and mental equipment to reflect on professional problems and their social, moral and religious consequences.”\textsuperscript{23} Using a wide variety of primary sources, including commercial documents and treatises from theologians, Le Goff builds a solid case that there was a shift in the \textit{mentalité} of the people regarding time and not some form of top down mandate. Rather unusual for a historical work, Le Goff does not show a turning point, but he unabashedly states that the “essay has no other purpose than to stimulate a more intensive study of a history which raises numerous problems.”\textsuperscript{24} He is seeking to show that there are explanations in both \textit{mentalités} regarding time and they can, and should, be explored. Merchants needed a more functional use of time just as the church still operated under a more rigid system based in antiquity. Yet one thing is unequivocally true, the new concept of time was not teleological. This nonteleological approach to other \textit{mentalités} is also echoed in the works of Michel Foucault.
\textbf{Foucault}
French theorist Michel Foucault may be the most influential, thought producing, and provocative intellectual in the latter half of the twentieth century. Additionally, his ties to the \textit{Annales} School is also complicated. The first lines in \textit{The Archaeology of Knowledge} clearly discuss the role of the \textit{Annales} and seemingly give them praise for their recent developments. Foucault says,
For many years now historians have preferred to turn their attention to long periods, as if, beneath the shifts and changes of political events, they were trying to reveal the stable, almost indestructible system of checks and balances, the irreversible processes, the constant readjustments, the underlying tendencies that gather force, and are then suddenly reversed after centuries of continuity, the
\textsuperscript{21} Jacques Le Goff, \textit{Time, Work & Culture in the Middle Ages}, trans. Arthur Goldhammer (Chicago: University of Chicago, 1980), 29.
\textsuperscript{22} Ibid., 40.
\textsuperscript{23} Ibid., 29-30.
\textsuperscript{24} Ibid., 41.
movements of accumulation and slow saturation, the great silent, motionless bases that traditional history has covered with a thick layer of events.\textsuperscript{25}
Later in the introduction, he mentions several people who were influential to him and his work. This included Georges Canguilhem, his mentor, and someone who had longstanding ties with the \textit{Annales} at the University of Strasbourg during the Second World War. Foucault mentions that Canguilhem should be praised for “the distinction…between the microscopic and macroscopic scales of the history of the sciences” and consequently “a different history is being written.”\textsuperscript{26} This has ties to the \textit{Annales}, and the ties run deeper than a pedigree with ties to the \textit{Annalistes}.\textsuperscript{27}
Another telling example of Michel Foucault as a historian that shows how his methodology relates to the \textit{Annalistes} deals with how he tries to recover “lost people.” By studying lost people, Foucault and others seek ways to recover the past of people who were not in power, much like the \textit{Annales}. He notes in \textit{The Lives of Infamous Men} that:
All those lives destined to pass beneath any discourse and disappear without ever having been told were able to leave traces – brief, incisive, often enigmatic—only at the point of their instantaneousness contact with power. So that is doubtless impossible to ever grasp them again in themselves, as they might have been ‘in a free state’; they can no longer be separated out from the declamations, the tactical biases, the obligatory lies that power games and power relations presuppose.\textsuperscript{28}
Foucault wants to know, just as Le Roy Ladurie regarding Montaillou, why were these people confessing. Foucault seeks to understand how knowledge was created and circulated, which he calls discourse. He is also concerned with how this was used by those in power, the regulation of this discourse. Additionally, Foucault argues that humans literally police themselves, and that too is a part of the discourse: a person confesses to a priest, psychiatrist, or their partner regarding their “deviant” behavior. That person might also console their own conscious by confessing their improprieties to these parties. In return, these regarding their “deviant” behavior. That person might also console their own conscious by confessing their improprieties to these parties. In return, these people judge the other person in some manner, whether conscious or not and this makes the confessor internalize social norms. Eventually, the person starts to regulate their own behavior according to the other peoples’ terms. Foucault
\textsuperscript{25} Michel Foucault, \textit{The Archaeology of Knowledge}; And, \textit{The Discourse on Language}, trans. A.M. Sheridan Smith (New York: Pantheon, 1972), 3.
\textsuperscript{26} Foucault, \textit{The Archaeology of Knowledge}, 4-5.
\textsuperscript{27} Burke, \textit{The French Historical Revolution}, 130.
constantly uses this method throughout his works and details the approach in his book *The Archaeology of Knowledge*.
*The Archaeology of Knowledge* is Foucault’s definitive statement on his methodological approach to history. In it, Foucault details how he does history and how structures are supported via “discourses,” which he defines as all the statements that remains to be discovered by future historians. According to Foucault, using discourses does not remove individuals, but rather multiplies their subject positions allowing for a deeper understanding of the subject and their discourses. Furthermore, the discourse should be explored across several individuals to get an understanding of the conditions or environments where the discourse took place. It is in this particular manner that Foucault can illustrate historical change (and sometimes the lack of change) over time. In the introduction of *The Archeology of Knowledge*, Foucault discusses in detail how he approves of much that the *Annales* School has been doing and outlines how he was expanding their ideas.\(^{29}\) He initially does this by showing how *Annales* historians, the historians of ideas, are focusing on continuity, while Foucault is interested in disruptions.\(^{30}\) Any discussion of Foucault, however, is incomplete without talking about power and that is key to understanding his beliefs regarding continuity.
In spite of the importance of *The Archaeology of Knowledge*, Foucault’s work is probably best known through his discussions on power. While Foucault has better known works on power, his *History of Sexuality* might be the most useful as it shows how he refined his views over time. According to Foucault, power works in the smallest of daily transactions, and therefore it is harder to discern. This power is “produced from one moment to the next, at every point, or rather from one point to another. Power is everywhere; not because it embraces everything, but because it came from everywhere.”\(^{31}\) Power is upheld through what Foucault calls power relations, which maintain society.\(^{32}\) These relations are invisible, and societal attitudes are how cultural norms are maintained. Power relations are sustained through discourses, which, according to Foucault, are clues or aspects of the dominant power relations where they were produced. Therefore, Foucault is not so much interested in the actual words, but how they show the landscape surrounding a subject and how it supports power. “Power is not an institution, and not a structure; neither is it a certain strength we are endowed with: [rather] it is the name that one attributes to a complex strategical situation in a particular society.”\(^{33}\) Power relations are entwined with every other form of
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\(^{28}\) Michel Foucault, “The Lives of Infamous Men,” in *Power: Essential Works of Foucault, 1954-1984*. Vol. 3. James D. Faubion ed., trans. Robert Hurley et al (New York: The New York Press), 6.
\(^{29}\) Gary Gutting, *Foucault: A Very Short Introduction* (Oxford University Press, 2005), 35.
\(^{30}\) Foucault, *The Archaeology of Knowledge*, 3.
\(^{31}\) Michel Foucault, *The History of Sexuality (Vol. I: An Introduction)*, trans. Robert Hurley (New York: Vintage, 1990), 92-93.
\(^{32}\) Ibid., 97-98.
\(^{33}\) Ibid., 93.
relations, including production, kinship, and sexuality and they do not need to maintain itself via coercion, prohibition, repression, or chastisement.\textsuperscript{34} Essentially, what is said (discourse) about sexuality, or any other topic, is a primary site of power in modern societies. According to Foucault, we are literally “policed” by society’s discourse about norms, that what discourses say are licit or illicit behaviors, thoughts, or activities helps shape the behavior of individual persons.\textsuperscript{35} This is why Foucault is interested in evidence such as Catholic confessionals, which are prime examples of how the policing of behaviors became internalized.
Foucault also elaborates on how historians should use research and analysis. Later in \textit{The Archeology of Knowledge}, Foucault details his major opposition to traditional historical methods concerning the use of archives, and what makes up an archive. For Foucault, everything written, as well as material culture, is a part of the discourse and thus, the historical record.\textsuperscript{36} Historians have taken it as their “primary task, not the interpretation of the document, nor the attempt to decide whether it is telling the truth or what is its expressive value, but to work on it from within and to develop it.” Foucault continues, “history now organizes the document, divides it up, distributes it, orders it, arranges it in levels, establishes series, distinguishes between what is relevant and what is not, discovers elements, defines units, describes relations.”\textsuperscript{37} Essentially, historians do not find facts, they fashion them out of more basic elements.
Foucault as a writer is complicated, but so is his relationship with the \textit{Annales}. This can be seen in \textit{The Discourse on Language}, where Foucault declares that “history, as it is practiced today, does not turn its back on events; on the contrary, it is continually enlarging the field of events, constantly discovering new layers.” A statement that harkens back to the \textit{Annalistes} and their interest in finding untold historical subjects. He goes on to say that contemporary historians look for things “more superficial as well as more profound — incessantly isolating new ensembles — events, numerous, dense and interchangeable or rare and decisive…”\textsuperscript{38} In this passage, there are differences from some \textit{Annalistes} like Braudel, but also some continuity with him as well as other \textit{Annalistes} who pushed the boundaries of historical knowledge and fields of study such as the \textit{histoire des mentalités}. Another difference is how Foucault liked to focus on disruptions as opposed to continuities.\textsuperscript{39} The key to remember regarding Foucault and his theoretical ties to the \textit{Annales} is that they were not monolithic, they were multifaceted, and they encouraged and enjoyed innovation.
\textsuperscript{34} Ibid., 25.
\textsuperscript{35} Foucault, \textit{The Archaeology of Knowledge}, 6-7, 135.
\textsuperscript{36} Ibid., 6.
\textsuperscript{37} Foucault, \textit{The Archaeology of Knowledge}, 230.
\textsuperscript{38} Burke, \textit{The French Historical Revolution}, 131.
Microhistory
Related to both *histoire des mentalités* and the works of Michel Foucault is microhistory. It is sometimes called *Alltagsgeschichte* in German or *histoire quotidienne* in French, both meaning everyday life or history. According to historian David Crew, *Alltagsgeschichte* is the historical attempt to understand working-class cultures, the reconstruction of their values and attitudes, and the identification of their needs, wants, and desires.\(^{40}\) By studying the past in this manner, historians can demonstrate “the nuances, ambiguities, and contradictions of popular experience,” the everyday life experiences of lesser studied cities and villages.\(^{41}\) This research trend originally developed in West Germany as a counternarrative to the prevailing social history and its use of structures. Crew further states that “*Alltagsgeschichte* questions accepted understandings of the ‘big structures’ and ‘large processes’...by deconstructing these arid abstractions in the flesh-and-blood human beings whose conflicting ideas and actions produced history.”\(^{42}\) In *Alltagsgeschichte*, the historians seek to show how ordinary people repudiated their assigned roles as passive “‘objects’ of impersonal historical developments and attempted, instead, to become active historical ‘subjects.’”\(^{43}\) Therefore, just as in *mentalités*, the scholars of microhistory seek to maintain the historical dignity and agency of their studies.
One of the most renowned examples of microhistory is Carlo Ginzburg’s *The Cheese and the Worms: The Cosmos of a Sixteenth-Century Miller*. Ginzburg refers to this and his other works as the study of “peripheral phenomena.”\(^{44}\) In *The Cheese and the Worms*, Ginzburg uses inquisitor trial records of a miller, Menocchio, to study this phenomenon. Born Domenico Scandella, Menocchio was far from a common miller of the day as he was literate and owned several books, which was unusual for the time. But these books, as Ginzburg notes, did not seem to influence the thoughts of Menocchio, but served to reinforce his existing beliefs. The most notable example, represented by the title of the book, was when Menocchio was asked about the creation of the world. He states that “in my opinion, all was chaos, that is, earth, air, water, and fire were mixed together; and out of that bulk a mass formed—just as cheese is made out of milk—and worms appeared in it, and these were the angels.”\(^{45}\) He then explains that god was created out of the same material as the angels and became the greatest of the angels and was declared lord over them. Just like other historians in this essay, Ginzburg realizes that trials are treasure troves on *mentalités*. By nature,
---
\(^{40}\) David Crew, “Alltagsgeschichte: A New Social History “From below”?” *Central European History* 22 no. 3/4, *German Histories: Challenges in Theory, Practice, Technique* (September-December, 1989), 395.
\(^{41}\) Crew, 406.
\(^{42}\) Ibid., 396.
\(^{43}\) Ibid., 396.
\(^{44}\) Jonathan Kandell, “Was the World Made Out of Cheese?” *New York Times*, November 17, 1991.
\(^{45}\) Ginzburg, 6.
inquisition trials were designed to extract details from those being questioned, thus leaving a detailed account of the past.
Ginzburg’s book, however, is more than just a work about a poor miller in northeastern Italy. The goal is to understand society through the work of inquisitors, their relationship with the accused Menocchio, and the information that they were able to ascertain from people. This allows Ginzburg to obtain information about the times, class structures, and ordinary people of the past. There are several overlaps between Emmanuel Le Roy Ladurie’s understanding of the people of *Montaillou* and Ginzburg’s understanding of Menocchio. Both raise questions concerning nascent working-class politics and their resistance against exploitation, their use of popular culture, and the ability to glean this information from diverse sources that may not seem reliable. Ginzburg chooses to look at inquisition records, specifically those of Menocchio’s trial. Emmanuel Le Roy Ladurie used similar techniques in *Montaillou*. Michel Foucault also explored comparable documents to a lesser extent. This approach to history has comparable problems to those who study *mentalités* and Ginzburg acknowledges the limitations of the sources he uses as well as the difficulties in building a cogent and accurate microhistory. In his introduction, he praises works by Emmanuel Le Roy Ladurie and notes that there are limitations when trying to unearth “collective mentalities” especially when what historians know of these people are through the lens of the literate upper classes, and how *they* interpreted *them*.\(^{46}\) David Crew notes that these scholars were interested in “everyday survival strategies and symbolic practices” that “comprised an alternative politics of everyday life separate from the official and formal politics…”\(^{47}\) Since these sources can be highly individual, how can we be sure if they are magnifying the particular as a universal?\(^{48}\) Additionally, microhistory allows historians to examine “the apparently ‘irrational’ features of working-class behavior. Moreover, it has demonstrated the importance of symbolic and expressive ‘needs’ as well as material and instrumental ‘interests.’”\(^{49}\) As outlined earlier, the study of seemingly inconsistent or contradictory beliefs is relatively common amongst those who study *mentalités*.
Also noteworthy is how practitioners of microhistory reconstruct the past. According to Ginzburg, “the historian’s task is just the opposite of what most of us were taught to believe…he must destroy our false sense of proximity to people of the past because they came from societies very different from our own. The more we discover about these people’s ‘mental universe,’ the more we should be shocked by the cultural distance that separates us from them.”\(^{50}\) This is clearly in line with the work of Foucault, as well as people like Braudel and Le Goff. Crew argues that for these historians to explore the past of everyday people, they need unconventional primary sources, “photographs… non-verbal forms of popular
---
\(^{46}\) Ginzburg xxiii-xxiv.
\(^{47}\) Crew, 398.
\(^{48}\) Crew 405.
\(^{49}\) Crew, 399.
\(^{50}\) Kandell, “Was the World Made Out of Cheese?” *New York Times*, November 17, 1991.
expression such as the ‘body language’ … [and] oral history.”\textsuperscript{51} This would all be a part of the archeology and discourse that Foucault details in his works. Robert Darnton, author of the microhistory “The Great Cat Massacre,” states that “what is most valuable about” Ginzburg and microhistory in general is the insistence that “common people of the past were not as passive as they are traditionally portrayed… [it] shows them actively engaged in constructing a mental or cultural world of their own that was often at odds with literate society.”\textsuperscript{52} As shown above, there seems to be a clear bridge from the \textit{Annales} movement to Foucault, and to microhistory, with each asking a variation of a fundamental question: “How do you really get into a generation’s mindset and understand them as people?” Additionally, how does these mindsets relate to their larger society as well as our own?
\textbf{Conclusion}
This paper examined the common links between the \textit{Annales}, the works of Michael Foucault, and microhistory through the theoretical lens of \textit{histoire des mentalités (mentalités)}. Just as the \textit{Annalistes} incorporated interdisciplinary research to strengthen their historical analysis, both Foucault and micro-historians used outside fields, notably literature and philosophy, in their attempts to create a total history. Using the definition of \textit{mentalités} outlined in this paper and Jacques Le Goff’s concept of “vagueness,” this demonstrates how historians can analyze the past in ways that manifests and reflects the similarities and differences between the three groups outlined in this paper.\textsuperscript{53} Related to this is how these groups sought to recover “lost people,” whose lives, as noted by Foucault, were “destined to pass beneath any discourse and disappear” except were they had “contact with power.”\textsuperscript{54} The methodological approaches of these groups are also related to the way they use sources as evidence for their historical analysis.
Another example of their complementary nature deals with the sources used by the \textit{Annales}, Foucault, and Ginzburg. Since the records of “lost people” in the distant past are irrevocably tied to authorities, the need to study public documents and trial transcripts is imperative and this is the precise kind of evidence used by the \textit{Annalistes} as well as Ginzburg and Foucault. As previously mentioned, trials are a cornucopia of \textit{mentalities} as inquisition trials were designed to get the entire minutiae of the story, thus leaving a detailed, albeit biased, account of the past. This is the reason why Le Roy Ladurie, Foucault, and Ginzburg were interested in analyzing Catholic confessionals and trials. Those records served as their primary evidence to resolve their various historical questions: the relationship between early working-class politics and their resistance, its connection to power and self-policing, and understanding popular culture. Foucault takes it a step further with his theories of archaeology and genealogy and how they relate to power
\textsuperscript{51} Crew, 396.
\textsuperscript{52} Kandell, “Was the World Made Out of Cheese?” \textit{New York Times}, November 17, 1991.
\textsuperscript{53} Jacques Le Goff, “Mentalités: A History of Ambiguities,” 166.
\textsuperscript{54} Michel Foucault, “The Lives of Infamous Men,” 6.
\textsuperscript{55} Foucault, \textit{The Archaeology of Knowledge}, 6-7, 135.
through the biases of those who wrote about these groups.\textsuperscript{56} Ginzburg even notes that the “fact that a source is not ‘objective’ does not mean that it is useless” and tapping into them as evidence “permits us to construct a fragment of what is usually called ‘the culture of the lower classes’ or even ‘popular culture.’”\textsuperscript{57} Both Ginzburg and the microhistories above seem to fall under the purview of the archeology and discourse that Foucault details in his works.
A less compelling argument, but one that is noteworthy and cogent, is how both Ginzburg and Foucault praise their \textit{Annales} predecessors, even when going against some of their approaches. As noted earlier, Foucault studied with Georges Canguilhem who was at the University of Strasbourg alongside traditional \textit{Annales} historians. Canguilhem even wrote about the history of science which has clear ties to the \textit{Annales} as \textit{Annalistes} continually expanded the field of history.\textsuperscript{58} Ginzburg also praises the works of Emmanuel Le Roy Ladurie and Robert Mandrou even as he admits the limitations of exploring “collective mentalities,” especially when constructing them via sources that originated from the literate upper classes.\textsuperscript{59} Ginzburg’s analysis here is very instructive, as Foucault also demonstrates his differences by focusing on the disruptions in history as opposed to the continuity that seems to preoccupy some of the \textit{Annalistes}.\textsuperscript{60} Furthermore, most \textit{Annales} historians believe that the history of \textit{mentalities} is a single aspect in the creation of total history and that it can be seen in various forms.\textsuperscript{61} As has been shown, the \textit{Annales} Movement praised innovation and is continuing to expand its scope of inquiry. Therefore, even with some differences between the \textit{Annales}, Foucault, and those who write microhistories, the relationship is present, and understanding them in their own words and from this perspective can help the historical field grow. In addition, understanding the nuisances and similarities of each group as well as developing and harnessing them cohesively is a positive step toward a total history of humankind.
\begin{footnotes}
\item[56] Crew, 396.
\item[57] Ginzburg, xvii, xiv.
\item[58] Foucault, \textit{The Archaeology of Knowledge}, 1, 4-5.
\item[59] Ginzburg xxii-xxiv.
\item[60] Burke, \textit{The French Historical Revolution}, 131.
\item[61] Patrick Hutton, “The History of Mentalities: The New Map of Cultural History,” \textit{History and Theory} 20, no. 3 (1981): 239.
\end{footnotes}
Appleby, Joyce, Lynn Hunt, and Margaret Jacob. *Telling the Truth about History*. New York: W. W. Norton & Company, 1994.
Breisach, Ernst. *Historiography: Ancient, Medieval, & Modern*. Chicago: University of Chicago, 1983.
Burke, Peter. “Strengths and Weaknesses in the History of Mentalities” in *Varieties of Cultural History*. Cornell University Press, 1997.
Burke, Peter. *The French Historical Revolution: The Annales School 1929-2014*. Stanford, CA: Stanford University Press, 2015.
Chartier, Roger. “Intellectual History or Sociocultural History? The French Trajectories.” In *Modern European Intellectual History: Reappraisals and New Perspectives*, edited by Dominick LaCapra and Steven L. Kaplan. Ithaca: Cornell University Press, 1982.
Crew, David. “Alltagsgeschichte: A New Social History “From below”?” *Central European History* 22 no. 3/4, *German Histories: Challenges in Theory, Practice, Technique* (September-December, 1989), 394-407.
Forster, Robert. “Achievements of the Annales School.” *The Journal of EconomicHistory* (1978): 58-76.
Foucault, Michel. *The Archaeology of Knowledge; And, The Discourse on Language*. Translated by A.M. Sheridan Smith. New York: Pantheon, 1972.
Foucault, Michel. *The History of Sexuality (Vol. I: An Introduction)*. Translated by Robert Hurley. New York: Vintage, 1990.
Foucault, Michel. “The Lives of Infamous Men” in *Power: Essential Works of Foucault, 1954-1984* vol. 3. Edited by James D. Faubion, Translated by Robert Hurley et al. New York: New York Press.
Green, Anne and Kathleen Troup. *The Houses of History*. New York: New York University Press. 1999.
Gutting, Gary. *Foucault: A Very Short Introduction*, Oxford, United Kingdom: Oxford University Press, 2005.
Harssgor, Michael. “Total History: The Annales School.” *Journal of Contemporary History* (1978): 1-13.
Howell, Martha and Walter Prevenier. *From Reliable Sources: An Introduction to Historical Methods*. Ithaca: Cornell University Press. 2001.
Hutton, Patrick. “The History of Mentalities: The New Map of Cultural History.” *History and Theory* 20, no. 3 (1981): 237–259.
Jordanova, Ludmilla. *History in Practice*. New York: Oxford University Press. 2000.
Kandell, Jonathan “Was the World Made Out of Cheese?” *New York Times*. November 17, 1991.
Le Goff, Jacques. “Mentalités: A History of Ambiguities.” In *Constructing the Past: Essays in Historical Methodology*, edited by Jacques Le Goff and Pierre Nora, 166-180. Cambridge: Cambridge University Press, 1985.
Le Goff, Jacques and Pierre Nora. *Constructing the Past: Essays in Historical Methodology*. Cambridge: Cambridge University Press. 1974.
Le Goff, Jacques. *Time, Work & Culture in the Middle Ages*. Translated by Arthur Goldhammer. Chicago: University of Chicago, 1980.
Le Roy Ladurie, Emmanuel. *Montaillou: The Promised Land of Error*. Translated by Barbara Bray. Vintage Books, 1979.
Systematic Review of Transition Assessments for Young Children with Autism Spectrum Disorder from Early Intervention to Special Education
By Akrum Hasan Eidelsafy
Abstract: Children with autism spectrum disorder (ASD), their families, and teachers face many challenges during the transition from early intervention into public education. One tool that may facilitate and streamline this transition is the use of a comprehensive transition assessment. The purpose of the current study was to conduct a systematic literature review on peer-reviewed kindergarten transition assessments for children with ASD. The systematic literature review yielded six studies that met inclusion criterion. Within those six studies, 20 assessments were analyzed by reviewing the (1) type of assessment, (2) assessment timeline, and (3) use of assessment results. The results of this study showed the majority (80%) of studies used indirect assessment measures. Of the assessments used, 20% utilized the results in an instructional manner, while the remaining were used descriptively. Implications of these findings and directions for future research are discussed.
In 2019, there were 773,595 children aged 3 through 5 in the United States being served under Individuals with Disabilities Education Act (IDEA). This number represented 6.6% of the resident population aged 3 through 5. Of the disability categories included, 10.8% or 83,548 were diagnosed with ASD (autism spectrum disorder) and 6.7% or 51,830 children were receiving early intervention services (U.S. Department of Education, 2019).
The overwhelming prevalence of ASD has resulted in organized efforts to understand how to assess and provide effective early interventions for children with ASD (Lord et al., 2005). Although Special Education is far from reaching a consensus on how to define the parameters of intensive early intervention, there is general agreement that programs that include the use of Applied Behavior Analysis (ABA) methodology, have significant parent and family involvement, and have competent clinicians overseeing programs result in substantive short- and long-term effects on children’s cognition, social-emotional development, school progress, and antisocial behavior (Barnett, 2011; Dawson et al., 2009).
Historically, intensive early intervention has been provided daily in a one-on-one instructional format within the child’s home (Akmanoglu-Uludag & Batu, 2005; Leaf & McEachin, 1999; Lovaas, 1987). Michigan’s Autism Insurance Reform legislation went into effect on October 15, 2012. For-profit, commercial, HMO, and non-profit health insurance companies regulated by the state of Michigan are mandated to provide an autism benefit to its insured members covering services related to the diagnosis and treatment of ASD (The Nonprofit Health Care Corporation Reform Act, 1980). This legislation has increased the number young children receiving early intervention in a clinical setting. Regardless of the location, early intensive intervention is individualized, includes continual progress monitoring, and rapid program modification as the child acquires skills. The parameters of early intervention (i.e., methodology, intensity, individualization, and level of support) differ from what children will receive in a general or special education classroom.
In a classroom, there are higher teacher-to-student ratios and activities, and routines are not individualized to each student. Students are expected to engage in routines and activities (e.g., lunch, recess, gym class, field trips) that may have not been part of instructional programming during early intervention. As a result of these drastic changes from early intervention, students with ASD often demonstrate difficulties following directions in classrooms (Rimm-Kaufman & Pianta, 2000). The environmental arrangement and change in expectations between early intervention and school creates a gap that often exists between evidence-based practices and school practices (Wesley & Buysse, 2003). This is a multi-faceted problem that exists in early intervention, the transition process, and in special and general education. It is possible that early intervention providers (e.g., Board Certified Behavior Analysts, BCBA) are not assessing and teaching skills and behaviors necessary for students to learn in a classroom format. These behaviors include independent toileting, following teacher instructions in a group format, and following classroom expectations (Kemp & Carter, 2000; Janus et al., 2007). If a student is unable to engage in these behaviors independently (or with minimal support) it will greatly interfere with their success in the classroom and ability to access the general education curriculum and peers (Starr et al., 2016).
All these factors make the transition from early intervention to school a stressful process for early interventionist, teachers, and parents.
It is possible that a transition assessment could provide structure during the transition from early intervention into the school setting and reduce stress on stakeholders. The Division on Career Development and Transition of the Council for Exceptional Children defines transition assessment as an ongoing process of collecting data on the individual’s needs, preferences, and interests as they relate to the demands of current and future working, educational, living, and personal and social environments. Assessment data serve as the common thread in the transition process and form the basis for defining goals and services to be included in the Individualized Education Program (Sitlington et al., 1997, pp. 70-71).
In other words, transition assessments play a pivotal role in determining target behaviors that need to be taught, target behaviors that need to be decreased and interventions that will best support the child in the new environment. A transition assessment could be used prior, during, and after the child transitions into kindergarten. Specifically, early intervention providers (e.g., Board Certified Behavior Analysts, early childhood special education teachers) could use the transition assessment to select and teach specific behaviors (e.g., attending and learning in a group setting, eating at a lunch table with peers). During the transition, the assessment could help parents understand and navigate the changes they will encounter from early intervention to school and allow teachers to identify Individual Education Plan (IEP) annual goals and short-term objectives and supports and interventions. An objective assessment that directly measures specific skills would allow early intervention providers and kindergarten staff to proactively identify the resources necessary for the student to be successful in a classroom.
The primary purpose of the current study was to conduct a systematic literature review on peer-reviewed kindergarten transition assessments for young children with autism who are transitioning from early intervention into special or general education. The second purpose of the study was to assess published, peer-reviewed transition assessments and utilize a systematic search and coding protocol. Transition assessments were evaluated to determine if the data obtained in the assessment were used in a dynamic manner (i.e., to aid in the development and modification of student’s instructional targets or select intervention).
**Methods**
**Search Strategy**
A four-step model for locating studies was used in the present investigation. First, researchers identified the search criteria (i.e., keyword descriptors) and databases that would be used to conduct the literature review. Searches were undertaken using a combination of the following descriptors: developmental disabilities AND autism AND school transition. Publications were filtered up to the year 2019 in order to index both recent and former transition practices and were limited to peer-reviewed articles that were published in English.
Second, descriptors were searched in each of the following three databases: PsycINFO, ProQuest Research Library, and Eric ProQuest. Each researcher was assigned a database to review. Each researcher entered the keyword descriptors into the database and a list of articles were populated. Third, a screening was conducted to determine which articles met inclusion criteria. The title and abstract of each article were read to determine if the article met inclusion criteria. An article was excluded if it did not use an assessment or did not include students with disabilities. Fourth, the reference list of the articles that met criteria were manually reviewed to identify additional articles that might meet criteria. Possible articles were then located and included into the search if the article met inclusion criteria. An initial search of PsycINFO, Eric ProQuest and ProQuest Research Library yielded 340, 153, and 56 results respectively for a total of 549 articles. After narrowing the search to peer reviewed articles, 412 articles were included for review.
**Inclusion and Exclusion Criterion**
For an article to be included in the study five inclusion criteria were used: (1) the article was a peer reviewed published journal article, (2) an assessment was administered, (3) the transition was from early intervention to kindergarten, (4) participants included in the study were between the ages 3-5, and (5) the article was written in English. An assessment was defined as any tool used to measure a child’s skill level across a variety of benchmark and/or skill deficit areas for student with disabilities.
Studies were excluded from the review if (1) the study focused on vocational transitions (high school, college or employment transitions), (2) the study utilized parent and teacher perception rather than a measure of student behavior, or (3) neurotypical students were the only participants in the study. Although there is valid information to be extracted from teacher and parent views, the purpose of this study was to determine assessments that are used to assess children’s skills prior, during and after the transition to kindergarten. Studies were excluded if the focus involved employment, culture, adulthood or the article was written in a language other than English as all of these topics falls out of the scope of the study.
**Interobserver Agreement**
Interobserver agreement (IOA) was conducted across three timepoints during the search strategy. After inclusion criteria were applied, a list of articles was generated for each database and reviewed by each individual researcher. For the first round of interobserver agreement, each researcher reviewed 30% of articles of a database not initially assigned to them to determine inclusion criteria. An agreement was defined as two observers concluding that an article should or should not be included. A disagreement was defined when one interobserver concluded an article should be included, while another observer concluded it should be excluded. Interobserver agreement was calculated by dividing the number of agreements by the number of agreements plus disagreements and
multiplying by 100%. Interobserver agreement for the first round of IOA was 98%. Disagreements were reviewed by all three authors in order to determine which articles met inclusion criteria. Following the first round of interobserver agreement, five articles met inclusion criteria.
Next, the references of each of the five articles were manually searched to determine if any additional articles met inclusion criteria. One additional article was identified for a total of six articles. Interobserver agreement was conducted for 30% of the references from the secondary search, resulting in one disagreement (IOA was 94%) which was reviewed by the three authors and a determination was made.
Lastly, IOA was conducted a third time during the coding of articles. This process was completed across two stages. During the first stage, each article was individually reviewed by each of the researchers to identify and code assessments across the following six categories: citation, standardization, direct or indirect, indirect type, assessment timeline and assessment utilization. During the second stage, the research team reviewed all six articles together to determine interrater reliability. Overall IOA was 94% and all disagreements were discussed, and a conclusion determined by carefully reviewing operational definition of each code.
**Results**
The initial search using the keywords listed was completed in three databases: PsyInfo, Eric ProQuest, and ProQuest Research and yielded 340, 153, and 56, articles respectively. The search was refined to include only peer reviewed articles which narrowed the number of articles to 250, 116, and 46 respectively. Of those 412 articles, six articles met inclusion criteria. The search strategy is outlined in figure 1.
The six articles were read and the number and name of all the assessments used in each article was determined. Within the six articles, 31 assessments were administered. There were 12 duplications, yielding 19 assessments for analysis. Of the 19 assessments identified, 95% (n = 18) reported a citation which allowed assessment characteristics to be extracted. Each assessment was categorized and coded against five different domains: type of assessment, whether it was direct or indirect, the type of indirect assessment used, when the assessment was administered and what the program did with the results. These domains were selected based on the overlapping features of each of the assessments analyzed. To better understand how early intensive programs were using assessments, it was necessary to explore when, how, and why assessments were being utilized. Table 1 summarizes the data extracted from each article.
| Article | Assessment | Citation | Standardization | Measurement | Category | Schedule | Utilization |
|------------------------------------------------------------------------|----------------------------------------------------------------------------|---------------------------|-----------------|-------------|----------------|----------|-------------|
| The Transition to Kindergarten: Predicting Socio-Behavioral Outcomes for Children with and Without Disabilities (2017) | Family Experiences and Involvement in Transitions (FEIT) | McIntyre et al. 2007 | 0 | 1 | Questionnaire | 1 and 2 | 2 |
| | Vineland Adaptive Behavior Scales | Sparrow et al. 2005 | 2 | 1 | Interview | 1 | 2 |
| | The Social Skills Improvement System- Parent Form (SSIS-P) | Gresham and Elliott 2008 | 2 | 1 | 0 | 1 | 2 |
| | The Teacher Perceptions on Transitions (TPOT) | Quintero & McIntyre 2011 | 0 | 1 | Questionnaire | 1 and 2 | 2 |
| | The Social Skills Improvement System-Teacher Form (SsIS-T) | Gresham & Elliott 2008 | 2 | 1 | Rating Scale | 1 and 2 | 2 |
| | The Problem Behavior scale of the (SSIS-T) | Gresham & Elliott 2008 | 2 | 1 | 0 | 1 and 2 | 2 |
| | The Student–Teacher Relationship Scale (STRS) | Pianta et al. 2001 | 0 | 1 | Rating Scale | 2 | 2 |
| Application of Ecobehavioral Analysis to the Study of Transitions Across Early Education Settings (1990) | Ecobehavioral System for Complex Assessments of Preschool Environments (ESCAPE) | Carta et al. 1985 | 1 | 2 | N/A | 1 and 2 | 1 |
| | Assessment Code/Checklist for Evaluating Survival Skills (ACCESS) | Atwater et al. 1989 | 1 | 2 | N/A | 1 and 2 | 1 |
| Kindergarten Transition Preparation: A Comparison of Teacher and Parent Practices for Children with Autism and Other Developmental Disabilities (2011) | The Teacher Perceptions on Transitions (TPOT) | Quintero & McIntyre 2011 | 0 | 1 | Questionnaire | 1 | 2 |
| | Family Experiences and Involvement in Transitions (FEIT) | McIntyre et al. 2007 | 0 | 1 | Questionnaire | 1 and 2 | 2 |
| | Ecobehavioral System for Complex Assessments of Preschool Environments (ESCAPE) | Carta et al. 1985 | 1 | 2 | N/A | 1 and 2 | 1 |
| | Assessment Code/Checklist for Evaluating Survival Skills (ACCESS) | Atwater et al. 1989 | 1 | 2 | N/A | 1 and 2 | 1 |
| Template Matching as a Strategy for Assessment of and Intervention for Preschool Students with Disabilities (1995) | The School Survival Skills Rating Scale (SSRS) (Preschool Teacher Version) | Sainato & Lyon, 1989 | 1 | 1 | Checklist | 1 and 2 | 2 |
| | The School Survival Skills Rating Scale (SSRS) (Kindergarten Teacher Version) | Sainato & Lyon, 1989 | 1 | 1 | Checklist | 2 | 2 |
| | Independent Seatwork Activity Intervention Checklist | 0 | 1 | 2 | N/A | 1 | 1 |
| | Procedural Checklist Classroom Survival Skills for Independent Work | Miller, 1990 | 0 | 2 | N/A | 1 | 1 |
### Table 1 (continued)
| Article | Assessment | Citation | Standardization<sup>a</sup> | Measurement<sup>b</sup> | Category | Schedule<sup>c</sup> | Utilization<sup>d</sup> |
|------------------------------------------------------------------------|----------------------------------------------------------------------------|---------------------------|-----------------------------|------------------------|--------------------|-----------------------|-------------------------|
| The Transition to School Adaptation in Young Children With and Without Intellectual Disability (2006) | The Stanford-Binet Vineland Adaptive Behavior Scales Delay of Gratification Task Social Skills Rating System Parent (SSRS-P) Social Skills Rating System Teacher (SSRS-T) Teacher’s Report Form (TRF) The Student–Teacher Relationship Scale (STRS) Family Experiences and Involvement in Transitions (FEIT) | Thorndike et al. 1986 Sparrow et al. 1984 Vaughn et al. 1984 Gresham & Elliott 1990 Gresham & Elliott 1990 Achenbach 1991 Pianta et al. 2001 McIntyre et al. 2007 | 2 2 0 2 2 0 0 0 0 | 2 1 2 1 1 1 1 1 1 | N/A Interview Rating Scale Rating Scale Questionnaire Questionnaire Questionnaire | 1 1 0 0 0 0 1 and 2 1 and 2 | 2 2 2 2 2 2 2 2 2 |
Note. 0 = not reported.
<sup>a</sup>= not standardized (criterion referenced, curriculum-based measure, informal assessment, grade level, developmental, inventories, work samples, task analysis, portfolio assessment, reports IOA on the development of the assessment). >= Standardized (norm referenced). <sup>b</sup> = Indirect (interviews, ratings, verbal report). 2 = Direct (Direct testing, and direct observations). <sup>c</sup> = Pre-transition; 2= Post transition. <sup>d</sup> = Modified instruction based on the data; 2 = descriptive data
### Type of Assessment
#### Standardization
An assessment was classified as standardized if it was norm-referenced. Norm-referenced measures compares a person’s knowledge or skills to the knowledge or skills of the norm group. The composition of the norm group is often a nationally representative sample of several thousand students tested under the same context (e.g., age, grade). An assessment was classified as not standardized if the assessment was criterion-referenced, involved a curriculum-based measure, or used an informal method which was defined as assessing a student’s grade level, developmental diagnosis, work samples, task analysis, portfolio assessment, and/or reported IOA on the development of the assessment.
Figure 2 depicts the results of these findings. Forty-two percent (n = 8) were standardized, 26% percent (n = 5) of the assessments were not standardized, and 32% (n = 6) were not reported or could not be determined.
Direct vs Indirect
Measurement
Each assessment was categorized as a direct or indirect measure. An assessment was scored as a direct measure if a data collector recorded a student’s behavior by being physically present and directly observing the behavior (Cooper, Heron, & Heward, 2007). An assessment was defined as an indirect measure if it involved interviews, rating scores, checklists, and/or verbal reports. Sixty-eight percent ($n = 13$) were indirect measures and $32\%$ ($n = 6$) were direct measures.
Indirect Type
Category
Indirect measures were further analyzed to determine the type of indirect measure used. Figure 3 depicts these findings. Thirty-one percent ($n = 4$) utilized rating scales, $31\%$ ($n = 4$) utilized questionnaires, $15\%$ ($n = 2$) used checklists, $15\%$ ($n = 2$) did not report or could not be determined (e.g., assessment could not be located), and $8\%$ ($n = 1$) conducted interviews.
Assessment Timeline
Schedule
The time point at which each assessment was administered was determined. Each assessment was scored as occurring: (1) pre-transition; (2) post-transition, (3) pre-and-post or (4) not reported. An assessment was scored as pre-transition if the assessment was administered, and data were collected prior to the transition to kindergarten. An assessment was scored as post-transition is the assessment was administered and data was collected following the transition to kindergarten or assessed the level of success in the classroom. An assessment was scored as pre- and-post-transition if the assessment was administered, and data were collected prior to and after the transition to kindergarten. Thirty-seven percent \((n = 7)\) of assessments were administered pre-transition; \(37\%\) \((n = 7)\) were administered pre-and-post transition, \(10\%\) \((n = 2)\) were administered post transition, and \(16\%\) \((n = 3)\) were not reported.
Use of Assessment Results
Utilization.
The manner in which assessment data were used during the transition was determined. Each assessment was scored as (1) instructional or (2) descriptive. An assessment was scored as instructional if the assessments results were used to modify instruction either prior to the transition or once the child was in the new classroom setting. For example, research by LeAger and Shapiro (1995) modified
instruction using Ecobehavioral System for Complex Assessments of Preschool Environments (ESCAPE) and Assessment Code/Checklist for Evaluating Survival Skills (ACCESS). They quantified differences between environments and were able to successfully adjust intervention decisions and modified instruction. Conversely, an assessment was scored as being used in a descriptive manner if assessment data were used in a comparative manner or to describe a student’s transition. For example, Welchons and McIntyre (2015) used the Family Experiences and Involvement in Transition (FEIT) and the Student–Teacher Relationship Scale (STRS), among other assessments, to determine predictors of socio-behavioral kindergarten outcomes. Their analyses demonstrated correlations between parent/teacher-reported child problem behavior in preschool and child social and behavioral outcomes in kindergarten, however, did not use these findings to modify instruction either pre or post the transition. Additionally, McIntyre, Blaker, and Baker (2006) utilized measures such as the Vineland Adaptive Behavior Scales and the Social Skills Rating System Teacher form (SSRS-T) to assess adaptation to school. Their analyses identified higher intelligence quotient (IQ) and adaptive behavior predicted a more positive adaptation to school. However, their findings were not used to inform or modify instruction either prior to or following the transition. In other words, while some articles made substantial claims in predicting student outcomes, very few used it to identify deficits and then subsequently target and teach those deficits. More specifically, seventy-nine percent \((n = 15)\) of assessments used data in a descriptive manner, whereas \(21\%\) percent \((n = 4)\) modified instruction and utilized the results in an instructional manner.
**Discussion**
The purpose of the current review was to determine the number of peer-reviewed transition assessments for young children with ASD who are transitioning from early intervention into special or general education. Of the 411 articles reviewed, six articles met inclusion criteria, which yielded 20 assessments for analysis. Each assessment was analyzed to determine the type of assessment, when the assessment was given, and how assessment data was utilized. Many of the assessments were indirect measures, given prior to the transition to school and were used in a descriptive manner.
These results are noteworthy in that they suggest that assessments used during the transition from early intervention to special or general education are not being used in a dynamic manner to prepare students for the transition to school or after the transition occurs, which contrasts with data-based decision making and best practice (Akers et al., 2015a, 2015b; Division for Early Childhood, 2014). These findings might suggest that early interventionists and educators need a transition assessment to aid in decision making during this transition and might explain why people involved in this process often describe it as challenging and stressful.
Ideally, early interventionists and educators could use a transition assessment to make decisions prior, during and after the student has transitioned.
from early intervention into the school setting. In order to use assessment data in a dynamic manner to aid in selecting learning targets (e.g., early intervention targets and IEP goals and objectives), a combination of direct and indirect measures could be used. It is common practice in both settings to use direct measures which would allow student progress to be monitored objectively.
In the current study, six direct assessments were identified: (1) Ecobehavioral System for Complex Assessments of Preschool Environments (ESCAPE; Le Ager & Shapiro, 1995; Carta et al., 1990), (2) Assessment Code/Checklist for Evaluating Survival Skills (ACCESS; Le Ager & Shapiro, 1995; Carta et al., 1990), (3) Independent Seatwork Activity Intervention Checklist (Le Ager & Shapiro, 1995), (4) Procedural Checklist Classroom Survival Skills for Independent Work (Le Ager & Shapiro, 1995), (5) The Stanford-Binet (Thorndike et al., 1986), and (6) The delay of gratification task (Vaughn et al., 1984). The Stanford-Binet is a traditional intelligence test designed to assess an individual’s intelligence quotient (IQ) which would be inappropriate to use to select instructional targets or inform the level of support needed. The Stanford–Binet Intelligence is a test of general intellectual ability, which is widely used both for clinical and research purposes (Coolican et al., 2008). Although it’s intended to represent a hierarchical structure of intelligence, the test is not generalizable to all populations including students diagnosed on the spectrum. Holdnack and Weiss (2006) discovered an overrepresentation of African American in special education due to the tests inability to incorporate culturally fair and representative test revisions. Additionally, Coolican, Bryson, and Zwaigenbaum (2006) found that using the Stanford-Binet on students with ASD resulted in an inaccurate representation of student aptitude. The article recommended using an abbreviated battery version with the understanding that the abbreviated version could overestimate overall student ability as well.
The delay of gratification task (Vaughn et al., 1984) measures a student’s latency to touch to a preferred item when told a more preferred item is available after a delay. This is a measure of impulse control and a student’s ability to tolerate delayed gratification. It is possible the results of this assessment could inform instructional programming pre or post transition, but it would be difficult to determine exactly what the assessment would be measuring in young children with ASD. For example, if a short latency was observed, it would be difficult to determine if the student’s responding was a function of deficits in language, motivation, or impulse control and additional assessment would be warranted. The Independent Seatwork Activity Intervention Checklist (Le Ager & Shapiro, 1995) measures both student and teacher behavior by measuring the duration of activities, the number of students participating in the activity, the number of instructions given prior to independent work, and the number of group and individual prompts given during independent work. Although this includes a direct measure of student behavior, data collection procedures would need to be slightly modified to include direct measures for individual students. This information could be used to determine how long a student can engage in independent work without prompts. Although all three assessments involve direct
measures of student behavior, they fail to comprehensively measure a broad range of skills that a student needs to be successful in a classroom setting.
The three assessments that were direct and used for instructional planning were the Procedural Checklist Classroom Survival Skills for Independent Work (Le Ager & Shapiro, 1995), Ecobehavioral System for the Complex Assessment of Preschool Environments (ESCAPE; Le Ager & Shapiro, 1995; Carta et al., 1990) and Assessment Code/Checklist for the Evaluation of Survival Skills (ACCESS; Le Ager & Shapiro, 1995; Carta et al., 1990). Two of these assessments incorporate practices of Ecobehavioral Analysis which is an approach to measuring environments that describes the ecology (i.e., topographical features as well as the persons within it) and examines the interactions that occur between the ecology and student behaviors (Carta et al., 1990). The rationale for this type of analysis is that student outcomes are primarily determined by the interactions the student has with the environment and the people in it. Compared with assessments that only measure students’ performance and ability, the Ecobehavioral approach focuses on how the environment fosters or hinders behaviors and learning to take place (Carta et al., 1990).
The Ecobehavioral System for the Complex Assessment of Preschool Environments (ESCAPE) measures several aspects of the classroom ecology, teacher behavior, and student behavior. Data derived from this assessment are typically described in molar or molecular analyses. A molar analysis is the determination of the average percentage of intervals recorded across observation sessions for one particular variable for one child or group of children. While a molecular analysis is the determination of the conditional probability of a specific variable given the occurrence of one or more other variables (Carta et al., 1990). For example, if preschoolers are more actively engaged in fine motor activities than transitions, then practitioners can use that data to find creative ways to increase reinforcement during transitions thus increasing student engagement. By examining what typical days are like for children in various types of school settings, practitioners can better understand why and how students with disabilities especially those diagnosed with ASD, which can inform instruction in both early intervention and the classroom.
The Assessment Code/Checklist for the Evaluation of Survival Skills (ACCESS) was developed to allow an enhanced focus on specific behaviors that are deemed important for success in kindergarten. This assessment focused on group instruction, independent seatwork, and within class transitions. These three domains have been previously identified as critical for successful functioning in kindergarten classrooms by teachers (Carta et al., 1990; Quintero & McIntyre, 2011). Students were directly measured in one of three domain areas during 5-minute observation blocks to assess student’s skill level. When students were found to struggle in independent seatwork, instruction was subsequently modified. Students were taught to self-assess independent seatwork and teachers were taught to reduce prompts to low rates (which is typical of regular kindergarten settings).
The methodological approaches used in both ESCAPE and ACCESS are examples of direct observational systems that can be used to analyze the broad structural differences between early intervention and kindergarten and can be used
to modify instruction pre and post the transition to kindergarten. Based on the available research to date, it appears ESCAPE and ACCESS are not commonly used in peer-reviewed research during the transition from early intervention to school. It may be the case that these are frequently used by early interventionists and educators and not in peer-reviewed research. A possible limitation of ESCAPE and ACCESS is that they require intensive time, collaboration and resources (McIntyre, Eckert, Fiese, et al. 2010; Quintero & McIntyre, 2011; Welchons & McIntyre, 2015; Fontil et al., 2019).
Nevertheless, ESCAPE and ACCESS are direct assessments that provide a theoretical framework for a potentially comprehensive transition assessment. A comprehensive transition to kindergarten assessment could include the following five criteria: (1) objective, (2) direct measures of student behavior, (3) cost-and-time efficient, (4) easily inform instructional planning, and (5) leads to objective instructional decisions making. Given the limited results found in the current study, there are many opportunities for future research. Educators and school personnel are most likely using some form of assessment tool or measure to make educational decisions when children transition from early intervention into the school setting. Future research could survey early interventionists and schools across the county to determine which assessment tools are being used and how the data collected from these tools are used. Once assessment measures are identified, researchers could investigate the validity and reliability of these assessments and determine their usefulness in objective decision making. This type of information would be invaluable in the development of a comprehensive transition assessment.
One major limitation of the current study is that only peer-reviewed articles were included. There are likely several transition assessments that interventionists and schools use to guide instructional programming for young children for ASD. For example, The Verbal Behavior Milestones Assessment and Placement Program (VB-MAPP; Sundberg, 2008) is an assessment that contains 170 measurable learning and language milestones that are sequenced across three developmental levels. Level 1 includes skills that typically developing children demonstrate by 18 mos., level 2 are skills typically observed by 30 mos., and level 3 are skills typically observed by 48 mos. The VB-MAPP comprises three sub-assessment including Milestones, Barriers and a Transition Assessment. The Milestone assessment include direct measures of a student’s language, play, social, imitation, matching-to-sample, and group skills. The Barriers Assessment is a rating scale of 24 common learning and language acquisition barriers faced by children with ASD or other developmental disabilities. The transition assessment is a rating scale of 18 areas that can help identify whether a child is making meaningful progress and has acquired the skills necessary for learning in a less restrictive educational environment (e.g., kindergarten). The VB-MAPP is commonly used in early intervention centers that implement ABA to monitor student progress and often times are required by insurance companies to demonstrate child progress. Although commonly used, Montallana et al. (2019) demonstrated substantial variability in the reliability of the milestones assessment when used by different clinicians on the same student. The low reliability was
likely due to the lack of operational definition of behaviors being measured in the assessment. Currently, it is not clear how reliable the transition assessments are in making instructional decisions and how those data are used by interventionists or schools, if used at all. The VB-MAPP transition assessment is one example of an assessment that exists, and it is likely that schools use similar assessments or develop transition assessments within their own districts to aid in the transition process. Although these assessments undoubtedly help stakeholders make decisions, without being researched or validated it is difficult to determine how these types of assessments effect instructional programming which ultimately effects a student’s success in the classroom.
Future researchers are encouraged to determine what transition assessments are being used across the country and how these data are used in the transition process. This information could be used to develop an objective, direct transition assessment to aid in instructional planning pre-and post-a student’s transition to kindergarten.
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Polluted Waters
By Elizabeth V. Netcher
Abstract: This piece relates to my graduate work at WMU because it represents the darkness that I feel is sometimes encroaching on my “waters.” The water looks very tumultuous and hasn’t quite calmed down, similar to my current journey at WMU.
Full Moon
By Elizabeth V. Netcher
Abstract: This piece relates to my graduate work at WMU because it represents the waxing and waning of my relationship to work. Some days are brighter than others, just like the moon itself.
Acrylic on canvas panel, wood frame
Peace in Pink
By Elizabeth V. Netcher
Abstract: This piece relates to my graduate work at WMU because it symbolizes the struggle for control that I feel, not only in my life, but specifically in academia. The background, created through flow painting, represents my loss of control. The lines represent me intentionally taking back my control.
As I go Along...
By Ivylove M. Cudjoe
I would like to thank all who encouraged me to keep writing no matter what, especially Prof. Justo B. Boleká and my personal muse. Thank you all!
If words were colours...
If words were colours,
My soul would I paint
Upon the massive seas.
My tears would be the solution
And my words, the creation.
The creation of rainbows daily
No more waiting for a rainy day
Because all around, rainbows lay.
If words were colours,
My friends, peacocks and parrots would be;
For I would speak the reddish love
And declare the yellowish joy.
Not forgetting the peaceful blue
And the victorious green!
Together we would sing whitish purity
And feel around us its refreshing beauty.
If words were colours,
In your heart I would plant rose flowers,
To have with you always my cherished colours
And feel the effect of its powers.
A good night's wish
Sometimes at night,
I lie back and dream
Of the wondrous mystery of the night.
I wish I lay on green grass
Facing upwards to the naked skies
Revealing its every design
With excitement in my every being.
I long to feel the cool calm breeze
Wrapping itself around me as blanket
And tickling my adventurous sense.
I long to be one with that night
To share in its mystery,
To feel its full might,
To embrace its glorious light.
I dream of this night
Hoping to one day have its full sight.
When I was a child
When I was a child
The moon was white
It was beautiful in my sight
Everything was bright
So full of light.
When I was a child
I knew nothing of fear
My mind was clear
Dark thoughts were rare
And I had so much time to spare.
When I was a child
Daddy used to take me to school
Woke up early and bathe me like in a pool
There was nothing like shame
It was just not part of my frame.
When I was a child
The world was free
Nothing to set your heart on a spree
Everyone did love
As pure as a dove.
When I was a child
Innocence was a gift
Laughter was a bliss
Joy was never a miss
Smiles and colour, you were blessed.
When I was a child
Fresh was the air
The world was fair
The flowers were in full bloom
There was not a sight of gloom.
When I was a child
Scars of death, pain, grief and sorrow
Were stories I heard on the morrow
Man was gay
No showers left for May.
When I was a child
I never once stopped
To wonder about the end
Reality is now a new friend
All those wonders have come to an end.
Admirador
Pienso
Piensos en muchas cosas
Cómo lo es normal de un ser viviente y pienso también de ti
Cómo es parecida de una amante
Pero tu amante no soy
Tampoco lo quiero ser
Pues ¿Por qué el pensar de ti?
¡Es solo por pura curiosidad!
Quiero saber cómo eres
Cómo ves, vives, ríes y cómo quieres;
El despertar del sol en tu casa
El desayunar, si lo haces
El trabajar como se debe
Y aún el amar, si en ello crees.
Pienso
Piensos mucho en muchas cosas
Piensos en muchas cosas sobre ti
Pero tu amante, no la soy
Tampoco creo que la sea.
Admirer
I think
I think of many things
Which is normal of a human being.
And I think of you
As would do any lover
But I am neither your lover
Nor do I want to be
So why do I think of you?
It’s sheer curiosity!
I want to know how you are
How you perceive, live, laugh and how you like;
The awakening of the sun in your house
Eating breakfast, if you do
Working as it should be
And even love, if you believe in it.
I think
I think a lot about many things
I think of many things about you
But I am not your lover,
Neither do I believe I will be.
Te quiero tocar... (I want to touch you)
I wish I was where you are
To breathe your air
And share your bed.
I wish I could lie by you
To feel the warmth of your skin
And the beating of your heart.
I wish I could see only you
As I wake to a new day
And as I bid farewell to the old...
I wish all these and more...
Issue is, do you?
The rainbow in her face
The clouds of thoughts gathered
And darkened with doubt and fear.
My mind was gloomy, my emotions scattered.
My body ready for a flow of unending tears.
The weather was forecast as I glazed
And observed a ghostly reflection of me;
It feels like a storm today. Just for me.
My mind, spirit and body, soon it all embraced.
The downcast emotions and darkness creeping,
It was starting, the rivers were now flowing.
Culture had taught me to always
Stay strong and be a man!
As I walked these overwhelming ways,
I felt low, but still; I was a man!
They had misunderstood!
For long such misconstrued living,
Had many a good man, the end driven!
The tears fell as I wept.
The rains poured as I slept.
For me, such a gloomy day.
For all, another stormy night.
The knocking drops awakened my eyes,
And absolutely nothing but sadness in sight.
Dreams and reality were both same,
The mind cloudy, the heart heavy,
Surely, sleep was a much better game.
So I rolled into character and thus began the play.
“Randy...
Oh my God!” she rushed to my side.
“Yes b, open your eyes.
Give me your hand and listen hard.
Believe me, I can’t imagine how you feel...” she held me tight.
“I love you...
Very much!”
And there, the rainbow colours lay.
Night was passed,
For it was already day.
The weather now casted;
“Baby, it’s going to be okay!
The worst has passed away.”
The King of hearts
From afar I stood to steal glances of you
And little did I know that is how you stole from me.
I stayed perfectly hidden behind your strong pillar.
As you walked majestically through the garden,
You planted seeds of my longing for you,
Every time you smiled with pure intrigue.
It was the strongest spell ever cast!
So much so it daily kept me coming.
You became the sun I looked to to start my day.
Your beauty became the star light that brightened my sweet dreams.
I kept the hope to come face to face alive,
Although I always stayed perfectly hidden.
You were King and I was forbidden!
It was and will always be a sour wine;
The mixture of you and me.
You have stolen my heart without even knowing.
I would love to have you named King of my heart.
But as I returned the other day
Back home with others perfectly hidden;
I realized you are the King of hearts...
You stole it all and you don't even know!
Knock, knock, knock!
Knock, knock, knock!
Oh! It was him again.
Every day he will knock
waiting for me to open
and he will enter in.
It was annoying because he was always there.
And every turn I made, all I heard was
knock, knock, knock!
Knock, knock, knock!
It woke me up in the morning
and put me to bed early at night.
I was not ready to see him neither speak to him.
He seemed so desperately in love with me
but I was deeply in love with someone else,
And yet still he would
knock, knock, knock!
Knock, knock, knock!
He had been at it for days, weeks, months,
he wouldn't give up on me
but I had given up on love.
I had my heart broken into pieces
and I am sure he was more hopeful.
I wasn't ready so I left him to
knock, knock, knock!
Knock, knock, knock!
It was another day
and I needed someone to talk to.
It had been months of loneliness
and the furniture had become friends.
Now I was desperate for him to enter
but shy and ashamed cause I had left him to
knock, knock, knock!
Knock, knock, knock!
I was glad to hear it once more.
I thought he would have moved on,
but he was at my doorstep again.
I pulled myself from my gloomy state,
took a look around my messy, lonesome house
and opened the door when I heard him
knock, knock, knock!
And ever since he entered in,
my life has completely changed.
With his handsome self, he swept me off my feet.
Wish I had let him enter in earlier
instead of judging him like others,
but I am glad I did it sooner than later.
Now I can hardly wait for the sound of his
knock, knock, knock!
Sin Pedir Permiso
En mi vida
Viviendo como lo sé mejor
Haciendo todo aunque es peor
Sin saber que hacer más
De repente
Llegó el amor.
Cierro mis ojos para no ver
Cubro mis oídos para no oír
Yo, con toda fuerza para esconderme.
Tú, con toda fuerza para encontrarme
Y lo lograste.
Ahora, mi corazón, lo robaste.
Viniste andando hacia mí.
Me capturó con su sonrisa.
La luz de tus ojos brilló
Y desapareció las tinieblas alrededor.
Así tocó el amor mi vida
Sin pedirmelo permiso alguno.
Desde allí en adelante
En tus manos, he estado.
De tu bondad, he disfrutado.
Por tu gracia, he vencido.
Con tu apoyo, he mejorado.
Y el amor nunca me ha dejado.
Without asking permission
In my life
Living how I know best
Doing everything although it’s bad
Without knowing what more to do
All of a sudden
Love arrived.
I close my eyes to not see
I cover my ears to not hear
I, with every strength to hide
You, with all force to find me
And you achieved it.
Now, you have stolen my heart.
You came walking to me.
You captured me with your smile.
The light in your eyes sparked
And the darkness around disappeared.
That’s how love came into my life
Without asking any permission.
From then onwards
In your hands, I have stayed.
Of your goodness, I have delighted.
By your grace, I have conquered.
With your help, I have improved.
And love has never let me go.
Us
When I feel the wind
wrap itself me around
I swear I can find
Those hands gently me hold
The clouds move along
And here I've sat for long
Finding new shapes to form
God! I know I saw your form
The birds chirp in the air
Daily as I wake and stir
Sweet music fills my ears
"I love you" is all I hear
It struck me quite fast
Those words were bound to last
Just then I knew the fact
Our love will never be past
Tingles
The smell of your perfume excites my inner being
And your gaze touches my soul.
The warmth of your touch tickles my skin
And I sigh every time they become firmer.
I groan desires I didn't know when you hold me
And I lose myself as you hug me.
I feel your heart beat.
I feel my pulse race.
I think you read between the lines.
I think I read your mind.
I throb. I ache. I yearn. I long.
Even better, I know you do same too!
Tus manos y yo
La lengua de tus manos
Despierta mis entrañas,
Aún entre tus brazos,
Me dices cómo me extrañas.
La dulzura de tu corazón
Carga cada palabra con la que me alimentas.
¡Ay amor de mi vida!
Nunca he conocido éste,
Él que comunica por medio de dedos
Y lo interpreta mi piel a mis sentidos.
Llévame más profundo,
En este viaje tan lindo.
Nunca me escondas el secreto de tus uñas,
Las herramientas necesarias para mi pintor,
Amor que dibuja mis emociones
Y conduce mis intenciones.
¡Qué locura de tanto alivio!
¡Qué complicada sencillez!
¡Qué pasión es ésta, que tienes haciamí!
Háblame siempre con la voz poética de tus manos.
Háblame así, siempre,
Your hands and I
The tongue of your hands
Awakens my emotions,
Still in your arms,
You say you miss me.
The sweetness of your heart
Carries each word with which you feed me.
Ay love of my life!
I have never known this,
He who speaks with his fingers
And my skin makes my senses comprehend it.
Take me deeper,
On this beautiful journey.
Never hide the secret of your hands from me,
The necessary tools for my painter,
Love that draws my emotions
And drives my intentions.
What crazy relief!
What complicated simplicity!
What passion is this that you have for me!
Speak to me always with the poetic voice of your hands.
Speak to me like this, always,
Decora mi cuerpo con tus dedos,
Alterá mi mente con tus manos,
Háblame así, por favor.
Decorate my body with your fingers,
Change my mind with your hands,
Speak to me like this, please.
Harnessing love
I choose a valentine
And I choose you.
I only long for you to be mine,
To let me drink more of your good wine;
Oh that wine, oh my, that sweet wine!
Brewed from your juicy grapevine,
Buried in the darkest space of your well divine.
Springs of love shoot out that fertile ground,
And quench my thirsty throb within.
I can't stay still when you invite me to dine
In the deep of your land.
For there, your treasures stand...
So, I will choose you for my valentine
Because you, baby, are fine!
That's a fact, I dare not deny!
And that's how you make the fireflies fly
In the thick woods of my forbidden forest.
You make it come alive;
Even the bees, all out of the hive!
And soon, a warm melody groans from the core.
Like an echo, it gets louder.
And just when I thought my walls fortified,
You proved you already had me identified!
I lay bare to your loving mine...
Valentine, only you I do pine.
Éxtasis
A veces mi espíritu brota
Brota con palabras que decir
Decir cosas que quiero expresar
Desde mi profundidad
Pero me es menos los momentos
En que tomo un papel y boli
Para escribirlas
O mejor dicho,
derramarlas.
Es decir mi alma corre a una velocidad
Que me es muy rápida
para seguir Algo bonito
pasa en mi ser
Que no puedo explicar
¡Es un maravillo dentro de una maravilla!
Hasta que mis palmas, dedos y brazos
Aún no lo pueden describir al momento igual como ocurre.
Por eso decidí
Decidí ser la única audiencia
En la orquesta corporal
Cuando esta musicalidad divina
Se toca tan melodiosa en mis entrañas
Y oigo a la vez que siento
La dulzura del éxtasis.
Ecstasy
Sometimes my spirit wells up
It wells up with words to say
To say things I want to express
From my insides
But less are the instants for me
Where I grab a paper and pen
To write them down
O better said, pour them out.
That’s to say that my soul runs at a velocity
That is too fast for me to follow
Something beautiful happens in my being
That I can’t explain
It’s a wonder in a wonder!
Until my palms, fingers and arm
Even can’t describe it in the exact moment it occurs.
For this reason I decided
To be the only audience
In the orchestra of my body
When this divine musicality plays so sweetly in my insides
And I hear at the same time that I feel
The sweetness of the ecstasy.
How to be Held
By Andrew Collard
1.
The room’s so thickly shadowed, as in memory,
that any point of focus dissipates beneath my gaze:
the soft click of the rocking chair, irregular
against the humming of the box-fan, and the murmur
of occasional cars along the avenue, secures me
in my faith the ceiling holds above us, somewhere,
that the woven blankets I’ve nailed across the window
to keep the shadows in, and help my son to sleep,
still hang. On my bad days, I would call the constellations
my mind conceives to root itself in place
no more than an illusion, the lines I trace between
his weight against my chest, the walls concealed
in the dark beyond us, and the sidewalks, so accustomed
to our steps, below, no more than an imagined safety.
The route from home to homeless is too trivial a distance
to be measured, the way an injury can be revealed
in total stillness—fractures due to loss of bone mass, say—
or how, at thirty, I can’t recall a single night
my mother held me, though I know they numbered
in the hundreds. What could those arms, which then
seemed limitless in strength, have gifted me
but reassurance, through the tenderness of my containment,
that my breaths were little harmonies beneath her breath,
and that the roof would keep the wind out, if only
for a single evening, so I, in my ease, could free-fall
to a heavy rest, as my son does now, as I gently
double over, lips pressed to his still-wet hair,
to lower him toward the dark warmth of his crib.
2.
The silent movie of my dream recedes.
A noise like a disposal crushing glass
wakes me with a start. Muddled cries
spill from the monitor beside the bed.
When I rise to draw the blind,
there’s nothing, beyond the empty bus stop
and the dubbed yards of grass, sick as newsprint
beneath the streetlight’s buzz.
Some incidents of sense are inexplicable:
Four hours ago, a dozen strangers
shuffle off the bus, and migrate
from the curb to the apartment complex
across the road, stopping traffic
like a parade, or a herd of deer,
like the spectacle of fire among the trees—
3.
In 1999, a pastor told me of a hole inside my heart,
a dark space only faith in god could fill.
Imagine my unhappiness to find, years later,
he was partly right. The hole was never in my heart,
but in the afterlife which, years into imagining,
I still found difficult to picture. The hole
was in the locales on the nightly news, and how
they never looked much like my neighborhood,
the misplaced history of what’s happened in-between
so many wars. For the infinity of childhood,
the world expands up and out forever, beyond the whispered
consolation of our parents, the cracking drywall,
the backyard’s maple trees and swingset, beyond the neighbors
and their leaky pool, the takeout joints and counters,
beyond the highway, too, and into hypotheticals,
the places built more from assumption than from earth,
until, one day, the world begins contracting.
Even the city’s cleanest corners bloat with the grief
of their own impermanence, crying out at nightfall
through the blank stare of the billboards and neon lights.
We stumble down the sidewalk like bargain gumshoes,
scrutinizing the alleys for something that’s been lost
though we’ve forgotten what, only certain of its being
in our lack. I forget myself to sleep and wake past comfort,
adrift, the sickness too entrenched for treatment. The hole
is in the surf, unsettled, where a raft of refugees submerged
mere miles off unfriendly coast. The hole is in the weakening smile
of the boy, dying of leukemia, I sat behind in third grade,
and in the hollow peace of how, yesterday, I didn’t recognize him
in my yearbook, features clouded when I look too close.
4.
What can I call this impulse to unwrap motif?
In the waiting room, bubblegum cigars sit bunched
inside their little blue box, each a fuzzy reproduction
of the other, beside a vase of wilting roses.
The petals drop at their own uneven pace, each unique
in its design like the strange array of faces gathered
here, plucked from disparate moments in my history,
reclining together over islands of chairs.
Distant relatives, acquaintances, and friends
converge, some laughing over half-emptied
cups of coffee, some rocking absent-mindedly
or pacing, anxious for a glimpse, however fleeting,
of the familiar stranger sprawled against my chest,
of the way his eyes, untrained to process
all but light and motion, are a match for mine,
of how even this cluttered room invokes *collage*,
each distinctive shape emerging to the sterile canvas
until, somehow, a whole becomes discernible,
a structure unfolding from the darkness
that will hold him
Age of the Universe
By Sydney Sheltz-Kempf
If matter cannot be created or destroyed then I am the same age as the universe.
My bones are faceted with the same calcium as the marble veins in the ground I stand upon. My sodium levels pulse with the same ferocity as seawater churning deep with the unknown. My blood burns with the same iron swirling in the molten core of the Earth.
If I looked through a telescope I would see everything and nothing Would I even be able to recognize my own reflection in the constellations?
It feels like my soul is imploding with the remnants of reincarnated stars: is this recognition, or just a splintered memory?
If every cell in my body is reborn every seven years in the echoes of a celestial jigsaw puzzle, if the universe is 13.8 billion years old then so am I, and I wonder when I’ll run out of pieces.
*Temet nosce:* a truly dead concept in an even deader language if you don’t even know how old you are.
Abstract: This poem, written in one sitting on a Sunday morning, is a reflection not only on the transition between the physical seasons, but on the condition of the authors heart, moving from a personal season of hurt and cold bitterness (winter), on the way towards one of happiness and warmth (summer). But there is the season in between - spring.
Winter is receding... slowly.
I no longer rely on fires to fight the freezing,
thawing numbness to pain to exhaustion,
as my body comes back into itself.
I no longer rely on layers to keep my skin
protected from the biting chill,
oblivious to the cold.
That occasional gust, slipped between the seams, to remind my being
“It’s still winter. Your coat can’t cover you, not completely.”
Winter is receding... surely.
I can begin to imagine a warm sunny day, but not yet.
It is still cold. It is still wet. I am still cold. Not yet.
A new season is stirring, maturing, until it is ready to come, as every season does.
I start to see the sun, but not yet to feel her warmth.
It is right there though. Any day now.
Any day now, it will pour through the window with a promise.
And blow through the opening door with a different kind of gust, a different air, a different care.
Not how to survive another winter day
Yet not to thrive in other summer day
But yet derive some other way, something in between - spring
To wear one less layer not because it is warm enough yet,
but because it is less cold than yesterday.
The sun is starting to work again, summer is going to come
and I’m tired of fire. My skin needs sun.
Seasons, seasons, seasons...
no more on seasons
who will come and go the same
they do not need poems
The Star-Gazer
By Jennifer Kean
Abstract: “The Star-Gazer” is modeled loosely on the Old English poem “The Wife’s Lament.” This medieval elegiac composition expresses beautifully the tensions that attend unrequited or abandoned love. It is awkward: there are clearly contrasting sentiments for the absent lover. It is frustrated and distressed: the reasons for the lover’s truancy are unclear to the reader, and presumably to The Wife. It is confused: The Wife does not understand why her partner has put physical and emotional distance between them, and the nature-imagery reflects how open-ended heartbreak can suspend, or even immobilize, personal growth. In my composition, I experiment with the possibility that "The Wife’s Lament" describes not a physical absence but an inexplicable change in the relationship that feels like a sudden and acute disconnect. “The Star-Gazer” is a story of a creative-romantic partnership that undergoes a similar transformation. The narrator and lover here are outcast – or dis/placed – individuals, and this creates an affinity between the two. This affinity is embedded in the idea that they are dreaming and creating simultaneously and constructively. They create a space to claim beyond the reach of others: something new, unexplored, yet safe in that it was made by and for them only. The space is imagined to be located outside of this world, but this also is an illusion; as the poem progresses, the space is refigured as a fragile egg or bubble inside of, and vulnerable to, the physical world.
We imagined ourselves in a place of no-place
Creating space in the liminal spaces: der Weltraum, our dream-world, or world-dream – that
outerspace
Conjuring melody from colors and shapes.
The elements praised us; we recreate the sound.
Took refuge in those soundscapes where
We retreat, spellbound.
Yet these artificial skies we paint destabilize with time
And time is cruel to nature as he is to my mind.
The hidden things that dwelled within the shadows of his being
Emerged as warring insects come to sunder ancient trees.
Now what are you, you frightful thing?
I must protect our august dream!
I combed the contours of our soundscape for one solitary seed
But when reality took form, I lost it in the cosmic sea.
The dome cracked
The stars fell through –
And where are you, you shifting thing?
I'm exiled to the ruins of this insubstantial dream.
The music fades
The earth intrudes –
And where are you, my baneful thing?
The sphere is gone, so too is song.
I will not sing again.
GSA
Graduate Student Association
WESTERN MICHIGAN UNIVERSITY
|
2022/2023 ANNUAL REPORT
An overview of Neighbour to Neighbour’s impact on the community in 2022–2023
President & Executive Director’s Message
What a year it’s been, both in community and here at Neighbour to Neighbour Centre.
2022 was fuelled by incredible inflation and economic uncertainty, resulting in severe food insecurity across the country. We all know that the cost of groceries in Canada increased by 10% this year, a 41-year high. The normalization of these high prices is alarming, and we’ve seen its effects in all areas of our organization.
Our Emergency Food department really felt it this year, with the number of households visiting our food bank increasing from 1,100 to 1,400 monthly. We rose to meet this challenge with increased service availability, ensuring more appointments were available to meet this growing need every month.
Our Family Services department continued to provide service navigation to people facing systemic barriers to basic services. We were able to distribute utility support grants to over 630 households, lowering electricity bills and increasing housing affordability for some of our most vulnerable neighbours.
While we modified to meet the increased need from skyrocketing inflation, we still had plenty of reasons to celebrate: Our education department relaunched after being dormant due to Covid since March 2020. Starting the year with a rebrand to the Deban Brunette Literacy Program, we have been able to honour our dear friend and colleague and the legacy she built in this community. We have been busy planting the seeds of success through our work with our wonderful students.
After two years of major adaptations and reduced capacity to connect, we have also been delighted to start welcoming more community members back to face-to-face programs at our Hamilton Community Food Centre (HCFC). We’ve had reports from participants of improved health, an increased sense of belonging, and improved access to nourishing, culturally appropriate foods. We are so pleased with the positive impacts both our Education and HCFC departments are making in community.
Our Development team also had an amazing year with outstanding support from donors all across the community. Sponsors and walkers really showed up for our Coldest Night of the Year Walk, making it our most successful walk to date. Our N2N Charity Golf Classic had a banner year as well, thanks to our incredibly hard-working volunteer committee. Thank you to everyone who sent cheques, donated online, phoned or walked in, supported an event, or supported our used bookstore this year. We understand the value of your dollars and we appreciate you.
Of course, none of what we do would be possible without our stellar volunteer team. Each week volunteers make their way to N2N, our HCFC, one of our Education Program sites, or a special event location to donate their time. Without our volunteers, we would be nothing and we thank each one sincerely.
Our staff team is also vital to our organization. We are incredibly proud of their commitment to serve community, the extraordinary expertise they show in their work, and we thank them for all they do at N2N.
We are looking forward to the next year of serving the Hamilton Mountain community, and know that with our outstanding staff, volunteers, and donors supporting us, we are well poised to tackle the challenges ahead of us.
DENISE ARKELL
Executive Director
DAN HOLSTEIN
President of the Board
We are profoundly grateful to the many volunteers who give their time, week in and week out, to enhance Neighbour to Neighbour’s services and programs. As the provincial mask mandate lifted, N2N volunteers continued the practice of wearing facemasks and upholding the pledge to keep everyone safe. But loosening provincial restrictions also meant the exciting return of many in-person programs and activities.
22,220 number of total volunteer hours
95% Of Attendees at 16 Volunteer Sessions Continued
8% Cross-Departmental Volunteers
116 new volunteers
399 total volunteers
Each person represents five (5) volunteers.
Co-op Students
Meet Zachary, Marco, and Aaron (not pictured) from Bishop Ryan High School. They are the first high school co-op students to volunteer in the Emergency Food Services department since before the pandemic! These students are also the first volunteers, along with their teacher Maria (shown), whose role is to exclusively pack the pantry boxes for the food bank. To date, Zachary, Marco, and Aaron have contributed 118 hours in this role, and have worked up to packing 54 boxes, ensuring that when they finish their respective 2-hour shifts, there are sufficient boxes ready for pick-up by the scheduled families visiting the food bank in the next half-day. This student co-op opportunity offers valuable experience in a work setting, a chance to meet other volunteers, and is making a difference by helping those in need in the Hamilton Mountain community.
In 2022, food insecurity remained a top concern in communities all across the country. This critical issue was fuelled by rocketing inflation, economic uncertainty, and insufficient income support programs.
Community Food Centres, like Hamilton Community Food Centre (CFC), were essential places where people could share not only a nourishing meal, but a sense of belonging and solidarity.
### Food Access Programs
These programs increase access to nourishing food and improved health.
| Program | Description |
|--------------------------|-----------------------------------------------------------------------------|
| **COMMUNITY DINNER** | Nutritious community meal offered once per week |
| **FRIDAY LUNCH** | Nutritious community meal offered once per week |
| **SATURDAY MARKET & CAFE** | Fresh, affordable produce offered once per week |
### Food Skills Programs
These programs nurture food skills and strengthen health and well-being.
| Program | Description |
|--------------------------|-----------------------------------------------------------------------------|
| **INTERCULTURAL COMMUNITY KITCHEN** | Participants cook and enjoy a meal together and share food stories from their cultures |
| **COOKING UP JUSTICE** | Youth ages 13–18 practice food skills, cook, and share a meal together while discussing the food system and food justice |
| **GARDEN DAYS** | Participants learn and share gardening skills and have fun planting, tending, and harvesting food |
| **KIDS’ CLUB** | Children ages 6–12 cook, grow good, and play in nature |
### Education & Engagement Programs
These programs nurture food skills and strengthen health and well-being.
| Program | Description |
|--------------------------|-----------------------------------------------------------------------------|
| **COMMUNITY ACTION TRAINING** | Training program designed to build capacity, advocacy skills, and community connection |
| **PLANTING THE SEEDS OF BELONGING** | Anti-oppression workshop designed to create inclusive communities |
| **ADVOCACY OFFICE** | Weekly drop-in assistance, education, and support with systems navigation |
| **SENIOR CONNECT PROGRAM** | Telephone program connecting seniors age 55+ to wellness activities, healthy recipes, guest speakers, and discussions |
Our Impact in 2022
Especially in difficult times like these, Hamilton CFC remains committed to supporting our local community. This means helping people stay connected and access nourishing, culturally relevant food. And it means advocating for equitable policy change that solves food insecurity and poverty in the long term.
- 76% of community members surveyed said that their mental health has improved due to coming to the CFC
- 92% of community members said the CFC was an important source of healthy food
10,611 number of meals served and sent home
- 169 skilled food sessions taught at CFC
- 72% surveyed said they made new friends at the CFC
- 2,918 volunteer hours contributed
- 46% surveyed are more involved in creating change
“Like family, we can meet people from our community here.”
Our education department has relaunched after being dormant due to COVID-19 since March 2020. It has been an honour for all our staff and volunteers to continue the work that Deban Brunette began, and to rename our literacy program, the Deban Brunette Literacy Program, in honour of the work she accomplished for the children of Hamilton. Our education department is busy planting the seeds of success in our community through our work with our wonderful students. Our focus is on building literacy and numeracy skills through the support of caring volunteers while developing positive attitudes towards learning.
300 students receive tutoring support twice per week
108 Reading Tutor Volunteers
30 Math Tutors
97% of students improved their reading scores
100% of students improved their math skills
100% of students have become more confident
**Struggling to read in Grade 2**
In our literacy program, Grade 2 student, Samia*, was struggling to read. Even books that would have been age appropriate for a child in Kindergarten were too difficult for her. Samia’s literacy volunteer came into our office to receive extra training and support to be able to help her more effectively. After trying some new techniques, Samia went from uninterested and frustrated to engaged and excited. Now, Samia is on track to be at the age-appropriate reading level by the end of the school year. More important than her reading score is the change in her attitude towards learning. Samia now wants to read and has improved her self-image.
Literacy
Our literacy program provides meaningful reading practice and creates opportunities for children to engage with books and a caring volunteer. 240 students in Grades 1-4 receive individual tutoring twice per week. We are partnered with both the Hamilton Wentworth District School Board and Hamilton Wentworth Catholic District School Board and operate our program out of 15 schools. We want to help students see themselves as successful readers and develop an appreciation of the importance of literacy. 100% of our volunteers believe that their students have become more confident since beginning our program.
Math Success
Our math program provides a supportive space with structured instruction and opportunities to build core math skills. This year, our math success program was able to offer after-school programming and tutoring twice a week at four locations across Hamilton Mountain thanks to the generous donation of space by Hamilton Public Library and the City of Hamilton. Each session, students have the opportunity to build their mental math skills while receiving small group support with their homework or topics covered in classes. At each location, students receive instruction from qualified math educators and volunteers from our community. Our math program has had over 60 students in Grades 7 and 8 enrol and participate.
Struggling with math in Grade 7
Though our after-school program is focused on math, tutoring can help a student improve in many subject areas. Sam*, a Grade 7 student, enrolled in our math program after struggling across subjects in school. Initially, they weren’t interested in participating in our program, but with the encouragement of our math educators, they began to open up and try more complex math. Sam began participating in group activities, often volunteering to answer questions. Not only did their math skills improve, but their teacher and parent indicated that their behaviour at home and school was improving and Sam’s grades increased in all areas.
*Names have been changed for student privacy.
Record high food prices, increased rents, stagnant wages, and overall economic uncertainty have led many in the Hamilton Mountain community to reach out to Neighbour to Neighbour for food assistance.
We know that food is fundamental — a lack of food affects one’s physical and mental health. We have seen the direct impact and immediate toll it has taken on our city. The economic challenges have resulted in many families who have never used a food bank coming to us for help. N2N’s food bank has seen an overall 18% increase in food bank usage with 48% growth in new families.
The reality is that the need for food is much more than numbers on a page — it is about real stories of families and individuals who face multiple challenges and enormous difficulties. It is about people who struggle, who work hard, who take care of their families and themselves and continue to need our support. It is a Ukrainian family fleeing from a war zone, someone who has lost their job, someone who works two jobs, a senior, or your neighbour on disability with a fixed income.
“You made space for me and listened to me and gave me food – I’m struggling with my school studies, taking care of my children, and working, and it is very challenging to get here…”
The support we provide in the community is made possible by the generosity of our food partners – food hubs, grocery stores, corporations, businesses, schools, faith-based groups, and individuals. This community assisted our food bank in reaching 1.3 million pounds of food.
The volunteers are the heartbeat of our organization. Our Emergency Food volunteers actively engage in the Mountain community with grace and compassion and contributed 10,332 hours as greeters, food bank servers, warehouse receivers, runners, sorters, packers, and drivers.
“Thank you for the care you took to prepare my home delivery. It was the best food delivery ever. I will share with my neighbours as well. I’m so pleased and honoured that you took such care. You took care of me!”
Food Bank
- Collected & delivered over 1.3 million lbs. of food ($3M+)
- 3,204 households per year with 9,823 clients
- 44% of food distributed is fresh produce, meats, & dairy
- 15,930 community visits to the food bank (+18%)
- Over 14% of clients are older adults (50+)
- Over 40% of food bank clients are children under 18 years of age
Home Delivery
- 1,337 home deliveries completed (+13%)
- 45% of clients experience long term limited mobility
- 23% of clients experience mental health challenges
- 12% of clients experience neurological challenges
1,273 households served at our Christmas Food Market
“I’m so happy I will have something to eat when I wake up tomorrow....”
The Family Services Department provides service navigation to people facing systemic barriers to services that meet their basic needs. We also offer participants settlement support, financial advocacy and education, financial relief for household electricity bills, and new in 2022, emotional counselling.
All people that come to the food bank are experiencing food insecurity, but lack of food is always a symptom of other issues. Our Community Counselling program serves to build relationships with participants and invites difficult conversations. Counsellors and the manager provided 3,555 personal points of direct service helping folks overcome difficult feelings, discover essential services outside Neighbour to Neighbour, and to effectively navigate programs inside Neighbour to Neighbour.
For many households, the primary cause of food insecurity is income insecurity. Our Utilities Supports serve to lower household expenses by lowering electricity bills, and our financial advocate in the Money Matters program serves to examine places to earn more, save more, or spend less. The reality for many of the households we serve is that they earn a fixed income, so they are not likely to receive more income, however they may be missing supplements or tax entitlements that bring more money into their home, and they may also not realize that there are programs to lessen the costs of basic needs, which the advocate will help them uncover. The Money Matters financial advocate can also identify when the needs are bigger than finding resources, and that the household needs debt counselling or a financial trustee. The advocate explains why these services are necessary, and helps participants through the often emotional, and sometimes scary process of reaching out to and navigating them.
### Utilities Support
| CUSTOMERS | # HOUSEHOLDS | # INDIVIDUALS | SAVINGS OVER 24 MONTHS |
|-----------------|--------------|---------------|------------------------|
| Total 2022/2023 | 635 | 1774 | $707,492 |
| Newcomers | 56 | 257 | $79,944 |
| Seniors | 129 | 151 | $154,392 |
In 2022 Utilities Support assisted 635 households secure $707,592 in credits for their electricity bills. This helps to improve the housing security of 1774 people. $154,392 is going into the households of 151 seniors, and $79,944 will support 56 newcomer households. The Money Matters financial advocate welcomed 30 new households, assisted 7 existing households, supporting the financial needs of 91 people.
The Middle East Outreach Settlement Worker also provides service navigation, like the counsellors, but significantly more enhanced. They serve people who have barriers to services caused by programs being unfamiliar with the unique needs of migrating and settling persons. The settlement worker provides service navigation, cultural and language translation and interpretation, as well as emotional support. They commonly serve folks over many years through many stages of the development of their family, and the stages of their settlement in Hamilton. This past year continued to bring large numbers of folks seeking this service. Existing participants returned for 3656 visits, from 2589 return visits in 2021, which is a 70% increase. 464 new households accessed the service in 2022, an increase of more than 100% from the 228 new households that accessed the service in 2021.
New in 2022/23, this department offered brief counselling that we referred to as Emotional First Aid. Although our Community Counselling and settlement support provides emotional support for the purpose of de-escalating persons in crisis, it is not intended to be for the sake of emotional counselling alone. Through a University of Toronto student placement, developing skills were brought to this position and we were able to provide weekly sessions to folks on site and over the phone.
We are working with U of T to find suitable student matches for future placements to continue this learning and service opportunity for our participants!
Learn more about resources and programs available at Neighbour to Neighbour by visiting www.n2ncentre.com
N2N Leadership Team
EXECUTIVE DIRECTOR
Denise Arkell
MANAGER OF ADMINISTRATIVE SERVICES
Mark Raymond
DIRECTOR OF MARKETING & DEVELOPMENT
Robyn Knickle
DIRECTOR OF COMMUNITY FOOD & FAMILY SERVICES
Krista D’Aoust
DIRECTOR OF EDUCATIONAL PROGRAMS
Carolyn Rankin-Boutin
MANAGER OF FAMILY SERVICES
Laura Ryan
DIRECTOR OF EMERGENCY FOOD SERVICES
Charlotte Redekop-Young
COORDINATOR OF VOLUNTEERS
Marija Kupina
MANAGER OF FOOD ACCESS & SKILLS
Amy Angelo
INTERIM MANAGER OF FOOD ACCESS, SKILLS, & YOUTH PROGRAMS
Caitlin Craven
INTERIM MANAGER OF GARDEN SKILLS & CHILDREN’S PROGRAMS
LeeAnne MacGregor
Board of Directors
PRESIDENT
Dan Holstein
PAST PRESIDENT
Steve Kartonchik
SECRETARY
Nick Davies
TREASURER
Denise Provencher
DIRECTOR
Chris White
DIRECTOR
Marlene Atlas
DIRECTOR
Ann Higgins
DIRECTOR
George Kalacherry
DIRECTOR
Fareen Samji
DIRECTOR
Lorraine Hoult
DIRECTOR
Joti Vallabh
DIRECTOR
Josh Maurin
DIRECTOR
Joan Nelson
DIRECTOR
Stephanie Johnston
CONTACT
28 Athens Street, Hamilton, ON L9C 3K9 | 905-574-1334
FOLLOW
facebook.com/n2centrehamilton | @n2ncentre
Scan to visit our website and become a supporter today.
|
That’s why film (as cinema) and video (as television) became of interest, because they were the media of now; they were what most people were looking at, they weren’t looking at art, art was in galleries.
—David Hall, 2005
David Hall made extensive contributions to contemporary time-based media as a founder, practicing artist, and activist for video arts, in his native United Kingdom and internationally. Hall was instrumental in constructing educational, critical, curatorial, and other resources for early video. His video work spans decades with the same complex questions regarding the context of immaterial art and the experiences of the viewer—keeping pace with the evolving context of the “media of now.”
Hall began his work primarily in sculpture before emerging as a key figure in the development of video as an artistic medium. He notes the inspiration of work such as Constantin Brancusi’s sculpture *Endless Column* (1920) as influencing his move toward the examination of the experience of time in his sculptural practice, and his working approach shifted to what he terms “perceptual, environmental, floor works,” focusing on how the viewer perceives and experiences art. Hall was awarded first prize for sculpture at the Biennale de Paris in 1965 and was subsequently included in the foundational show for Minimalist sculpture, “Primary Structures,” at the Jewish Museum in New York City, as well as in “White on White” at Kunsthalle, Bern, Switzerland (both in 1966). Through the experience of making photography of his sculptures, and noting their tenuous relationship to the physical object, he explored that phenomenon further through his creation of film and video-based artworks.
In 1971, while working with the Artists’ Placement Group (APG), Hall created what became his most groundbreaking and historically noted works—the series of unannounced “Television Interruptions” aired on Scottish TV and commissioned by the Scottish Arts Council. These original ten artworks were noted as pioneering intrusions through the web of challenges of using broadcast TV as an arts medium—not for the sake of journalism about the arts or artists, but actually broadcasting an artist’s video pieces on mainstream channels.
Broadcasting artworks on television poses implicit problems—the expense of broadcast slots being just one issue. As Hall says of his interruptions work, “Everybody talks about being in the right place at the right time. I always quite liked being in the wrong place at the right time.” In 1976, a second interruption, “This is a Television Receiver,” was commissioned for broadcast on BBC 2 during an art-oriented show called *Arena*. Introduced with the voiceover “And now for the very material of Television…” but otherwise similarly unannounced, BBC newscaster Richard Baker read a monologue deconstructing the magical experience of television by explaining its technical and social function in traditional newsreader monotone. As the piece progresses, Baker’s image also is deconstructed into an unrecognizable electronic blur as the signal is distorted. Key to the experience of the interruptions were timing and delicate parallels of comparison and contrast—a balance between suggestion of a connection and enough distinction to provoke reflection about the experience of viewing television.
As this quote from *Eye* magazine says of his earliest interventions, “David Hall’s [1971 “TV Interruptions”] set the stage for an era in which artists took up the camera to challenge television’s established formulations and its power as a medium of social control … his interventions almost established a genre, with subsequent works by [for example] Stan Douglas, Bill Viola and Chris Burden following the form of unannounced disturbances …” A later broadcast-interruption genre work by Hall broadcast on Channel 4 TV played an important part in referencing video history while commenting on the contemporary trajectory of the use of television in society. “Stooky Bill TV” (1990) was a hypothetical conversation between Scottish television inventor John Logie Baird and his ventriloquist’s dummy. The dummy—Stooky Bill—“speaks” critically of the way that television had developed after Baird’s original invention. As an important historic-mechanical connection, “Stooky Bill TV” was actually taped using the same kind of 30-line television transmission technology that broadcast the first successful video signal in the 1920s—of the face of a ventriloquist’s dummy.
In 1993, MTV Networks commissioned a series of works Hall titled “TV Interruptions 93.” This series of MTV Interruptions (reacTV, contextTV, withoutTV, exiTV, and ecstaseeTV), in the tradition of the earlier broadcast interferences, took a changed context and tendencies into account in terms of using the language of the television medium of the day in order to create as jarring a juxtaposition as possible—in the case of the context of MTV, through a contrasting slower pace from the mid-1990s music videos that book-ended the unannounced work.
In addition to broadcast works, Hall was simultaneously exploring the experiences possible through video installation shown in galleries and other venues for artist video that employed the unique, live, interactive possibilities of the medium. Hall considers his video installation work to have an element of interruption of the gallery context. In “60 TV Sets,” included in the exhibition “A Survey of the Avant-Garde” at Gallery House, London, in 1972, for instance, the cacophony of sounds created by the room full of television sets picking up various channels at high volume jarred the expectations of a viewer who came to the gallery expecting to enjoy a calm reflective experience.
As a part of championing video as an autonomous arts medium, Hall was curator of some of the first major shows establishing artists’ video in the UK including “The Video Show” at the Serpentine Gallery in London in 1975, and co-curator of the first video installations exhibition at the Tate Gallery in London—also titled “The Video Show”—in 1976.
Hall also had significant influence on the founding of artist groups related to and supportive of artist video. He was a founder of APG, which began
in 1966 with the mission to release artists’ creative assets out of the gallery and into broader culture and industry. In 1976, Hall co-founded London Video Arts (LVA) (now part of the Lux, London). The mission of LVA was to support artists working in the cost-intensive medium in their efforts to gain adequate funding and to promote and distribute their work.
Through his writings and lectures, Hall established the term “time-based media,” now in broad usage in video education programs across an international span of academic contexts. In 1972, Hall founded the first time-based art degree option with an emphasis on video at Maidstone College of Art in Kent (now University College for the Creative Arts). In addition he advocated for the symbiotic relationship between working video artists and video art schools.\(^8\) Appointed Honorary Professor at Dundee University in Scotland in 2003, Hall has also taught at the Royal College of Art and the Chelsea College of Art and Design in London, the Nova Scotia College of Art, and the San Francisco Art Institute, among others.
Hall has been an advocate and representative of video arts histories and vocally resistant to oversimplification of early trends in a medium that was developing organically, rather than perpetuating the myth of a kind of “single and sustained coherent orthodoxy.”\(^9\) Hall has been a voice of reality against the pressure of video art historians to go back and retrospectively categorize the organic early movement of artists and align all with distinctive political motives.
The initial voiceover preceding the broadcast of “This is a TV Receiver,”—“... now for the very ‘material’ of television”—points to the question of television’s immateriality as a medium. This shift from the material to the immaterial foreshadows net-based and other digital and electronic media. Intentional connection to the specific temporal and cultural context emerges as a pervasive thread throughout Hall’s work. To revisit Hall’s early work within range of its original intent, the viewer must imaginatively approach the mindset of the time period, the early 1970s, when “there was no history [of video] at all, apart from television.”\(^{10}\)
The television experience is merging with that of cinema through larger screens, projected television, and downloadable movies. In this context, a backwards glance to the questions first pioneered in an era when video was either broadcast or closed channel and when video recording as we know it was at its earliest stage of development, has special relevance. Video histories are criticized for exaggerating the level of intentionality actually associated with early experimentation in the medium. Because of Hall’s commitment to criticism and history, and openness to current conversation, however, the intentions in the work are more open. Some core questions and challenges emerge from Hall’s works that are universally relevant for the moving image media in such constant transition.
Clear in Hall’s writings and work was the message that art should have a place outside the protection of the gallery—a strong value and preference behind the conscious placement of the television interruptions within the “medium of now” of the 1970s. Closely related to a preference for art placed in a culturally relevant context is the value of the artists’ cultural outsider status—the perspective of the artists’ alternative view as a “positive social advantage” and the critical need for that resource in the broader society, as seen in Hall’s work with APG.\(^{11}\) Hall also emphasizes the value of the work of thinking, reflecting, and artmaking around the experience of the contemporary culture of the moving image throughout all of the decades of his work.
Some of Hall’s greatest gifts and what may be the legacy of his years of work as an artist and advocate are these broader probing questions around the effect of the context of media on its viewers. Video art has
**ABOVE**
“101 TV Sets 1972–1975” by David Hall and Tony Sinden
not outgrown the importance of this emphasis and the deep questions of the experience and effect of the “medium of now.” The twin questions of viewer experience and the exploration of the tensions between the physical and virtual worlds are fundamental to the medium of contemporary time-based art. Revisiting the challenges of those years in the development of artist video of the 1970s may bring fresh problems to the surface as video artmakers explore additional relevant forums in the future that lie beyond the black box of gallery projection-based installation.
*What follows is an electronic-based correspondence that took place between David Hall and the author in May and June 2008.*
**JOANNA HEATWOLE:** In addition to your extensive body of video artwork, one of your key contributions was to the language about technology-based arts, specifically the term “time-based media.” Tate Modern’s conservation Web page currently uses this definition: “A term used to refer to works of art which are dependent on technology and have duration as a dimension.”\(^{112}\) What was your connection with the development of that term particularly and what are your perspectives on its current usage?
**DAVID HALL:** The Tate adopted the term comparatively recently following its growing use in academia. I do not go along with the limits of the Tate’s definition as quoted. “Time-based” is the significant element, and “media” is a suffix simply indicating a variety of mediums of expression, here used by artists. Video and (cine) film works are recognized as the obvious examples, and are of course technology dependent, but my use of the term was intended to encompass any work structured specifically as a durational experience. Performance works are time-based and often have no essential dependence on technology. I considered these included under the term’s umbrella.
**JH:** What was the original context?
**DH:** The original context was my introduction of it in lectures and writings at the turn of the 1970s. I was already working with film and later video as the technology became available. In education, in 1971, I set up a workshop for undergraduates at one of the colleges where I was teaching sculpture [Maidstone College of Art, Kent; now University for the Creative Arts]. In discussion it became clear that some students were becoming interested in producing works which were non-object-based, consistent with “the developing ‘fringe’ element of late sixties art … which was already engaged in the essential ‘dematerialization’ of the object.”\(^{113}\)
Despite opposition from certain quarters within the faculty I quickly succeeded in converting the experimental workshop into an established “pathway” in the Fine Art course (together with Painting, Sculpture, and Printmaking) where students could specialize and graduate in what I soon termed Time-Based Media. This course was the first in the UK with emphasis on video as a means of art production, however students also worked with film, sound, and performance.
**JH:** What do you think of the future of “time-based media” as a term? Is it still relevant to current practices? Or is it being eclipsed by another kind of language for art dealing with the element of time?
**DH:** While artists continue to produce works as temporal manifestations, the term will probably hold, I think. It functions as a catchall phrase and is more precise and less clumsy than some alternatives.
**JH:** As your work spans several decades and multiple artistic strategies within the spectrum of time-based media, what do you see as some of your most important or challenging pieces overall?
**DH:** After my 1971 “TV Interruptions” for Scottish TV, the 1976 piece “This is a Television Receiver,” which appeared on BBC TV featuring the then most-popular newsreader, has had considerable attention, followed by “Stooky Bill TV” for Channel 4TV in 1990, using the first successful TV scanning equipment of the 1920s invented by John Logie Baird, through to the “TV Interruptions 93” of 1993 for MTV Networks, transmitted worldwide. The fact of their intrusion into the established bastion of video’s erstwhile parent (television) may have had some bearing on interest. But I have some non-broadcast single-screen tapes and a number of multi-screen installations that cover other ground.
**JH:** It does seem as though your “Television Interruptions” series of 1971 is your best-known work—did that work get the most publicity and critical attention?
**DH:** Apart from being around from the earliest video days, they were recently featured in installation form at an important exhibition, “First Generation: Art and the Moving Image 1963–1986,” at the Museo Nacional Centro de Arte Reina Sofia in Madrid (2006–07), which to my knowledge gave the most comprehensive international overview of early video art to date. The exhibition included video artists from the United States, but also a better than average balanced representation of the contribution of European video artists as well. *Afterimage* recently published an interview with Berta Sichel, the curator. [Ed. note: See *Afterimage* Vol. 34, no. 6: “Art and the Moving Image: An Interview with Berta Sichel” by Perry Bard.]
I would say my earliest work has probably had the most attention, especially my various TV interventions. “TV Interruptions” (1971) are quite well known because they appeared so early on TV.
**JH:** Were your TV interventions the body of work that you expected to be the most important in terms of critical interest—or are there other works that should get more attention, such as some of your video installations?
**DH:** A (nine camera and monitor) interactive, live installation titled “Progressive Recession” (1974), with no direct reference to broadcast television, is a work I would like to see resurrected, as I would “Vidicon Inscriptions” (1975), based on a 1973 tape of the same name. Unfortunately installations in particular are prone to suffer an early demise if not taken on by a collection, unlike paintings and sculpture. Similarly I have installation works in my “Situation Envisaged” series that do refer to dominant broadcasting and hopefully make wide and diverse commentary on our precarious and fascinating condition poised between the real and the virtual in today’s electronic world.
**JH:** I was drawn to your work in particular because of the real versus virtual condition that you just referred to in relationship to your “Situation Envisaged” installations. The perceived importance of examining our “condition poised between the real and the virtual,” as you phrased it, seems to be shifting. We address this question in introductory digital imaging courses, and I remember some lively discussions a few years ago. But the past few semesters I get the sense that traditional undergraduate students no longer find this shift to virtual so dramatic or even interesting. They move so fluidly between virtual and material worlds, that this tension has not existed for them in their experience.
**DH:** I particularly like the following passage by Sean Cubitt in his 2006 *Art Journal* essay on my work, which may be relevant here. Cubitt wrote:
The question of being—of how things are, in what ways they exist for themselves and for us—is one of the two great questions at the core of philosophy West and East. The other is, what is the good life: what is virtue, how should we live together, what are our responsibilities, how can we live well? Mostly the two questions are kept apart. But in Hall’s works the problems of being and perception, their endless paradoxes, their endless renewals of possibility are themselves the form of the good life. A life is good that’s spent contemplating these things. But even more so, investigating being and illusion, absence, disappearance, forgetting, erasure and traces, is a way of understanding that this real life is not the only life, and that a better or at least a different one lies alongside it, the depth of the screen away.\(^{14}\)
**JH:** Some of my extended family members are Amish, and I overhear friends’ and strangers’ most frank impressions of the group. For the most part people understand the Amish as simply anti-technology and sometimes express their derision toward what they view as a hypocritical or simplistic stance. But Amish culture is a response to a more nuanced question: “How does the daily experience of a technology affect people and communities?” That is a subtle but fundamental distinction, and I think more radical than, for example: “Is a television itself ‘bad’?” The latter case leads to an easy answer—“Of course a TV set is not ‘bad’—look at educational TV programming—end of discussion.” Do you find that critics and historians increasingly understand the importance of the depth of questions raised in your own series of broadcast interruptions and challenge that notion of most early video art as simply “anti-TV?”
**DH:** These quotes may help clarify my position:
“This was never an attempt to promote a kind of seditious ‘anti-television’ … This was an attempt [by artists] to independently assert a claim to some part of the medium for themselves, to make space for an autonomous practice.”\(^{15}\)
“This was not simply art *on* television, an artist having a stall in the midst of the marketplace—a place in an arts feature, but an obstruction, a political act, and provoked the viewer to ask questions about what they were seeing and perceiving. ‘I had concern about art being confined, being compartmentalized within an elitist world, or seen as tangential to real life. I was interested in shifting ground, preferably into what I saw as the social context, into the broadest possible one across all boundaries, rather than specific to an elite.’”\(^{16}\)
**JOANNA HEATWOLE** is an assistant professor of time-based media at Roberts Wesleyan College in Rochester, New York.
**NOTES**
1. David Hall as printed in Jackie Hatfield, “Another Place—David Hall,” Experimental Film and Video: An Anthology, Jackie Hatfield, ed. (Eastleigh: UK: John Libbey Publishing, 2006), 201.
2. David Hall’s response to A.I. Rees’s book A History of Experimental Film & Video, British Film Institute, 1999. Full text available at www.rewind.ac.uk.
3. Ibid.
4. Ibid.
5. David Hall from a videotaped interview with Jackie Hatfield, December 2005. Available for online viewing as part of “Rewind: Artists’ Video in the ’70s and ’80s” at www.rewind.ac.uk.
6. Peter Hall and Matt Soot, “Images over Time,” Eye: The International Review of Graphic Design, Issue no. 60 (Summer 2006). Available online at www.eye-magazine.com/feature.php?id=131&fld=577.
7. David Hall in interview with Jackie Hatfield, December 2005. Available online at www.rewind.ac.uk.
8. David Hall, lecture notes from “Video Art: The Significance of an Educational Environment,” 1986. Text available at www.rewind.ac.uk.
9. David Hall, “Early Video Art: A Look at a Controversial History,” in Diverse Practices: A Critical Reader on British Video Art, Julia Knight, ed. (London: UK: Arts Council of England and Eastleigh, UK: John Libbey Publishing, 1996); Reprinted in The Video Project online at http://davidsonfilm.org.
10. David Hall in interview with Jackie Hatfield, December 2005. Available online at www.rewind.ac.uk.
11. Jackie Hatfield, “Another Place—David Hall,” 204.
12. Time-based Media definition from the Tate Modern Web site: www.tate.org.uk/conversation/time/about.htm.
13. David Hall, “Early Video Art: A Look at a Controversial History,” 14. Sean Cubitt, “Grayscale Video and the Shift to Color,” *Art Journal*, Vol. 65, no. 3 (Fall 2006), 40–53. Also available at www.rewind.ac.uk/resources_archive.
15. David Hall, “Early Video Art: A Look at a Controversial History.”
16. Jackie Hatfield and David Hall as reproduced in the essay “Another Place—David Hall,” 204.
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**FACING PAGE**
“TV Interruptions (7 TV Pieces): Interruption piece 1971” by David Hall
**ABOVE**
“TV Interruptions 93: withoutV 1993” by David Hall
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THE DISTRICT OF COLUMBIA
ALCOHOLIC BEVERAGE CONTROL BOARD
In the Matter of: )
) )
Tas, LLC ) Case Numbers: 13-PRO-00008
t/a Libertine ) 13-PRO-00034
) License Number: 86298
) Order Number: 2013-393
Application to Renew a )
Retailer’s Class CR License )
at premises )
2435 18th Street, NW )
Washington, D.C. )
BEFORE: Ruthanne Miller, Chairperson
Nick Alberti, Member
Donald Brooks, Member
Herman Jones, Member
Mike Silverstein, Member
ALSO PRESENT: Scott Auslander, Managing Member, on behalf of the Applicant
Thomas Knott, Managing Member, on behalf of the Applicant
William Simpson, Chairperson, Advisory Neighborhood Commission 1C, Protestant
Denis James, President, Kalorama Citizens Association, Protestant
Martha Jenkins, General Counsel
Alcoholic Beverage Regulation Administration
FINDINGS OF FACT, CONCLUSIONS OF LAW,
AND ORDER
INTRODUCTION
These matters arise from (i) the Application for a Change in Hours for the Premises and the Sidewalk Café that was posted on February 1, 2013; and (ii) the Application to
Renew a Retailer’s Class CR License posted on March 15, 2013, both filed by Tas, LLC t/a Libertine (Respondent) at premises 2435 18th Street, NW, Washington, DC 20009.
By letter dated March 13, 2013, Advisory Neighborhood Commission 1C (ANC) filed a protest of the Application for a Change in Hours for the Premises and the Sidewalk Café, alleging that approval of the Application would have a negative impact on the neighborhood’s peace, order, and quiet. By letter dated March 14, 2013, the Kalorama Citizens Association (KCA) filed a protest of the Application, also alleging that approval of the Application would have a negative impact on the neighborhood’s peace, order, and quiet. The Alcoholic Beverage Regulation Administration (ABRA) assigned Case No. 13-PRO-00008 to this protest.
By letter dated April 9, 2013, the ANC filed a protest of the Application to Renew Respondent’s license, alleging that the approval of the Application would have a negative impact on the neighborhood’s peace, order, and quiet. By letter dated April 29, 2013, the KCA filed a protest of the Application, also alleging that approval of the Application would have a negative impact on the neighborhood’s peace, order, and quiet. ABRA assigned Case No. 13-PRO-00034 to this protest.
Both Protestants request that the Alcoholic Beverage Control Board (Board) deny the applications as presented and subject them to conditions similar to those contained in settlement agreements entered into by other establishments in Adams Morgan. The Board finds in favor of the Applicant, and (i) approves the change of hours for the Premises and the Sidewalk Café and (ii) renews the Applicant’s license with conditions. The Board finds that Applicant’s operation, in and of itself, does not have a demonstrated negative impact on the neighborhood’s peace, order, and quiet. Moreover, the (ABRA) investigation of the Applicant’s operations, including repeated observations of the establishment, found that there were no significant impacts on the peace, order and quiet of the neighborhood. Moreover, the failure of Respondent to enter into a Settlement Agreement with Protestants is not a protest ground, not is the lack of a Settlement Agreement determinative of whether an establishment is or will negative impact on the peace, order and quiet of a neighborhood. The Board does, however, find merit in certain conditions requested by Protestants to prevent negative impacts on peace, order and quiet and therefore approves these applications subject to the conditions set forth below.
**PROCEDURAL BACKGROUND**
A. **Case No. 13-PRO-00008**
ABRA gave notice on February 1, 2013 of Respondent’s Application for a Change in Hours for the Premises and the Sidewalk Café. The ANC, represented by William Simpson, the Chairperson of the ANC, filed a timely opposition to the Application under District of Columbia (D.C.) Official Code § 25-602. The protest ground was the adverse impact on the establishment of peace, order and quiet pursuant to D.C. Official Code § 25-313. The KCA, represented by Dennis James, the President of the KCA, also filed a timely opposition to the Application under D.C. Official Code § 25-602. The protest ground was the adverse impact on the establishment of peace, order and quiet pursuant to D.C. Official Code § 25-313. Both Protestants stated on their Protest Information Forms (PIF) that were filed with the Board that the lack of a Settlement Agreement with
Respondent would likely lead to the establishment having a negative impact on the peace, order and quiet of the community.
The parties came before the Board for a Roll Call Hearing on April 1, 2013 and a Protest Status Hearing on May 15, 2013. The Protest Hearing occurred on June 12, 2013.
B. Case No. 13-PRO-00034
ABRA gave notice on March 15, 2013 of Respondent’s Application to Renew a Retailer’s Class CR License. The ANC, represented by William Simpson, the Chairperson of the ANC, filed a timely opposition to the Application under D.C. Official Code § 25-602. The protest ground was the adverse impact on the establishment of peace, order and quiet pursuant to D.C. Official Code § 25-313. The KCA, represented by Denis James, the President of the KCA, also filed a timely opposition to the Application under D.C. Official Code § 25-602. The protest ground was the adverse impact on the establishment of peace, order and quiet pursuant to D.C. Official Code § 25-313.
The parties came before the Board for a Roll Call Hearing on May 13, 2013 and a Protest Status Hearing on June 19, 2013. The Protest Hearing occurred on August 7, 2013.
FINDINGS OF FACT
The Board, having considered the evidence, the testimony of the witnesses, the arguments of the parties, and all documents comprising the Board’s official file, makes the following findings:
I. Protest No. 13-PRO-00008
A. Investigator Felicia Martin
1. ABRA Investigator Felicia Martin conducted an investigation of the Application, and authored the Protest Report submitted to the Board. Transcript, June 12, 2013 at 20; see generally ABRA Protest File No. 13-PRO-00008, Protest Report. The Applicant’s establishment sits in a C-3-B commercial zone, which permits matter-of-right medium density commercial development and housing. Id. at 3. ABRA’s records show that there are seventy-one ABRA licensed establishments located within 1,200 feet of the establishment: forty-three restaurants, sixteen taverns, three Class A stores and nine Class B Stores. Id. at 4–5, Tr. at 26. There are no recreation centers, public libraries, schools, or day care centers operating within 400 feet of the establishment. Id. at 4. A review of Metropolitan Police Department (MPD) records indicates that seven calls for service were made to the establishment’s address for the period from May 30, 2012 through May 29, 2013, but none involved or was related to the establishment’s operation. Id. at 11.
2. The establishment’s hours of operation are from 10:00 a.m. to 2:00 a.m. on Sunday, 5:00 p.m. to 1:30 a.m. Monday through Thursday, 5:00 p.m. to 3:00 a.m. on Friday and 10:00 a.m. until 3:00 a.m. on Saturday, with alcohol sales permitted during all hours of operation. Protest Report at 8. The establishment’s hours of operation for the sidewalk café are 12:00 p.m. to 10:00 p.m. on Sunday, 5:00 p.m. to 1:30 a.m. Monday through Thursday and 5:00 p.m. until 2:00 a.m. on Friday and Saturday, with alcohol sales
permitted during all hours of operation. *Id.* The establishment’s hours of operation for entertainment are Sunday between 10:00 p.m. and 1:00 a.m., Monday through Thursday from 8:00 p.m. until 1:00 a.m. and on Friday and Saturday from 9:00 p.m. until 1:00 a.m. *Id.*, Ex. 3. The establishment’s proposed hours of operation are 8:00 a.m. until 2:00 a.m. on Sunday through Thursday and 8:00 a.m. until 3:00 a.m. on Friday and Saturday, with alcohol sales permitted during all hours of operation. *Id.* at 9. The establishment’s proposed hours of operation for the sidewalk café are 8:00 a.m. until 2:00 a.m. on Sunday through Saturday, with alcohol sales permitted during all hours of operation. *Id.*
Investigator Martin testified that the proposed hours were consistent with those of other establishments within the area. *Transcript* at 27.
3. The establishment does not provide off-street parking, but there is on-street parking along 18th Street and Columbia Road, as well as a 262 space private parking garage on the same block. *Protest Report* at 7. There are five Metrobus routes within walking distance of the establishment. *Id.* at 8. Investigator Martin visited the Applicant’s establishment on seven separate occasions between May 21, 2013 and May 28, 2013. *Id.* at 9-10. None of the visits showed any issues with regard to adequate peace, order and quiet issues, as the establishment had not begun operations and was closed. *Id.* at 10.
4. Investigator Martin testified that she interviewed Mr. Denis James during the preparation of her Protest Report. *Protest Report* at 2, *Transcript* at 22. Mr. James stated that his concern was that loud music would emanate from the establishment and that there would be loud patrons on the sidewalk café. *Id.* He further stated that he wanted assurances that the music and sound would be contained within the establishment and that no music would be played on the sidewalk café. *Id.* Investigator Martin was unable to reach Mr. William Simpson. *Protest Report* at 3.
5. Investigator Martin also interviewed Ms. Amy Bowman, one of the owners of the establishment. *Protest Report* at 3, *Transcript* at 23. Ms. Martin testified that Ms. Bowman told her that she was not new to the restaurant business and that she understood the concerns that the restaurant might morph into a nightclub but that her intention was to operate a French bistro-style restaurant, which was the reason that they had hired a chef for this restaurant. *Id.*, *Tr.* at 23-25. Investigator Martin visited the establishment and saw a fully equipped kitchen with all new appliances, which she stated was consistent with Respondent’s proposed operations as a restaurant. *Tr.* at 25, 39; *Protest Report*, Ex. 14-14D.
**Brent Sick**
6. Mr. Sick stated that he was the executive chef of the establishment as well as another establishment owned by Respondent’s owners. *Transcript* at 59. Mr. Sick stated that the earlier opening hours would allow the establishment to serve breakfast and brunch. *Tr.* at 71. He also stated that his intent was, consistent with its operations as a French-bistro style restaurant, to keep the kitchen open at least until two hours before the proposed closing time. *Tr.* at 75.
C. Scott Auslander
7. Mr. Auslander testified concerning the application. *Transcript* at 93. He stated that his establishment was intending to operate similarly to a former French bistro located on Pennsylvania Avenue at which he used to work, which stayed open late, as did its kitchen. *Tr.* at 94-95. Mr. Auslander testified that the change in hours request was heavily weighted toward the beginning of the day so that the establishment could provide both breakfast and lunch. *Id.* He further testified that the request for an additional half hour in the evening during the week was simply to accommodate potential late night food business in Adams-Morgan and was consistent with the establishment’s concept as a French Bistro. *Tr.* at 94-95, 127. According to Mr. Auslander, the establishment’s proposed additional hours of operation for the premises and the sidewalk café would allow it to match those of his neighbors. *Tr.* at 96. He further stated his belief that having customers and employees outside on the sidewalk café reduced loitering and created order on the adjacent sidewalk. *Tr.* at 96-97. Mr. Auslander stated that he was a “hands-on” operator and generally stayed at the establishment until well after closing. *Id.* He also stated that he had met with Protestants a number of times and that he was told by Protestants that they did not have any issues with the establishment or with the part of the request that sought to authorize earlier hours for the establishment but that the crux of their objection was that the establishment would not enter into a settlement agreement with them. *Tr.* at 98, 122. Mr. Auslander acknowledged that there are residential buildings across the alley from the establishment but that the establishment was oriented toward 18th Street and therefore should not have any negative impact on residents. *Tr.* at 103. Moreover, he stated his belief that many residents of Adams-Morgan, like him, who do not have outdoor patios, terraces or backyards value sidewalk cafes as a way of having usable outdoor space in the neighborhood. *Tr.* at 110.
D. Denis James
8. Mr. James testified that the majority of crime calls in the Adams-Morgan area occurred between 12:00 a.m. and 4:00 a.m. and that patrons of sidewalk cafes were vulnerable to crime as well as being a source of noise complaints. *Transcript* at 187. He further testified about the number of police calls to the establishment’s address over the past five years, not to establish that these calls had anything to do with the establishment’s operations but to show the types of incidents that have occurred in the neighborhood. *Tr.* at 188. He then stated that many of the establishments along 18th Street had agreed not to request their full legally allowed hours for operation of either their inside premises or their outdoor sidewalk café, although he did concede that many establishments also are open both inside and outside up until the legally required closing hour. *Tr.* at 188-191, 205. Further, he referred to the Adams-Morgan moratorium rulemaking which he said contained a finding that there was a disturbance of the peace, order and quiet of residents in the later hours. *Tr.* at 192. He also stated that Respondent had not attempted to negotiate in good faith a settlement agreement with the KCA or the ANC. *Id.* Mr. James conceded that no one had ever raised a concern about the establishment at a KCA meeting. *Tr.* at 194. Under questioning by the Board, Mr. James agreed that a requirement for the establishment to keep its windows closed when entertainment was being provided on the inside and to refrain from having amplified music on the sidewalk café would help to alleviate some of his concerns. *Tr.* at 213-214. However, he still objected to the evening change of hours both for the inside and outside of the establishment. *Tr.* at 217.
E. William Simpson
9. Mr. Simpson expressed his concern about Respondent’s unwillingness to enter into a settlement agreement similar to one into which many other establishments had entered and that the standard agreement’s terms established an operational baseline for commercial establishments that the ANC had established over time. *Tr.* at 246. Under Board questioning, Mr. Simpson stated that he did not have enough of a track record with the establishment to express a view as to whether the establishment was problematic but that he had not had any issues with any of the other establishments operated by Respondent’s owners. *Tr.* at 250. Mr. Simpson stated that, as conditions imposed on Respondent for Board approval of the additional evening hours, the Respondent should be prohibited from having amplified sound on the sidewalk café, should be required to keep its windows closed when entertainment is being provided on the premises and should be prohibited from participating in pub crawls. *Tr.* at 252-253.
II. Protest No. 13-PRO-00034
A. Felicia Martin
10. ABRA Investigator Felicia Martin presented her findings as contained in the Protest Report that she had prepared for this matter. See, *Transcript, August 7, 2013 at 13; see generally ABRA Protest File No. 13-PRO-00034, Protest Report*. Her Protest Report was essentially an update of the Protest Report that she had prepared for Protest No. 13-PRO-00008. Subsequent to the June 12, 2013 Protest Hearing in Case No. 13-PRO-00008, Investigator Martin again spoke both with Denis James, President of the KCA and Amy Bowman, one of the owners of the establishment, who both stated that they had nothing to add to their statements contained in the Protest Report for Case No. 13-PRO-00008. *Protest Report* at 2-3. Investigator Martin visited the Applicant’s establishment on seven separate occasions between July 3, 2013 and July 20, 2013. *Protest Report* at 9-10; *Tr.* at 14. On each visit, the establishment was open and no noise was heard emanating from the establishment, nor was any loitering observed. *Id.* There had not been any new MPD calls for service since the date of the Protest Report in Case No. 13-PRO-00008. *Protest Report, Ex. 12.* Investigator Martin testified that there were no potential issues raised during her visits that would have indicated that the establishment had a negative impact on the peace, order and quiet of the neighborhood. *Tr.* at 21.
B. Scott Auslander
11. Mr. Auslander testified concerning the PIF submitted by Protestants and noted that, rather than state how the establishment’s license renewal would negatively impact on the peace, order and quiet of the neighborhood, Protestants simply listed requested conditions for renewal that were nothing more than the conditions that Protestants would have had Respondent agree to in a settlement agreement. *Tr.* at 23-27. He further testified that, to his knowledge, there had not been any issues raised with regard to noise resulting from the establishment operations, either in its current iteration or as previously operated. *Tr.* at 51. Mr. Auslander testified that he did not have any intent to play music in the interior of the establishment so that it could be heard on the sidewalk café because the volume would have to be at such a level that it would disturb the inside patrons. *Tr.* at 77. He also stated
that he did not intend to play music on the sidewalk café. *Tr.* at 78. Mr. Auslander testified that, with regard to potential loitering, he addresses loitering in front of his establishments as it occurs, which is one of the reasons that he stations an employee outside of the establishment. *Tr.* at 82.
**C. Denis James**
12. Mr. James testified that his concerns were related to the lack of a settlement agreement with Respondent and that such concerns should therefore be addressed through Board ordered conditions on Respondent’s renewal. *Transcript* at 129. He stated that there was not a sufficient baseline of operations for the establishment to determine whether the peace, order and quiet were negatively impacted by its operations but that conditions were necessary in order to ensure that the establishment operated in accordance with the representations made in Respondent’s application and by Respondent before the Board. *Id.* Mr. James conceded that, in his experience, there have not been any noise issues with the establishment. *Tr.* at 142.
**D. William Simpson**
13. Commissioner Simpson testified that he was happy to see the establishment open for business and that it was an attractive establishment that seemed to have its act together. *Transcript* at 147. Nevertheless, it was his belief that conditions needed to be placed on Respondent to ensure that the establishment continued to operate as was represented in its renewal application and that it operated in a manner that respected the standards that the community was trying to establish for restaurants, taverns and nightclubs located on 18th Street in the Adams-Morgan area. *Tr.* at 151. Mr. Simpson stated that the main conditions that would be necessary would include (i) a prohibition on pub crawls, as they had historically been very unruly and disruptive to the neighborhood, (ii) a prohibition on cover charges and (iii) a requirement to keep exterior windows closed when entertainment was being provided or music being played. *Tr.* at 161-163.
**CONCLUSIONS OF LAW**
The Board has the authority both to approve a substantial change in an applicant’s Retailer’s Class CR license and to renew an establishment’s license if we deem the license renewal and the substantial change appropriate for the neighborhood in which the establishment is located and the Applicant otherwise qualifies for licensure. D.C. Code §§ 25-762, 25-404, 25-301, 25-313, 25-315. We may also impose conditions on the renewal of an Applicant’s license if we deem such conditions to “be in the best interest of the locality, section, or portion of the District where licensed establishment is . . . located.” D.C. Code § 25-104(e).
**I. Peace, Order, and Quiet**
Protestants argue that (i) renewing the Applicant’s license and (ii) approving additional hours for the premises and the sidewalk café will have a negative impact on the neighborhood’s peace, order, and quiet. While we appreciate the Protestants’ concerns about the effect of existing licensed establishments along 18th Street, NW on the quality of life for visitors and residents alike, Protestants’ have provided absolutely no testimony or
documentary evidence that Respondent’s establishment negatively impacts on the neighborhood’s peace, order, and quiet.
By law, the Board is required to examine “[t]he effect of the establishment on peace, order, and quiet . . . .” D.C. Code § 25-313(b) (2). While we acknowledge the Protestant’s concerns about issues of crime, loitering and late night noise in the Adams-Morgan corridor, we do not find that the establishment’s operations or the proposed increase in the establishment’s hours will have any significant negative impacts on the peace, order and quiet of the surrounding community. ABRA’s investigation concluded that there was no such impact on the community by this establishment. Protest Report at 10. Testimony during the hearings did not disclose any negative impacts on the community by the restaurant currently located on the premises nor by the previous iterations of establishments occupying the premises. Moreover, testimony concerning MPD calls to the establishment’s address did not establish that such calls were in any way related to Respondent’s operations. Protestants simply appear to be attempting to correlate Respondent’s unwillingness to enter into a settlement agreement with Protestants with the establishment having a negative impact on the peace, order and quiet of the neighborhood. This fact, in and of itself, does nothing to establish whether Respondent’s establishment has or will have a negative impact on the community. Indeed, Respondent provided ample testimony and evidence that the establishment would be operated as a full-service restaurant that, because of its style, necessitated late evening hours. The evidence provided by Respondent and ABRA’s investigator showed that Respondent has installed a culinary kitchen on the premises, which would not be necessary if Respondent intended to operate as a nightclub or a tavern. Moreover, should Respondent seek to operate other than as a full service restaurant, Respondent would have to apply to and seek the Board’s approval for such a change, at which point Protestants would have ample opportunity to present their views as to the change.
By law, as part of its determination on the establishment’s effect on peace, order and quiet the Board must also consider whether the establishment will create noise in violation of D.C. Official Code § 25-725. § 25-313(b) (2). Noise is Protestant’s primary concern with the operation of the establishment. Inspector Martin noted in her report that, from her numerous observations of the establishment in connection with this application, there was no activity that would indicate an issue with noise. Protest Report at 10. No testimony was presented by Protestants establishing that Respondent’s operations created any noise issues. However, the Board finds that Protestants did raise specific concerns regarding noise that may be considered generic to the establishments in Adams Morgan and that may reasonably be anticipated to disturb the neighborhood in the same manner. These concerns involve pub crawls and amplified music which historically have disturbed the peace, order and quiet in the neighborhood. The Board imposes conditions in this order to address those concerns.
In addition, the Board must further consider whether the establishment will create litter in violation of D.C. Official Code § 25-726. § 25-313(b) (2). Under §25-726, “The licensee under a retailer’s license shall take reasonable measures to ensure that the immediate environs of the establishment, including adjacent alleys, sidewalks, or other public property immediately adjacent to the establishment, or other property used by the licensee to conduct its business, are kept free of litter.” D.C. Code § 25-726(a). No testimony was provided indicating that the establishment’s operations had any impact on
litter. Testimony was provided by Respondent that the two bins in the rear of the establishment, one for trash and one for recycling, were more than sufficient for Respondent’s operations and were regularly emptied.
Therefore, we conclude that renewing the Application does not threaten the neighborhood’s peace, order, and quiet.
II. Conclusion
We are only required to produce findings of fact and conclusions of law related to those matters raised by the Protestants in their protests. See Craig v. District of Columbia Alcoholic Beverage Control Bd., 721 A.2d 584, 590 (D.C. 1998) (“The Board’s regulations require findings only on contested issues of fact.”); 23 DCMR § 1718.2. Accordingly, based on our review of the two applications and the record, we find the Applicant has generally demonstrated its good character and fitness for licensure, and has satisfied all remaining requirements imposed by Title 25 of the D.C. Official Code and Title 23 of the D.C. Municipal Regulations. We find two of the conditions requested by Protestants are justified and will help to ensure that the establishment does not have a negative effect on the surrounding residential neighborhoods. Accordingly, we approve the two applications subject to the following conditions: (i) Respondent will not participate in any pub crawls, as such term is defined in 23 DCMR § 712; and (ii) Respondent will keep its exterior doors (except for normal and emergency ingress and egress) and windows closed when amplified music is being played inside the establishment.
ORDER
Therefore, the Board, on this 18th day of September, 2013, hereby ORDERS that
1. The Application to Renew a Retailer’s Class CR License filed by Tas, LLC t/a Libertine is GRANTED.
2. The Application to Change Hours of Operation and Sales/Service/Consumption of alcoholic beverages for the interior and the outdoor sidewalk café filed by Tas, LLC t/a Libertine is GRANTED.
3. Respondent shall not participate in any pub crawls, as such term is defined in 23 DCMR § 712.
4. During all hours of operation and sales, when Respondent is playing amplified music within the establishment, Respondent shall keep its exterior doors (except for normal and emergency ingress and egress) and windows closed.
5. The Alcoholic Beverage Regulation Administration shall distribute copies of this Order to the Applicant and the Protestant.
Under 23 DCMR § 1719.1 any party adversely affected may file a Motion for Reconsideration of this decision within ten (10) days of service of this Order with the Alcoholic Beverage Regulation Administration, Reeves Center, 2000 14th Street, NW, 400S, Washington, D.C. 20009.
Also, under section 11 of the District of Columbia Administrative Procedure Act, Pub. L. 90-614, 82 Stat. 1209, D.C. Official Code § 2-510 and Rule 15 of the District of Columbia Court of Appeals, any party adversely affected has the right to appeal this Order by filing a petition for review, within thirty (30) days of the date of service of this Order, with the District of Columbia Court of Appeals, 500 Indiana Avenue, N.W., Washington, D.C. 20001. However, the timely filing of a Motion for Reconsideration under 23 DCMR § 1719.1 stays the time for filing a petition for review in the District of Columbia Court of Appeals until the Board rules on the motion. See D.C. App. Rule 15(b).
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Atomization Characteristics by Impingement of Circular Arranged Triple Jets: Off-center Effects
Lin Hou\textsuperscript{1,2}, Dawei Zhang\textsuperscript{*1}, Xuejun Fan\textsuperscript{1,2}
\textsuperscript{1} State Key Laboratory of High-Temperature Gas Dynamics, Institute of Mechanics (CAS), Beijing, China
\textsuperscript{2} School of Engineering Science, University of Chinese Academy of Science, Beijing, China
*Corresponding author email : email@example.com
Abstract
Atomization characteristics by impingement of circular arranged triple-jets is experimentally investigated in the present study with emphasis on the off-center impinging effects. Corresponding experimental apparatus was established to spatially and temporally capture the atomization process by employing a high-speed camera and Phase Doppler Particle Analyzer (PDPA). Jet impinging parameter, $B$, is defined to quantitatively describe the off-center effect, and the desired value of $B$ is guaranteed by the intelligent 3D-printing manufacturing technology. From the experimental results, the structure of liquid sheet and ligament formed by head-on and off-center impingement were both observed. It is found that firstly, there exists two types of the structure of the liquid sheet, i.e., closed rim and open rim, in the interested range of impinging conditions. Transition between the two regime is substantially affected by the combination of impinging We and $B$. Specifically, smaller $B$ would be needed to achieve the open rim at larger impinging We. The results show that the larger value of $B$ leads to smaller SMD of droplets.
Keywords
atomization, jet impingement, spray characteristics, SMD, off-center effect.
Introduction
Atomization by impingement of two or multiple cylinder jets provides certain advantages in terms of the effectiveness of spray and mixing between the ejecting liquids. Such property is responsible for the wide utilization of jet-impinging spray in liquid-fueled combustors, especially in liquid rocket propulsion engines where the fuel and oxidizer need to mix with each other before burning. In order for a desired mixture ratio of fuel/oxidizer, various arrangements of the number of impinging jets may hold applicability, while the type of injector equipped with triplet-jet has been tested as the best one with regard to both the mixing performance and combustion stability[1, 2].
Compared to the double-jet impingement, atomization by triple impacting jets called relatively limited awareness due to its intrinsic complexity and the asymmetric trait. Understanding of such spray process necessitates further efforts despite the existing results that can be inherited from those in double-jet impingement [3-11]. Among the finite number of papers on such problems, Riebling et al. [12] first tested the mixing efficiency of triplet-jet injector and reported that the parameter of ratio of the liquid flow rate plays a critical rule in the mixing between the impinging jets. Yoon et al. [13] further examined the spray mixing characteristics of liquid bi-propellants in a fuel-oxidizer-fuel (F-O-F) type of impinging injector. By measuring mass distribution of both oxidizer and fuel, the mixing efficiency was verified higher in triplet-jet injector than in other types. Nevertheless, as the jets in their study were arranged in a line within the plane that contains them, the liquid sheet formed was observed confined inside a flat surface perpendicular to the ejecting plane and the atomized droplets
thus distributed mainly within a narrow area at each cross-section of the liquid sheet. Panão proposed a three-dimensional structure of the liquid sheet formed by impingement of three pieces of jets where the orifices are arranged circumferentially in space [14]. A type of injector integrated with such pattern of jet orifices was reported in their serious studies [15-17], where the structure of liquid sheet was captured and the dispersion pattern of size and velocity of the atomized droplets was measured. Being with an investigation background of depositing liquid onto a solid surface, the authors mainly focus on development of droplet dispersion pattern with regard to time at specific operating conditions. While for the application in combustors, the dependence of steady tri-dimensional spray characteristics on various dynamical impacting parameters is of great importance with regard to droplet distribution, of which a pattern will affect the subsequent spatial configuration of the fuel/oxidizer vapors and heat release during combustion.
Among the predominant dynamical parameters effecting in jet impingement emerges one factor that quantifies the relevance of head-on impact of jets to the off-center impingement that tends to shear apart the interacting jets. A similar topic also arises in the investigation of binary droplet collisions, whereby a correlating nondimensional parameter, $B$, has been well defined and employed to describe the off-center collisions. It is found in these studies that $B$ will facilitate the formation of liquid ligament and thus the smaller satellite drops, and gain interaction and mixing between the colliding droplets through shear stretching force [18].
Concerns to the off-center impacting effects in jet-impingement atomization are consequent upon the inevitable existence of misalignment of the impinging jets, which is caused by the limited accuracy of manufacture [17]. H.gadgil et al. [19] quantified the fraction of skewness of the impinging jets by the ratio of the offset distance to the jet diameter. In virtue of measuring the mass distribution and the atomizing Sauter Mean Diameter, a non-zero component of the moment in the direction of jet propagation was certified leading the formed liquid sheet to deflection when two misaligned jets impinged at one point. S.Birnal et al. reported the allowable maximum misalignment of the jets and concluded that if the jet skewness exceeds some certain value, it turns to act as a controlling parameter to the atomization [20]. Despite the existing results, systematic investigation of the misaligned impinging effects on liquid sheet and atomization characteristics still merits efforts.
Based on the earlier mentioned gaps in literature, the present work intends to contribute with experimental evidence and physical understanding to the liquid sheet structure and droplet distribution in atomization by impingement of circumferentially arranged triple jets under the off-center impacting effects. Following this brief introduction to the problem, the experimental setup is presented in Section 2. Afterwards the analysis and discussion of the experimental phenomena presented in Section 3. Finally, concluding remarks are draw pointing to the future work.
2. Experimental apparatus and measurement methodology
Figure 1a schematizes all the experimental facilities applied in the present work, including the fluid controlling system, jet-impinging injector, and measurement system. High-speed camera and the Phase Doppler Particle Analyzer (PDPA) are employed to record the configuration of jets, liquid sheet, liquid ligament and droplets and to measure the droplets size, velocity and their spatial distribution, respectively.
As to liquid controlling system, water is supplied to the injector from a 500 dm$^3$ volumetric tank, and a piston pump is utilized to pressurize the water up to 3.0 MPa. Diameter of the feedlines of the liquid controlling system is fourfold as that of the orifice of injector to ensure a negligible pressure drop along the pipes. After being pumped, the testing pressurized
water branches into two separated passes. The main pass is directing toward the injector, while the other leading back to the liquid tank. The mass flow rate in the main flow-pass is precisely regulated by adequately switching the needle valve set on each flow-pass. The exact value of flow rate and pressure of the supplied water are monitored and measured through flownmeter and pressure gauge respectively. Volumetric flow rate in the present work ranges from 2 to 14g/s, and the ejecting pressure over 1~2MPa.
Visualization of the atomization process is achieved by a set of high speed of camera of Phantom V711 with the recording rate at 5000fps and the exposure time being of 10μs which is assured short enough to freeze the motion on image in one shoot. The lighting source equipped with a 200 mm × 200 mm sized optical diffuser is an intensive halogen lamp.
The PDPA system used herein consists of a 3-D traversing displacement integrated with three mutually perpendicular arms, laser transmitter, laser receiver, a Real-Time Signal Analyzer (RSA) and controller, as shown in Fig. 1a. Four laser beams from the transmitter lies at two kinds of the wavelength of 561nm (referred to yellow light) and 532nm (referred to green light). A commercial software helps to analyze the information acquired from the laser beams. Both the laser transmitter and the receiver are mounted on the traverse arms, whose movement are controlled by the traverse controller. The laser transmitter is installed perpendicular to the traverse arm, and the receiver is oriented at an angle of 147°.
As the major focus in present lies on the steady character of the spray, presentative measuring cross section is selected at a distance $l = 50d_i$ from the injector facet, as shown in Fig. 1b, under the consideration of practical atomization length in combustors. A measuring frame squared by 100mm×100mm in Y-Z plane ensure all the features of the spray being covered within detecting area of PDPA. Figure.1b shows the specific layout of measurement points and scan trajectory of PDPA in the measuring frame. A strategy of
circitous arrangement of the measuring point is applied with one measuring step of 5mm to suffice the requirement of spatial resolution of the acquired spray structure. The measurement errors from PDPA herein, caused by broadening phenomenon of the Doppler frequency in the measurement, are within 1% and 3% for droplet velocity and size respectively.
3. Definition of off-center impact parameter
Figure 2a illustrates the arrangement of jets that impacting onto one point. The orifices of three jets distribute equally around a circle contained in Z-Y plane (the injector facet). In order for unambiguous description of how the jets interact with each other, we adopt two projected directions, namely view T and view L, to the impingement structure. In view T, the off-center trajectory of impinging jets can be presented that each jet pivot to some certain angle $\theta$, as shown in Fig. 2b, clockwise around the central axis of its orifice. For small values of $\theta$, distance between each two adjacent off-center impinging jets approximately equals to the chord length, $\Delta d$, as shown in view L. Therefore, the ratio of misaligned distance between the impinging jets to jet radius appropriately serves as the parameter, $B$ that quantitatively describes the off-center impacting effects as:
$$B = \frac{\Delta d}{d} = \frac{2l \sin \theta}{d}$$ \hspace{1cm} (1)
where $l$ is the jet pre-impingement distance; $\theta$ is the angle of jet deflection; and $D$ is the jet diameter.
Results and Discussion
3.1 The off-center effects on atomization behavior
Regarding the definition of $B$, the previous chapter gave a detailed explanation. The content of the present study is mainly on experimentally investigating atomization modes by multiple jets impingement under deferring off-center impact parameter, $B$. Injector integrated with
three water jets is employed herein to provide the impinging event. Fabrication of these injectors with different off-center impact parameters are guaranteed by virtue of the intelligent manufacturing technology. Observe the atomization behavior under the same camera view as that of the head-on impingement. It can be seen from Figure 3 that triple jets merged into a fishbone-like liquid sheet. Under various forms of instability, liquid sheet breakup into ligaments, and then disintegrate into drops. And under the same $We$, as $B$ increases, the tip of the liquid sheet no longer be closed. Figure 4 shows the relation between the sheet configuration and the $We$ and $B$. It can be seen that open tip or closed tip is in turn influenced by the combination of impinging $We$ and $B$. The larger $B$ is, it is easier to achieve the open tip of the liquid sheet, that is, increasing $B$ will promote the formation of liquid ligaments. In particular, it can be found that, the central spine—the projection of the third liquid sheet is no longer in the middle, but is off-center to the left (when $B$ is small) or right (when $B$ is large).
In order to explain this phenomenon, we make reasonable guesses. Take the liquid sheet produced by the off-center impingement atomization with $B=0.2$ and $B=0.8$ as an example, shown as fig. 5a. When $B=0.2$, a little part of the jet not collide at the impinging point has an inertial force in the jet direction, which changes the liquid sheet original extension direction. In the view T shown in Figure 5b, the liquid sheets appears to deflect clockwise. When $B$ is large ($B=0.8$), there is only a small part of each jet used for the head-on impingement, most of the jets are not involved in the collision, and the shear effect between the two parts produces a shear stretch force in the opposite direction, causing the sheets counterclockwise deflection from the original extension direction, as shown in Figure b. When the impinging $We$ increases and the shear tensile force is greater than the surface tension, the liquid sheet is rapidly stretched and breakup into ligaments and drops.
3.2 The off-center effects on atomization droplets characteristics
In the field of atomization, the droplets size and distribution are direct factors to measure the quality of atomization. Using the same working conditions as the above-mentioned liquid sheet characteristics research experiment, within a measuring frame of 100×100mm, the spray droplet size and spatial distribution information are obtained by PDPA measurement.
Figure 6 is a cloud diagram of the spray droplets number distribution with different off-center impingement parameters ($B=0, 0.2, 0.6, 0.8$) under the fixed impinging $We$. To some extent, it shows the spatial distribution of atomized particles on the horizontal slices of the spray. It can be seen that there are three obvious flow concentration zones in the figure, and the distribution is similar to the liquid sheet structure shown in the view T in Figure 5b. That is, in a head-on impingement, the three flow concentration zones are distributed symmetrically and equidistantly. Under the influence of $B$, the three zones will be twisted counterclockwise or clockwise.
the Sauter Mean Diameter (SMD) is an important parameter to measure the quality of atomization. Figure 7 shows the variation of SMD with off-center impinging parameters under different impinging $Wes$. It can be seen from the figure that increasing the $B$ can reduce the SMD, so it can be concluded that if the SMD is used as a measurement standard, increasing the eccentricity is beneficial to atomizing smaller droplets.
Conclusions
(1) Sheet breakup regime is in turn influenced by the combination of impinging $We$ and $B$. The larger $B$ is, it is easier to achieve the open tip of the liquid sheet, that is, increasing $B$ will promote the formation of liquid ligaments.
(2) Comparing with the liquid sheet formed by head-on impingement atomization, the location of the three sheets is changed. When $B$ is small, a little part of the jet not collide at the impinging point has an inertial force in the jet direction, which changes the liquid sheet original extension direction, and the liquid sheets appears to deflect clockwise. When $B$ is large, there is only a small part of each jet used for the head-on impingement, most of the jets are not involved in the collision, and the shear effect between the two parts produces a shear stretch force in the opposite direction, causing the sheets counterclockwise deflection from the original extension direction.
(3) Increasing off-center effect parameter $B$ can obtain smaller SMD.
Acknowledgments
The work was supported by LHD Youth Innovation Fund (LHD2019CX01), IMECH, CAS, and the authors is grateful to Mr. Yueming Yuan of Institute of Mechanics, Chinese Academy of Sciences, for helping in acquiring high-speed camera.
References
[1] Panão, M. R. O., and Delgado, J. M. D., 2014, “Toward the design of low flow-rate multijet impingement spray atomizers,” Experimental Thermal and Fluid Science, 58, pp. 170-179.
[2] Panão, M. R. O., Moreira, A. L. N., and Durão, D. F. G., 2011, “Thermal-fluid assessment of multijet atomization for spray cooling applications,” Energy, 36(4), pp. 2302-2311.
[3] Choo, Y. J., and Kang, B. S., 2002, “The velocity distribution of the liquid sheet formed by two low-speed impinging jets,” Physics of Fluids, 14(2), pp. 622-627.
[4] Choo, Y. J., and Kang, B. S., 2003, “A study on the velocity characteristics of the liquid elements produced by two impinging jets,” Experiments in Fluids, 34(6), pp. 655-661.
[5] Dombrowski, N. D., and Hooper, P. C., 2006, “A study of the sprays formed by impinging jets in laminar and turbulent flow,” Journal of Fluid Mechanics, 18(03).
[6] Lin, K. C., and Kennedy, P., 2000, “Spray penetration heights of angle-injected aerated-liquid jets in supersonic crossflows,” 38th Aerospace Sciences Meeting and Exhibit.
[7] Hoffman, J., 1991, “Spray characterization of like-on-like doublet impinging rocket injectors,” 29th Aerospace Sciences Meeting.
[8] Gadgil, H. P., and Raghunandan, B. N., 2010, “Some features of spray breakup in effervescent atomizers,” Experiments in Fluids, 50(2), pp. 329-338.
[9] Jung, S., Hoath, S. D., Martin, G. D., and Hutchings, I. M., 2011, "Experimental study of atomization patterns produced by the oblique collision of two viscoelastic liquid jets," Journal of Non-Newtonian Fluid Mechanics, 166(5-6), pp. 297-306.
[10] Huang, J. C. P., 2006, "The break-up of axisymmetric liquid sheets," Journal of Fluid Mechanics, 43(2), pp. 305-319.
[11] Bremond, N., and Villermaux, E., 2006, "Atomization by jet impact," Journal of Fluid Mechanics, 549(-1).
[12] R.W.Riebling, 1987, "<Criteria for optimum propellant mixing in impingingjet injection elements.pdf>," ENGINEERING NOTES, 4(6), p. 817.
[13] Kim, Sung B., and Youngbin Yoon, 2005, "<Comparison of Mixing Characteristics of Unlike Triplet Injectors Using Optical Patternator.pdf>," Journal of Propulsion and Power, 21(3), p. 7.
[14] Panão, M. R. O., Moreira, A. L. N., and Durão, D. F. G., 2013, "Intermittent multijet sprays for improving mixture preparation with low-pressure injection systems," Experiments in Fluids, 54(6).
[15] Panão, M. R. O., Guerreiro, J. P. P. V., and Moreira, A. L. N., 2012, "Microprocessor cooling based on an intermittent multijet spray system," International Journal of Heat and Mass Transfer, 55(11-12), pp. 2854-2863.
[16] Panão, M. R. O., Correia, A. M., and Moreira, A. L. N., 2012, "High-power electronics thermal management with intermittent multijet sprays," Applied Thermal Engineering, 37, pp. 293-301.
[17] Panão, M. R. O., and Delgado, J. M. D., 2013, "Effect of pre-impingement length and misalignment in the hydrodynamics of multijet impingement atomization," Physics of Fluids, 25(1).
[18] Zhang, D., He, C., Zhang, P., and Tang, C., 2018, "Mass interminglement and hypergolic ignition of TMDA and WFNH fuels in self-centering jets," Combustion and Flame, 197, pp. 276-289.
[19] B.Renganandan, H. G. a., 2009, "<affect of skewness on the characteristics of impinging jet atomizers.pdf>," Atomization Sprays, 19, pp. 1-18.
[20] Subedi, B., Son, M., Kim, W., Choi, J., and Koo, J., 2014, "Spray characteristics of misaligned impinging injectors," Journal of the Korean Society of Marine Engineering, 38(10), pp. 1257-1262.
|
The minitoc package*
Jean-Pierre F. Drucbert, et al.
July 13, 2018
*This document corresponds to minitoc v62, dated 2018/07/12.
# Summary
| Section | Page |
|------------------------------------------------------------------------|------|
| Table of contents | 4 |
| List of figures | 17 |
| List of tables | 18 |
| About this document | 20 |
| I User’s Manual | 22 |
| 1 The minitoc package | 24 |
| 2 Frequently Asked Questions | 56 |
| 3 Memento | 80 |
| 4 Examples of documents | 90 |
| 5 Messages | 151 |
| 6 Jargon | 205 |
| 7 Installation | 242 |
| 8 Postface | 248 |
| II Implementation | 260 |
| 9 Commented code of the minitoc package | 262 |
| 10 Commented code of the mtcoff package | 447 |
| 11 Commented code of the mtcmess package | 464 |
| 12 Patch for the memoir class | 465 |
| 13 Language definition (.mld) and object (.mlo) files | 467 |
| Section | Page |
|-------------------------------|------|
| Summary | 3 |
| III Complements | 559 |
| Bibliography | 561 |
| Changes history | 597 |
| Acknowledgments | 634 |
# Table of contents
**Summary** ................................. 2
**Table of contents** ....................... 4
**List of figures** .......................... 17
**List of tables** ........................... 18
**About this document** .................... 20
## I User’s Manual .......................... 22
### 1 The minitoc package ..................... 24
#### 1.1 Introduction .......................... 25
##### 1.1.1 Important restrictions .............. 26
##### 1.1.2 Version ............................. 26
#### 1.2 License ................................. 26
#### 1.3 Using the minitoc package ............. 27
##### 1.3.1 Loading the package and creating the mini-tables 27
##### 1.3.2 Preparing the mini-tables ............ 27
##### 1.3.3 Placing the mini-tables .............. 29
##### 1.3.4 Starred chapters, parts and sections 33
#### 1.4 Typesetting of the mini-tables ........ 34
##### 1.4.1 Chapter-level mini-tables ............ 35
##### 1.4.2 Titles for chapter-level mini-tables 35
##### 1.4.3 Part-level mini-tables ............... 35
##### 1.4.4 Titles for part-level mini-tables ..... 37
##### 1.4.5 Section-level mini-tables ............ 39
##### 1.4.6 Titles for section-level mini-tables 39
##### 1.4.7 Position of the titles ............... 39
###### 184.108.40.206 For mini-tables at the part level 39
###### 220.127.116.11 For mini-tables at the chapter level 40
###### 18.104.22.168 For mini-tables at the section level 40
###### 22.214.171.124 Summary of the positionning of titles 40
##### 1.4.8 Line spacing in the mini-tables ...... 41
##### 1.4.9 Simplified commands for fonts ....... 41
##### 1.4.10 Simplified command for mini-table titles 42
##### 1.4.11 Simplified command for mini-table depths 42
1.4.12 Simplified command for mini-table offsets .......................... 42
1.4.13 Polymorphic entries in the mini-tables .......................... 43
1.4.14 Languages for the titles ........................................... 44
1.4.15 Altering the layout of the mini-tables .......................... 44
1.5 Special Features ....................................................... 46
1.5.1 Horizontal Rules .................................................. 46
1.5.2 Page Numbers, Leaders .......................................... 47
1.5.3 Features for parttoc and other mini-tables .................... 47
126.96.36.199 Remark about page styles ................................ 49
1.5.4 The “Chapter 0” Problem (solved) ............................. 49
1.5.5 Special Entries in the TOC ...................................... 50
1.6 The notoccte option .................................................. 52
1.7 The listfiles and nolistfiles options ................................. 52
1.8 The hints option ...................................................... 52
1.9 Usage with MS-DOS .................................................... 54
1.10 Why several \LaTeX runs are required? ............................. 55
1.11 The mtcoff package .................................................. 55
2 Frequently Asked Questions ............................................. 56
2.0 Introduction ......................................................... 57
2.1 Avoiding a page break near the rules before and after a mini-table 58
2.2 Implementing others layouts for a mini-table ..................... 58
2.3 A “\” command in a contents line makes an error ................. 58
2.4 Reordering chapters makes havoc ................................ 58
2.5 Extensions for the names of auxiliary files ....................... 58
2.6 Playing with the chapter number .................................. 59
2.7 Supported document classes ....................................... 60
2.8 Compatibility with \LaTeX versions ............................... 60
2.9 Other mini-tables ................................................... 60
2.10 Why so many auxiliary files? ..................................... 61
2.11 Mini-tables at levels other than chapter ........................ 61
2.12 Incompatibility with \LATEX2.09 ................................ 62
2.13 Documents resetting the chapter number at each part .......... 62
2.14 The mini-tables have too much spaced lines ..................... 62
2.15 The secttocs are wrong ........................................... 62
2.16 Removing the lines of dots ....................................... 62
2.17 Using the hyperref package with minitoc ......................... 62
2.18 Problem while upgrading minitoc ................................ 63
2.19 A local TOC for the set of appendices ........................... 63
2.20 Use with the appendix package .................................... 64
2.21 Use with the tocloft package ..................................... 64
2.22 Use with the memoir class ........................................ 65
2.23 There are too many commands for fonts, titles, and depths .... 66
2.24 Compatibility with the AMS document classes .................... 66
2.25 Hiding some entries from the main table of contents .......... 67
2.26 Defining your own .mld file ...................................... 70
2.27 Use with the abstract package .................................... 70
2.28 Use with the sectsty package ..................................... 70
2.29 Strange alignment in the minitocs ................................ 71
## Table of contents
2.30 Useful precautions with starred sectionning commands ........................................ 72
2.31 Use with packages for captions ........................................................................... 72
2.32 Bad interaction minitoc/hyperref/memoir .......................................................... 72
2.33 Use with the varsects package ............................................................................. 73
2.34 Initial font settings ............................................................................................... 73
2.35 Use with the KOMA-Script classes ...................................................................... 75
2.36 Use with the jura class or the alphanum package .............................................. 75
2.37 The .m1d files and the babel package ................................................................. 75
2.38 Use with the frncychap package ......................................................................... 75
2.39 Use with the quotchap package .......................................................................... 75
2.40 Use with the romannum package ........................................................................ 76
2.41 Use with the sfheaders package .......................................................................... 76
2.42 Use with the alnumsec package .......................................................................... 76
2.43 Use with the captcont package ............................................................................ 76
2.44 Vertical spaces (gaps) for parttocs, partlofs, and partlots titles ...................... 76
2.45 Vertical spacing before the bottom rule of a mintable ....................................... 77
2.46 Another interaction between the tocloft and minitoc packages ....................... 78
2.47 Use with the hangcaption package ..................................................................... 79
2.48 Use with the flowfram package .......................................................................... 79
### 3 Memento .................................................................................................................. 80
### 4 Examples of documents .......................................................................................... 90
4.1 The mtc-2c.tex document file .............................................................................. 91
4.2 The mtc-2nd.tex document file ............................................................................. 92
4.3 The mtc-3co.tex document file ............................................................................. 93
4.4 The mtc-add.tex document file ............................................................................ 96
4.5 The mtc-ads.tex document file ............................................................................. 100
4.6 The mtc-amn.tex document file ............................................................................ 105
4.7 The mtc-apx.tex document file ............................................................................ 105
4.8 The mtc-art.tex document file ............................................................................. 105
4.9 The mtc-bk.tex document file .............................................................................. 110
4.10 The mtc-bo.tex document file ............................................................................ 115
4.11 The mtc-ch0.tex document file ........................................................................... 119
4.12 The mtc-crl.tex document file ............................................................................ 121
4.13 The mtc-fko.tex document file ............................................................................ 121
4.14 The mtc-fol.tex document file ............................................................................ 122
4.15 The mtc-fo2.tex document file ............................................................................ 123
4.16 The mtc-gap.tex document file ........................................................................... 125
4.17 The mtc-hi1.tex document file ............................................................................ 125
4.18 The mtc-hiz.tex document file ............................................................................ 125
4.19 The mtc-hia.tex document file ............................................................................ 125
4.20 The mtc-hir.tex document file ............................................................................ 126
4.21 The mtc-hop.tex document file ............................................................................ 127
4.22 The mtc-liv.tex document file ............................................................................. 128
4.23 The mtc-mem.tex document file .......................................................................... 132
4.24 The mtc-mml.tex document file ........................................................................... 133
4.25 The mtc-mu.tex document file ............................................................................. 134
4.26 The mtc-nom.tex document file .......................................................................... 136
4.27 The mtc-ocf.tex document file .................................................. 137
4.28 The mtc-ofs.tex document file .................................................. 138
4.29 The mtc-sbf.tex document file .................................................. 140
4.30 The mtc-scr.tex document file .................................................. 141
4.31 The mtc-syn.tex document file .................................................. 143
4.32 The mtc-tbi.tex document file .................................................. 144
4.33 The mtc-tlc.tex document file .................................................. 145
4.34 The mtc-tlo.tex document file .................................................. 146
4.35 The mtc-tsf.tex document file .................................................. 146
4.36 The mtc-vti.tex document file .................................................. 148
5 Messages ......................................................................................... 151
5.1 Introduction .................................................................................. 151
5.2 Messages from the minitoc package ............................................. 153
5.2.1 Informative messages ............................................................ 153
188.8.131.52 Informative messages for hints ........................................... 161
5.2.2 Warning messages .................................................................. 165
184.108.40.206 Warning messages for hints ............................................... 171
5.2.3 Error messages ....................................................................... 187
5.3 Messages from the mtcoff package .............................................. 201
5.3.1 Warning messages .................................................................. 201
5.4 Message from the mtcpatchmem package ...................................... 204
6 Jargon ............................................................................................... 205
7 Installation ....................................................................................... 242
8 Postface ............................................................................................. 248
8.1 The origins .................................................................................... 248
8.2 New design in 1993 ..................................................................... 249
8.3 Developments in 1994 .................................................................. 249
8.4 No developments in 1995 .............................................................. 249
8.5 Developments in 1996 .................................................................. 250
8.6 Developments in 1997 .................................................................. 250
8.7 Developments in 1998 .................................................................. 250
8.8 Developments in 1999 .................................................................. 250
8.9 Developments in 2000 .................................................................. 250
8.10 Developments in 2001 .................................................................. 251
8.11 Developments in 2002 .................................................................. 251
8.12 Developments in 2003 .................................................................. 251
8.13 Developments in 2004 .................................................................. 251
8.14 Developments in 2005 .................................................................. 252
8.15 Developments in 2006 .................................................................. 254
8.16 Developments in 2007 .................................................................. 254
8.17 Developments in 2008 .................................................................. 258
## II Implementation
### 9 Commented code of the minitoc package
| Section | Page |
|------------------------------------------------------------------------|------|
| 9.1 Introduction | 266 |
| 9.2 Identification code | 266 |
| 9.3 A file descriptor to write | 266 |
| 9.4 Indentation and skip | 267 |
| 9.5 Tests and flags | 268 |
| 9.5.1 Flags for the `hintcs` option | 269 |
| 9.5.2 Use of section-level mini-lists of floats | 269 |
| 9.5.3 Presence of some packages and classes | 269 |
| 9.5.4 Flags for packages dealing with floats | 270 |
| 9.5.5 Insertion of empty mini-tables | 271 |
| 9.5.6 Presence or absence of some sectionning commands | 271 |
| 9.5.7 Flags to check if some commands are used | 272 |
| 9.5.8 Check if the document has exactly 2 parts | 273 |
| 9.6 Preparation for the `notoccite` option | 274 |
| 9.7 Preparation for the `tight` and `k-tight` options | 274 |
| 9.8 Preparation to work with `hyperref` | 274 |
| 9.9 Checking the presence of some packages | 275 |
| 9.9.1 Check if the `sectsty` package is loaded, and when | 275 |
| 9.9.2 Check if the `varsects` package is loaded, and when | 275 |
| 9.9.3 Check if the `fncychap` package is loaded, and when | 275 |
| 9.9.4 Check if the `hangcaption` package is loaded, and when | 275 |
| 9.9.5 Check if the `quotchap` package is loaded, and when | 276 |
| 9.9.6 Check if the `romannum` package is loaded, and when | 276 |
| 9.9.7 Check if the `sfheaders` package is loaded, and when | 276 |
| 9.9.8 Check if the `alnurmsco` package is loaded, and when | 276 |
| 9.9.9 Check if the `captopt` package is loaded, and when | 277 |
| 9.9.10 Check if the `caption` package is loaded, and when | 277 |
| 9.9.11 Check if the `caption2` package is loaded, and when | 277 |
| 9.9.12 Check if the `ecaption` package is loaded, and when | 277 |
| 9.9.13 Check if the `mcaption` package is loaded, and when | 278 |
| 9.9.14 Check if the `float` package is loaded | 278 |
| 9.9.15 Check if the `floatrow` package is loaded | 278 |
| 9.9.16 Check if the `trivfloat` package is loaded | 278 |
| 9.9.17 Check if the `rotfloat` package is loaded | 278 |
| 9.10 Is the `memoir` class loaded? | 279 |
| 9.11 Testing the emptiness of a file | 279 |
| 9.12 Internal macros to decrement `minitoc` counters | 281 |
| 9.13 Patching the `\part` command | 281 |
| 9.14 Adding an entry in the TOC for a starred part | 282 |
| 9.15 Section level macros | 282 |
| 9.16 Corrections for numbering | 283 |
| 9.17 Patching the `\section` command | 283 |
| 9.18 Adding an entry in the TOC for a starred section | 283 |
| 9.19 Chapter level macros | 284 |
| 9.20 Patching the `\chapter` command | 284 |
| 9.21 Adding an entry in the TOC for a starred chapter | 284 |
| Section | Page |
|------------------------------------------------------------------------|------|
| 9.22 Miscellaneous declarations | 285 |
| 9.23 Autoconfiguration of extensions | 286 |
| 9.24 Detecting obsolete versions of LaTeX | 287 |
| 9.25 Adding a TOC entry without leaders nor page numbers | 288 |
| 9.26 Default values for the page-number customizations | 288 |
| 9.27 “Features” for the mini-tables | 291 |
| 9.28 Fake tables of contents | 294 |
| 9.29 Depth counters for minilofs and minilotls | 294 |
| 9.30 Chapter level commands | 294 |
| 9.31 Starred parts, chapters or sections | 295 |
| 9.32 Font commands for the mini-tables | 297 |
| 9.33 Internal commands to position the mini-table titles | 297 |
| 9.34 The \mtc@verse environment | 298 |
| 9.35 The \minitoc, \minilof, and \minilot commands | 298 |
| 9.35.1 The \minitoc command | 298 |
| 9.35.2 The \minilof command | 302 |
| 9.35.3 The \minilot command | 305 |
| 9.36 Patching the \chapter command, continued | 308 |
| 9.37 The \addstarred... commands | 309 |
| 9.38 TOC entries without leaders | 309 |
| 9.39 Mini-tables with or without leaders | 310 |
| 9.40 The \dominitoc command and its siblings | 311 |
| 9.40.1 Analysis and splitting of the TOC file | 314 |
| 9.41 Mini-lists of figures | 318 |
| 9.41.1 Analysis and splitting of the list of figures file | 318 |
| 9.42 Mini-lists of tables | 320 |
| 9.42.1 Analysis and splitting of the list of tables file | 321 |
| 9.43 Macro to write a contents line | 323 |
| 9.44 Depth counters for partlofs and partlots | 324 |
| 9.45 Part level commands | 325 |
| 9.46 Fonts for the parttoccs | 326 |
| 9.47 Default titles for part-level mini-tables | 326 |
| 9.48 The \ptc@verse environment | 328 |
| 9.49 The part level mini-tables: \parttoc, \partlof, and \partlot | 328 |
| 9.49.1 The \parttoc command | 329 |
| 9.49.2 The \partlof command | 331 |
| 9.49.3 The \partlot command | 334 |
| 9.50 Auxiliary commands for printing parttocs | 337 |
| 9.51 Patching the \part command, continued | 338 |
| 9.52 The \doparttoc command and its siblings | 338 |
| 9.52.1 Processing macros for the parttoccs | 340 |
| 9.52.2 Processing macros for the partlofs | 344 |
| 9.52.3 Processing macros for the partlots | 346 |
| 9.53 Depth counters for sectlofs and sectlots | 349 |
| 9.54 Section-level commands | 349 |
| 9.55 Fonts commands for secttoccs and co | 350 |
| 9.56 Internal macros for title positionning | 350 |
| 9.57 The \stc@verse environment | 351 |
| 9.58 The \secttoc, \sectlof, and \sectlot commands | 351 |
| 9.58.1 The \secttoc command | 351 |
| Section | Page |
|------------------------------------------------------------------------|------|
| 9.58.2 The \sectlof command | 354 |
| 9.58.3 The \sectlot command | 357 |
| 9.59 Auxiliary internal commands, section level | 359 |
| 9.60 Patching the \section command (continued) | 360 |
| 9.61 The \dosecttoc command and siblings | 361 |
| 9.62 End of section-level commands | 371 |
| 9.63 The \mtcprepare command | 371 |
| 9.64 Use with \nofiles | 372 |
| 9.65 Necessary \L@... commands | 373 |
| 9.66 The horizontal rules and their default values | 374 |
| 9.67 The \mtcset... commands | 375 |
| 9.67.1 Keywords for the \mtcset... commands | 375 |
| 9.67.2 The \mtcsetfont command | 377 |
| 9.67.3 The \mtcsettitlefont command | 381 |
| 9.67.4 The \mtcsettitle command | 382 |
| 9.67.5 The \mtcsetformat command | 384 |
| 9.67.6 The \mtcsetpagenumbers command | 388 |
| 9.67.7 The \mtcsetrules command | 391 |
| 9.67.8 The \mtcsetfeature command | 393 |
| 9.67.9 The \mtcsetdepth command | 395 |
| 9.67.10 The \mtcsetoffset command | 397 |
| 9.68 Polymorphic entries | 398 |
| 9.69 The \mtchideinmaintoc environment and siblings | 399 |
| 9.70 Fixing the “Glossary” entry in the TOC | 401 |
| 9.71 Fixing the “Index” entry in the TOC | 403 |
| 9.72 Fixing the “Nomenclature” entry in the TOC | 404 |
| 9.73 The \mtcselectlanguage command | 405 |
| 9.74 The \mtcloadmlo internal command | 406 |
| 9.75 The “coffee breaks” | 407 |
| 9.76 Initialization of counters | 407 |
| 9.77 Declarations for simple options | 407 |
| 9.77.1 Options tight and loose, k-tight and k-loose | 407 |
| 9.77.2 Options checkfiles and nocheckfiles | 408 |
| 9.77.3 Options dotted and undotted | 408 |
| 9.77.4 Option notoccite | 408 |
| 9.77.5 Option shorttext | 408 |
| 9.78 The \insection option | 408 |
| 9.79 The listfiles and nolistfiles options | 409 |
| 9.80 Language options | 409 |
| 9.81 The hints option | 414 |
| 9.81.1 First part: \mtc@hints@begindoc | 414 |
| 220.127.116.11 Hint about the alphanum package | 415 |
| 18.104.22.168 Hint about the appendix package | 415 |
| 22.214.171.124 Hint about the tocibind package | 415 |
| 126.96.36.199 Hint about the KOMA-Script classes | 415 |
| 188.8.131.52 Hint about the tocloft package | 416 |
| 184.108.40.206 Hint about the titlesec package | 416 |
| 220.127.116.11 Hint about the titletoc package | 417 |
| 18.104.22.168 Hint about the placeins package | 417 |
| 22.214.171.124 Hint about the memoir class | 418 |
126.96.36.199 Hint about the \texttt{amsart} and \texttt{amsproc} classes .......................... 419
188.8.131.52 Hint about the \texttt{amsbook} class .................................................. 419
184.108.40.206 Hint about the \texttt{abstract} package .............................................. 419
220.127.116.11 Hint about the \texttt{jura} class .......................................................... 420
18.104.22.168 Hint about the \texttt{flowfram} package ............................................. 420
22.214.171.124 Hint about the alteration of the sectionning commands ....................... 420
126.96.36.199.1 Alteration of \texttt{\part} .................................................................. 421
188.8.131.52.2 Alteration of \texttt{\chapter} ............................................................ 421
184.108.40.206.3 Alteration of \texttt{\section} .............................................................. 422
220.127.116.11 Hint about the consistency of the calling sequences of the commands .... 422
9.81.2 Final part: \texttt{\mtc@hints@enddoc} ........................................................... 423
18.104.22.168 Hint about \texttt{\sect-\lof|lot} and the \texttt{insection} option ................. 423
22.214.171.124 Final part of the consistency tests ...................................................... 424
126.96.36.199 Check if the main tables have been prepared (first part) .................... 426
188.8.131.52 Check if the main tables have been prepared (second part) ................. 428
184.108.40.206 Check the number of mini-tables, in case of short extensions ............. 430
220.127.116.11 Final part of the hint about the \texttt{sectsty} package ......................... 431
18.104.22.168 Final part of the hint about the \texttt{varsects} package ......................... 431
22.214.171.124 Final part of the hint about the \texttt{frcychap} package ....................... 432
126.96.36.199 Final part of the hint about the \texttt{hangcaption} package .................... 432
188.8.131.52 Final part of the hint about the \texttt{quotchap} package ...................... 433
184.108.40.206 Final part of the hint about the \texttt{romannum} package ..................... 433
220.127.116.11 Final part of the hint about the \texttt{sfheaders} package ...................... 433
18.104.22.168 Final part of the hint about the \texttt{alnumsec} package ...................... 434
22.214.171.124 Final part of the hint about the \texttt{captcont} package ....................... 434
126.96.36.199 Final part of the hint about the \texttt{caption} package ......................... 434
188.8.131.52 Final part of the hint about the \texttt{caption2} package ....................... 435
184.108.40.206 Final part of the hint about the \texttt{ccaption} package ....................... 435
220.127.116.11 Final part of the hint about the \texttt{mcaption} package ....................... 435
18.104.22.168 Final part of the hint about the \texttt{float} package .......................... 436
22.214.171.124 Final part of the hint about the \texttt{floatrow} package ....................... 436
126.96.36.199 Final part of the hint about the \texttt{trivfloat} package ...................... 436
188.8.131.52 Final part of the hint about the \texttt{rotfloat} package ....................... 437
184.108.40.206 Check if empty mini-tables have been detected ................................ 437
220.127.116.11 Check if obsolete commands have been used ................................... 439
18.104.22.168 Check if some hints have been written ........................................... 440
9.82 Processing of options .................................................................................. 440
9.82.1 Processing the \texttt{insection} option ....................................................... 441
9.82.2 Processing the \texttt{notoccite} option ...................................................... 442
9.82.3 Processing the \texttt{listfiles} option ......................................................... 442
9.82.4 Processing the \texttt{hints} option ............................................................. 443
9.82.5 Saving the sectionning commands .......................................................... 443
9.83 Trapping the undefined preparation and insertion commands ......................... 444
9.84 The \texttt{minitoc-fr.dtx} file ........................................................................... 445
10 Commented code of the \texttt{mtcoff} package .................................................. 447
10.1 Why \texttt{mtcoff}? ......................................................................................... 448
10.2 Identification of the package ....................................................................... 448
| Section | Page |
|------------------------------------------------------------------------|------|
| 10.3 Faking counters and dimensions | 449 |
| 10.4 Faking simple commands | 452 |
| 10.5 Faking commands with one optional argument | 453 |
| 10.6 Faking flags | 454 |
| 10.7 Disabling the internal commands | 454 |
| 10.8 Disabling the font commands | 455 |
| 10.9 Disabling the \mtcset... commands | 456 |
| 10.10 Disabling the \mtcpolym... commands | 456 |
| 10.11 Disabling the new \lo... commands | 456 |
| 10.12 Ignore the obsolete commands | 457 |
| 10.13 Disabling the \mtcselectlanguage and \mtcloadmlo commands | 457 |
| 10.14 Disabling the commands for the horizontal rules | 457 |
| 10.15 Disabling the commands for the page numbers | 458 |
| 10.16 Disabling the mini-table features commands | 458 |
| 10.17 Disabling miscellaneous flags and commands | 459 |
| 10.18 Caution for some commands | 460 |
| 10.19 Disabling commands for “coffee” | 461 |
| 10.20 Disabling the mtchideinmain... environments | 461 |
| 10.21 Inhibition of the \mtc@[save|restore]XXXdepth internal commands | 462 |
| 10.22 Disabling the \mtcfixglossary command | 462 |
| 10.23 Disabling the \mtcfixindex command | 462 |
| 10.24 Disabling the \mtcfixnomenclature command | 462 |
| 10.25 Disabling the \addstarred... commands | 463 |
| 11 Commented code of the mtcmess package | 464 |
| 12 Patch for the memoir class | 465 |
| 13 Language definition (.mld) and object (.mlo) files | 467 |
| 13.1 Overview | 471 |
| 13.2 “Acadian” language: acadian.mld | 472 |
| 13.3 “Acadien” language: acadien.mld | 472 |
| 13.4 “Afrikaan” language: afrikaan.mld | 473 |
| 13.5 “Afrikaans” language: afrikaans.mld | 473 |
| 13.6 “Albanian” language: albanian.mld | 473 |
| 13.7 “American” language: american.mld | 474 |
| 13.8 “Arab” language: arab.mld | 474 |
| 13.9 “Arab2” language: arab2.mld | 475 |
| 13.10 “Arabi” language: arabi.mld | 475 |
| 13.11 “Arabic” language: arabic.mld | 476 |
| 13.12 “Armenian” language: armenian.mld | 476 |
| 13.13 “Australian” language: australian.mld | 476 |
| 13.14 “Austrian” language: austrian.mld | 477 |
| 13.15 “Bahasa” language: bahasa.mld | 477 |
| 13.16 “BahasaI” language: bahasai.mld | 477 |
| 13.17 “Bahasam” language: bahasam.mld | 478 |
| 13.18 “Bangla” language: bangla.mld | 478 |
| 13.19 “Basque” language: basque.mld | 479 |
| 13.20 “Bengali” language: bengali.mld | 479 |
| 13.21 “Bicig” language: bicig.mld | 479 |
| Section | Page |
|------------------------------------------------------------------------|------|
| 13.22 "Bicig2" language: bicig2.mld | 480 |
| 13.23 "Bicig3" language: bicig3.mld | 480 |
| 13.24 "Bithe" language: bithe.mld | 481 |
| 13.25 "Brazil" language: brazil.mld | 481 |
| 13.26 "Brazilian" language: brazilian.mld | 482 |
| 13.27 "Breton" language: breton.mld | 482 |
| 13.28 "British" language: british.mld | 483 |
| 13.29 "Bulgarian" language: bulgarian.mld | 483 |
| 13.30 "Bulgarianb" language: bulgarianb.mld | 483 |
| 13.31 "Buryat" language: buryat.mld | 484 |
| 13.32 "Buryat2" language: buryat2.mld | 485 |
| 13.33 "Canadian" language: canadian.mld | 485 |
| 13.34 "Canadien" language: canadien.mld | 485 |
| 13.35 "Castillian" language: castillan.mld | 486 |
| 13.36 "Castillian" language: castillian.mld | 486 |
| 13.37 "Catalan" language: catalan.mld | 486 |
| 13.38 "Chinese1" language: chinese1.ml[d|o] | 487 |
| 13.39 "Chinese2" language: chinese2.ml[d|o] | 487 |
| 13.40 "Croatian" language: croatian.mld | 487 |
| 13.41 "Czech" language: czech.mld | 488 |
| 13.42 "Danish" language: danish.mld | 488 |
| 13.43 "Devanagari" language: devanagari.mld | 489 |
| 13.44 "Dutch" language: dutch.mld | 489 |
| 13.45 "English" language: english.mld | 490 |
| 13.46 "English1" language: english1.mld | 490 |
| 13.47 "English2" language: english2.mld | 491 |
| 13.48 "Esperant" language: esperant.mld | 492 |
| 13.49 "Esperanto" language: esperanto.mld | 492 |
| 13.50 "Estonian" language: estonian.mld | 492 |
| 13.51 "Ethiopia" language: ethiopia.mld | 493 |
| 13.52 "Ethiopian" language: ethiopian.mld | 493 |
| 13.53 "Ethiopian2" language: ethiopian2.mld | 494 |
| 13.54 "Farsi1" language: farsi1.ml[d|o] | 494 |
| 13.55 "Farsi2" language: farsi2.ml[d|o] | 495 |
| 13.56 "Farsi3" language: farsi3.mld | 495 |
| 13.57 "Finnish" language: finnish.mld | 495 |
| 13.58 "Finnish2" language: finnish2.mld | 496 |
| 13.59 "Francais" language: francais.mld | 496 |
| 13.60 "French" language: french.mld | 497 |
| 13.61 "French1" language: french1.mld | 497 |
| 13.62 "French2" language: french2.mld | 498 |
| 13.63 "Frenchb" language: frenchb.mld | 498 |
| 13.64 "Frenchle" language: frenchle.mld | 499 |
| 13.65 "Frenchpro" language: frenchpro.mld | 499 |
| 13.66 "Galician" language: galician.mld | 499 |
| 13.67 "German" language: german.mld | 500 |
| 13.68 "Germanb" language: germanb.mld | 500 |
| 13.69 "Germanb2" language: germanb2.mld | 501 |
| 13.70 "Greek" language: greek.mld | 501 |
| Section | Page |
|------------------------------------------------------------------------|------|
| 13.71 "Greek-mono" language: greek-mono.mld | 502 |
| 13.72 "Greek-polydemo" language: greek-polydemo.mld | 502 |
| 13.73 "Greek-polykatha" language: greek-polykatha.mld | 503 |
| 13.74 "Guarani" language: guarani.mld | 504 |
| 13.75 "Hangul1" language: hangul1.mld[d,o] | 505 |
| 13.76 "Hangul2" language: hangul2.mld[d,o] | 505 |
| 13.77 "Hangul3" language: hangul3.mld[d,o] | 506 |
| 13.78 "Hangul4" language: hangul4.mld[d,o] | 506 |
| 13.79 "Hangul-u8" language: hangul-u8.mld[d,o] | 507 |
| 13.80 "Hanja1" language: hanja1.mld.mld[d,o] | 507 |
| 13.81 "Hanja2" language: hanja2.mld[d,o] | 508 |
| 13.82 "Hanja-u8" language: hanja-u8.mld[d,o] | 508 |
| 13.83 "Hebrew" language: hebrew.mld | 508 |
| 13.84 "Hebrew2" language: hebrew2.mld | 509 |
| 13.85 "Hindi" language: hindi.mld | 510 |
| 13.86 "Hindi-modern" language: hindi-modern.mld | 510 |
| 13.87 "Hungarian" language: hungarian.mld | 510 |
| 13.88 "Icelandic" language: icelandic.mld | 511 |
| 13.89 "Indon" language: indon.mld | 511 |
| 13.90 "Indonesian" language: indonesian.mld | 511 |
| 13.91 "Interlingua" language: interlingua.mld | 512 |
| 13.92 "Irish" language: irish.mld | 512 |
| 13.93 "Italian" language: italian.mld | 513 |
| 13.94 "Italian2" language: italian2.mld | 513 |
| 13.95 "Japanese" language: japanese.mld[d,o] | 514 |
| 13.96 "Japanese2" language: japanese2.mld[d,o] | 514 |
| 13.97 "Japanese3" language: japanese3.mld[d,o] | 515 |
| 13.98 "Japanese4" language: japanese4.mld[d,o] | 515 |
| 13.99 "Japanese5" language: japanese5.mld[d,o] | 516 |
| 13.100 "Japanese6" language: japanese6.mld[d,o] | 516 |
| 13.101 "Kannada" language: kannada.mld | 517 |
| 13.102 "Khalkha" language: khalkha.mld | 517 |
| 13.103 "Latin" language: latin.mld | 517 |
| 13.104 "Latin2" language: latin2.mld | 518 |
| 13.105 "Latinc" language: latinc.mld | 518 |
| 13.106 "Latinc2" language: latinc2.mld | 519 |
| 13.107 "Latvian" language: latvian.mld | 519 |
| 13.108 "Latvian2" language: latvian2.mld | 520 |
| 13.109 "Letton" language: letton.mld | 520 |
| 13.110 "Letton2" language: letton2.mld | 521 |
| 13.111 "Lithuanian" language: lithuanian.mld | 521 |
| 13.112 "Lithuanian2" language: lithuanian2.mld | 521 |
| 13.113 "Lower Sorbian" language: lowersorbian.mld | 522 |
| 13.114 "Lsorbian" language: lsorbian.mld | 522 |
| 13.115 "Magyar" language: magyar.mld | 523 |
| 13.116 "Magyar2" language: magyar2.mld | 523 |
| 13.117 "Magyar3" language: magyar3.mld | 524 |
| 13.118 "Malay" language: malay.mld | 524 |
| 13.119 "Malayalam-b" language: malayalam-b.mld | 524 |
| Section | Page |
|------------------------------------------------------------------------|------|
| 13.120 “Malayalam-keli” language: malayalam-keli.mld | 525 |
| 13.121 “Malayalam-keli2” language: malayalam-keli2.mld | 525 |
| 13.122 “Malayalam-mr” language: malayalam-mr.mld | 526 |
| 13.123 “Malayalam-omega” language: malayalam-omega.ml[d|o] | 526 |
| 13.124 “Malayalam-rachana” language: malayalam-rachana.mld | 527 |
| 13.125 “Malayalam-rachana2” language: malayalam-rachana2.mld | 527 |
| 13.126 “Malayalam-rachana3” language: malayalam-rachana3.mld | 528 |
| 13.127 “Manju” language: manju.mld | 528 |
| 13.128 “Mexican” language: mexican.mld | 528 |
| 13.129 “Meyalu” language: meyalu.mld | 529 |
| 13.130 “Mongol” language: mongol.mld | 529 |
| 13.131 “Mongolb” language: mongolb.mld | 530 |
| 13.132 “Mongolian” language: mongolian.mld | 531 |
| 13.133 “Naustrian” language: naustrian.mld | 531 |
| 13.134 “Newzealand” language: newzealand.mld | 531 |
| 13.135 “Ngerman” language: ngerman.mld | 531 |
| 13.136 “Ngermanb” language: ngermanb.mld | 532 |
| 13.137 “Ngermanb2” language: ngermanb2.mld | 532 |
| 13.138 “Norsk” language: norsk.mld | 533 |
| 13.139 “Norsk2” language: norsk2.mld | 533 |
| 13.140 “Nynorsk” language: nynorsk.mld | 534 |
| 13.141 “Nynorsk2” language: nynorsk2.mld | 534 |
| 13.142 “Occitan” language: occitan.mld | 535 |
| 13.143 “Occitan2” language: occitan2.mld | 535 |
| 13.144 “Polish” language: polish.mld | 536 |
| 13.145 “Polish2” language: polish2.mld | 536 |
| 13.146 “Polski” language: polski.mld | 537 |
| 13.147 “Portuges” language: portuges.mld | 537 |
| 13.148 “Portuguese” language: portuguese.mld | 537 |
| 13.149 “Romanian” language: romanian.mld | 538 |
| 13.150 “Romanian2” language: romanian2.mld | 538 |
| 13.151 “Romanian3” language: romanian3.mld | 539 |
| 13.152 “Russian” language: russian.mld | 539 |
| 13.153 “Russian2m” language: russian2m.mld | 540 |
| 13.154 “Russian2o” language: russian2o.mld | 541 |
| 13.155 “Russianb” language: russianb.mld | 541 |
| 13.156 “Russianc” language: russianc.mld | 542 |
| 13.157 “Russian-cca” language: russian-cca.ml[d|o] | 543 |
| 13.158 “Russian-ccal” language: russian-ccal.ml[d|o] | 543 |
| 13.159 “Russian-lh” language: russian-lh.ml[d|o] | 544 |
| 13.160 “Russian-lhcyralt” language: russian-lhcyralt.ml[d|o] | 544 |
| 13.161 “Russian-lhcyrkoi” language: russian-lhcyrkoi.ml[d|o] | 544 |
| 13.162 “Russian-lhcyrwin” language: russian-lhcyrwin.ml[d|o] | 545 |
| 13.163 “Samin” language: samin.mld | 545 |
| 13.164 “Scottish” language: scottish.mld | 546 |
| 13.165 “Serbian” language: serbian.mld | 546 |
| 13.166 “Serbianc” language: serbianc.mld | 547 |
| 13.167 “Slovak” language: slovak.mld | 547 |
| 13.168 “Slovene” language: slovene.mld | 548 |
| Section | Page |
|------------------------------------------------------------------------|------|
| 13.169 “Spanish” language: spanish.mld | 548 |
| 13.170 “Spanish2” language: spanish2.mld | 549 |
| 13.171 “Spanish3” language: spanish3.mld | 549 |
| 13.172 “Spanish4” language: spanish4.mld | 550 |
| 13.173 “Swahili” language: swahili.mld | 550 |
| 13.174 “Swedish” language: swedish.mld | 551 |
| 13.175 “Swedish2” language: swedish2.mld | 551 |
| 13.176 “Thai” language: thai.m[d|o] | 552 |
| 13.177 “Turkish” language: turkish.mld | 552 |
| 13.178 “Uighur” language: uighur.mld | 552 |
| 13.179 “Uighur2” language: uighur2.mld | 553 |
| 13.180 “Uighur3” language: uighur3.mld | 553 |
| 13.181 “UKenglish” language: UKenglish.mld | 553 |
| 13.182 “Ukraineb” language: ukraineb.mld | 553 |
| 13.183 “Ukrainian” language: ukrainian.mld | 554 |
| 13.184 “Uppersorbian” language: uppersorbian.mld | 554 |
| 13.185 “USenglish” language: USenglish.mld | 555 |
| 13.186 “Usorbian” language: usorbian.mld | 555 |
| 13.187 “Vietnam” language: vietnam.mld | 555 |
| 13.188 “Vietnamese” language: vietnamese.mld | 556 |
| 13.189 “Welsh” language: welsh.mld | 556 |
| 13.190 “Xalx” language: xalx.mld | 557 |
| 13.191 “Xalx2” language: xalx2.mld | 557 |
| 13.192 “Xalx3” language: xalx3.mld | 558 |
### III Complements
- **Bibliography**
- Page 561
- **Changes history**
- Page 597
- **Acknowledgments**
- Page 634
List of figures
1.1 Float barriers .................................................. 31
1.2 Layout of a ToC (LoF, LoT) entry ......................... 45
2.1 Three compilations for minitoc ............................. 59
## List of tables
| Table | Page |
|----------------------------------------------------------------------|------|
| 1.1 Commands for a `minitoc` | 28 |
| 1.2 Commands for a `secttoc` | 30 |
| 1.3 Commands for a `parttoc` | 32 |
| 1.4 Adding an entry in the ToC for a starred part, chapter, or section | 34 |
| 1.5 Fonts and titles for the mini-table commands | 36 |
| 1.6 Fonts for the mini-table entries | 37 |
| 1.7 Available languages | 38 |
| 1.8 Horizontal rules | 46 |
| 1.9 Page numbers | 46 |
| 1.10 Features for mini-tables | 48 |
| 1.11 Extensions of the auxiliary files | 55 |
| 2.1 Kernings before minitable bottom rules | 78 |
| 3.1 Package options | 80 |
| 3.2 General commands | 81 |
| 3.3 Part level commands | 82 |
| 3.4 Chapter level commands | 83 |
| 3.5 Section level commands | 84 |
| 3.6 Commands for horizontal rules | 85 |
| 3.7 Commands for page numbers | 85 |
| 3.8 Commands for mini-tables features | 86 |
| 3.9 Preparation and insertion commands | 87 |
| 3.10 Adjustment commands | 87 |
| 3.11 Classes and packages needing some precautions with `minitoc` | 88 |
| 3.12 Checking if inside a minitable | 89 |
| 3.13 Commands for polymorphic entries | 89 |
| 3.14 Obsolete commands | 89 |
| 5.1 Message identifiers | 152 |
| 6.1 Category codes | 211 |
| 6.2 Encoding schemes implemented in CJK | 212 |
| 6.3 Standard document classes | 213 |
| 6.4 Depths for sectionning commands | 214 |
| 6.5 Various encodings | 216 |
| 6.6 Most common font encodings | 230 |
| 6.7 Most common font families | 230 |
| Table | Title | Page |
|-------|----------------------------------------------------------------------|------|
| 6.8 | Most common font series | 230 |
| 6.9 | Most common font shapes | 231 |
| 6.10 | Most common font widths | 231 |
| 6.11 | The five font parameters of some fonts | 231 |
| 6.12 | Author commands for fonts | 232 |
| 6.13 | Some systems derived from TeX and LaTeX | 233 |
| 7.1 | List of files (minitoc.1), first part | 243 |
| 7.2 | List of files (minitoc.1), second part | 244 |
| 7.3 | List of the graphic files | 244 |
| 7.4 | List of the flag files | 244 |
| 7.5 | A TDS-compliant hierarchy for the minitoc files | 247 |
| 9.1 | Trick to detect the limitation to short extensions | 286 |
About this document
This document is rather thick, but please, be not afraid: you do not need to read every page.
- The most useful chapters are in the first part (“User’s Manual”, page 23):
- the chapter “The minitoc package”, page 24, describes the essential commands to use the package;
- the chapter “Frequently Asked Questions”, page 56, may help you to solve some specific problems;
- the chapter “Memento”, page 80, is a set of tables to be used as a remainder of the commands of this package;
- the chapter “Examples of documents”, page 90, gives the code of some documents showing the basic usage of the minitoc package and some interesting situations;
- the chapter “Messages”, page 151, is certainly boring, but it should be searched if you get some warning or error messages from the minitoc package, because it explains them and also the informative messages (table 5.1 on page 152 will help you to find the meaning of a message);
- the chapter “Jargon”, page 205, attempts to explain most of the technical terms used here;
- the chapter “Installation”, page 242, describes all the files included in the distribution of the package;
- the chapter “Postface”, page 248, gives an abbreviated history of the package.
- The second part, “Implementation”, page 261, is much more technical; you can read it if you are interested in the details of the coding of the package. The chapter “Language definition (.mld) and object (.mo) files”, page 467, may be useful if you are interested by some language. This chapter contains many maps and illustrations.
- The third part, “Complements”, page 560, contains a bibliography, a detailed history of the package, a list of acknowledgments, and an index.
For this document, I have used:
- a short table of contents (summary), with the \shorttoc command from my shorttoc package [155], displaying only parts and chapters;
• a main table of contents (\tableofcontents), with a maximum depth (6);
• a main list of figures (\listoffigures) and a main list of tables (\listoftables);
• for each part, a table of contents displaying only the chapters (\parttoc with parttocdepth equal to 1);
• for each chapter, a complete table of contents (\minitoc with minitocdepth equal to 6);
• for each chapter, a list of figures (\minilof) and a list of tables (\minilot) when useful;
• customized parameters for the layout of the mini-tables; as the PDF version of the documentation uses hyperlinks (with the help of the hyperref package [390]), these mini-tables should help you to navigate within the document;
• some hyperlinks, placed in the right margin, contain a message identifier; the link points to the description of the message in the “Messages” chapter; try this one: \textcolor{red}{I0001}
• some flags, with hyperlinks to articles (mainly in Wikipedia) about countries or languages;
• the calc package [441] to make some computations with comfort;
• the booktabs package [165] to format the tables;
• the doc [327] and docstrip [287] packages to document the code;
• many other packages to improve the presentation of the documentation.
Part I
User’s Manual
| Section | Page |
|------------------------------------------------------------------------|------|
| 1 The minitoc package | 24 |
| 2 Frequently Asked Questions | 56 |
| 3 Memento | 80 |
| 4 Examples of documents | 90 |
| 5 Messages | 151 |
| 6 Jargon | 205 |
| 7 Installation | 242 |
| 8 Postface | 248 |
Chapter 1
The minitoc package
Contents
1.1 Introduction .................................................. 25
1.1.1 Important restrictions .................................. 26
1.1.2 Version .................................................. 26
1.2 License ...................................................... 26
1.3 Using the minitoc package .................................... 27
1.3.1 Loading the package and creating the mini-tables ....... 27
1.3.2 Preparing the mini-tables ................................ 27
1.3.3 Placing the mini-tables .................................. 29
1.3.4 Starred chapters, parts and sections ..................... 33
1.4 Typesetting of the mini-tables ................................ 34
1.4.1 Chapter-level mini-tables ................................. 35
1.4.2 Titles for chapter-level mini-tables ....................... 35
1.4.3 Part-level mini-tables .................................... 35
1.4.4 Titles for part-level mini-tables .......................... 37
1.4.5 Section-level mini-tables ................................ 39
1.4.6 Titles for section-level mini-tables ....................... 39
1.4.7 Position of the titles .................................... 39
22.214.171.124 For mini-tables at the part level ..................... 39
126.96.36.199 For mini-tables at the chapter level .................. 40
188.8.131.52 For mini-tables at the section level .................. 40
184.108.40.206 Summary of the positionning of titles ................. 40
1.4.8 Line spacing in the mini-tables ........................... 41
1.4.9 Simplified commands for fonts ............................. 41
1.4.10 Simplified command for mini-table titles ................ 42
1.4.11 Simplified command for mini-table depths ................ 42
1.4.12 Simplified command for mini-table offsets ............... 42
1.4.13 Polymorphic entries in the mini-tables .................. 43
1.4.14 Languages for the titles ................................ 44
1.4.15 Altering the layout of the mini-tables ................... 44
1.5 Special Features ........................................... 46
1.5.1 Horizontal Rules ......................................... 46
1.5.2 Page Numbers, Leaders ................................... 47
1.5.3 Features for partitocs and other mini-tables .............. 47
220.127.116.11 Remark about page styles .................................................. 49
1.5.4 The “Chapter 0” Problem (solved) ........................................... 49
1.5.5 Special Entries in the TOC ..................................................... 50
1.6 The notoccite option ................................................................. 52
1.7 The listfiles and nolistfiles options .............................................. 52
1.8 The hints option ................................................................. 52
1.9 Usage with MS-DOS ............................................................... 54
1.10 Why several \LaTeX runs are required? ........................................ 55
1.11 The mtcoff package ............................................................... 55
Figures
1.1 Float barriers ........................................................................ 31
1.2 Layout of a ToC (LoF, LoT) entry .................................................. 45
Tables
1.1 Commands for a minitoc ............................................................ 28
1.2 Commands for a secttoc ............................................................ 30
1.3 Commands for a partttoc .......................................................... 32
1.4 Adding an entry in the ToC for a starred part, chapter, or section .... 34
1.5 Fonts and titles for the mini-table commands ................................. 36
1.6 Fonts for the mini-table entries .................................................. 37
1.7 Available languages ............................................................... 38
1.8 Horizontal rules ........................................................................ 46
1.9 Page numbers ........................................................................... 46
1.10 Features for mini-tables ............................................................ 48
1.11 Extensions of the auxiliary files .................................................. 55
1.1 Introduction
The minitoc package, initially written by Nigel Ward and Dan Jurafsky, has been almost completely redesigned by Jean-Pierre F. Drucbert (ONERA/Centre de Toulouse). A summary of the evolution of this package is given in the chapter 8 on page 248. This package creates a mini-table of contents (a “minitoc”\footnote{The minitoc package introduces its own jargon, explained in this document. It should not be too difficult, however, to learn and use; it will be used here, of course.}) at the beginning of each chapter of a document. It is also possible to have a mini-list of figures (a “minilof”) and a mini-list of tables (a “minilot”). The document class should of course define chapters (classes like book or report [282]) or sections (classes like article\footnote{As the standard proc class [281], and the ltxdoc [116] and ltnews [248] classes, load the standard article class, these classes will be just considered as variants of the article class.}) [282]. Thus, this package should not be used with document classes without standard sectionning commands (like letter). When the document class defines a “part” sectionning level (i.e., classes like book, report and article), you can create a “partial” table of contents (a “partttoc”) at the beginning of each part of a document. It is also possible to have a partial list of figures (a “partllof”) and a partial list of tables (a “partlot”). When the document class has no \chapter command but has a \section command, you may use
section level tables of contents ("secttocss") at the beginning of each section; and you can also have section level lists of figures ("sectlofs") or of tables ("sectlots").
All these tables ("minitocs", "partlots", "sectlofs", etc.) are collectively referenced as "mini-tables" (or sometimes "mini-lists").
### 1.1.1 Important restrictions
**Note:** you cannot use chapter level and section level mini-tables in the same document. This restriction is intended to avoid documents with full of local tables of contents, lists of figures and tables at every sectionning level.
**Note:** the commands relative to the part level are defined only if the document class defines \part. The commands relative to the section level are defined only if the document class defines \section but does not define \chapter.
### 1.1.2 Version
The current version of this package is #61. You will find a resumed history of the package in the “Postface” chapter (chapter 8 on page 248) and a more detailed history in “Changes History”, page 597.
### 1.2 License
This package must be distributed and/or may be modified under the conditions of the LaTeX Project Public License, either version 1.3 of this license or (as convenient) any later version. The latest version of this license is in
```
http://www.latex-project.org/lppl.txt
```
and version 1.3 or later is part of all distributions of LaTeX version 2003/12/01 or later.
But please don’t bother me about hacked versions; they will not be supported. However, suggestions for corrections and reasoned improvements are welcome.
1.3 Using the minitoc package
1.3.1 Loading the package and creating the mini-tables
To use the minitoc package, you must insert a command:
\usepackage{minitoc}
\chapter{...}
in the preamble of the document\textsuperscript{3}. The mini-table of contents will be in the chapter, after the \chapter command, at the point of the \minitoc command. The \minitoc command may occur almost anywhere\textsuperscript{4} inside a chapter.
Of course, it is better to put it at the beginning of the chapter, eventually after some introductory material. But you can also decide to put it at the end of the chapter. You should use the same conventions in all chapters. If you want to add the mini-table of contents for a chapter, you must use the sequence given in table 1.1 on the next page.
For each mini-table of contents, an auxiliary file will be created with a name of the form document.mtc<N>, where <N> is the absolute chapter number. “Absolute” means that this number is unique, and always increasing from the first chapter\textsuperscript{5}. The suffix is .mlf<N> for mini-lists of figures and is .mlt<N> for mini-lists of tables. (If under MS-DOS or any operating system with short extensions to filenames, see section 1.9 on page 54 and section 2.5 on page 58). There are similar commands for mini-tables at the part or section level, depending on the document class.
1.3.2 Preparing the mini-tables
The commands\textsuperscript{6} \dominitoc, \dominilof, and \dominilot (for mini-tables at the chapter level), take respectively the document.toc, document.lof, and document.lot files, and cut slices from them to create the document.mtc<N>, document.mlf<N>, and document.mlt<N> files.
\textsuperscript{3}This command must be placed after any modification done on the sectionning commands; if you modify some sectionning commands after loading the minitoc package, this one might not work properly.
\textsuperscript{4}“Almost anywhere” means “in a normal place”, like between two paragraphs of normal text, or in a (wide enough) minipage, but not in a too strange position (like a marginal note or a footnote). Even a multicolumn or a floating environment can be used, but with care. But note that a minitoc can be rather long, if the chapter is complex and if you are asking for details with a high value for minitocdepth. As an example, I once used a \afterpage command (afterpage package [115]) to place the long minilof of chapter 13 on page 467 (so the minilof was forced to begin at the top of the next page).
\textsuperscript{5}The concept of an “absolute” counter for the mini-tables has solved some obscure problems, and also made obsolete some commands, like \firstpartis, \firstchapteris, and \firstsectionis.
\textsuperscript{6}The code of these \do... commands is directly derived from that of the xr package [114], by David P. Carlisle, with his permission.
Table 1.1: Commands for a minitoc
\documentclass[...]{book}
\usepackage[...options...]{minitoc}
...
\setlength{\mtcindent}{24pt} \default
\renewcommand{\mtcoffset}{0pt} \default
\mtcsetoffset{minitoc}{0pt} \default
\setlength{\mtcskipamount}{\bigskipamount} \default
...
\setcounter{minitocdepth}{2} \default
\renewcommand{\mtcfont}{\small\rmfamily\upshape\mdseries} \default
\renewcommand{\mtcSfont}{\small\rmfamily\upshape\bfseries} \default
or:
\mtcsetdepth{minitoc}{2} \default
\mtcsetfont{minitoc}{*}{\small\rmfamily\upshape\mdseries} \default
\mtcsetfont{minitoc}{section}{\small\rmfamily\upshape\bfseries} \default
...
\begin{document}
...
\dominitoc
\dominilof
\dominilot
\tableofcontents \or \faketableofcontents
\listoffigures \or \fakelistoffigures
\listoftables \or \fakelistoftables
...
\chapter{...}
\minitoc \if you want one
\mtcskip
\minilof \if you want one
\mtcskip
\minilot \if you want one
...
The commands \dosecttoc, \dosectlof, and \dosectlot (for mini-tables at the section level) and \doparttoc, \dopartlof, and \dopartlot (for mini-tables at the part level) are analog.
The \mtcprepare command invokes (and replaces) all these preparation commands when they are available with the document class and if the adequate contents file exists. This command accepts also an optional argument to set the default position of the title for all the mini-tables.
All the preparation commands are ignored if the \nofiles command is invoked in the preamble, to avoid to overwrite the mini-table auxiliary files.
To obtain a satisfactory result (i.e., non empty), please note that all these commands must imperatively be put before any command analog to the \tableofcontents, \listoffigures, and \listoftables commands, or their \fake... siblings.
It is also strongly recommended to put these commands before any sectioning command producing an entry in the table of contents (for the \do...toc commands), and before any \caption-like command producing an entry in the list of figures (for the \do...lof commands) or in the list of tables (for the \do...lot) commands; else disorder in the mini-tables might result.
### 1.3.3 Placing the mini-tables
The \mtcskip command may be used to add a vertical skip between two mini-tables. Its height is \mtcskipamount (equal to \bigskipamount by default). \mtcskip eliminates any immediate previous vertical skip, to not accumulate vertical space when a mini-table is empty and skipped by the checkfiles option.
The section-level table of contents will be in the section, after the \section command, at the point of the \secttoc command. The \secttoc command may occur almost anywhere inside a section. It is often better to put it at the beginning of the section, or after some short introductory material. You should use the same conventions in all sections. If you want to add a section-level table of contents for a section, you must use the sequence given in Table 1.2 on the following page.
For each section-level table of contents, an auxiliary file will be created with a name of the form document.stc⟨N⟩, where ⟨N⟩ is the absolute section number. The suffix is .s1f⟨N⟩ for section-level lists of figures and is .s1t⟨N⟩ for section-level lists of tables. (If under MS-DOS or any operating system with short extensions to filenames, see section 1.9 on page 54 and section 2.5 on page 58).
As floats (figures and tables) could drift\footnote{A float is like a ship in harbor. There is a place in the text which is the anchor location. The figure or “ship” can float around to various places relative to the anchor, but always downstream or downwind. A float with bad placement parameters is like a ship that slips its anchor and eventually crashes on the rocks at the end of a chapter.} somewhere outside the printing area of the text of the section, the sectlofs and sectlots can be rather strange. In order to have a better behaviour of these mini-tables, it may be useful to add the insection option in the \usepackage command:
```latex
\usepackage[insection]{minitoc}
```
if you want more consistent sectlofs and sectlots. The insection option loads the placeins package [15] with its verbose and section options. Sometimes, it might be necessary to use the \FloatBarrier command of this package to correctly place the figure or table and have a correct mini-table. The options above or below options should not be used, because they allow floats to drift above or below a \FloatBarrier (or a section limit): the barrier
becomes “porous” upwards\footnote{But a float can not drift upwards beyond the top of the current page.} (↑) or downwards (↓), or both (↕). The \texttt{section} option makes a more “watertight” barrier (≡). This is illustrated by the figure 1.1 on the next page.
The \texttt{placeins} package, by Donald Arseneau, is available on CTAN archives; note that the file \texttt{placeins.sty} contains its own documentation, with a copy in \texttt{placeins.txt}. You need a version whose date is at least 2005/04/18.
Since version #45, this option also loads the \texttt{flafter} package (described in [288] and [330, page 286]) to force a float to appear \textit{after} its reference. The above and below options of the \texttt{placeins} package are no more used, because they allowed the floats to move out of the section.
In all cases, it is \textit{strongly} recommended to verify the position of the floats and, if necessary, to look at the messages of the \texttt{placeins} package in the \texttt{document.log} file. The placement of floats is a very complex problem, so some manual intervention may be necessary, like the use of the \texttt{float} package [302] or, better, of the \texttt{floatrow} package [285].
If you want to add the partial table of contents for a part, you must use the sequence given in Table 1.3. For each partial table of contents, an auxiliary file will be created with a name of the form `document.ptc<N>`, where `<N>` is the absolute part number. The suffix is `.plf<N>` for partial lists of figures and is `.plt<N>` for partial lists of tables. (If under MS-DOS or any operating system with short extensions to filenames, see section 1.9 on page 54 and section 2.5 on page 58).
**Note:** the user is responsible of asking or not asking a mini-table (mini-toc, -lof or -lot) for some chapter. Asking a minilof for a chapter without any figure would result in an empty and ugly mini-list of figures (i.e., the title and two horizontal rules). He is also responsible of requiring or not requiring a partial toc (lof or lot) for some part. Asking a partlof for a part without any figure would result in an empty and ugly part list of figures (i.e., the title alone on a page). Analogous remarks apply to section-level mini-tables (secttoc, sectlof, and sectlot) and to the part-level mini-tables (parttoc, partlof, and partlot).
But since version #35, empty mini-tables are just ignored and this problem should disappear in normal circumstances. Nevertheless, it is recommended to put no `\minitoc` command
in a chapter without sections and no \minilof or \minilot command in a chapter without figures or tables. The checkfiles (see section 1.3.3 on page 29) package option (default) skips empty mini-tables (with a note in the document.log file); the nocheckfiles package option restores the old behaviour (empty mini-tables are displayed).
By default, the mini-tables and partial tables of contents contain only references higher and to sections and subsections. The counters parttocdepth, minitocdepth and secttocdepth, similar to tocdepth, allow the user to modify this behaviour. Mini or partial lists of figures or tables are not affected by the value of these counters, but if there are depth counters for these lists (lofdepth and lotdepth), as done by the subfigure and subfig packages [130, 132] from Steven Douglas Cochran, new depth counters are created if necessary, with obvious names like partlofdepth, partlotdepth, minilofdepth, minilotdepth, sectlofdepth, and sectlotdepth.
### 1.3.4 Starred chapters, parts and sections
\addcontentsline{toc}{chapter}{...}
NOTE: if using \chapter* and a \addstarredpart \addstarredchapter \addstarredsection command to add something in the table of contents, the numbering of the minitoc auxiliary files would be altered. To avoid that problem, a first method is to say:
\addstarredpart{...}
\addstarredchapter{...}
\addstarredsection{...}
These commands apply only for the level of a part-, mini- or sect-toc; for lower levels, the usual command is sufficient:
\addcontentsline{toc}{section}{...}
So, to add a section-level entry in the global toc and in the minitoc of a starred chapter:
\chapter*{Title of chapter}
\addstarredchapter{Title of chapter}
\minitoc
\section*{First section}
\addcontentsline{toc}{section}{First section}
\section*{Second section}
\addcontentsline{toc}{section}{Second section}
There is sometimes a problem with mini-tables when you use \chapter* (or \section*): the minitocs appear in the wrong chapter. You can add a \adjustmtc (or \adjuststc or \adjustptc) command at the end of the starred chapter (or section or part) to increment the corresponding counter. Do not use commands like \stepcounter{mtc} or \addtocounter{mtc}{...} (which should work, but it is cheating), because the mtcoff package (see section 1.11 on page 55) knows what to do about \adjustmtc (and others), but can do nothing about \stepcounter or \addtocounter, as they are a standard basic commands of LaTeX, not minitoc specific commands. Syntax:
\adjustptc[n] \adjustmtc[n] \adjuststc[n]
where $n$ is the increment (default: 1).
There are similar commands to decrement or increment by 1 these counters: \decrementptc, \decrementmtc, \decrementstc, \incrementptc, \incrementmtc, and \incrementstc; the same remarks as above apply. These commands have no argument. But a more clever way to solve this problem would be using commands similar to:
\mtcaddchapter[title]
This command adds an entry in the table of contents (and adjusts the counter, because it calls \adjustmtc). The table 1.4 summarizes these commands, that you put after \chapter*, etc. If the optional argument is omitted or empty or blank, no entry will be visible in the table of contents nor in the minitocs. If the optional argument is something invisible (like ~, \space or \quad), the result will be strange but still logically correct. See also section 2.30 on page 72 for the problems with \mtcaddpart.
Table 1.4: Adding an entry in the ToC for a starred part, chapter, or section
| Level | With title |
|---------|-----------------------------|
| part | \mtcaddpart[title] |
| chapter | \mtcaddchapter[title] |
| section | \mtcaddsection[title] |
1.4 Typesetting of the mini-tables
The mini-tables are typeset in a verse-like environment, and can be split over several pages.
1.4.1 Chapter-level mini-tables
The mini-table of contents is typeset in the \mtcfont font, which is \small\rmfamily by default. In fact, the font \mtcfont is selected at the beginning of a minitoc, minilof or minilot. More selective choices are made with the following fonts. Section entries are typeset in the \mtcSfont font, which is \small\bfseries by default.
For subsections, subsubsections, paragraphs and subparagraphs, the commands \mtcSSfont, \mtcSSSfont, \mtcPfont and \mtcSPfont are available (by default, \small\rmfamily) to enable the use of various fonts. Mini lists of figures and tables are typeset in the fonts \mlffont and \mltfont, which are \small\rmfamily by default. There are also \mlfSfont and \mltSfont for sub-figures and sub-tables entries. See tables 1.5 to 1.6 on pages 36–37\footnote{Thanks to Stefan Ulrich, who contributed these tables initially.}.
Note that the default choice of fonts is certainly not perfect and hence it is not definitive. A symptom of this imperfection is the presence of poor alignments in the mini-tables, if bold and non-bold fonts are mixed\footnote{This appears, e.g., if you are using the Computer Modern Roman (CMR) fonts [262]. The symptom disappears if you do not use bold CMR fonts or if you use the TX fonts (txfonts package [403]), for instance, like in this document. See also section 2.29 on page 71.} (the true length of 1em is not the same for the fonts). This can often be adjusted by changing some fonts.
1.4.2 Titles for chapter-level mini-tables
Titles are typeset in the \mtifont (\large\bfseries by default) font and the text strings of the titles are defined by \mtctitle, \mlftitle and \mltttitle, which are the strings “Contents”, “Figures” and “Tables” by default. These title commands should be redefined by \renewcommand or \mtcsettitle for languages other than english.
The language definition files like french.mld and english.mld (the suffix .mld means “minitoc language definition (file)”) (and many others, see the list in table 1.7 on page 38 and section 1.4.14 on page 44) are available. You can easily prepare a similar file for a preferred language (see section 2.26 on page 70). You can change the language of these titles by using the \mtcselectlanguage{language} macro.
1.4.3 Part-level mini-tables
The partial table of contents is typeset in the \ptcfont font, which is defined as \normalsize\rmfamily by default. In fact, the font \ptcfont is selected at the beginning of a parttoc, partlof or partlot. More selective choices are made with the following fonts. Chapter entries are typeset in the \ptcCfont font, which is
Table 1.5: Fonts and titles for the mini-table commands
| Command | Font default setting | Title string default setting | Title font default setting |
|-----------|----------------------|------------------------------|----------------------------|
| \parttoc | \ptcfont | \ptctitle | \ptifont |
| | \normalsize\rmfamily*| Table of Contents† | \LARGE\bfseries* |
| | \small\rmfamily** | | \Large\bfseries** |
| \partlof | \plffont | \plftitle | \ptifont |
| | \normalsize\rmfamily*| List of Figures† | \LARGE\bfseries* |
| | \small\rmfamily** | | \Large\bfseries** |
| \partlot | \pltfont | \plttitle | \ptifont |
| | \normalsize\rmfamily*| List of Tables† | \LARGE\bfseries* |
| | \small\rmfamily** | | \Large\bfseries** |
| \secttoc | \stcfont | \stctitle | \stifont |
| | \small\rmfamily | Contents† | \LARGE\bfseries |
| \sectlof | \slffont | \slftitle | \stifont |
| | \small\rmfamily | Figures† | \LARGE\bfseries |
| \sectlot | \sltfont | \slttitle | \stifont |
| | \small\rmfamily | Tables† | \LARGE\bfseries |
For the \mini... commands:
| Command | Font default setting | Title string default setting | Title font default setting |
|-----------|----------------------|------------------------------|----------------------------|
| \minitoc | \mtcfont | \mtctitle | \mtifont |
| | \small\rmfamily | Contents† | \large\bfseries |
| \minilof | \mlffont | \mlftitle | \mtifont |
| | \small\rmfamily | Figures† | \large\bfseries |
| \minilot | \mltfont | \mlttitle | \mtifont |
| | \small\rmfamily | Tables† | \large\bfseries |
For the \sect... commands:
| Command | Font default setting | Title string default setting | Title font default setting |
|-----------|----------------------|------------------------------|----------------------------|
| \secttoc | \stcfont | \stctitle | \stifont |
| | \small\rmfamily | Contents† | \LARGE\bfseries |
| \sectlof | \slffont | \slftitle | \stifont |
| | \small\rmfamily | Figures† | \LARGE\bfseries |
| \sectlot | \sltfont | \slttitle | \stifont |
| | \small\rmfamily | Tables† | \LARGE\bfseries |
*for document classes with \chapter level (e.g., book, report).
**for document classes with no \chapter level (e.g., article).
†default for english; changed by the language definition files or \renewcommand.
All these fonts use \rmfamily, \upshape, and \mdseries by default.
\normalsize\bfseries by default. Section entries are typeset in the \ptcSfont font, which is \normalsize\rmfamily by default.
\ptcSSfont For subsections, subsubsections, paragraphs and subparagraphs, the commands \ptcSSfont, \ptcSSSfont, \ptcPfont, and \ptcSPfont are available (by default, \normalsize\rmfamily) if you want to use various fonts.
Table 1.6: Fonts for the mini-table entries
| Level | Font | Default setting |
|----------------|------------|----------------------------------|
| | | For the \partttoc entries: |
| Chapter | \ptcCfont* | \normalsize\bfseries* |
| Section | \ptcSfont | \normalsize\rmfamily* |
| | | \small\bfseries** |
| Subsection | \ptcSSfont | (like \ptcfont) |
| Subsubsection | \ptcSSSfont| (like \ptcfont) |
| Paragraph | \ptcPfont | (like \ptcfont) |
| Subparagraph | \ptcSPfont | (like \ptcfont) |
| | | For the \minitoc entries:* |
| Section | \mtcSfont | \small\bfseries |
| Subsection | \mtcSSfont | (like \mtcfont) |
| Subsubsection | \mtcSSSfont| (like \mtcfont) |
| Paragraph | \mtcPfont | (like \mtcfont) |
| Subparagraph | \mtcSPfont | (like \mtcfont) |
| | | For the \sectttoc entries:** |
| Subsection | \stcSfont | \normalsize\bfseries |
| Subsubsection | \stcSSfont | (like \stcfont) |
| Paragraph | \stcPfont | (like \stcfont) |
| Subparagraph | \stcSPfont | (like \stcfont) |
*for document classes with \chapter level (e.g., book, report).
**for document classes with no \chapter level (e.g., article).
\plffont Partial lists of figures and tables are typeset in the fonts \plffont and \pltfont, which are \normalsize\rmfamily by default. There are also \plfSfont and \pltSfont for sub-figures and sub-tables entries.
\pltfont
\plfSfont
\pltSfont
### 1.4.4 Titles for part-level mini-tables
\ptifont Titles are typeset in the \ptifont (\LARGE\bfseries by default) font and the text strings of the titles are defined by \ptitle, \pltitle and \plttitle, which are the strings “Table of Contents”, “List of Figures” and “List of Tables” by default. These title commands should be redefined by \renewcommand or \mtcsettitle for languages other than english.
\ptitle
\pltitle
\plttitle
\mtcsettitle
\mtcselectlanguage The language definition files like french.mld and english.mld (and many others; for a complete list, see table 1.7 on the next page) are available. Read also section 1.4.14 on page 44. You can easily prepare a similar file for a preferred language (see section 2.26 on page 70). You can change the language of these titles by using the \mtcselectlanguage{language} macro.
Table 1.7: Available languages
- afrikaan (afrikaans)
- albanian\(^{[1]}\) — The minitoc package
- arab (arabic)\(^c\)
- arab2 \(^{a,c}\)
- arabi \(^{c,j}\)
- armenian \(^c\)
- bahasa-i (bahasa, indon, indonesian)\(^c\)
- bahasam (malay, meyalu)\(^c\)
- bangla (bengali)\(^c\)
- basque
- bicig (uighur) \(^{c,j}\)
- bicig2 (uighur2) \(^{c,j}\)
- bicig3 (uighur3) \(^{c,j}\)
- bithe (manju)\(^c\)
- brazil (brazilian)
- breton
- bulgarian \(^c\)
- bulgariarb \(^c\)
- buryat\(^\dagger\)
- buryat2 \(^c\)
- catalan
- chinese1 \(^{c,g}\)
- chinese2 \(^{c,g}\)
- croatian
- czech
- danish
- devanagari (hindi)\(^c\)
- dutch
- english\(^1\) (american, australian, british, canadian, newzealand, UKenglish, USenglish)
- english1
- english2
- esperant (esperanto)
- estonian
- ethiopia (ethiopian) \(^c\)
- ethiopian2 \(^{c,e,h}\)
- farsi1 \(^{c,f,g}\)
- farsi2 \(^{c,f,g}\)
- farsi3 \(^{c,j}\)
- finnish
- finnish2
- french (frenchb, frenchle, frenchpro, francais, acadien, canadien)
- french1
- french2
- galician
- german (austrian)
- germanb
- germanb2
- greek \(^c\)
- greek-mono \(^{c,e}\)
- greek-polydemo \(^{c,e}\)
- greek-polykatha \(^{c,e}\)
- guarani \(^h\)
- hangul1 \(^{c,d,g}\)
- hangul2 \(^{c,d,g}\)
- hangul3 \(^{c,d,g}\)
- hangul4 \(^{c,d,g}\)
- hangul-u8 \(^{c,e,f,g,h}\)
- hanja1 \(^{c,d,g}\)
- hanja2 \(^{c,d,g}\)
- hanja-u8 \(^{c,e,f,g,h}\)
- hebrew \(^{c,h}\)
- hebrew2 \(^{c,h}\)
- hindi-modern \(^c\)
- icelandic \(^f\)
- interlingua
- irish
- italian
- italian2
- japanese \(^{c,d,g}\)
- japanese2 \(^{c,d,g}\)
- japanese3 \(^{c,d,g}\)
- japanese4 \(^{c,d,g}\)
- japanese5 \(^{c,d,g}\)
- japanese6 \(^{c,d,g}\)
- kannada \(^c\)
- latin
- latin2
- latinc
- latinc2
- latvian (letton) \(^c\)
- latvian2 (letton2) \(^c\)
- lithuanian
- lithuanian2 \(^{c,h}\)
- lowersorbian (Isorbian)
- magyar (hungarian)
- magyar2
- magyar3
- malayalam-b \(^c\)
- malayalam-keli \(^c\)
- malayalam-keli2 \(^c\)
- malayalam-mr \(^c\)
- malayalam-omega \(^{c,e,g,h}\)
- malayalam-rachana \(^c\)
- malayalam-rachana2 \(^c\)
- malayalam-rachana3 \(^c\)
- mexican
- mongol \(^c\)
- mongolb (mongolian) \(^{c,f,h}\)
- ngermanb (ngerman, naustrian)
- ngermanb2
- norsk
- norsk2
- nynorsk
- nynorsk2
- occitan
- occitan2
- polish
- polish2 \(^{c,e}\)
- polski \(^c\)
- portuguese (portuges)
- romanian\(^{38}\)
- romanian2
- romanian3
- russian \(^{b,c}\)
- russianb \(^{b,c}\)
- russianc \(^{b,c}\)
- russian2m \(^{c,e}\)
- russian2o \(^{c,e}\)
- russian-cca \(^{c,g,h}\)
- russian-ccal \(^{c,g,h}\)
- russian-lh \(^{c,g,h}\)
- russian-lhryalt \(^{c,g,h}\)
- russian-lhryrkoi \(^{c,g,h}\)
- russian-lhryrwin \(^{c,g,h}\)
- samin
- scottish
- serbian
- serbianc \(^c\)
- slovak
- slovene
- spanish (castillian, castillian)
- spanish2
- spanish3 \(^{c,f}\)
- spanish4
- swahili
- swedish
- swedish2
- thai \(^{c,d,f,g}\)
- turkish
- ukrainian (ukraineb) \(^{b,c}\)
- uppersorbian (usorbian)
- vietnam (vietnamese) \(^{c,d}\)
- welsh
- xalx (khalkha) \(^c\)
- xalx2 \(^c\)
- xalx3 \(^c\)
\(^{(})\) The languages between parentheses are aliases of a main language and their .mld files will load the .mld file of that main language.
\(^{\dagger}\) The presence of the english.mld file is mandatory.
\(^{a}\) The arab(1c) and arab2 languages require the use of the Arabic package [276, 277] (by Klaus Lagally).
\(^{b}\) The russian language is not yet supported by the babel system [60, 61], but russianb [286] is supported if you use babel-3.6 or a higher version; russianc is an extra. Look also at other .mld files for russian.
\(^{c}\) Some languages may require specific fonts.
\(^{d}\) Requires the CJK package [127, 297, 298].
\(^{e}\) Requires Lambda (\(\Lambda\)), the version of \(\LaTeX\) for Omega (\(\Omega\)).
\(^{f}\) Requires a 8-bits input encoding.
\(^{g}\) Uses also a .mlo file.
\(^{h}\) Requires a specific input encoding.
\(^{i}\) The bicig language is also known as uighur.
\(^{j}\) The arabi and farsi3 languages require the use of the Arabi package [243].
1.4.5 Section-level mini-tables
The section-level table of contents is typeset in the \stcfont font, which is defined as \normalsize\rmfamily by default. In fact, the font \stcfont is selected at the beginning of a secttoc, sectlof or sectlot.
More selective choices are made with the following fonts. Subsection entries are typeset in the \stcSfont font, which is \normalsize\bfsseries by default. Subsubsection entries are typeset in the \stcSSSfont font, which is \normalsize\rmfamily by default.
For paragraphs and subparagraphs, the commands \stcPfont and \stcSPfont are available (by default, \normalsize\rmfamily) if you want to use various fonts. Section-level lists of figures and tables are typeset in the fonts \slffont and \sltfont, which are defined as \normalsize\rmfamily by default. There are also \slfSfont and \sltSfont for sub-figures and sub-tables entries.
1.4.6 Titles for section-level mini-tables
Titles are typeset in the \stifont (\normalsize\bfsseries by default) font and the text strings of the titles are defined by \stctitle, \slftitle and \slttitle, which are the strings “Contents”, “Figures” and “Tables” by default. These title commands should be redefined by \renewcommand or \mtcsettitle for languages other than english.
The language definition files like french.mld and english.mld (and also many others, as listed in table 1.7 on the preceding page and explained in section 1.4.14 on page 44) are available. You can easily prepare a similar file for your preferred language (see section 2.26 on page 70). You can change the language of these titles by using the \mtcselectlanguage{language} macro.
1.4.7 Position of the titles
18.104.22.168 For mini-tables at the part level
By default, titles are on the left. The preparation commands \doparttoc, \dopartlof and \dopartlot accept an optional argument to change the default position of the corresponding title: [l] for left (default), [c] for center, [r] for right, or [e] (or [n]) for empty (no title). The change is global for all the document. If you want to change the position of the title for only one parttoc (or partlof or partlot), just use such an optional argument with the command \parttoc (or \partlof or \partlot).
22.214.171.124 For mini-tables at the chapter level
\dominitoc By default, titles are on the left. The preparation commands \dominitoc, \dominilof and \dominilot accept an optional argument to change the default position of the corresponding title: [l] for left (default), [c] for center, [r] for right, or [e] (or [n]) for “empty” (“no” title). The change is global for all the document. If you want to change the position of the title for only one minitoc (or minilof or minilof), just use such an optional argument with the command \minitoc (or \minilof or \minilot).
126.96.36.199 For mini-tables at the section level
\dosecttoc By default, titles are on the left. The preparation commands \dosecttoc, \dosectlof and \dosectlot accept an optional argument to change the default position of the corresponding title: [l] for left (default), [c] for center, [r] for right, or [e] (or [n]) for empty (no title). The change is global for all the document. If you want to change the position of the title for only one secttoc (or sectlof or sectlot), just use such an optional argument with the command \secttoc (or \sectlof or \sectlot).
188.8.131.52 Summary of the positionning of titles
\doparttoc To summarize: by default, all titles are on the left. However, each one of the following preparation commands:
\dopartlof
\dopartlot
\dominitoc \doparttoc, \dopartlof, \dopartlot,
\dominilof \dominitoc, \dominilof, \dominilot,
\dominilot \dosecttoc, \dosectlof, \dosectlot,
\dosecttoc \mtcprepare
\dosectlof
\dosectlot accepts an optional argument to change the positionning of the title: [l] for left (default), [c] for center, [r] for right, [e] or [n] for empty (no title), for all the corresponding mini-tables (for all mini-tables in the case of \mtcprepare).
\parttoc The following insertion commands:
\partlof
\partlot \parttoc, \partlof, \partlot,
\minitoc \minitoc, \minilof, \minilot,
\minilof \secttoc, \sectlof, \sectlot
\minilot
\secttoc accept the same optional arguments, but these options change the positionning only for the title of the current mini-table.
\sectlof
\sectlot
1.4.8 Line spacing in the mini-tables
With the commands \tightmtctrue (or the tight package option) and \tightmtcfalse (or the loose package option, which is the default), the mini-tables will have less (tight) or more (loose) space between contents lines.
But with the KOMA-Script classes [343, 344, 399] (scrartcl, scrbook and screprrt), it may sometimes be necessary to use the following options or commands, because we need to set \parskip to zero in place of \parsep to tighten the mini-table. The efficiency of the following options depends on the options given to these KOMA-Script classes (parindent option, parskip option and variants).
For the KOMA-Script classes, with the commands \ktightmtctrue (or the k-tight package option) and \ktightmtcfalse (or the k-loose package option, which is the default), the mini-tables will have less (tight) or more (loose) space between contents lines.
1.4.9 Simplified commands for fonts
To simplify the redefinition of the fonts for mini-tables, there are two useful commands:
\mtcsetfont{mini-table}{sectionning-level}{commands}
\mtcsettitlefont{mini-table}{commands}
For instance,
\mtcsetfont{minitoc}{subsection}%
{\small\rmfamily\upshape\bfseries}
\mtcsetfont{minilof}{subfigure}%
{\small\rmfamily\upshape\bfseries}
will redefine \mtcSSfont and \mlfSfont with the given font commands.
Note that \mtcsetfont{parttoc}{*}{...} allows also to redefine \ptcfont, etc.
Moreover,
\mtcsettitlefont{parttoc}{\Large\rmfamily\itshape\mdseries}
will redefine \ptifont (for titles in the parttoc, partlofs and partlofs) with the given font commands.
1.4.10 Simplified command for mini-table titles
\mtcsettitle To simplify the redefinition of the titles for mini-tables, the \mtcsettitle command is also available:
\mtcsettitle{mini-table}{title string}
For instance,
\mtcsettitle{minitoc}{Description of contents}
will redefine \mtctitle with the given string. This command checks that you redefine a title for a mini-table type available in your document class.
1.4.11 Simplified command for mini-table depths
\mtcsetdepth To simplify the redefinition of the depths for mini-tables, the \mtcsetdepth command is also available:
\mtcsetdepth{mini-table}{depth}
For instance,
\mtcsetdepth{minitoc}{4}
will set the counter minitocdepth with the given value. This command checks that you set a depth for a mini-table type available in your document class (and that it is possible to change its depth).
1.4.12 Simplified command for mini-table offsets
\mtcsetoffset To simplify the redefinition of the offsets for mini-tables, the \mtcsetoffset command is also available:
\mtcsetoffset{mini-table}{offset}
For instance,
\mtcsetoffset{minitoc}{-4em}
will set the macro \mtcoffset to the given value. This command checks that you set an offset for a mini-table type available in your document class (and that it is possible to change its offset).
**NOTE:** the argument of \mtcsetoffset is not verified. It must be a length value, without shrink nor stretch part. A positive offset is towards the right, a negative one towards the left.
### 1.4.13 Polymorphic entries in the mini-tables
The title of a sectioning command can appear in several places: a) at the beginning of the section, of the chapter or of the part; b) in the page header; c) in the main TOC; d) in the minitoc of the chapter (for a section title or lower); e) in the parttoc of the part (for a chapter title or lower). A sectioning command has two arguments: an optional one, OA, and a mandatory one, MA, like in:
\section[OA]{MA}
OA is taken as MA if omitted. Normally, OA is used in the TOC and in the minitables, as in the page headers when necessary. MA is used as title for the sectioning unit and is the default for OA. But, some times, you may need to have a different version (a variant) for a sectioning unit title in a minitable. So, it is now possible to define such variants by detecting if that title is used inside some minitable: the following flags are defined (when meaningful):
| Level | Flag: | for toc, | for lof, | for lot. |
|---------|----------------|----------|----------|----------|
| Part | \ifinparttoc | \ifinpartlof | \ifinpartlot |
| Chapter | \ifinminitoc | \ifinminilof | \ifinminilot |
| Section | \ifinsecttoc | \ifinsectlof | \ifinsectlot |
But these flags are used to build three new commands, to be called from inside the optional argument (OA) of a sectioning command or that of a caption:
| From OA of: | Command | Arg. 1 | Arg. 2 | Arg. 3 | Arg. 4 |
|-------------------|-----------------|------------|------------|------------|------------|
| sect. command | \mtcpolymtoc | \parttoc | \minitoc | \secttoc | \maintoc |
| figure caption | \mtcpolymlof | \partlof | \minilof | \sectlof | \mainlof |
| table caption | \mtcpolymlot | \partlot | \minilot | \sectlot | \mainlot |
Such entries are “polymorphic”. See the example `mtc-vti.tex`, section 4.36 on page 148, for a short demonstration.
### 1.4.14 Languages for the titles
Most of the strings defined in the language definition files (.mld) were taken from the superb `babel` package [60, 61] of Johannes L. Braams, some were adapted, others were made available by gentle users or taken from specific packages, like ArabTeX [276, 277], Aabi [243], ArmTeX (armenian) [142], BangTeX (bangla, bengali) [362], CervantTeX (spanish) [47], Devanāgarī for TeX [364], ethiop [44], guarani [45], malayalam [4] and omal [5], MonTeX (mongol) [137, 140], CJK (chinese, korean-hangul/hanja, japanese, thai) [127, 297, 298], polski [357, 463] (polish), SletTeX [518] (swedish), FarsiTeX [162] (farsi or iranian), or vietnam [299] — latvian (letton), greek-mono, greek-polydemo, greek-polykatha, polish2, russian2m, russian2o and spanish3 need Lambda (Λ), i.e., the Omega (Ω) version of LaTeX, (see [272]), or even found by searching on the Web (bulgarianb.mld for upper cyrillic bulgarian, japanese.mld for japanese, serbianc.mld for cyrillic serbian). Other languages are welcome\(^{11}\). See table 1.7 on page 38.
But for some oriental languages\(^{12}\), the sources of the titles use some exotic encodings which are difficult to manipulate in a .dtx file, hence the .mld file is then just a wrapper which loads a special file, nicknamed a .mlo file\(^{13}\), not generated by the .dtx file in the current version of minitoc package, but via \texttt{filecontents} environments in the \texttt{minitoc.ins} file, and playing with the “catcode” of the “delete” character.
### 1.4.15 Altering the layout of the mini-tables
The layout of a mini-table is described in the figure 1.2 on the next page (this figure is adapted from [469]), which defines some internal commands (these are not dimensions, but LaTeX commands, created by \newcommand, modifiable via \renewcommand).
- \@dotsep, which is the separation between the dots in the dotted line. It is a pure number expressing math units; 18 math units make 1em (one quad), which is about the width of a “m” in the current font. As the real size of 1em is font dependent, the separation between the dots may vary if you use different fonts for different types of entries in the mini-tables.
- \@pnumwidth, is the width of the space reserved for the page number. It is a LaTeX command containing the representation of a length (e.g., 1.55em).
- \@tocrmarg, is the distance (margin) between the right border of the table and the end of the dotted line. It should be larger than \@pnumwidth, and can be a rubber length (i.e., contain some glue, like 2.55em plus 1fil); if you specify the
---
\(^{11}\)I am searching for the titles in corsican, in particular.
\(^{12}\)Mainly for chinese, farsi, hangul (korean), hanja (korean), japanese, malayalam-omega, thai and some variants of russian.
\(^{13}\)The extension .mlo means minitoc language object.
“... plus 1fil” portion, the text of the entry will be ragged on right; it is useful if you have long entries, and it can avoid most hyphenations.
As these commands are internal (their names contain the “@” character) and must have a local effect only on the specified kinds of mini-tables, you should alter them indirectly via the \mtcsetformat command:
\mtcsetformat{mini-table}{parameter}{value}
where *mini-table* is one of the partttoc, partlof, partlot, minitoc, minilof, minilot, sectttoc, sectlof or sectlot keywords; *parameter* is one of the dotinterval (for \@dotsep), pagenumwidth (for \@pnumwidth), or tocrightmargin (for \@tocrmarg) keywords; so:
\mtcsetformat{partlof}{tocrightmargin}{2.55em plus 1fil}
will set the right margin to 2.55em plus 1fil in the lists of tables at the part level. The elasticity (plus 1fil) is useful if the table captions are long (it prevents most hyphenations).
Note that the tocrightmargin (for \@tocrmarg) parameter should obviously be greater than the pagenumwidth parameter (this appears in the figure 1.2).
If the dotinterval parameter (for \@dotsep) is large enough (try 450, then increase or decrease), the dots of leaders will be so much spread out that they will disappear.
Table 1.8: Horizontal rules
| \ptcrule | parttoc | \noptcrule | parttoc | N | N | Y |
| \plfrule | partlofs | \noplfrule | partlofs | N | N | Y |
| \plrule | partlots | \nopltrule | partlots | N | N | Y |
| \mtcrule | minitocs | \nomtcrule | minitocs | Y | Y | (NA) |
| \mlfrule | minilofs | \nomlfrule | minilofs | Y | Y | (NA) |
| \mlrule | minilots | \nomltrule | minilots | Y | Y | (NA) |
| \strule | secttoc | \nostrule | secttoc | (NA) | (NA) | Y |
| \slfrule | sectlofs | \noslfrule | sectlofs | (NA) | (NA) | Y |
| \slrule | sectlots | \nosltrule | sectlots | (NA) | (NA) | Y |
(NA) = not available.
Table 1.9: Page numbers
| Type | Page numbers (Default) | No page numbers |
|----------|------------------------|--------------------------|
| parttoc | \ptcpagenumbers | \noptcpagenumbers |
| minitoc | \mtcpagenumbers | \nomtcpagenumbers |
| secttoc | \stcpagenumbers | \nostcpagenumbers |
| partlof | \plfpagenumbers | \noplfpagenumbers |
| minilof | \mlfpagenumbers | \nomlfpagenumbers |
| sectlof | \slfpagenumbers | \noslfpagenumbers |
| partlot | \pltpagenumbers | \nopltpagenumbers |
| minilot | \mltpagenumbers | \nomltpagenumbers |
| sectlot | \sltpagenumbers | \nosltpagenumbers |
1.5 Special Features
1.5.1 Horizontal Rules
\mtcsetrules By default, most of mini-tables have horizontal rules after their titles and at their ends. The exception is the “parttoc” in a book- or report-like document (i.e., when \chapter is defined). To activate or deactivate these rules, the commands of the table 1.8 are available. But you can also use the following command, which is simpler:
\mtcsetrules{mini-table} [*]{on|off}
where *mini-table* is one of the `partttoc`, `partllof`, `partllot`, `minitoc`, `minilof`, `minilot`, `sectttoc`, `sectllof`, or `sectllot` keywords; if the first argument is a star (*), all mini-tables are affected; the keywords `on` and `off` have the following synonyms\textsuperscript{14}:
- `on`, `ON`, `yes`, `YES`, `y`, `Y`, `true`, `TRUE`, `t`, `T`, `vrai`, `VRAI`, `v`, `V`, `oui`, `OUI`, `o`, `O`, `+`, and `1`;
- `off`, `OFF`, `no`, `NO`, `n`, `N`, `false`, `FALSE`, `faux`, `FAUX`, `f`, `F`, `non`, `NON`, `−`, and `0`.
### 1.5.2 Page Numbers, Leaders
`\mtcsetpagenumbers`
By default, the page numbers are listed in each minitoc, minilof, etc. Some authors want only the section titles (with the section numbers), but without page numbers. Hence the obvious declarations of table 1.9 on the preceding page are available. But you can also use the following command:
```latex
\mtcsetpagenumbers{mini-table|*}{on|off}
```
where *mini-table* is one of the `partttoc`, `partllof`, `partllot`, `minitoc`, `minilof`, `minilot`, `sectttoc`, `sectllof`, or `sectllot` keywords; the keywords `on` and `off` have the following synonyms\textsuperscript{14}:
- `on`, `ON`, `yes`, `YES`, `y`, `Y`, `true`, `TRUE`, `t`, `T`, `vrai`, `VRAI`, `v`, `V`, `oui`, `OUI`, `o`, `O`, `+`, and `1`;
- `off`, `OFF`, `no`, `NO`, `n`, `N`, `false`, `FALSE`, `faux`, `FAUX`, `f`, `F`, `non`, `NON`, `−`, and `0`.
If the first argument is a star (*), all mini-tables are affected.
In the mini-tables, they are leaders of dots between the section titles and the page numbers. The `undotted` package option removes these dots. The `dotted` package option is the default. See also section 1.4.15 on page 44.
### 1.5.3 Features for partttocs and other mini-tables
By default, a parttoc (or a partllof or a partllot), in a book- or report-class document, is preceded and followed by a `\cleardoublepage` (which acts like `\clearpage` in a one-side document), and has a page style of `empty`. Since version #32, you can modify this behaviour by redefining the commands of table 1.10 on the following page, whose meaning is often obvious. A feature defined as `\empty` does nothing.
\textsuperscript{14}`0` and `o` are the letter 0. `0` is the zero digit.
| Type | Command | Default |
|----------|--------------------------|--------------------------------|
| parttoc | \beforeparttoc | \cleardoublepage |
| parttoc | \afterparttoc | \cleardoublepage |
| parttoc | \openparttoc | \empty |
| parttoc | \closeparttoc | \empty |
| parttoc | \thispageparttocstyle | \thispagestyle{empty} |
| partlof | \beforepartlof | \cleardoublepage |
| partlof | \afterpartlof | \cleardoublepage |
| partlof | \openpartlof | \empty |
| partlof | \closepartlof | \empty |
| partlof | \thispagepartlofstyle | \thispagestyle{empty} |
| partlot | \beforepartlot | \cleardoublepage |
| partlot | \afterpartlot | \cleardoublepage |
| partlot | \openpartlot | \empty |
| partlot | \closepartlot | \empty |
| partlot | \thispagepartlotstyle | \thispagestyle{empty} |
| minitoc | \beforeminitoc | \empty |
| minitoc | \afterminitoc | \empty |
| minitoc | \openminitoc | \empty |
| minitoc | \closeminitoc | \empty |
| minitoc | \thispageminitocstyle | \empty |
| minilof | \beforeminilof | \empty |
| minilof | \afterminilof | \empty |
| minilof | \openminilof | \empty |
| minilof | \closeminilof | \empty |
| minilof | \thispageminilofstyle | \empty |
| minilot | \beforeminilot | \empty |
| minilot | \afterminilot | \empty |
| minilot | \openminilot | \empty |
| minilot | \closeminilot | \empty |
| minilot | \thispageminilotstyle | \empty |
| secttoc | \beforesecttoc | \empty |
| secttoc | \aftersecttoc | \empty |
| secttoc | \opensecttoc | \empty |
| secttoc | \closesecttoc | \empty |
| secttoc | \thispagesecttocstyle | \empty |
| sectlof | \beforesectlof | \empty |
| sectlof | \aftersectlof | \empty |
| sectlof | \opensectlof | \empty |
| sectlof | \closesectlof | \empty |
| sectlof | \thispagesectlofstyle | \empty |
| sectlot | \beforesectlot | \empty |
| sectlot | \aftersectlot | \empty |
| sectlot | \opensectlot | \empty |
| sectlot | \closesectlot | \empty |
| sectlot | \thispagesectlotstyle | \empty |
\mtcsetfeature{mini-table}{before|after|open|close|pagestyle}{command}
Modifies the features for a mini-table.
The command:
\mtcsetfeature{mini-table}{keyword}{commands}
allows you to redefine any of these commands. *mini-table* is one of the mini-table names: partttoc... sectlot. *keyword* is one of the followings: before, after, open, close or pagestyle. *commands* is either a sequence of commands like \clearpage, \cleardoublepage, \thispagestyle{...}, etc., either \empty (does nothing).
### 184.108.40.206 Remark about page styles
The default commands for part-level mini-tables page styles are defined as being simply a standard \thispagestyle{empty} command, because in document classes defining the \chapter command (like book or report), the part-level mini-tables are on their own pages. If the document is printed recto-verso, the first page is recto. Usually, these pages are not numbered and have no header and no footer. This behaviour is a consequence from the default definitions of the commands of table 1.10 on the page before. If you want an other behaviour, you can change these definitions. Note that, by default, only the *first* page of these mini-tables are in the empty page style. You can set the style of this first page by using \thispagestyle and set the style of the following pages by using \pagestyle, but you must not forget to reset the normal style after the mini-table. Look at this short theoretical example:
\mtcsetfeature{parttoc}{before}%
{\cleardoublepage}
\mtcsetfeature{parttoc}{pagestyle}%
{\thispagestyle{empty}\pagestyle{myheadings}}
\mtcsetfeature{parttoc}{after}%
{\cleardoublepage\pagestyle{headings}}
where we add a \cleardoublepage before each parttoc, then we set the empty page style for the first page of the partttocs, the myheadings page style for the following pages of the partttocs, and set headings page style for the pages after the mini-table, after a \cleardoublepage.
### 1.5.4 The “Chapter 0” Problem (solved)
Some documents do not begin with chapter number one, but with chapter number zero (or even a weirder number).
---
15 This remark is taken and adapted from a draft of the second edition of the JMPL [29], by Benjamin BAVART, where he comments the minitoc package.
16 This example shows that the third argument can be a *sequence* of commands: we set the style of the current page and the style of the following pages.
Before version #23 (1994/11/08) To make the minitoc package work with such documents, you must insert the command:
\firstchapteris{\langle N \rangle}
before the \dominitoc and analogous commands. \langle N \rangle is the number of the first chapter. This command does not modify the numbering of chapters, you must use a
\addtocounter{chapter}{-1}
command to get a first chapter numbered 0. The \firstpartis and \firstsectionis commands are similar for parts and sections with a non standard numbering.
Since version #23 (1994/11/08) These commands are now obsolete, as this problem has been solved (via the “absolute” numbering of the mini-table auxiliary files). Thus now they just produce harmless warnings.
1.5.5 Special Entries in the TOC
If you want to add entries in the Table of Contents for objects like the Table of Contents itself, the List of Figures, the List of Tables, the Bibliography or the Index, you should use the tocbibind package [472] by Peter R. Wilson (package available from the CTAN archives).
But these entries are considered as chapters (or sections in an article class document) when the .toc file is scanned to prepare the minitocs (the \dominitoc phase).
Note that the same problems appear if you use one of the scrbook, scrreprt or scrartcl KOMA-Script classes [343, 344, 399] with some options (liststotoc, liststotocnumbered, bibttotoc, bibttotocnumbered, and idxtotoc). The solutions are the same ones.
So you must add an \mtcaddchapter command, without argument, after each of the involved commands \tableofcontents, \listoffigures, and \listoftables.
For the bibliography, you should add a \adjustmtc command after the \bibliography command.
For the glossary, it is a bit more complicated, you should add the following commands just after the \printglossary command:
\addcontentsline{lof}{xchapter}{}
\addcontentsline{lot}{xchapter}{}
\mtcaddchapter
But this can be done by:
\mtcfixglossary[chapter|section|part]
where the optional argument is the level for the glossary entry in the TOC. By default, if \chapter is defined, the chapter level is used, else the section level. If neither \chapter or \section are defined, the part level will be used if \part is defined; else an error is reported. You must check the result and, if necessary, adjust the optional argument.
For the index, it is like for the glossary, you should add the following commands just after the \printindex command:
\addcontentsline{lof}{xchapter}{}
\addcontentsline{lot}{xchapter}{}
\mtcaddchapter
But this can be done by:
\mtcfixindex[chapter|section|part]
where the optional argument is the level for the index entry in the TOC. By default, if \chapter is defined, the chapter level is used, else the section level. If neither \chapter or \section are defined, the part level will be used if \part is defined; else an error is reported. You must check the result and, if necessary, adjust the optional argument.
For the nomenclature \(^{17}\), it is like for the glossary, you should add the following commands just after the \printnomenclature command:
\addcontentsline{lof}{xchapter}{}
\addcontentsline{lot}{xchapter}{}
\mtcaddchapter
But this can be done by:
\mtcfixnomenclature[chapter|section|part]
where the optional argument is the level for the nomenclature entry in the TOC. By default, if \chapter is defined, the chapter level is used, else the section level. If neither \chapter or \section are defined, the part level will be used if \part is defined; else an error is reported. You must check the result and, if necessary, adjust the optional argument.
\(^{17}\)If you are using the nomenc package [456] or the nomentbl package [161] (nomentbl calls nomenc).
Of course, in documents where the TOC, LOF, LOT, bibliography and/or glossary (or index or nomenclature) are processed as starred sections, you must modify these additions to use section level commands.
And proceed with extreme care, tracking in the `document.log` file the insertion of `.mtc<N>` files (and siblings). They are some examples in the `mtc-add.tex` (see section 4.4 on page 96), `mtc-ads.tex` (see section 4.5 on page 100), and `mtc-nom.tex` (see section 4.26 on page 136) files distributed with minitoc. The `mtc-ads.tex` example shows how much that problem is difficult.
### 1.6 The notoccite option
This option loads the `notoccite` package [14] (by Donald Arseneau). It avoids problems with `\cite` commands in sectioning commands or captions: if you then run LaTeX using the `unsrt` (unsorted) style, or a similar style, these citations get numbered starting from the page in the table of contents where is the parasite citation, not the number they should have in the main text. The `notoccite` package prevents this. As minitoc prints TOCs, it is subject to the same problem. See also [http://www.tex.ac.uk/cgi-bin/texfaq2html?label=bibtocorder](http://www.tex.ac.uk/cgi-bin/texfaq2html?label=bibtocorder).
### 1.7 The listfiles and nolistfiles options
The `listfiles` package option creates a list of the minitoc auxiliary files into the file `document.maf`. This feature can help you to remove these auxiliary files which are no more necessary after the LaTeX run. Under Unix or Linux, you can try:
```
cat document.maf | xargs -i -t \rm {}
```
### 1.8 The hints option
This package option detects some actions and the loading of some packages and classes known as interacting with minitoc, and also some frequent misuses and errors. This list of interacting packages and classes is, of course, not closed. If a known package is loaded, this option writes some hints in the `document.log` file and emits a warning. The hints written in the `document.log` file may suggest you to consult the present document or the `minitoc.bug` file. Your advice about this option will be welcome. This option is activated by default, but you can inhibit it via the `nohints` option. The following (potential) problems are currently detected:
---
18 This package option is now (since version #48) the default (list created).
Alteration of some of the following commands\textsuperscript{19}: \part, \@part, \@spart, \chapter, \part, \@chapter, \@schapter, \section, \@sect, and \@ssect. Note that the hyperref package alters these commands at \begin{document}, hence this problem might be reported if you use this package, but these alterations seem harmless. Note that the hyperref must be loaded before minitoc.
Presence of the following packages or classes, which need some precautions: amsbook (class), memoir (class), appendix, placeins (beware to its options and its release date (2005/04/18 at least)), scrbook (class), scrreprt (class), scrartcl (class), tocbibind, and tocloft.
Presence of the following packages or classes, which, unfortunately, are incompatible with the minitoc package: amsart (class), amsproc (class), alphanum, flowfram\textsuperscript{20}, jura (class), titlesec, and titletoc\textsuperscript{21}.
Usage of \parttoc without calling \doparttoc, ..., usage of \sectlot without calling \dosectlot; or the reverse.
Usage of \parttoc without calling \[fake]tableofcontents, ..., of \sectlot without calling \[fake]listoftables.
Usage of \sectlof and/or \sectlot without using the insection package option of minitoc (or the placeins package without its section option).
If you are using short extensions (because of your operating system or the shortext package option, see section 1.9 on the following page) and go beyond the limit of 99 parts, chapters or sections, the hints package option displays a warning.
If the abstract package [470] (by Peter R. Wilson), is used with its addtotoc option, a “Abstract” entry is added to the table of contents, as a starred chapter if the document class defines \chapter, else as a starred section. This is detected and you should add a \mtcaddchapter[] or a \mtcaddsection[] command after your abstract environment.
- If the sectsty package [319] (by Rowland McDonnell) is used, it must be loaded before the minitoc package. The interaction has been pointed out by Bil Kleb.
- If the varsects package [437] (by Daniel Taupin\textsuperscript{†}) is used, it must be loaded before the minitoc package.
- If the fncychap package [301] (by Ulf A. Lindgren) is used, it must be loaded before the minitoc package.
- If the hangcaption package [250] (by David M. Jones) is used, it must be loaded before the minitoc package.
- If the quotchap package [442] (by Karsten Tinnefeld) is used, it must be loaded before the minitoc package.
\textsuperscript{19}The commands containing the “@” character in their names are internal commands of \LaTeX, of a package or of a class; they are sometimes altered by another packages; reconsider then the loading order of the packages.
\textsuperscript{20}This package has its own system for minitocs.
\textsuperscript{21}The titlesec package redefines the sectionning commands in a way completely alien to the standard \LaTeX way; hence minitoc and titlesec-titletoc are fundamentally incompatible, and it is very sad.
• If the \textit{romannum} package [480] (by Peter R. Wilson) is used, it must be loaded \textit{before} the minitoc package.
• If the \textit{sfheaders} package [304] (by Maurizio Loretti) is used, it must be loaded \textit{before} the minitoc package.
• If the \textit{alnnumsec} package [274] (by Frank Küster) is used, it must be loaded \textit{before} the minitoc package.
• If the \textit{captcont} package [131] (by Steven Douglas Cochran) is used, it must be loaded \textit{before} the minitoc package.
• If one of the \textit{caption} [421, 422, 424], \textit{caption2}\footnote{This package is obsolete; now use the caption package.} [423], (both written by Axel Sommerfeldt), \textit{ccaption} [474] (written by Peter R. Wilson), or \textit{mcaption} [228] (written by Stephan Hennig), packages is used, it must be loaded \textit{before} the minitoc package.
• If one of the \textit{float} [302], \textit{floatrow} [285], \textit{trivfloat} [484], or \textit{rotfloat} [420] packages is used, you must remember that \textit{you can not use} the minitoc facilities for preparing mini-tables of floats of the new defined types.
• If you try to insert empty mini-tables, the \textit{hints} option gives a global warning (except if you used also the \textit{nocheckfiles} option, see section 1.3.3 on page 29).
\textit{\firstpartis}• If you use one of the obsolete commands (\textit{\firstpartis}, \textit{\firstchapteris}, or \textit{\firstsectionis}), a warning is issued for each use, of course, but also a global hint as reminder.
• If you invoke a same preparation command more than once, an informative hint is issued for each spurious invocation.
### 1.9 Usage with MS-DOS
Under MS-DOS (and other PC oriented old operating systems), the filename extensions are limited to 3 characters. The minitoc package determines dynamically the type of extensions available and will use it. All other modifications will be done automatically. The .\textit{mtc}\langle N\rangle extensions will become .M\langle N\rangle, where \langle N\rangle is the absolute chapter number. The extensions .\textit{mlf}\langle N\rangle and .\textit{mlt}\langle N\rangle become .F\langle N\rangle and .T\langle N\rangle. The .\textit{ptc}\langle N\rangle extensions become .P\langle N\rangle, where \langle N\rangle is the absolute part number. The extensions .\textit{plf}\langle N\rangle and .\textit{plt}\langle N\rangle become .G\langle N\rangle and .U\langle N\rangle. The .\textit{stc}\langle N\rangle extensions become .S\langle N\rangle, where \langle N\rangle is the absolute section number. The extensions .\textit{s1f}\langle N\rangle and .\textit{s1t}\langle N\rangle become .H\langle N\rangle and .V\langle N\rangle. All these extensions are listed in table 1.11 on the following page. Of course, this implies a limit of 99 chapters in a document, but do you really need so many chapters (or sections in an article)? The limit of 99 parts does not seem too serious for most documents, but for sections, it could be tragical. The \textit{hints} option (section 1.8 on page 52) will report such situations. See also section 2.5 on page 58.
Table 1.11: Extensions of the auxiliary files
| mini-table | long extensions (UNIX, etc.) | short extensions (MS-DOS, etc.) |
|------------|------------------------------|---------------------------------|
| parttoc | .ptc\langle N\rangle | .P\langle N\rangle |
| partlof | .plf\langle N\rangle | .G\langle N\rangle |
| partlot | .plt\langle N\rangle | .U\langle N\rangle |
| minitoc | .mtc\langle N\rangle | .M\langle N\rangle |
| minilof | .mlf\langle N\rangle | .F\langle N\rangle |
| minilot | .mlt\langle N\rangle | .T\langle N\rangle |
| secttoc | .stc\langle N\rangle | .S\langle N\rangle |
| sectlof | .slf\langle N\rangle | .H\langle N\rangle |
| sectlot | .slt\langle N\rangle | .V\langle N\rangle |
### 1.10 Why several \LaTeX runs are required?
The mini-tables, at part, chapter and section levels, are using some space on the first pages on each chapter, part or section, thus the page numbers are altered. After the first \LaTeX run, the mini-tables and lists, partial tables and lists and section-level tables and lists will be empty (in fact skipped since version #35); after the second run, they appear (if not empty), but because they modify the page numbering, page numbers are wrong; after the third \LaTeX run, the mini, part- and section-level tables and lists should be correct (see figure 2.1 on page 59).
### 1.11 The mtcoff package
If a document has been prepared with the minitoc package, it contains many minitoc specific commands, most of them being \dominitoc, \fake tableofcontents, and \minitoc commands (and their equivalents for lists of figures and tables). If you want to typeset this document without any mini-table, you have just to replace the minitoc package by the mtcoff package (without option), and all these commands will be ignored, eventually writing warning messages in the *document.log* file. At least two \LaTeX runs will be necessary to get a correct page numbering and cross references. It also sanitizes the .aux, .toc, .lof, and .lot files from minitoc specific commands which are now spurious.
Chapter 2
Frequently Asked Questions
Contents
2.0 Introduction .................................................. 57
2.1 Avoiding a page break near the rules before and after a mini-table .............. 58
2.2 Implementing others layouts for a mini-table ........................................... 58
2.3 A “\texttt{^^}” command in a contents line makes an error ............................. 58
2.4 Reordering chapters makes havoc ......................................................... 58
2.5 Extensions for the names of auxiliary files ............................................. 58
2.6 Playing with the chapter number ......................................................... 59
2.7 Supported document classes ............................................................... 60
2.8 Compatibility with \LaTeX versions ...................................................... 60
2.9 Other mini-tables ................................................................................. 60
2.10 Why so many auxiliary files? ............................................................... 61
2.11 Mini-tables at levels other than chapter ................................................ 61
2.12 Incompatibility with \BibTeX 2.09 ....................................................... 62
2.13 Documents resetting the chapter number at each part .............................. 62
2.14 The mini-tables have too much spaced lines .......................................... 62
2.15 The secttoc's are wrong ....................................................................... 62
2.16 Removing the lines of dots .................................................................... 62
2.17 Using the hyperref package with mintoc ................................................ 62
2.18 Problem while upgrading mintoc .......................................................... 63
2.19 A local TOC for the set of appendices ................................................... 63
2.20 Use with the appendix package ............................................................. 64
2.21 Use with the tocloft package ............................................................... 64
2.22 Use with the memoir class .................................................................... 65
2.23 There are too many commands for fonts, titles, and depths ..................... 66
2.24 Compatibility with the \LaTeX S document classes ................................ 66
2.25 Hiding some entries from the main table of contents ............................... 67
2.26 Defining your own .mld file .................................................................. 70
2.27 Use with the abstract package .............................................................. 70
2.28 Use with the sectsty package ............................................................... 70
2.29 Strange alignment in the mintocs .......................................................... 71
2.30 Useful precautions with starred sectionning commands ............................ 72
2.31 Use with packages for captions .............................................................. 72
2.32 Bad interaction mintoc/hyperref/memoir ............................................... 72
2.0 Introduction
Here is a list of problems and frequently asked questions about the minitoc.sty package. If the version has a number less than 61, please upgrade to version #61. This list is also given in the minitoc.bug file, in pure text form. The numbering of this list is done by date of the first occurrence of the question.
If a problem arises, it is often wise to: a) use the hints option (see section 1.8 on page 52), which is activated by default, and b) read the document.log file, which may contain pertinent messages. If you do not find a solution, ask a question on an adequate news group, like fr.comp.text.tex (in french) or comp.text.tex (in english) preferably, groups which I try to follow, or send me a mail in last ressort (please join a minimal but complete example [384, 432] \(^1\) (or “MCE”) reproducing the problem; this example should use the hints option).
\(^1\) See also: http://www.tex.ac.uk/cgi-bin/textfaq2html?label=minxampl and http://www.tex.ac.uk/cgi-bin/textfaq2html?label=askquestion for good advices.
2.1 Avoiding a page break near the rules before and after a mini-table
This problem seemed solved since version #8, but version #12 added better fixes. You may have to make some final tuning with \enlargethispage. See the LaTeX manual [279]. The reedspace package [468] may also be useful.
2.2 Implementing others layouts for a mini-table
Suggestions are welcome, but look at the section 1.4.15 on page 44. There are yet some examples in chapter 4 on page 90, for some layouts, like mini-tables on two or three columns.
2.3 A “\\” command in a contents line makes an error
Use \protect\linebreak. The \\ command should be used only in tabular material (tabular environment and similar, or in the tabbing environment) and in math arrays and equations, or in the quote-like environments.
2.4 Reordering chapters makes havoc
If you reorder chapters, havoc follows... mini-tables going in wrong chapters.
The best way seems to make one run with the mtoff package replacing the minitoc package, then restore the minitoc package and re-execute LaTeX at least three times (yes, it is time consuming...). See figure 2.1 on the next page\footnote{I used the pict2e package [178], by Hubert Gasslein, Rolf Nieprasik and Josef Tkadlec, to prepare this figure.}. Running with the mtoff package ensures that the standard auxiliary files are cleared from “spurious” commands introduced by minitoc. A more radical solution is to delete the .aux, .toc, .lof and .lot files relative to the document, then re-execute LaTeX at least three times.
2.5 Extensions for the names of auxiliary files
This package creates auxiliary files with extensions like .mtc(N). Some operating systems allow only 3 characters extensions. What to do?
No modification is needed: all became automatic since version #28! If you insist to use 3 characters extensions, even on operating systems allowing more, just use the package option `shortext`. Then you will get first the autoconfiguration messages, then a message saying that you will use short extensions. But then be careful to not have more than 99 mini-tables of the same kind (even empty)!
### 2.6 Playing with the chapter number
Do not cheat with the “chapter” counter, i.e., do not write ugly things like:
```latex
\setcounter{chapter}{6}
```
The mechanism would break. It is better to add `\chapter` commands, to create empty (but numbered in a legal way) chapters. Since version #10, the `minitoc` package works with appendices. Version #19 allows to begin with a chapter other than number 1. And look at “Special Entries in the TOC”, section 1.5.5 on page 50.
Since version #23 (1994/11/08), the numbering of chapters and that of minitocs are independent, so that problem just vanished.
The same remarks apply to the `part` and `section` counters.
2.7 Supported document classes
The `minitoc` package is restricted to document classes which define chapters in the standard way, like “book” and “report”, or sections in the standard way, like “article” [282]. There are “parttoc”s if the document class defines the \part command. Note that classes like “letter” [283], which have not the classical sectionning structure, cannot be supported. Classes using sectionning commands with other names are not supported\(^3\). See also section 2.24 on page 66.
2.8 Compatibility with LaTeX versions
Some users have failed to make `minitoc` to work. They got a message like:
```
Package minitoc Warning: W0021
Undefined command ... \@inputcheck ...
Your version of latex.tex is obsolete. Trying to continue...
```
or:
```
Package minitoc Warning: W0022
Undefined command ... \reset@font ...
Your version of latex.tex is very obsolete.
Trying to continue... crossing fingers.
```
The `\reset@font` command has been added to `latex.tex` on September 29th, 1991 and the `\@inputcheck` command on March 18th, 1992 and this version of `latex.tex` has been released on March 25th, 1992. If you get this message, you have an old version of `latex.tex`. Get a recent one from the archives (or a recent distribution) and regenerate a `latex.fmt` format via `initex` (or your configuration tool).
2.9 Other mini-tables
Some demanding users want to have minilof, minilot and minibbl (mini-bibliographies per part, chapter or section). First, “minibbl” is another problem, strongly related to the BnTeX’s dealing with .aux files. Look at the `chapterbib` [19], `bibunits` [210], `multibib` [211], `bibtopic` [25], and `splitbib` [314] packages. Version #13 has implemented basic minilofs and minilots. Minibbls are not the aim of this package\(^4\).
---
\(^3\) This would be very difficult: any user can create new sectionning commands (often with the help from some packages) with standard or new names; this is only limited by the imagination. The `minitoc` package relies on the names of the standard sectionning commands and on the syntax of these commands.
\(^4\) See http://www.tex.ac.uk/cgi-bin/texfaq2html?label=multibib
2.10 Why so many auxiliary files?
This package creates a lot of auxiliary files and some users have argued that it is too many. A deep redesign would be necessary to avoid that. Using only one big auxiliary file (or one for all minitocs, one for all minilofs, ...) would make the reading of such file very slow, as it would be read for each \miniXXX macro! Moreover, this would make the checkfiles (see section 1.3.3 on page 29) package option impractical to implement. Note that the many files *.mtc*, etc., may be deleted after the LaTeX run. They are rebuilt by the preparation commands (like \dominitoc and siblings). But, since version #35, minitoc is able to detect and skip empty *.mtc* files (and siblings) to avoid ugly titles with just two thin rules. It would not be easy to do with only one big auxiliary file. Since version #44, the listfiles package option is available to create a list of these auxiliary files; see section 1.7 on page 52.
These files contain the mini-tables extracted from the .toc, .lof, and .lot files. They are no more useful after the LaTeX run. If you run LaTeX via a script or a “makefile”, it may be useful to add to it a cleaning feature (which should be optional, to allow debugging). The table 1.11 on page 55 gives the list of the extensions for these files (note that a document.mtc auxiliary file is also created as a scratch file).
As an example, you can look at the rubber tool [34] (written in Python) provided by Emmanuel Beffara:
http://iml.univ-mrs.fr/~beffara/soft/rubber/
2.11 Mini-tables at levels other than chapter
Here also, some redesign was needed. From version #15, there are parttoc, partlofs and partlots for the part level in book|report-like and article-like documents, secttoc, sectlofs and sectlots for the section level in article-like documents. Note that you can not have minitocs features at chapter and section level in the same document, because doing so would make an almost unreadable monster. The user must choose the main class of the document according to the size of it (e.g., do not write an article of more than 100 sections: this is a report, or even a book!).
| | part | chapter | section |
|----------------|------|---------|---------|
| book | * | * | |
| report | * | * | |
| article | * | | * |
2.12 Incompatibility with LaTeX2.09
The more recent version of \LaTeX\ adds \protect before \contentsline in the .toc, .lof and .lot files. The version #17 of minitoc attempts to be compatible with \LaTeX\ and LaTeX2.09. This will be the last version usable with LaTeX2.09. Versions #18 and later are \LaTeX\ specific, and no more compatible with LaTeX2.09, which is completely obsolete.
2.13 Documents resetting the chapter number at each part
Since version #23, minitoc works with document classes resetting chapter (or section) number at each part (or chapter). This is possible because the auxiliary files for the mini-tables have now an absolute number.
2.14 The mini-tables have too much spaced lines
From version #29, you can have tight mini-tables with the tight option, and with the k-tight option for the KOMA-Script classes [343, 344, 399] (since version #43).
2.15 The sectttocs are wrong
Sectttocs did not work: corrected (version #38).
2.16 Removing the lines of dots
The lines of dots (leaders) between section titles and page numbers are removed by the undotted option (#29). See also section 1.4.15 on page 44.
2.17 Using the hyperref package with minitoc
Since version #31, minitoc works correctly with the powerful hyperref package [390], thanks to Heiko Oberdiek, using the work of Bernd Jahnke, Didier Verna and A. J. “Tony” Roberts. Hence the minitoc-hyper package [454] is now obsolete and should no more be used. It is still present on the CTAN archives for compatibility with old documents. If you add the loading of the hyperref package to a document yet using minitoc, you will get error message about spurious closing braces. Just let finish the \LaTeX\ run, then re-\LaTeX\ the document. There will
be no problem if you remove the loading of \texttt{hyperref} and add it again: the problem occurs only when upgrading from minitoc #30 to minitoc #31 (or higher) with a document already processed and adding \texttt{hyperref} at the same time! It seems better to process the document with minitoc #31 (or higher) without \texttt{hyperref}, then with \texttt{hyperref}, because some internal commands written into the auxiliary files have been modified. If used, the \texttt{hyperref} package must be loaded \textit{before} minitoc. Note that the documents \texttt{minitoc.dtx} and \texttt{minitoc-fr.dtx} show (not so) basic examples of the use of the \texttt{hyperref} package with minitoc.
### 2.18 Problem while upgrading minitoc
If upgrading from version #30 or lower to version #31 or higher, you should delete the .aux, .toc, .lof, .lot files of the document, else the first \LaTeX run with version #31 or higher will produce a lot of errors (the next run should be ok). See also the section 2.17 on the preceding page.
### 2.19 A local TOC for the set of appendices
Some users need a table of contents for the appendices, but without putting the entries of it into the main table of contents. The solution is to put the appendices in a \texttt{part} subdivision of the document and ask for a table of contents at the \texttt{part} level:
```
\doparttoc
\tableofcontents
\appendix
\part
\parttoc
\doparttoc % after \begin{document}
\addtocontents{toc}{\protect\setcounter{tocdepth}{-1}}
\chapter{First appendix}
...
% Add this at the end of appendices if there is something
% after the appendices (like an index or a bibliography)
% to put a bound to the contents of \parttoc
\addtocontents{toc}{\protect\partbegin}
```
See also section 2.25 on page 67.
2.20 Use with the appendix package
If you use the appendix package [471] (by Peter R. Wilson), you will observe a serious problem with minitocs in the appendices environment (and after it): they do not match with their respective appendices. In fact, the environment opening \begin{appendices} hides a \addcontentsline command for a chapter or a section, putting trouble in the numbering of minitocs or secttoc. Several solutions are available. The first one is to add a \adjustmtc or \adjuststc command (depending on the level of the appendices, chapter or section) after each \begin{appendices} command. An other solution is to add the following commands in the preamble after the loading of the appendix package:
\let\oldappendices\appendices
\def\appendices{\oldappendices\adjustmtc}
if appendices are at the chapter level, OR:
\let\oldappendices\appendices
\def\appendices{\oldappendices\adjuststc}
if appendices are at the section level.
These two solutions may be modified by replacing \adjustmtc by the sequence:
\addtocontents{toc}{\chapterend}
OR
\addtocontents{toc}{\sectend}
when it is necessary to delimit the end of the preceding chapter or section.
A rather more elegant solution is to add an entry into the TOC via the \addappheadtotoc command offered by the appendix package. As this entry is a chapter-level (or section-level) entry, it delimits correctly the end of the preceding chapter or section.
See also the mtc-ann.tex example file (section 4.6 on page 105), which uses the memoir class [479, 481, 482], which includes itself the appendix package functionality (these packages and this class are from the same author).
2.21 Use with the tocloft package
(This answer is given in the documentation of the tocloft package [469].) The tocloft (by Peter R. Wilson) and minitoc packages have an unfortunate interaction, which fortunately
\footnote{In fact, the commands \partend, \chapterend and \sectend should not be used directly by the user, in normal circumstances.}
\footnote{Discovered by Lyndon Dudding.}
can be fixed. In the normal course of events, when minitoc is used in a chaptered document it will typeset section entries in the minitocs in bold font. If tocloft is used in conjunction with minitoc, then the minitoc section entries are typeset in the normal font, except for the page numbers which are in bold font, while the ToC section entries are all in normal font.
One cure, if you want the minitoc section entries to be all in normal small font, is to put:
\renewcommand{\mtcSfont}{\normalfont\small}
or:
\mtcsetfont{minitoc}{section}{\normalfont\small}
in the preamble.
Otherwise, the cure is the following incantation:
\renewcommand{\cftsecfont}{\bfseries}
\renewcommand{\cftseceleader}{\bfseries\cftdotfill{\cftdotsep}}
\renewcommand{\cftsecpagefont}{\bfseries}
To have the section entries in both the ToC and the minitocs in bold then put the incantation in the preamble. To have only the minitoc section entries in bold while the ToC entries are in the normal font, put the incantation between the \tableofcontents command and the first \chapter command.
As tocloft is a very powerful and useful package, these cures are worth to be added if you need the benefits of this package. See also section 2.22.
### 2.22 Use with the memoir class
The memoir class [479, 481, 482] offers basically the functionalities of the appendix, tocibind and tocloft packages (this class and these packages have the same author, Peter R. Wilson), hence it has the same problems; see above the available solutions (sections 2.20 on the preceding page, 1.5.5 on page 50, and 2.21 on the preceding page respectively). If your version of the memoir class is recent, the syntax of the \chapter command is different and the memoir class could be no more compatible with the minitoc package, but a patch is inserted to fix the problem. Hopefully, if your version of the memoir class is more recent than 2005/09/25, the patch is no more necessary.
If you are using the memoir class (or the tocloft package), the \mtcsetfont command has no effect (\mtcsettitlefont works); you should use the font commands which are specific of the memoir class (or of the tocloft package).
If you still want to use the \mtcsetfont commands while using the memoir class (or of the tocloft package), you must disable the memoir/tocloft font commands. This is done by the following commands:
\let\cftpartfont\relax
\let\cftchapterfont\relax
\let\cftsectionfont\relax
\let\cftsubsectionfont\relax
\let\cftsubsubsectionfont\relax
\let\cftparagraphfont\relax
\let\cftsubparagraphfont\relax
\let\cftfigurefont\relax
\let\cftsubfigurefont\relax
\let\cfttablefont\relax
\let\cftsubtablefont\relax
2.23 There are too many commands for fonts, titles, and depths
\mtcsetfont Since version #41, the \mtcsetfont and \mtcsettitlefont commands are available. You do not need anymore to know \mtcSSfont, \ptifont, etc.
\mtcsettitle Since version #42, the \mtcsettitle command is available. You do not need anymore to know \mtctitle, \slttitle, etc.
\mtcsetdepth Since version #43, the \mtcsetdepth command is available. You do not need anymore to know the counters minitocdepth, sectlotdepth, etc.
2.24 Compatibility with the AMS document classes
This problem has been pointed out by Henri Massias.
\mtcaddchapter Unfortunately, the amsart and amsproc document classes are incompatible with mintoc. The amsbook document class requires the insertion of commands if you want a list of figures and/or a list of tables:
\listoffigures
\mtcaddchapter % added
\listoftables
\mtcaddchapter % added
2.25 Hiding some entries from the main table of contents
It is a problem similar to that of section 2.19 on page 63. An example is having a local table of contents for a chapter (\minitoc) whose entries should not appear in the main table of contents. Just use the \mtchideinmaintoc environment:
\chapter{Title}
\begin{mtchideinmaintoc}[level]
\minitoc
\section{sub-title}
...
\end{mtchideinmaintoc}
This environment accepts an optional numeric argument, which is the depth of hiding in the main toc (default: -1, complete hiding). You can look at the mtc-apx.tex example file:
\documentclass[oneside]{book}
\ProvidesFile{mtc-apx.tex}%
[2007/03/22]%
\usepackage{lipsum} % provides filling text
\usepackage{tocbibind} % adds some entries in the main TOC.
\usepackage[tight, listfiles]{minitoc}
\setcounter{minitocdepth}{3} \setcounter{parttocdepth}{3}
\begin{document}
\doparttoc \dominitoc % prepare the mini-tables
\tableofcontents
\mtcaddchapter % because tocbibind adds a chapter entry in the TOC
\chapter{First}
\minitoc
First chapter
\section{First section} \lipsum[1]
\section{Second section} \lipsum[2]
\chapter{Second}
\minitoc
Second
\section{First section of second chapter} \lipsum[3]
\section{Second section of second chapter} \lipsum[4]
\appendix % begins the appendices
\addcontentsline{toc}{part}{Appendices} % adds a part entry in the TOC
\adjustptc % fixes the parttoc counter ptc
\mtcsettitle{parttoc}{List of Appendices} % changes the parttoc title
\parttoc % adds a partial toc for the appendices
\begin{mtchideinmaintoc}[-1] % hides the details of the appendices in the main TOC,
% but chapter-level entries would be still visible in the main TOC
% if you use 0 in place of -1 as optional argument.
\chapter{First appendix}
\minitoc
First appendix
\section{First section} \lipsum[5]
\section{Second section} \lipsum[6]
\chapter{Second appendix}
\minitoc
Second appendix
\section{First section of second appendix} \lipsum[7]
\section{Second section of second appendix} \lipsum[8]
\end{mtchideinmaintoc} % end of hiding
\end{document}
Of course, the environments \texttt{mtchideinmainlof} and \texttt{mtchideinmainlot} are also available, to hide some entries in the main list of figures or of tables.
Note that the position of the end of these environments must be adjusted to include a page break (like the one done by a \texttt{chapter} command), else the restore command might be inserted too early into the .toc, .lof or .lot file. There is an example file (\texttt{mtc-hil.tex}):
\begin{verbatim}
\documentclass{report}
\ProvidesFile{mtc-hil.tex}%
[2007/01/04]%
\usepackage%
[tight,listfiles]{minitoc}
\begin{document}
\dominilof \listoffigures
\dominilot \listoftables
\chapter{First}
\minilof \minilot
\begin{figure}
\caption{AAAA1}
\end{figure}
\begin{figure}
\caption{AAAA2}
\end{figure}
\begin{table}
\caption{AAAAA1}
\end{table}
\begin{table}
\caption{AAAAA2}
\end{table}
\chapter{Second}
\minilof \minilot
\end{document}
\end{verbatim}
We begin the hiding of figure entries in the list of figures and of table entries in the list of tables. In this document, we use the environment forms.
\begin{verbatim}
\begin{mtchideinmainlof}
\begin{mtchideinmainlot}
\begin{figure}
\caption{BBBB1}
\end{figure}
\begin{figure}
\caption{BBBB2}
\end{figure}
\begin{table}
\caption{TBBBB1}
\end{table}
\begin{table}
\caption{TBBBB2}
\end{table}
\chapter{Third}
\end{mtchideinmainlot}
\end{mtchideinmainlof}
\end{verbatim}
We terminate the hiding of figure entries in the list of figures and of table entries in the list of tables. In this document, we use the environment forms.
\begin{verbatim}
\end{mtchideinmainlot}
\end{mtchideinmainlof}
\end{verbatim}
But it is also possible to use commands in place of these environments: you place a \mtchideinmainlof (or \mtchideinmainlot) command in the first figure (or table) to hide, before its caption and a \endmtchideinmainlof (or \endmtchideinmainlot) command at the end of the last figure (or table) to hide, after its caption, like in this example file (mtc-hi2.tex):
We begin the hiding of figure entries in the list of figures and of table entries in the list of tables. In this document, we use the command forms: a command is inserted before the caption of the first “hidden” entry.
We terminate the hiding of figure entries in the list of figures and of table entries in the list of tables. In this document, we use the command forms: a command is inserted after the caption of the last “hidden” entry.
This method, recommended while more delicate to apply, is much more reliable in delimiting the hiding domain: it solves the problem of the asynchronism between the writing of floats and the writing of the normal text.
### 2.26 Defining your own .mld file
First, you should not directly modify one of the distributed .mld and .mlo files. The simplest way to alter some title is to redefine the corresponding command via \renewcommand or better via \mtcsettitle. If you really want to have your own .mld file, you copy an existing .mld file into one with a new name (not the name of a distributed .mld file). Then you modify this new .mld file and you can use it via \mtcselectlanguage. You can always contact me to add this new .mld file to the distribution. These remarks apply also to the language [.mld–.mlo] pairs of language definition files.
### 2.27 Use with the abstract package
If the abstract package [470] (by Peter R. Wilson), is used with its addtotoc option, a “Abstract” entry is added to the table of contents, as a starred chapter if the document class defines \chapter, else as a starred section. This problem is detected by the hints option and you should add a \mtcaddchapter[] or a \mtcaddsection[] command after your abstract environment.
### 2.28 Use with the sectsty package
If the sectsty package [319] (by Rowland McDonnell) is used, it must be loaded before the minitoc package, because it alters (redefines) the sectionning commands. Of course, the hints option detects this problem.
2.29 Strange alignment in the minitocs
In minitocs, subsections titles are not aligned with sections, as they are in the main table of contents.
The entries of a table of contents are formatted via internal commands like \l@part, \l@chapter, \l@section, etc.
The “part” and “chapter” levels (and “section” for an article) use specific commands which are somewhat complex for a more elaborated formatting. For the “section” (in the report and book classes) and lower levels, these commands are (book class, book.cls) by default:
\renewcommand*\l@section{\dottedtocline{1}{1.5em}{2.3em}}
\renewcommand*\l@subsection{\dottedtocline{2}{3.8em}{3.2em}}
\renewcommand*\l@subsubsection{\dottedtocline{3}{7.0em}{4.1em}}
\renewcommand*\l@paragraph{\dottedtocline{4}{10em}{5em}}
\renewcommand*\l@subparagraph{\dottedtocline{5}{12em}{6em}}
which will be applied in the main table of contents and in the minitocs. The arguments of \dottedtocline are
1) the logical depth (which will be compared to tocdepth or minitocdepth).
2) the indentation.
3) the width reserved for the section/subsection/... number.
In the standard book, report and article classes [282], the dimensions (second and third arguments) are given in “em” units, and this unit depends on the current font. In the main table of contents, the section and subsection entries are written in the same font, hence usually the alignment is correct. But in the minitocs, the section entries are written in a bold font while the subsection entries are written in a non bold font (the default font choices are given in table 1.6 on page 37), hence one “em” has different sizes in these two fonts and the alignment is changed.
There are several solutions:
- Redefine the \l@section ... \l@subparagraph commands to use font independent units (pt, mm, pc, etc.). This redefinition must be performed in a package or via a command defined by a package or between \makeatletter and \makeatother, because these commands have a @ in their names; you must use \renewcommand* to redefine these commands.
- Use the tocloft package [469] to change the indentation, with font independent units. But then see also section 2.21 on page 64.
• Use the same font for the section and subsection entries in the minitocs, using the \mtcsetfont command (see section 1.4.9 on page 41) or redefining the \mtcSfont, \mtcSSfont, \mtcPfont and \mtcSPfont commands (see table 1.6 on page 37), or similar.
2.30 Useful precautions with starred sectionning commands
• The headers are not modified by \part*, \chapter* or \section*; it is necessary to use \markboth or \markright to get correct page headers for the current and following pages.
• If you need an entry in the table of contents for a \chapter* or a \section* command, you must use \mtcaddchapter[title] or \mtcaddsection[title] after the starred sectionning command. If you need an entry in the table of contents for a \part* command, the page number in the table of contents would be wrong, because \part* implies a \cleardoublepage or a \cleardoublepage before the first page of the part. Use the sequence
\cleardoublepage % \clearpage if openany option.
\mtcaddpart[title]
\part*[title]
2.31 Use with packages for captions
If one of the caption [421, 422, 424], caption2\footnote{This package is obsolete; now use a recent version of the caption package.} [423], (both written by Axel Sommerfeldt), ccaption [474] (by Peter R. Wilson), or mcaption [228] (by Stephan Hennig), packages is used, it must be loaded before the mintoc package, because such packages alter (redefine) the commands listing figures and tables. Of course, the hint’s option detects this problem.
2.32 Bad interaction mintoc/hyperref/memoir
When the mintoc and hyperref [390] packages are used in a document of class memoir [479, 481, 482], the chapter header “Chapter” does not appear on the first page of the chapter.
This problem is fixed in version #44 of mintoc.
2.33 Use with the varsects package
If the varsects package [437] (by Daniel Taupin\textsuperscript{1}) is used, it must be loaded \textit{before} the minitoc package, because it alters (redefines) the sectionning commands. Of course, the hints option detects this problem.
2.34 Initial font settings
The setting of the fonts in the mini-tables is a rather complex problem. If we take the parttoc as an example, there is a \ptcfont font-command which is used for two purposes\textsuperscript{8}:
- First, to be used as default value for some other font-commands (like \ptcSPfont). As its default value is used in the initialization of the minitoc package, the value of these other commands is \textit{not altered} if you modify \ptcfont. You must modify these commands one at a time.
- Second, it is invoked at the beginning of each parttoc, partlof or partlot to set an initial font command. Then each entry of the mini-table calls its own font command (like \ptcSPfont). Thus, if you modify \ptcfont, you can obtain a global effect on the fonts in the parttoc, partlofs, and partlots. So you can play with the various parameters of the fonts (family, shape, series, size), if you want fancy mini-tables; but it is rather difficult.
In the initialization of the minitoc package, we have a sequence of commands:
\begin{verbatim}
\let\ptcSSfont\ptcfont % (subsections)
\let\ptcSSSfont\ptcfont % (subsubsections)
\let\ptcPfont\ptcfont % (paragraphs)
\let\ptcSPfont\ptcfont % (subparagraphs)
\let\plffont\ptcfont % (figures)
\let\plfSfont\ptcfont % (subfigures)
\let\pltfont\ptcfont % (tables)
\let\pltSfont\ptcfont % (subtables)
\end{verbatim}
to define some default fonts. But this sequence is executed only once. If you alter \ptcfont, the modification is not applied to these font commands. The command \ptcCfont is invoked at the beginning of each parttoc. \ptcCfont is invoked for each chapter entry in a parttoc (\ptcSfont for each section entry, etc.). So \ptcfont can be used to define some global characteristics for the fonts in the parttoc, while \ptcCfont (etc.) can be used to customize the fonts for each level of entries.
\textsuperscript{8} The same remarks apply to the other mini-tables.
Note that if you say:
\let\ptcSSfont\ptcfont % (subsections)
\let\ptcSSSfont\ptcfont % (subsubsections)
\let\ptcPfont\ptcfont % (paragraphs)
\let\ptcSPfont\ptcfont % (subparagraphs)
\let\plffont\ptcfont % (figures)
\let\plfSfont\ptcfont % (subfigures)
\let\pltfont\ptcfont % (tables)
\let\pltSfont\ptcfont % (subtables)
after loading the minitoc package, these font commands will be “associated” to \ptcfont, hence if you modify \ptcfont (by via \mtcsetfont{parttoc}{*}{...} or \renewcommand), they will follow the modification. But if you modify one of these commands via \renewcommand or \mtcsetfont{parttoc}{subsection}{...} (subsection is an example), the association is broken. But you could be more clever by saying something like
\mtcsetfont{parttoc}{subsection}{\ptcfont\itshape}
to preserve the association and modify only some parameters of a minitoc font command.
For levels above subsection (part, chapter and section), the fonts are more specific in general, but you can, of course, say something like \def\ptcCfont{\ptcfont} to make a similar association. You can even make other associations, like this:
% for high sectionning levels:
\def\highlevelsfont{\rmfamily\bfseries\normalsize\upshape}
% for low sectionning levels:
\def\lowlevelsfont{\rmfamily\mdseries\smallsize\upshape}
% then for each level:
\def\ptcCfont{\highlevelsfont}
\def\ptcSfont{\highlevelsfont}
\def\ptcSSfont{\lowlevelsfont}
\def\ptcSSSfont{\lowlevelsfont}
\def\ptcPfont{\lowlevelsfont\itshape}
\def\ptcSPfont{\lowlevelsfont\itshape}
Then you can redefine \highlevelsfont or \lowlevelsfont to act on several fonts in one step, but you must use \renewcommand. You cannot act on \highlevelsfont or \lowlevelsfont with \mtcsetfont.
Note that only the fonts for parttoc are used in the examples above; but, of course, the situation is the same for minitocs and secttocs. \highlevelsfont and \lowlevelsfont are macro names that you can choose, they are not part of the minitoc package.
2.35 Use with the KOMA-Script classes
If a KOMA-Script class [343, 344, 399], compatible with minitoc (scrbook, scrreprt or scrartcl), is used, some class options may cause problems with the minitoc package, because these options add chapter or section entries in the table of contents. See section 1.5.5 on page 50. Of course, the hints option detects this problem.
2.36 Use with the jura class or the alphnum package
The jura class loads the alphnum package, which redefines the sectionning structure in a non-standard way, after the loading of the report class. This class and this package are incompatible with minitoc.
2.37 The .mld files and the babel package
If you are using the babel package [60, 61], you can automatize the loading of the .mld file by adding some code in the preamble of your document, like this:
\AtBeginDocument{%
\addto\captionslanguage1{\mtcselectlanguage{language2}}}
where language1 is the language name for babel and language2 the language name for minitoc; there are often identical, but there are exceptions (when you use a locally customized .mld file, for instance).
2.38 Use with the fncychap package
If the fncychap package [301] (by Ulf A. Lindgren) is used, it must be loaded before the minitoc package, because it alters (redefines) the sectionning commands. Of course, the hints option detects this problem.
2.39 Use with the quotchap package
If the quotchap package [442] (by Karsten Tinnefeld) is used, it must be loaded before the minitoc package, because it alters (redefines) the sectionning commands. Of course, the hints option detects this problem.
2.40 Use with the romannum package
If the romannum package [480] (by Peter R. Wilson) is used, it must be loaded before the minitoc package, because it alters (redefines) the numbering of the sectioning commands. Of course, the hints option detects this problem.
2.41 Use with the sfheaders package
If the sfheaders package [304] (by Maurizio Loretti) is used, it must be loaded before the minitoc package, because it alters (redefines) the sectioning commands. Of course, the hints option detects this problem.
2.42 Use with the alnumsec package
If the alnumsec package [274] (by Frank Küster) is used, it must be loaded before the minitoc package, because it alters (redefines) the numbering of the sectioning commands. Of course, the hints option detects this problem.
2.43 Use with the captcont package
If the captcont package [131] (by Steven Douglas Cochran) is used, it must be loaded before the minitoc package, because it alters (redefines) the caption commands. Of course, the hints option detects this problem.
2.44 Vertical spaces (gaps) for parttoc, partlof, and partlot titles
These vertical gaps were hard-coded like for the chapter heads in the book and report document classes. The values were 50pt and 40pt, but some users want to adjust them for the titles of the part-level mini-tables. Since version #45, these gaps are defined by \mtcgapbeforeheads and \mtcgapafterheads, with these defaults values. These commands apply globally to parttoc, partlof and partlot. They are commands, not dimensions, so they must be modified via \renewcommand (but not via \setlength). An example of use is given in the mtc-gap.tex document file:
\documentclass[a4paper,oneside,12pt]{book}
\ProvidesFile{mtc-gap.tex}[2007/01/04]%
We use the \texttt{vruler} package (by Zhuhan Jiang) to display a vertical ruler showing the position of the titles:
\begin{verbatim}
\usepackage{txfonts,vruler} % vertical graduation to note positions (Zhuhan Jiang)
\usepackage[english2,tight,listfiles]{minitoc}
\begin{document}
\setvruler{lcm}[0][10][3][0][0pt][0pt][0pt][] % with vruler package
\doparttoc \faketableofcontents
\part{First part}
A normal parttoc, with the normal gaps before and after it.
\parttoc
\chapter{First chapter of first part} \chapter{Second chapter of first part}
\part{Second part}
\mtcgapbeforeheads We set large gaps. Note the new position of the parttoc.
\mtcgapafterheads
\renewcommand{\mtcgapbeforeheads}{100pt}
\renewcommand{\mtcgapafterheads}{80pt}
\parttoc
\chapter{First chapter of second part} \chapter{Second chapter of second part}
\part{Third part}
\mtcgapbeforeheads We set small gaps. Note the new position of the parttoc.
\mtcgapafterheads
\renewcommand{\mtcgapbeforeheads}{20pt}
\renewcommand{\mtcgapafterheads}{10pt}
\parttoc
\chapter{First chapter of third part} \chapter{Second chapter of third part}
\end{document}
\end{verbatim}
\subsection*{2.45 Vertical spacing before the bottom rule of a minitable}
The little spacing between a minitable and its bottom rule is implemented as a vertical kern that should be sufficient to allow the descending parts of the letters of the last entry of the minitable. The values should depend on the line spacing and of the font size. They are defined as macros that you can adjust by redefining them via \texttt{\textbackslash renewcommand}. The (empirical) default values are given in table 2.1 on the next page.
Table 2.1: Kernings before minitable bottom rules
| Command | Default value |
|------------------|----------------------------------------------------|
| \kernafterparttoc | \kern-1.\baselineskip\kern.5ex |
| \kernafterpartlof | \kern-1.\baselineskip\kern.5ex |
| \kernafterpartlot | \kern-1.\baselineskip\kern.5ex |
| \kernafterminitoc | \kern-.5\baselineskip\kern.5ex |
| \kernafterminilof | \kern-1.\baselineskip\kern0.ex |
| \kernafterminilot | \kern-1.\baselineskip\kern0.ex |
| \kernaftersecttoc | \kern-1.\baselineskip\kern.5ex |
| \kernaftersectlof | \kern-1.\baselineskip\kern.5ex |
| \kernaftersectlot | \kern-1.\baselineskip\kern.5ex |
2.46 Another interaction between the tocloft and minitoc packages
I encountered an interaction between tocloft and minitoc. I want to force minitoc to not display the page numbers, but because of tocloft it doesn’t. Here is an example code:
```latex
\documentclass[12pt,a4paper]{book}
\usepackage{tocloft}
\usepackage{minitoc}
\begin{document}
\frontmatter
\dominitoc\tableofcontents
\mainmatter
\chapter{Chapter}
\section{Section A} \section{Section B}
\chapter{Second Chapter}
\mtcsetfont{minitoc}{section}{\normalfont\small}
\mtcsetpagenumbers{minitoc}{off}
\minitoc
\section{Section A} \section{Section B}
\end{document}
```
If I comment the line loading the tocloft package, I will get a minitoc without page numbers as I wanted.
When using together tocloft and minitoc, the tocloft package must be loaded first, and its commands take precedence to format the entries in the TOC (and in minitocs). To suppress the page numbers, you should try the \cftpagenumbersoff{XXX} command (from tocloft), which is described in the tocloft.pdf documentation [469], pages 45-56); XXX is the level of entry (chapter, sec, subsec, etc.). There are similar remarks about font related commands.
The `tocloft` package is more specialized in that job than `minitoc`, so if it is loaded, `minitoc` uses the `tocloft` tools. There is the corrected example (`mtc-tlo.tex`):
```latex
\documentclass[12pt,a4paper]{book}
\ProvidesFile{mtc-tlo.tex}[2007/06/13]
We must load `tocloft` before `minitoc`:
\usepackage{tocloft}
\usepackage[tight]{minitoc}
\begin{document}
\mtcsetfont We define the global font for the minitoc entries:
\mtcsetfont{minitoc}{*}{\normalfont\small}
\frontmatter
\dominitoc \tableofcontents
\cftpagenumbersoff For the section entries in the minitocs, we suppress the page numbers and change the font by using commands from the `tocloft` package:
\cftpagenumbersoff{sec}
\renewcommand{\cftsecfont}{\normalfont\small}
\mainmatter
\chapter{First Chapter} \minitoc
\section{Section A} \section{Section B}
\chapter{Second Chapter} \minitoc
\section{Section A} \section{Section B}
\end{document}
```
### 2.47 Use with the `hangcaption` package
If the `hangcaption` package [250] (by David M. Jones) is used, it must be loaded before the `minitoc` package, because it alters (redefines) the sectioning commands. Of course, the `hints` option detects this problem.
### 2.48 Use with the `flowfram` package
The `flowfram` package [433, 434], which has its own system of minitocs, is hence incompatible with `minitoc`.
# Chapter 3
## Memento
### Tables
| Section | Title | Page |
|---------|--------------------------------------------|------|
| 3.1 | Package options | 80 |
| 3.2 | General commands | 81 |
| 3.3 | Part level commands | 82 |
| 3.4 | Chapter level commands | 83 |
| 3.5 | Section level commands | 84 |
| 3.6 | Commands for horizontal rules | 85 |
| 3.7 | Commands for page numbers | 85 |
| 3.8 | Commands for mini-tables features | 86 |
| 3.9 | Preparation and insertion commands | 87 |
| 3.10 | Adjustment commands | 87 |
| 3.11 | Classes and packages needing some precautions with minitoc | 88 |
| 3.12 | Checking if inside a mintable | 89 |
| 3.13 | Commands for polymorphic entries | 89 |
| 3.14 | Obsolete commands | 89 |
### Table 3.1: Package options
| Options | Default | Meaning |
|--------------------|---------|-------------------------------------------------------------------------|
| shortext | *NO* | Short extensions for auxiliary files. |
| loose, tight | loose | Spacing of lines in mini-tables. |
| k–loose, k–tight | k–loose | Spacing of lines in mini-tables (KOMA-Script classes). |
| dotted, undotted | dotted | Presence of leaders (dotted lines). |
| insection | *NO* | Keeps floats (figures and tables) from drifting outside of their section. Useful if you use sectlofs/secclots. |
| notoccite | *NO* | Useful if you have \cite commands in sectionning titles and use an unsorted bibliographic style. |
| listfiles, nolistfiles | listfiles | Lists the minitoc auxiliary files into document.maf. |
| hints, nohints | hints | Adds hints in the document.log file. Useful to detect some problems. Option nohints is inadvisable. |
Language options are listed in table 1.7 on page 38. Default: english.
| Command | Meaning |
|-------------------------------|-------------------------------------------------------------------------|
| \faketableofcontents | Replaces \tableofcontents if you want mini-tables of contents but no |
| | main table of contents. |
| \fakelistoffigures | Replaces \listoffigures if you want mini-lists of figures but no main |
| | list of figures. |
| \fakelistoftables | Replaces \listoftables if you want mini-lists of tables but no main list|
| | of tables. |
| \mtcselectlanguage{language} | Loads language.mld to select a language for mini-tables titles. |
| \mtcsetdepth{mini-table}{depth}| Changes the depth for some mini-tables. |
| \mtcsetoffset{mini-table}{offset}| Changes the offset for some mini-tables. |
| \mtcsetfeature{mini-table}{befor|after|open|close|pagestyle}{commands} | Modifies the features for a mini-table. |
| \mtcsetfont{mini-table}{sectionning-level}{font commands} | Redefines a mintoc font command. |
| \mtcsetformat{mini-table}{dotinterval|pagenum|width|tocrightmargin}{value} | Changes the layout of some mini-tables. |
| \mtcsetpagenumbers{mini-table|*}{on|off} | Activates/inhibits page numbers in some or all mini-tables. |
| \mtcsetrules{mini-table|*}{on|off} | Activates/inhibits horizontal rules in some or all mini-tables. |
| \mtcsettitle{mini-table}{title string} | Changes the title for some mini-tables. |
| \mtcsettitlefont{mini-table}{font commands} | Changes the font of the title for some mini-tables. |
| \mtcskip | To add a vertical skip between the mini-tables. |
| \mtcskipamount | Length of \mtcskip. Default: \bigskipamount. |
| \tightmtcfalse | Loose mini-tables. Default. |
| \tightmtctrue | Tight mini-tables. |
| \ktightmtcfalse | Loose mini-tables. Default. (KOMA-Script classes). |
| \ktightmtctrue | Tight mini-tables. (KOMA-Script classes). |
| \undottedmtcfalse | Dotted lines in mini-tables (from entry to page number). Default. |
| \undottedmtctrue | No dotted lines in mini-tables (from entry to page number). |
| Command | Meaning |
|-------------------------|-------------------------------------------------------------------------|
| \doparttoc[x] | Before \[fake]tableofcontents if you use \parttoc*. |
| \departlof[x] | Before \[fake]listoffigures if you use partlof*. |
| \dopartlot[x] | Before \[fake]listoftables if you use \partlot*. |
| \parttoc[x] | After each \part command for which a parttoc is needed*. |
| \partlof[x] | After each \part command for which a partlof is needed*. |
| \partlot[x] | After each \part command for which a partlot is needed*. |
| \setcounter{parttocdepth}{depth} | Depth of the following parttocs. Analog to tocdepth. Default: 2. Has no action on partlofs and partlots. |
| \mtcsetdepth{parttoc|partlof|partlot}{depth} | Idem, but can also act on partlofs and partlots. |
| \ptcindent | Left/right indentation of a partial table. Default: 24pt. |
| \ptcoffset | Horizontal offset for parttocs. Command. Default: 0pt. |
| \plloffset | Horizontal offset for partlofs. Command. Default: 0pt. |
| \pltoffset | Horizontal offset for partlots. Command. Default: 0pt. |
| \mtcsetoffset{parttoc|partlof|partlot}{offset} | Idem, but can also act on partlofs and partlots. |
| \ptcfont | Font command for parttoc. Default: \small\rmfamily\upshape\mdseries (article) or: \normalsize\rmfamily\upshape\mdseries (book, report). |
| \ptcCfont | Font command for parttoc, chapter entries. Default: \normalsize\rmfamily\upshape\bfseries. |
| \ptcSfont | Font command for parttoc, section entries. Default: \small\rmfamily\upshape\bfseries (article) or: \small\rmfamily\upshape\bfseries (book, report). |
| \ptcSSfont | Font command for parttoc, subsection entries**. |
| \ptcSSSfont | Font command for parttoc, subsubsection entries***. |
| \ptcPfont | Font command for parttoc, paragraph entries**. |
| \ptcSPfont | Font command for parttoc, subparagraph entries***. |
| \plffont | Font for partlof. Default: \small\rmfamily\upshape\mdseries. |
| \plfSfont | Font for partlof (subfigures). Default: \small\rmfamily\upshape\mdseries. |
| \pltfont | Font for partlot. Default: \small\rmfamily\upshape\mdseries. |
| \pltSfont | Font for partlot (subtables). Default: \small\rmfamily\upshape\mdseries. |
| \ptctitle | Title of parttocs. Default: Table of Contents. |
| \plttitle | Title of partlofs. Default: List of Figures. |
| \plttitle | Title of partlots. Default: List of Tables. |
| \ptfont | Font for partXXX titles. Default: \Large\rmfamily\upshape\bfseries (article) or: \LARGE\rmfamily\upshape\bfseries (book, report). |
| \mtcgapbeforsheads | Vertical gap before part-level mini-tables titles. Default: 50pt |
| \mtcgapafterheads | Vertical gap after part-level mini-tables titles. Default: 40pt |
*: [x] is an optional argument to set the position of the title; the setting is local for the \partXXX commands, global for the \dopartXXX commands. The values of x are: l for left (default), c for centered, r for right, n or e for no title.
**: defaults like \ptcfont.
| Command | Meaning |
|------------------|-------------------------------------------------------------------------|
| \dominitoc[x] | Before \[fake]tableofcontents if you use \minitoc`. |
| \dominilof[x] | Before \[fake]listoftfigures if you use \minilof`. |
| \dominilot[x] | Before \[fake]listoftables if you use \minilot`. |
| \minitoc[x] | After each \chapter command for which a minitoc is needed`. |
| \minilof[x] | After each \chapter command for which a minilof is needed`. |
| \minilot[x] | After each \chapter command for which a minilot is needed`. |
| \setcounter{minitocdepth}{depth} | Depth of the following minitocs. Analog to tocdepth. Default: 2. Has no action on minilofs and minilots. |
| \mtcsetdepth{minitoc|minilof|minilot}{depth} | Idem, but can also act on minilofs and minilots. |
| \mtcindent | Left/right indentation of a mini-table. Default: 24pt. |
| \mtcoffset | Horizontal offset for minitocs. Command. Default: 0pt. |
| \mlloffset | Horizontal offset for minilofs. Command. Default: 0pt. |
| \mltoffset | Horizontal offset for minilots. Command. Default: 0pt. |
| \mtcsetoffset{minitoc|minilof|minilot}{offset} | Idem, but can also act on minilofs and minilots. |
| \mtcfont | Font command for minitoc. Default: \small\rmfamily\upshape\nseries. |
| \mtcSfont | Font command for minitoc, section entries. Default: \small\rmfamily\upshape\bfseries. |
| \mtcSSfont | Font command for minitoc, subsection entries**. |
| \mtcSSSfont | Font command for minitoc, subsubsection entries**. |
| \mtcPfont | Font command for minitoc, paragraph entries**. |
| \mtcSPfont | Font command for minitoc, subparagraph entries**. |
| \mlffont | Font for minilof. Default: \small\rmfamily\upshape\mdseries. |
| \mlfSfont | Font for minilof (subfigures). Default: \small\rmfamily\upshape\mdseries. |
| \mltfont | Font for minilot. Default: \small\rmfamily\upshape\mdseries. |
| \mltSfont | Font for minilot (subtables). Default: \small\rmfamily\upshape\mdseries. |
| \mtctitle | Title of minitocs. Default: Contents. |
| \mlftitle | Title of minilofs. Default: Figures. |
| \mlttitle | Title of minilots. Default: Tables. |
| \mtifont | Font for miniXXX titles. Default: \large\rmfamily\upshape\bfseries. |
*: [x] is an optional argument to set the position of the title; the setting is local for the \miniXXX commands, global for the \dominiXXX commands. The values of x are: l for left (default), c for centered, r for right, n or e for no title.
**: defaults like \mtcfont.
| Command | Meaning |
|------------------|-------------------------------------------------------------------------|
| \dosecttoc[x] | Before \[fake\]tableofcontents if you use \secttoc`. |
| \dosectlof[x] | Before \[fake\]listoftofigures if you use \sectlof`. |
| \dosectlot[x] | Before \[fake\]listoftables if you use \sectlot`. |
| \secttoc[x] | After each \section command for which a secttoc is needed`. |
| \sectlof[x] | After each \section command for which a sectlof is needed`. |
| \sectlot[x] | After each \section command for which a sectlot is needed`. |
| \setcounter{secttocdepth}{depth} | Depth of the following secttocs. Analog to tocdepth. Default: 2. Has no action on sectlofs and sectlots. |
| \mtcsetdepth{secttoc|sectlof|sectlot}{depth} | Idem, but can also act on sectlofs and sectlots. |
| \stcindent | Left/right indentation of a mini-table. Default: 24pt. |
| \stcoffset | Horizontal offset for secttoes. Command. Default: 0pt. |
| \slloffset | Horizontal offset for sectlofs. Command. Default: 0pt. |
| \slloffset | Horizontal offset for sectlots. Command. Default: 0pt. |
| \mtcsetoffset{secttoc|sectlof|sectlot}{offset} | Idem, but can also act on sectlofs and sectlots. |
| \stcfont | Font command for secttoc. Default: \small\rmfamily\upshape\nmdseries. |
| \stcSSfont | Font command for secttoc, subsection entries**. |
| \stcSStfont | Font command for secttoc, subsubsection entries**. |
| \stcPfont | Font command for secttoc, paragraph entries**. |
| \mtcSPfont | Font command for secttoc, subparagraph entries**. |
| \sllfont | Font for sectlof. Default: \small\rmfamily\upshape\nmdseries. |
| \sllSfont | Font for sectlof (subfigures). Default: \small\rmfamily\upshape\mdseries. |
| \sltfont | Font for sectlot. Default: \small\rmfamily\upshape\mdseries. |
| \sltSfont | Font for sectlot (subtables). Default: \small\rmfamily\upshape\nmdseries. |
| \stctitle | Title of secttocs. Default: Contents. |
| \slltitle | Title of sectlofs. Default: Figures. |
| \sllttitle | Title of sectlots. Default: Tables. |
| \stifont | Font for sectXXX titles. Default: \large\rmfamily\upshape\bfsseries. |
*: [x] is an optional argument to set the position of the title; the setting is local for the \sectXXX commands, global for the \dosectXXX commands. The values of x are: l for left (default), c for centered, r for right, n or e for no title.
**: defaults like \stcfont.
Table 3.6: Commands for horizontal rules
| Command | Meaning |
|--------------------------|-------------------------------------------------------------------------|
| \[no\]ptcrule | Activates or inhibits rules in parttoc. |
| \[no\]mtcrule | Activates or inhibits rules in minitocs. |
| \[no\]strrule | Activates or inhibits rules in secttoc. |
| \[no\]plfrule | Activates or inhibits rules in partlofs. |
| \[no\]mlfrule | Activates or inhibits rules in minilofs. |
| \[no\]slfrule | Activates or inhibits rules in sectlofs. |
| \[no\]pltrule | Activates or inhibits rules in partlots. |
| \[no\]mltrule | Activates or inhibits rules in minilots. |
| \[no\]sltrule | Activates or inhibits rules in sectlots. |
| \mtcsetrules{mini-table|*}\{on|off\} | Activates/inhibits horizontal rules in some or all mini-tables. |
| Command | Meaning |
|--------------------------|-------------------------------------------------------------------------|
| \kernafterparttoc | Vertical kerning between a parttoc and its bottom rule. |
| \kernafterpartlof | Vertical kerning between a partlof and its bottom rule. |
| \kernafterpartlot | Vertical kerning between a partlot and its bottom rule. |
| \kernafterminitoc | Vertical kerning between a minitoc and its bottom rule. |
| \kernafterminilof | Vertical kerning between a minilof and its bottom rule. |
| \kernafterminilot | Vertical kerning between a minilot and its bottom rule. |
| \kernaftersecttoc | Vertical kerning between a secttoc and its bottom rule. |
| \kernaftersectlof | Vertical kerning between a sectlof and its bottom rule. |
| \kernaftersectlot | Vertical kerning between a sectlot and its bottom rule. |
By default, parttocss have no rules; minitocs and secttocss have rules. In articles, parttocss have rules.
Table 3.7: Commands for page numbers
| Command | Meaning |
|--------------------------|-------------------------------------------------------------------------|
| \[no\]ptcpagenumbers | Activates or inhibits page numbers in parttocss. |
| \[no\]plfpagenumbers | Activates or inhibits page numbers in partlofs. |
| \[no\]pltpagenumbers | Activates or inhibits page numbers in partlots. |
| \[no\]mtcpagenumbers | Activates or inhibits page numbers in minitocs. |
| \[no\]mlfpagenumbers | Activates or inhibits page numbers in minilofs. |
| \[no\]mltpagenumbers | Activates or inhibits page numbers in minilots. |
| \[no\]stcpagenumbers | Activates or inhibits page numbers in secttocss. |
| \[no\]slfpagenumbers | Activates or inhibits page numbers in sectlofs. |
| \[no\]sltpagenumbers | Activates or inhibits page numbers in sectlots. |
| \mtcsetpagenumbers{mini-table|*}\{on|off\} | Activates/inhibits page numbers in some or all mini-tables. |
By default, the page numbers are present.
| Command | Default | Meaning |
|-------------------------|------------------|----------------------------------------------|
| \beforeparttoc | \cleardoublepage | Action before a parttoc. |
| \beforepartlof | \cleardoublepage | Action before a partlof. |
| \beforepartlot | \cleardoublepage | Action before a partlot. |
| \afterparttoc | \cleardoublepage | Action after a parttoc. |
| \afterpartlof | \cleardoublepage | Action after a partlof. |
| \afterpartlot | \cleardoublepage | Action after a partlot. |
| \openparttoc | \cleardoublepage | Action before inserting a parttoc file. |
| \openpartlof | \cleardoublepage | Action before inserting a partlof file. |
| \openpartlot | \cleardoublepage | Action before inserting a partlot file. |
| \closeparttoc | \cleardoublepage | Action after inserting a parttoc file. |
| \closepartlof | \cleardoublepage | Action after inserting a partlof file. |
| \closepartlot | \cleardoublepage | Action after inserting a partlot file. |
| \thispageparttocstyle | \thispagestyle{empty} | Page style for a parttoc. |
| \thispagepartlofstyle | \thispagestyle{empty} | Page style for a partlof. |
| \thispagepartlotstyle | \thispagestyle{empty} | Page style for a partlot. |
| \beforeminitoc | \empty | Action before a minitoc. |
| \beforeminilof | \empty | Action before a minilof. |
| \beforeminilot | \empty | Action before a minilot. |
| \afterminitoc | \empty | Action after a minitoc. |
| \afterminilof | \empty | Action after a minilof. |
| \afterminilot | \empty | Action after a minilot. |
| \openminitoc | \cleardoublepage | Action before inserting a minitoc file. |
| \openminilof | \cleardoublepage | Action before inserting a minilof file. |
| \openminilot | \cleardoublepage | Action before inserting a minilot file. |
| \closeminitoc | \cleardoublepage | Action after inserting a minitoc file. |
| \closeminilof | \cleardoublepage | Action after inserting a minilof file. |
| \closeminilot | \cleardoublepage | Action after inserting a minilot file. |
| \thispageminitocstyle | \empty | Page style for a minitoc. |
| \thispageminilofstyle | \empty | Page style for a minilof. |
| \thispageminilotstyle | \empty | Page style for a minilot. |
| \beforesecttoc | \empty | Action before a secttoc. |
| \beforesectlof | \empty | Action before a sectlof. |
| \beforesectlot | \empty | Action before a sectlot. |
| \aftersecttoc | \empty | Action after a secttoc. |
| \aftersectlof | \empty | Action after a sectlof. |
| \aftersectlot | \empty | Action after a sectlot. |
| \opensecttoc | \cleardoublepage | Action before inserting a secttoc file. |
| \opensectlof | \cleardoublepage | Action before inserting a sectlof file. |
| \opensectlot | \cleardoublepage | Action before inserting a sectlot file. |
| \closesecttoc | \cleardoublepage | Action after inserting a secttoc file. |
| \closesectlof | \cleardoublepage | Action after inserting a sectlof file. |
| \closesectlot | \cleardoublepage | Action after inserting a sectlot file. |
| \thispagesecttocstyle | \empty | Page style for a secttoc. |
| \thispagesectlofstyle | \empty | Page style for a sectlof. |
| \thispagesectlotstyle | \empty | Page style for a sectlot. |
\mtcsetfeature{mini-table}{before|after|open|close|pagestyle}{commands}
Modifies the features for a mini-table.
Table 3.9: Preparation and insertion commands
| Type | Phase | Level |
|--------------------|-----------|------------------------|
| | | part | chapter | section |
| table of contents | preparation | \dopartttoc[p] | \dominittoc[p] | \dosectttoc[p] |
| | insertion | \partttoc[p] | \minitoc[p] | \secttoc[p] |
| list of figures | preparation | \dopartllof[p] | \dominilof[p] | \dosectllof[p] |
| | insertion | \partllof[p] | \minilof[p] | \sectllof[p] |
| list of tables | preparation | \dopartllot[p] | \dominilot[p] | \dosectllot[p] |
| | insertion | \partllot[p] | \minilot[p] | \sectllot[p] |
| all | preparation | ........................................... \mtcprepare[p] ........................................... |
Each of these commands accepts one optional argument $p$, which specifies the position of the title of the mini-table. This argument $p$ has a global effect for the preparation commands, but local for the insertion commands. It is a letter: [l] for left aligned (default), [c] for centered, [r] for right aligned, [e] or [n] for empty (no title).
Table 3.10: Adjustment commands
| Command | Meaning |
|----------------------------------------------|-------------------------------------------------------------------------|
| \adjustptc[n] | Adjusts (increments) the parttoc counter $\text{ptc}$ by $n$. |
| \adjustmtc[n] | Adjusts (increments) the minitoc counter $\text{mtc}$ by $n$. |
| \adjuststc[n] | Adjusts (increments) the secttoc counter $\text{stc}$ by $n$. |
| \decrementptc | Adjusts (decrements by 1) the parttoc counter $\text{ptc}$. |
| \decrementmtc | Adjusts (decrements by 1) the minitoc counter $\text{mtc}$. |
| \decrementstc | Adjusts (decrements by 1) the secttoc counter $\text{stc}$. |
| \incrementptc | Adjusts (increments by 1) the parttoc counter $\text{ptc}$. |
| \incrementmtc | Adjusts (increments by 1) the minitoc counter $\text{mtc}$. |
| \incrementstc | Adjusts (increments by 1) the secttoc counter $\text{stc}$. |
| \mtcadddpart[title] | Adds the title of a $\text{\part*}$ in the ToC. |
| \mtcadddchapter[title] | Adds the title of a $\text{\chapter*}$ in the ToC. |
| \mtcadddsection[title] | Adds the title of a $\text{\section*}$ in the ToC. |
| \mtcfixglossary[chapter|section|part] | Adjusts the entry for the glossary in the ToC. |
| \mtcfixindex[chapter|section|part] | Adjusts the entry for the index in the ToC. |
| \mtcfixnomenclature[chapter|section|part] | Adjusts the entry for the nomenclature in the ToC. |
| \begin{mtchideinmaintoc}[depth] ... \end{mtchideinmaintoc} | Environment to hide entries in the main ToC. |
| \begin{mtchideinmainlof}[depth] ... \end{mtchideinmainlof} | Environment to hide entries in the main list of figures. |
| \mtchideinmainlof[depth] ... \endmtchideinmainlof | Pair of commands* to hide entries in the main list of figures. |
| \begin{mtchideinmainlot}[depth] ... \end{mtchideinmainlot} | Environment to hide entries in the main list of tables. |
| \mtchideinmainlot[depth] ... \endmtchideinmainlot | Pair of commands* to hide entries in the main list of tables. |
*: recommended form.
Table 3.11: Classes and packages needing some precautions with minitoc
| P/C | Names | Author(s) | Page(s) | Reference(s) |
|-----|------------------------|----------------------------------|---------|--------------|
| P | abstract | Peter R. Wilson | 53 | [470] |
| P | alnumsec | Frank Küster | 54 | [274] |
| *P | alphanum | Felix Braun | 75 | [103] |
| *C | amsart | AMS | 66 | [8] |
| C | amsbook | AMS | 66 | [8] |
| *C | amsproc | AMS | 66 | [8] |
| P | appendix | Peter R. Wilson | 64 | [471] |
| P | captcont | Steven Douglas Cochran | 54 | [131] |
| P | caption | Axel Sommerfeldt | 54 | [421, 422, 424] |
| P | caption2 | Axel Sommerfeldt | 54 | [423] |
| P | ccaption | Peter R. Wilson | 54 | [474] |
| P | float | Anselm Lingnau | 54 | [302] |
| P | floatrow | Olga G. Lapko | 54 | [285] |
| *P | flowfram | Nicola L. C. Talbot | 79 | [433, 434] |
| P | fncychap | Ulf A. Lindgren | 75 | [301] |
| P | hangcaption | David M. Jones | 79 | [250] |
| P | hyperref | Sebastian Rahtz and Heiko Oberdiek | 62 | [348, 352–354, 387, 390, 391] |
| *C | jura | Felix Braun | 75 | [103] |
| P | mcaption | Stephan Hennig | 54 | [228] |
| C | memoir | Peter R. Wilson | 65 | [479, 481, 482] |
| P | notocite | Donald Arseneau | 52 | [14] |
| P | placeins | Donald Arseneau | 29 | [15] |
| P | quotchap | Karsten Tinnefeld | 53 | [442] |
| P | romannum | Peter R. Wilson | 54 | [480] |
| P | rotfloat | Sebastian Rahtz and Leonor Barroca | 54 | [420] |
| C | scrartcl, scrbook and scrreprt | Frank Neukam, Markus Kohm, Axel Kielhorn, and Jens-Uwe Morawski | 75 | [343, 344, 399] |
| P | sectsty | Rowland McDonnell | 70 | [319] |
| P | shheaders | Maurizio Loreti | 76 | [304] |
| P | subfig | Steven Douglas Cochran | 33 | [132] |
| P | subfigure | Steven Douglas Cochran | 33 | [130] |
| *P | titlesec | Javier Bezos | 53 | [46] |
| *P | titletoc | Javier Bezos | 53 | [46] |
| P | tocibibind | Peter R. Wilson | 50 | [472] |
| P | tocloft | Peter R. Wilson | 64, 78 | [469] |
| P | trivfloat | Joseph A. Wright | 54 | [484] |
| P | varsects | Daniel Taupin | 53 | [437] |
*: Incompatible with minitoc. C: Class. P: Package.
Any class not defining the main standard sectionning commands is incompatible with minitoc.
Table 3.12: Checking if inside a minitable
| Level | Flag | for tocs, | for lofs, | for lots. |
|---------|---------------|-----------|-----------|-----------|
| Part | \ifinparttoc | \ifinpartlof | \ifinpartlot |
| Chapter | \ifiminitoc | \ifiminilof | \ifiminilot |
| Section | \ifinsecttoc | \ifinsectlof | \ifinsectlot |
Table 3.13: Commands for polymorphic entries
| From OA of: | Command | Arg. 1 | Arg. 2 | Arg. 3 | Arg. 4 |
|-----------------|---------------|-------------|-------------|-------------|-------------|
| sect. command | \mtcpolymtoc | \parttoc | \minitoc | \secttoc | \maintoc |
| figure caption | \mtcpolymlof | \partlof | \minilof | \sectlof | \mainlof |
| table caption | \mtcpolymlot | \partlot | \minilot | \sectlot | \mainlot |
Table 3.14: Obsolete commands
| Command | Meaning |
|--------------------------|----------------------------------------------|
| \firstpartis{N} | $N$ is the number of the first part. |
| \firstchapteris{N} | $N$ is the number of the first chapter. |
| \firstsectionis{N} | $N$ is the number of the first section. |
These commands have no effect (except a harmless warning).
Chapter 4
Examples of documents
Contents
| Section | Title | Page |
|---------|------------------------------|------|
| 4.1 | The mtc-2c.tex document file | 91 |
| 4.2 | The mtc-2nd.tex document file| 92 |
| 4.3 | The mtc-3co.tex document file| 93 |
| 4.4 | The mtc-add.tex document file| 96 |
| 4.5 | The mtc-ads.tex document file| 100 |
| 4.6 | The mtc-amm.tex document file| 105 |
| 4.7 | The mtc-apx.tex document file| 105 |
| 4.8 | The mtc-art.tex document file| 105 |
| 4.9 | The mtc-bk.tex document file | 110 |
| 4.10 | The mtc-bo.tex document file | 115 |
| 4.11 | The mtc-ch0.tex document file| 119 |
| 4.12 | The mtc-cri.tex document file| 121 |
| 4.13 | The mtc-efko.tex document file| 121 |
| 4.14 | The mtc-fol.tex document file| 122 |
| 4.15 | The mtc-fol2.tex document file| 123 |
| 4.16 | The mtc-gap.tex document file| 125 |
| 4.17 | The mtc-hi1.tex document file| 125 |
| 4.18 | The mtc-hi2.tex document file| 125 |
| 4.19 | The mtc-hia.tex document file| 125 |
| 4.20 | The mtc-hir.tex document file| 126 |
| 4.21 | The mtc-hop.tex document file| 127 |
| 4.22 | The mtc-liv.tex document file| 128 |
| 4.23 | The mtc-mem.tex document file| 132 |
| 4.24 | The mtc-mm1.tex document file| 133 |
| 4.25 | The mtc-mu.tex document file | 134 |
| 4.26 | The mtc-nom.tex document file| 136 |
| 4.27 | The mtc-ofc.tex document file| 137 |
| 4.28 | The mtc-ofs.tex document file| 138 |
| 4.29 | The mtc-sbf.tex document file| 140 |
| 4.30 | The mtc-scr.tex document file| 141 |
| 4.31 | The mtc-syn.tex document file| 143 |
| 4.32 | The mtc-tbi.tex document file| 144 |
| 4.33 | The mtc-tlc.tex document file| 145 |
| 4.34 | The mtc-tlo.tex document file| 146 |
| 4.35 | The mtc-tsf.tex document file| 146 |
| 4.36 | The mtc-vti.tex document file| 148 |
This chapter shows the code of some examples of documents. Some are extracted or derived from real documents, others are just demonstrations to illustrate problems or features. The code of some specific example files has been shown earlier: mtc-apx.tex on page 67, mtc-hi1.tex on page 68, mtc-hi2.tex on page 69, mtc-gap.tex on page 76, and mtc-tlo.tex on page 79.
Note that the lipsum package [212] is often used to provide filling text.
This document shows the use of the `minitoc` package in a document with a two columns layout. The layout uses the `multicol` standard package [325] and its `multicols` environment. We set `\mtcindent` to zero. We test several combinations. If a minitoc is long enough to be split on both columns, the result may be funny.
Two first chapters with a standard chapter head, a minitoc on one full width column, then the body of the chapter on two columns:
\begin{multicols}{2}
\minitoc
\section{Prima sectio}
\lipsum[1-2]
\section{Secunda sectio}
\lipsum[3-4]
\end{multicols}
A third chapter entirely on two columns, so the chapter head and the minitoc are in the first column:
\begin{multicols}{2}
\chapter{Tertium capitulum}
\minitoc
\section{Prima sectio}
\lipsum[11-12]
\section{Secunda sectio}
\lipsum[13-14]
\section{Tertia sectio}
\lipsum[15-16]
\end{multicols}
A fourth chapter, with the chapter head on one column, and the minitoc and the chapter body on two columns (the minitoc is in the first column):
\chapter{Quadrum capitulum}
\begin{multicols}{2}
\minitoc
\section{Prima sectio}
\lipsum[16-17]
\section{Secunda sectio}
\lipsum[18-19]
\section{Tertia sectio}
\lipsum[20-21]
\end{multicols}
4.2 The mtc-2nd.tex document file
This document tests the french2.mld minitoc language definition file (section 13.62 on page 498) and its supporting code in the minitoc package. First, the preamble of the document uses the french2 minitoc package language option¹:
```latex
\documentclass{report}
\ProvidesFile{mtc-2nd.tex}%
[2007/01/04]
\usepackage[french,tight,listfiles]{minitoc}
\usepackage[french]{babel}
\usepackage[franc,frnew]{}
\usepackage[OT1,TS1,T1]{fontenc}
\usepackage[latin1]{inputenc}
\usepackage{mypatches}
\begin{document}
\ifmtcsecondpart We test if there is only two parts: if yes, we will use “seconde”. Else (three or more parts), we will use “deuxième”.
\ifmtcsecondpart
Il n’y a que 2 parties: seconde.
\else
Il y a une partie ou plus de deux parties: deuxième.
\fi
\clearpage
\doparttoc \faketableofcontents
\parttoc
\chapter{P1C1}
\chapter{P1C2}
\parttoc
\chapter{P2C1}
\chapter{P2C2}
```
¹ The franc, frnew and mypatches packages are local additions, provided with the minitoc package documentation sources.
If you want also a third part, comment out this line and recompile 3 times:
```latex
% \end{document}
\part{P3}
\parttoc
\chapter{P3C1}
\chapter{P3C2}
\end{document}
```
Observe the titles of the parttocs when the document has two then three parts. Note the changes after each compilation. You can play by adding and removing parts. It would be interesting to add a starred part, with starred chapters, at the beginning of the document, this part and these chapters having their entries in the TOC. For instance, try to add the following lines after \faketableofcontents:
```latex
\part*{Partie étoilée}
\mtcaddpart[Partie étoilée]
\adjustptc[-2] % IMPORTANT <<<<<<<<<<<<<<<<<<<
\parttoc
\chapter*{Premier chapitre étoilé}
\mtcaddchapter[Premier chapitre étoilé]
\chapter*{Second chapitre étoilé}
\mtcaddchapter[Second chapitre étoilé]
```
and you will see how the parttoc of the new starred part is titled.
### 4.3 The mtc-3co.tex document file
This document shows how to prepare a minitoc on three columns, with some modifications of the code the mtc@verse environment.
First, we will use a wide paper format (A3) to set the text on two columns and the main TOC on three columns, with the multitoc package [414] (by Martin Schröder).
```latex
\documentclass[oneside]{book}
\ProvidesFile{mtc-3co.tex}%
[2007/02/19]
\usepackage[a3paper]{geometry}
\usepackage{lipsum}
\usepackage{multicol}
\usepackage[toc]{multitoc}
\renewcommand{\multicolumntoc}{3}
```
Then we load the `minitoc` package, set some parameters and define the number of columns for the minitocs. We alter the `mtc@verse` environment to add a `multicols` environment\footnote{Some vertical adjustments are necessary.}:
```latex
\usepackage[tight]{minitoc}
\setlength{\mtcindent}{0pt}
\mtcsetformat{minitoc}{tocrightmargin}{2.55em plus 1fil}
\newcommand{\multicolumnttc}{3}
\makeatletter
\let\SV@mtc@verse\mtc@verse
\let\SV@endmtc@verse\endmtc@verse
\def\mtc@verse#1{\SV@mtc@verse#1\removelastskip%
\begin{multicols}{\multicolumnttc}\raggedcolumns\leavevmode\noindent
\vskip -1.5ex \vskip -1\baselineskip
\def\endmtc@verse{\end{multicols}\SV@endmtc@verse}
\makeatother
```
We begin the document, preparing the minitocs and the main TOC. The (first) chapter begins with its minitoc, then the text on two columns. We use the `lipsum` package [212] to provide filling text; the section number is used to select a `lipsum` paragraph.
```latex
\begin{document}
\dominitoc
\tableofcontents
\chapter{First chapter}
\minitoc
\begin{multicols}{2}
```
We use a lot of sections, to have a minitoc large enough to use the three columns. A subsection with a long title gives a good result (we have used `\mtcsetformat` to avoid hyphenations).
```latex
\section{First section} \lipsum[\arabic{section}]
\section{Second section} \lipsum[\arabic{section}]
\section{Third section} \lipsum[\arabic{section}]
\section{Fourth section} \lipsum[\arabic{section}]
\section{Fifth section} \lipsum[\arabic{section}]
\section{Sixth section} \lipsum[\arabic{section}]
\section{Seventh section} \lipsum[\arabic{section}]
\section{Eighth section} \lipsum[\arabic{section}]
\section{Ninth section} \lipsum[\arabic{section}]
\section{Tenth section} \lipsum[\arabic{section}]
\section{Eleventh section} \lipsum[\arabic{section}]
\section{Twelfth section} \lipsum[\arabic{section}]
\section{Thirteenth section} \lipsum[\arabic{section}]
\section{Fourteenth section} \lipsum[\arabic{section}]
\section{Fifteenth section} \lipsum[\arabic{section}]
\section{Sixteenth section} \lipsum[\arabic{section}]
\section{Seventeenth section} \lipsum[\arabic{section}]
\section{Eighteenth section} \lipsum[\arabic{section}]
```
\section{Nineteenth section} \lipsum[\arabic{section}]
\section{Twentieth section} \lipsum[\arabic{section}]
\section{Twenty-first section} \lipsum[\arabic{section}]
\section{Twenty-second section} \lipsum[\arabic{section}]
\section{Twenty-third section} \lipsum[\arabic{section}]
\section{Twenty-fourth section} \lipsum[\arabic{section}]
\subsection{A very long subsection title, for the fun in a multicolumn table of contents} \lipsum[\arabic{section}]
\section{Twenty-fifth section} \lipsum[\arabic{section}]
\section{Twenty-sixth section} \lipsum[\arabic{section}]
\section{Twenty-seventh section} \lipsum[\arabic{section}]
\section{Twenty-eighth section} \lipsum[\arabic{section}]
\section{Twenty-ninth section} \lipsum[\arabic{section}]
\section{Thirty-first section} \lipsum[\arabic{section}]
\section{Thirty-second section} \lipsum[\arabic{section}]
\section{Thirty-third section} \lipsum[\arabic{section}]
\section{Thirty-fourth section} \lipsum[\arabic{section}]
\section{Thirty-fifth section} \lipsum[\arabic{section}]
\section{Thirty-sixth section} \lipsum[\arabic{section}]
\section{Thirty-seventh section} \lipsum[\arabic{section}]
\section{Thirty-eighth section} \lipsum[\arabic{section}]
\section{Thirty-ninth section} \lipsum[\arabic{section}]
\section{Fortieth section} \lipsum[\arabic{section}]
\section{Forty-first section} \lipsum[\arabic{section}]
\section{Forty-second section} \lipsum[\arabic{section}]
\section{Forty-third section} \lipsum[\arabic{section}]
\section{Forty-fourth section} \lipsum[\arabic{section}]
\section{Forty-fifth section} \lipsum[\arabic{section}]
\section{Forty-sixth section} \lipsum[\arabic{section}]
\section{Forty-seventh section} \lipsum[\arabic{section}]
\section{Forty-eighth section} \lipsum[\arabic{section}]
\section{Forty-ninth section} \lipsum[\arabic{section}]
\section{Fiftieth section} \lipsum[\arabic{section}]
\section{Fifty-first section} \lipsum[\arabic{section}]
\section{Fifty-second section} \lipsum[\arabic{section}]
\section{Fifty-third section} \lipsum[\arabic{section}]
\section{Fifty-fourth section} \lipsum[\arabic{section}]
\section{Fifty-fifth section} \lipsum[\arabic{section}]
\section{Fifty-sixth section} \lipsum[\arabic{section}]
\section{Fifty-seventh section} \lipsum[\arabic{section}]
\section{Fifty-eighth section} \lipsum[\arabic{section}]
\section{Fifty-ninth section} \lipsum[\arabic{section}]
\end{multicols}
\clearpage
\end{document}
</mtc-3co>
4.4 The mtc-add.tex document file
This document shows how to add special entries in the table of contents, and the interaction with the tocbibind package [472].
\documentclass[12pt,a4paper]{report}
% \documentclass[12pt,a4paper]{book}
\ProvidesFile{mtc-add.tex}%
[2007/01/04]
\usepackage{url}
\usepackage{tocbibind}
\usepackage{makeidx}
\makeatletter
\newif\ifscan@allowed
\scan@allowdtrue
\makeatother
\def\dotfil{\leaders\hbox to .6em{\hss .\hss}\hfil}%
\def\pfill{\unskip-\dotfill\penalty500\strut\nobreak
\dotfil-\ignorespaces}
Load the minitoc package, or mtcoff.
\usepackage[tight,hints,listfiles]{minitoc}
% \usepackage{mtcoff}
\makeindex
\begin{document}
\dominitoc
\dominilof
\dominilot
\tableofcontents
\mtcaddchapter
\listoffigures
\listoftables
For a chapter, we want a minitoc, a minilof and a minitoc:
\chapter{First chapter}\index{chapter!normal}
\minitoc \mtcskip
\minilof \mtcskip
\minilot
Then the text of the chapter, with sections, figures and tables:
\section{First section}
\begin{figure}[tp] \caption{First figure} \end{figure}
\begin{table}[tp] \caption{First table} \end{table}
\section{Second section}
A small nice citation from-\cite{dark}:\newline
\index{small}\index{citation}\index{nice}\index{A}\index{a}\index{and}\index{bird}\index{But}\index{cannot}\index{claim}\index{great}\index{he}\index{I}\index{imagine}\index{it}\index{know}\index{land}\index{on}\index{once}\index{that}\index{to}\index{tree}\index{would}\index{yes}\newline
\textsf{A bird cannot land once on a great tree and claim to know it.\newline
But I imagine that he would, yes.}\newline
\hbox{}\hfill
\textsc{Lain-M.-}\textsc{Banks}-(1993),-\textsc{Against-a-dark-background.}\newline
\index{Lain}\index{Banks}\index{Against}\index{dark}\index{background}
\begin{figure}[tp] \caption{Second figure} \end{figure}
\begin{table} \caption{Second table} \end{table}
A starred chapter requires a special treatment; three solutions are possible. You can test variations on the \mtcaddchapter command. Just uncomment one (and only one) of the \mtcaddchapter commands after \chapter* in the source code of mtc-add.tex. For each case, look at the Table of Contents and the involved chapter.
\chapter*{Second chapter, starred}
\index{chapter!starred}
% UNCOMMENT ONE AND ONLY ONE OF THE 3 FOLLOWING LINES
\mtcaddchapter[Second chapter, starred] % OK
% \mtcaddchapter[-] % produces a (strange) correct result. OK
% \addcontentsline{toc}{xchapter}{} % BAD SOLUTION
% \mtcaddchapter % BAD SOLUTION
\index{tests}
This is a starred chapter; you can test here variations on the \verb|\mtcaddchapter| command. Just uncomment one (and only one) of the \verb|\mtcaddchapter| commands after \verb|\chapter*| in the source code of \texttt{mtc-add.tex}. For each case, look at the \index{Table of Contents}Table of Contents and at this chapter.
\index{a}\index{added}\index{after}\index{also}\index{and}
\index{at}\index{can}\index{case}\index{chapter}\index{code}
\index{command}\index{commands}\index{Contents}\index{each}
\index{entries}\index{For}\index{here}\index{I}\index{in}
\index{index}\index{is}\index{Just}\index{just}\index{look}
I also added a lot of index entries, just to test.
\chapter{Third chapter}
\index{chapter!normal}
\minitoc \mtcskip
\minilof \mtcskip
\minilot
\section{Third section}
\begin{figure} \caption{Third figure} \end{figure}
\begin{table} \caption{Third table} \end{table}
\section{Fourth section}
\begin{figure} \caption{Fourth figure} \end{figure}
\begin{table} \caption{Fourth table} \end{table}
As we want to add an entry for the bibliography in the table of contents, and we use the tocbibind package for that, we must add a correction with \adjustmtc:
\nocite{*}
\def\noopsort#1{\relax}
\bibliographystyle{plain}
\bibliography{ntc-add}
\adjustmtc
As we want to add an entry for the index in the table of contents, and we use the tocbibind package for that, we must add a correction; two solutions are available: use \mtcfixedindex or the other given three lines:
\printindex
\mtcfixedindex % use this OR the 3 following lines
%% \addcontentsline{lof}{xchapter}{}
%% \addcontentsline{lot}{xchapter}{}
%% \mtcaddchapter
%
\appendix
\chapter{App.~1}
\index{chapter!appendix}
\minitoc \mtcskip
\minilof \mtcskip
\minilot
\section{Fifth section}
\begin{figure} \caption{Fifth figure} \end{figure}
\begin{table} \caption{Fifth table} \end{table}
\section{Sixth section}
\begin{figure} \caption{Sixth figure} \end{figure}
\begin{table} \caption{Sixth table} \end{table}
The next chapter asks for a minitoc, a minilof and a minilot, but contains no tables; hence the minitoc package will give some warnings.
\chapter{App.~2}
\index{chapter!appendix}
% contains no tables but asks for a minilot! No minilot printed.
\minitoc \mtcskip
\minilof \mtcskip
\minilot
\section{Seventh section}
\begin{figure} \caption{Seventh figure} \end{figure}
\begin{figure} \caption{Eighth figure} \end{figure}
\section{Eighth section}
\begin{figure} \caption{Ninth figure} \end{figure}
\begin{figure} \caption{Eleventh figure} \end{figure}
\end{document}
And we need also its small bibliographic data base:
- the english documentation of the minitoc package [157]:
\begin{mtc-addbib}
@MISC{minitoc,
TITLE="The \textsf{minitoc} package",
AUTHOR="Drucbert, Jean-Pierre F.",
NOTE="{\url{http://mirror.ctan.org/macros/latex/contrib/minitoc/minitoc.pdf}}",
MONTH=jul,
YEAR=2008}
\end{mtc-addbib}
- the french documentation of the minitoc package [156]:
\begin{mtc-addbib}
@MISC{minitoc-fr,
TITLE="Le paquetage \textsf{minitoc}",
AUTHOR="Drucbert, Jean-Pierre F.",
NOTE="{\url{http://mirror.ctan.org/macros/latex/contrib/minitoc/minitoc-fr.pdf}}",
MONTH=jul,
YEAR=2008}
\end{mtc-addbib}
- the documentation of the shorttoc package [155]:
a novel [24] from which a short citation is taken:
```
@BOOK{dark,
TITLE="{Against a Dark Background}",
AUTHOR="Banks, Iain Menzies",
PUBLISHER="Bantam Books",
ISBN="0553292240 (pb)",
YEAR=1993}
```
But the database created this way must be trimmed of some spurious lines; on Unix-like systems, do\textsuperscript{3}:
```
cat mtc-add.bib | grep -v '^\%%' > addbib;mv addbib mtc-add.bib
```
### 4.5 The \texttt{mtc-ads.tex} document file
This document uses the \texttt{article} class and shows some problems for adding special entries in the table of contents and some problems with floating objects. We need to use the \texttt{tocbibind} package [472] for the first ones and the \texttt{minitoc inspection} package option to avoid the drift if floating objects outside of their section. That gives the following document preamble:
```latex
\documentclass[oneside,12pt,a4paper]{article}
\ProvidesFile{mtc-ads.tex}%
[2007/01/04]
\usepackage{url,tocbibind,makeidx}
\makeatletter
\def\dotfil{\leaders\hbox to .6em{\hss.\hss}\hfil}%
\def\pfill{\unskip\dotfill\penalty500\strut\nobreak
\dotfil\ignorespaces}%
\usepackage[tight,hints,inspection]{minitoc}
\% \usepackage{mtcoff}
\makeindex
```
\textsuperscript{3}Note that we should use no preamble for this file in \texttt{minitoc.ins}; nevertheless, some spurious lines are still generated. This problem is not yet corrected now, so we keep the solution.
The preparation commands:
\begin{document}
\doparttoc \dopartlof \dopartlot
\dosecttoc \dosectlof \dosectlot
\setcounter{tocdepth}{6}
\setcounter{parttocdepth}{6}
\setcounter{secttocdepth}{6}
\tableofcontents \mtcaddsection
\listoffigures \mtcaddsection
\listoftables \mtcaddsection
\parttoc \partlof \partlot
\secttoc \sectlof \sectlot
\section{First section}
\index[section]{normal}
\secttoc \sectlof \mtcskip \sectlot
\subsection{First subsection}
\begin{figure}[tp] \caption{First figure} \end{figure}
\begin{table}[tp] \caption{First table} \end{table}
\subsection{Second subsection}
A small nice citation from-\cite{dark}:
\index{small}\index{citation}\index{nice}\index{A}\index{a}\index{and}\index{bird}\index{But}\index{cannot}\index{claim}\index{great}\index{he}\index{I}\index{imagine}\index{it}\index{know}\index{land}\index{on}\index{once}\index{that}\index{to}\index{tree}\index{would}\index{yes}
A bird cannot land once on a great tree and claim to know it.
But I imagine that he would, yes.\hfill Iain-M.-\textsc{Banks} (1993), \textsl{Against a dark background.}\index{Iain}\index{Banks}\index{Against}\index{dark}\index{background}
\begin{figure}[tp] \caption{Second figure} \end{figure}
\begin{table} \caption{Second table} \end{table}
Here, we try a starred section, with its entry in the table of contents. You can try several solutions (good or bad).
\section*{Second section, starred}
\index{section!starred}
%% UNCOMMENT ONE AND ONLY ONE OF THE 4 FOLLOWING LINES
\mtcaddsection[Second section, starred] % OK
% \mtcaddsection[] % BAD
%% \mtcaddsection[~] % produces a (strange) correct result.
%% \mtcaddsection % BAD
\index{tests}
This is a starred section; you can test here variations on
the \verb|\mtcaddsection| command. Just uncomment one (and
only one) of the \verb|\mtcaddsection| commands after
\verb|\section{}| in the source code of \texttt{mtc-add.tex}.
For each case, look at the \index{Table of Contents}Table of Contents
and at this section.
\index{a}\index{added}\index{after}\index{also}\index{and}%
\index{at}\index{can}\index{case}\index{section}%
\index{code}\index{command}\index{commands}%
\index{Contents}\index{each}\index{entries}\index{For}%
\index{here}\index{I}\index{in}\index{index}\index{is}%
\index{just}\index{just}\index{look}\index{lot}%
\index{of}\index{on}\index{one}\index{only}\index{source}%
\index{starred}\index{Table}\index{test}\index{the}%
\index{This}\index{this}\index{to}\index{uncomment}%
\index{variations}\index{you}%
I also added a lot of index entries, just to test.
\section{Third section}
\index{section!normal}
\secttoc \mtcskip \sectlof \mtcskip \sectlot
\subsection{Third subsection}
\begin{figure} \caption{Third figure} \end{figure}
\begin{table} \caption{Third table} \end{table}
\subsection{Fourth subsection}
\begin{figure} \caption{Fourth figure} \end{figure}
\begin{table} \caption{Fourth table} \end{table}
\subsubsection{Even a sub-sub-section!}
\subsubsection{And yet another one}
\part{Part-2}
\parttoc \mtcskip \partlof \mtcskip \partlot
\section{Fourth section}
\index{section!normal}
\secttoc \mtcskip \sectlof \mtcskip \sectlot
\subsection{Fifth subsection}
\begin{figure}[tp] \caption{Fifth figure} \end{figure}
\begin{table}[tp] \caption{Fifth table} \end{table}
\subsection{Sixth subsection}
A small nice citation from-\cite{dark}:\index{small}\index{citation}\index{nice}\index{A}\index{a}\index{and}\index{bird}\index{But}\index{cannot}\index{claim}\index{great}\index{he}\index{I}\index{imagine}\index{it}\index{know}\index{land}\index{on}\index{once}\index{that}\index{to}\index{tree}\index{would}\index{yes}
A bird cannot land once on a great tree and claim to know it.
But I imagine that he would, yes.\hfill
\textsc{Iain-M.-} \textsl{Against a dark background.} \index{Iain}\index{Banks}\index{Against}\index{dark}\index{background}
\begin{figure}[tp] \caption{Sixth figure} \end{figure}
\begin{table} \caption{Sixth table} \end{table}
\section*{Fifth section, starred}
\% UNCOMMENT ONE AND ONLY ONE OF THE 4 FOLLOWING LINES
\mtcaddsection[Fifth section, starred] % OK
\% \mtcaddsection[] % OK
\% \mtcaddsection[-] % produces a (strange) correct result.
\% \mtcaddsection % OK
\index{tests}
This is a starred section; you can test here variations on the \verb|\mtcaddsection| command. Just uncomment one (and only one) of the \verb|\mtcaddsection| commands after \verb|\section*| in the source code of \texttt{mtc-add.tex}. For each case, look at the \index{Table of Contents}Table of Contents and at this section.\index{a}\index{added}\index{after}\index{also}\index{and}\index{at}\index{can}\index{case}\index{section}\index{code}\index{command}\index{commands}\index{Contents}\index{each}\index{entries}\index{For}\index{here}\index{I}\index{in}\index{index}\index{is}\index{just}\index{just}\index{look}\index{lot}\index{of}\index{on}\index{one}\index{only}\index{source}\index{starred}\index{Table}\index{test}\index{the}\index{This}\index{this}\index{to}\index{uncomment}\index{variations}\index{you}
I also added a lot of index entries, just to test.
\section{Sixth section}
\secttoc \mtcskip \sectlof \mtcskip \sectlot
\subsection{Seventh subsection}
\begin{figure} \caption{Seventh figure} \end{figure}
\begin{table} \caption{Seventh table} \end{table}
\subsection{Eighth subsection}
\begin{figure} \caption{Eighth figure} \end{figure}
\begin{table} \caption{Eighth table} \end{table}
The bibliography: as we want an entry for it in the table of contents, we use the tocbibind package [472] and a correction with \adjuststc:
\nocite*
\def\noopsort#1{\relax}
\bibliographystyle{plain}
\bibliography{mtc-add}
\adjuststc
The index: as we want an entry for it in the table of contents, we use the tocbibind package [472] and a correction with \mtcfixindex:
\printindex
\mtcfixindex % use this OR the 3 following lines
%% \addcontentsline{lof}{xsect}{}
%% \addcontentsline{lot}{xsect}{}
%% \mtcaddsection
\appendix
\section{App.~1}
\index{section!appendix}
\secttoc \mtcskip \sectlof \mtcskip \sectlot
\subsection{Ninth subsection}
\begin{figure} \caption{Ninth figure} \end{figure}
\begin{table} \caption{Ninth table} \end{table}
\subsection{Tenth subsection}
\begin{figure} \caption{Tenth figure} \end{figure}
\begin{table} \caption{Tenth table} \end{table}
\section{App.~2}
\index{section!appendix}
%% contains no tables but asks for a sectlot! No sectlot printed.
\secttoc \mtcskip \sectlof \mtcskip \sectlot
\subsection{Eleventh subsection}
\begin{figure} \caption{Eleventh figure} \end{figure}
\begin{figure} \caption{Twelfth figure} \end{figure}
\subsection{Twelfth subsection}
\begin{figure} \caption{Thirdteenth figure} \end{figure}
\begin{figure} \caption{Fourteenth figure} \end{figure}
\end{document}
(/mtc-ads)
4.6 The mtc-amm.tex document file
This example shows the use of the appendices environment in a memoir class document when the minitoc package is loaded. First, the preamble:
```latex
\documentclass[oneside]{memoir}
\ProvidesFile{mtc-amm.tex}%
[2007/08/29]
\usepackage{lipsum} % filling text
\usepackage{hyperref}
\usepackage{mnhfixc}
\usepackage[tight]{minitoc}
```
The appendices are set in an appendices environment; we can add an entry in the TOC with \addappheadtotoc (a command from the memoir class):
```latex
\begin{appendices}
\addappheadtotoc
\adjustmtc %correction!
\chapter{Afterthoughts}
\minitoc
\lipsum[3]
Afterthoughts appendix
\section{Further remarks}
\lipsum[4]
\chapter{Last wills}
\minitoc
\section{Testament}
\lipsum[5]
\end{appendices}
\chapter{Conclusion}
\minitoc
\section{Bye}
\lipsum[6]
\chapter{Back from Hell}
\minitoc
\section{Not dead yet!}
\lipsum[7]
\section{I will survive}
\lipsum[8]
\end{document}
```
4.7 The mtc-apx.tex document file
The mtc-apx.tex document file is described in section 2.25 on page 67.
4.8 The mtc-art.tex document file
This is a basic document using the minitoc package. It contains sections but no chapters, so it must use an article-like document class. You should work on a copy of this file and can alter its preamble and its contents to make experiments with parameters. A typical preamble follows:
```latex
\begin{document}
\tableofcontents
\adjustmtc
\chapter{First chapter}
\minitoc
\lipsum[1]
\section{First section}
\lipsum[2]
\end{document}
```
% This file contains a set of tests for minitoc package. You can alter most of parameters to test.
\documentclass[12pt,a4paper]{article}
\ProvidesFile{mtc-art.tex}%
[2007/06/06]
\usepackage{lipsum} % provides filling text
\usepackage{hyperref} % If used, load it BEFORE minitoc
\usepackage[tight,insection]{minitoc}
\setcounter{secnumdepth}{5} % depth of numbering of sectionning commands
\setcounter{tocdepth}{3} % depth of table of contents
\setlength{\stcindent}{24pt} % indentation of secttocs, default
\% font for secttocs, default
\renewcommand{\stcfont}{\small\rmfamily\upshape\mdseries}%
\% font for secttocs, subsections
\renewcommand{\stcSSfont}{\small\sffamily}%
% you can make experiments with
% \stcSSSfont, \stcPfont and \stcSPfont
% but it is ‘‘fontomania’’...
\raggedbottom % or \flushbottom, at your choice
If you want to use sections numbered in each part (the section number restarts to 1 at the beginning of each part), uncomment the 3 lines of code below. This demonstrates that the numbering of the secttoc files is independent on the numbering of the sections (it is absolute).
%% TEST: uncomment the next line to test
%% resetting section number in each part
\makeatletter \@addtoreset{section}{part} \makeatother
%% END TEST
We begin the body of the document. You can still alter some parameters (presence or absence of rules and page numbers in the mini-tables):
\begin{document}
\dosecttoc The preparation commands, with their optional argument if necessary:
\dosectlof
\dosectlot
\doparttoc \dosecttoc[c] % center titles of the sectlofs
\dopartlof \dosectlot
\doparttoc % test of parttoc/partlof stuff
\dopartlof % added in version #15
\dopartlot % added in version #15
\faketableofcontents It is necessary to create the contents files; use the “fake” version to not print.
\fakelistoffigures
\fakelistoftables \faketableofcontents % or \tableofcontents
\fakelistoffigures % to check compatibility
\fakelistoftables % to check compatibility
There is the text of the document, with its sectioning commands; we define a part, with a parttoc, a partlof (with the title on the right) and a partlot:
\part{First Part} \parttoc \partlof[r] \partlot
A section, in two columns mode, with a secttoc (title on the right), and a sectlof; this section contains subsections to make a non-empty secttoc but no figures (to detect an empty sectlof).
\section{AAAAA}
\secttoc[r]
\mtcskip \sectlof %ADDED
\lipsum[1]
\subsection{S1} \lipsum[2]
\subsection{S2} \lipsum[3]
\subsection{S3} \lipsum[4]
\subsection{S4}
\% \addcontentsline{toc}{starsubsection}{*S4*}
\lipsum[5]
A lot of subsections:
\subsection{S5} \lipsum[6]
\subsection{S6} \lipsum[7]
\subsection{S7} \lipsum[8]
\subsection{S8} \lipsum[9]
\subsection{S9} \lipsum[10]
\subsection{S10} \lipsum[11]
\subsection{S11} \lipsum[12]
\subsection{S12} \lipsum[13]
\subsection{S13} \lipsum[14]
\subsection{S14} \lipsum[15]
\subsection{S15} \lipsum[16]
\subsection{S16} \lipsum[17]
\subsection{S17} \lipsum[18]
\subsection{S18} \lipsum[19]
\subsection{S19} \lipsum[20]
\subsection{S20} \lipsum[21]
\subsection{S21} \lipsum[22]
\subsection{S22} \lipsum[23]
\subsection{S23} \lipsum[24]
\subsection{S24} \lipsum[25]
\subsection{S25} \lipsum[26]
\subsection{S26} \lipsum[27]
\subsection{S27} \lipsum[28]
\subsection{S28} \lipsum[29]
\subsection{S29} \lipsum[30]
\subsection{S30} \lipsum[31]
We return to the one column mode. Then a section with a secttoc and a sectlof (there are subsections and figures). The insertion package option should ensure that floating objects (like figures) do not drift outside their section.
\onecolumn[fussy] % back to one column
\section{BBBBB}
\secttoc
\mtcskip % put some skip here
\sectlof % a sectlof
\lipsum[32]
\subsection{T1} \lipsum[33]
\begin{figure}[t] % tests compatibility with floating bodies
\setlength{\unitlength}{1mm}
\begin{picture}(100,50) \end{picture}
\caption{F1} % (I have not tested tables, but it is similar)
\end{figure}
\FloatBarrier
\subsubsection{TT1}{TT1} % tests optional arg. of a sectionning command
\lipsum[34]
\paragraph{TTT1} \lipsum[35]
\subparagraph{TTTT1} \lipsum[36]
\begin{figure}[t]
\setlength{\unitlength}{1mm}
\begin{picture}(100,50) \end{picture}
\caption{f2}{F2} % tests optional arg. of a caption
\end{figure}
\FloatBarrier
\subsection{T2} \lipsum[37]
\section{CCCCC} % tests a pseudo-section. should have no secttoc
%% \addstarredsection{CCCCC}
\mtcaddsection{CCCCC}
\secttoc \mtcskip \sectlof %ADDED
\lipsum[38]
\subsection{U1} \lipsum[39]
\subsubsection{UU1} \lipsum[40]
\paragraph{UUU1} \lipsum[41]
\subparagraph{UUUU1} \lipsum[42]
\subsection{U2} \lipsum[43]
\part{Second Part}
\parttoc
\partlof[c]
\partlot
%% % the following section should have no secttoc,
\section{DDDDD} % but if you uncomment \secttoc,
%% \secttoc
\mtcskip \sectlof %ADDED
% % the secttoc appears
\lipsum[44]
\subsection{V1} \lipsum[45]
\subsubsection{VV1} \lipsum[46]
\paragraph{VVV1} \lipsum[47]
\begin{figure}[t] % tests compatibility with floating bodies
\setlength{\unitlength}{1mm}
\begin{picture}(100,50) \end{picture}
\caption{F3} % (I have not tested tables, but it is similar)
\end{figure}
\FloatBarrier
\lipsum[49] \subsection{V2} \lipsum[50]
We change the depth of the secttoc, inside a local group (a pair of braces):
\section{EEEEEE} % this section should have a secttoc
\setcounter{secttocdepth}{3} % depth of sect table of contents;
\FloatBarrier
\part
\parttoc % this pair of braces is used to keep local the change on secttocdepth.
\lipsum[51]
\subsection{W1} % with the given depth
\lipsum[52]
\subsubsection{WW1} \lipsum[53]
\paragraph{WWW1} \lipsum[54]
\begin{figure}[t] % tests compatibility with floating bodies
\setlength{\unitlength}{1mm}
\begin{picture}(100,50) \end{picture}
\caption{F4} % (I have not tested tables, but it is similar)
\end{figure}
\FloatBarrier
bla bla bla bla bla bla bla bla bla
\subparagraph{WWWW1} \lipsum[55]
\subsection{W2} \lipsum[56]
% no chapter in article class \chapter*{}
\part{Appendices}
\parttoc
\partof
\FloatBarrier
\appendix
\section{Comments} \lipsum[57]
\secttoc
\mtcskip \sectof %ADDED
\subsection{C1} \lipsum[58]
\subsection{C2} \lipsum[59]
\subsection{C3} \lipsum[60]
\begin{figure}[hb] % tests compatibility with floating bodies
\setlength{\unitlength}{1mm}
\begin{picture}(100,50) \end{picture}
\caption{F5} % (I have not tested tables, but it is similar)
\end{figure}
\FloatBarrier
\subsection{C4} \lipsum[61]
\FloatBarrier
\section{Evolution}
\secttoc
\sectof % empty
\sectlot % empty
\lipsum[62]
\subsection{D1} \lipsum[63] \subsection{D2} \lipsum[64]
\subsection{D3} \lipsum[65] \subsection{D4} \lipsum[66]
\end{document}
(/mtc-art)
This is a basic document using the minitoc package. It contains chapters, so it must use a book-like or report-like document class. You should work on a copy of this file and can alter its preamble and its contents to make experiments with parameters. A typical preamble follows:
\documentclass[12pt,a4paper]{report} % the report class uses less pages
\ProvidesFile{mtc-bk.tex}
% \usepackage{lipsum} % provides filling text
% \usepackage{hyperref} % if used, load it BEFORE minitoc
% \usepackage{mtcoff}
% \usepackage[tight]{minitoc} % tight option make shorter mini-tables
\setcounter{secnumdepth}{5} % depth of numbering of sectionning commands
\setcounter{tocdepth}{3} % depth of table of contents
\setlength{\mtcindent}{24pt} % indentation of minitocs, default
\renewcommand{\mtcfont}{\small\rm} % font for minitocs, default
\renewcommand{\mtcPfont}{\small\bf} % font for minitocs, sections, default
\renewcommand{\mtcSSfont}{\small\sffamily} % font for minitocs, subsections
% you can make experiments with \mtcSSSfont, \mtcPfont and \mtcSPfont
% but it is 'fontomania'...
% or \flushbottom, at your choice
If you want to use chapters numbered in each part (the chapter number restarts to 1 at the beginning of each part), uncomment the 3 lines of code below. This demonstrates that the numbering of the minitoc files is independent on the numbering of the chapters (it is absolute).
% TEST: uncomment the next line to test resetting chapter number in each part
% \makeatletter \addtoreset{chapter}{part} \makeatother
% END TEST
We begin the body of the document. You can still alter some parameters (presence or absence of rules and page numbers in the mini-tables):
\begin{document}
\mtcpagenumbers
\noptcrule
% \nomcrule % suppresses minitoc rules
% \nomtctpagenumbers % suppresses minitoc page numbers
% \nomlfpagenumbers % -------- minilof ---- -------
% \nomltpagenumbers % -------- minilot ---- -------
\dominitoc The preparation commands, with their optional argument if necessary:
\dominilof
\dominilot 1005 \dominitoc
\doparttoc 1006 \dominilof[c] % centers title of minilof's
\dopartlof 1007 \dominilot
\dopartlot 1008 \doparttoc % test of parttoc/partlof stuff
1009 \dopartlof % added in version #15
1010 \dopartlot % added in version #15
\tableofcontents It is necessary to create the contents files; use the “fake” version to not print.
\listoffigures
\fakelistoftables 1011 \tableofcontents % or \faketableofcontents
1012 \listoffigures % or \fakelistoffigures
1013 \fakelistoftables % or \listoftables
Uncomment the following line if the first chapter must be numbered “0”:
% \addtocounter{chapter}{-1} % to begin with Chapter 0
\part There is the text of the document, with its sectionning commands:
\doparttoc
\dopartlof 1015 \part{First Part}
\dopartlot 1016 \parttoc \partlof[r] \partlot[r]
A chapter, in two column mode, with a minitoc (title on the right):
\twocolumn\sloppy % the minitoc in twocolumn layout is ugly,
\chapter{AAAAA} % a chapter with a lot of sections
\minitoc[r] % minitoc title on the right
\lipsum[1]
\section{S1} \lipsum[2]
\section{S2} \lipsum[3]
\section{S3} \lipsum[4]
\section* A starred section; we want an entry in the TOC, so we add it the normal way:
\addtocontentsline
\section*{S4}
\addcontentsline{toc}{section}{\protect\numberline{}{S4}}
\lipsum[5]
A lot of subsections:
\section{S5} \lipsum[6] | \section{S9} \lipsum[10]
\section{S6} \lipsum[6] | \section{S10} \lipsum[11]
\section{S7} \lipsum[7] | \section{S11} \lipsum[12]
\section{S8} \lipsum[9] | \section{S12} \lipsum[13]
\chapter{We return to one column mode. A new chapter, with a minitoc, a minilof and a minilot:}
\minitoc
\minilof
\minilot
\onecolumn
\chapter{BBBBB}
\mtcskip
\minitoc
\mtcskip
\minilof
\mtcskip
\minilot
\lipsum[34]
\section{T1} \lipsum[35]
\begin{figure}[t] % tests compatibility with floating bodies
\setlength{\unitlength}{1mm}
\begin{picture}(100,50)
\end{picture}
\caption{F1} % (tables are similar)
\end{figure}
\begin{table}[b] % tests compatibility with floating bodies
\setlength{\unitlength}{1mm}
\begin{picture}(100,50)
\end{picture}
\caption{T1} % (tables are similar)
\end{table}
\clearpage
\subsection{TT1} % tests optional arg. of a sectionning command
\lipsum[36]
\subsubsection{TTT1} \lipsum[37]
\paragraph{TTTT1} \lipsum[38]
\begin{figure}
\setlength{\unitlength}{1mm}
\begin{picture}(100,50)
\end{picture}
\caption{f2} % tests optional arg. of a caption
\end{figure}
\section{T2} \lipsum[39]
\chapter*{A starred chapter with an entry added in the TOC; all subordinate (lower) sectionning commands must also be starred.}
\addtocounter{section}{-1}
\section*{CCCCC} % tests a pseudo-chapter; could have a minitoc.
\addtocounter{section}{-1}
\addtocounter{part}{-1}
\part{CCCCC}
\parttoc
\partlof
\lipsum[40]
\section*{U1}
\addcontentsline{toc}{section}{U1}
\lipsum[41]
\subsection*{UU1}
\addcontentsline{toc}{subsection}{UU1}
\lipsum[42]
\subsubsection*{UUU1}
\addcontentsline{toc}{subsubsection}{UUU1}
\lipsum[43]
\paragraph*{UUUU1}
\addcontentsline{toc}{paragraph}{UUUU1}
\lipsum[44]
\section*{U2}
\addcontentsline{toc}{section}{U2}
\lipsum[45]
\part{Second Part}
\parttoc
\partlof[c]
This chapter has no minitoc, but if you uncomment \minitoc, the minitoc will appear.
\chapter{DDDDD} % the following chapter should have no minitoc,
% but if you uncomment \minitoc,
% the minitoc appears
\lipsum[46]
\section{V1} \lipsum[47]
\subsection{VV1} \lipsum[48]
\subsubsection{VVV1} \lipsum[49]
\paragraph{WWW1} \lipsum[50]
\begin{figure}[t] % tests compatibility with floating bodies
\setlength{\unitlength}{1mm}
\begin{picture}(100,50)
\end{picture}
\caption{F3} % (I have not tested tables, but it is similar)
\end{figure}
\lipsum[51]
\section{V2} \lipsum[52]
We change the depth of the minitocs, inside a local group (a pair of braces):
\chapter{EEEEE} % this chapter should have a minitoc
{% left brace, see below
\setcounter{minitocdepth}{3} % depth of mini table of contents;
% try with different values.
\minitoc % right brace
}
% this pair of braces is used to keep local the change
% on minitocdepth.
\lipsum[53]
\section{W1} % with the given depth
\lipsum[54]
\subsection{WW1} \lipsum[55]
\subsubsection{WWW1} \lipsum[56]
\begin{figure}[t] % tests compatibility with floating bodies
\setlength{\unitlength}{1mm}
\begin{picture}(100,50)
\end{picture}
\caption{F4} % (I have not tested tables here, but it is similar)
\end{figure}
\lipsum[57]
\paragraph{WWW1} \lipsum[58]
\subparagraph{WWWW1} \lipsum[59]
\section{W2} \lipsum[60]
\appendix
\part{Appendices}
\parttoc
\mtchideinmaintoc
\chapter{Comments}
\minitoc
\section{C1} \lipsum[61]
\section{C2} \lipsum[62]
\section{C3} \lipsum[63]
\begin{figure}[t] % tests compatibility with floating bodies
\setlength{\unitlength}{1mm}
\begin{picture}(100,50)
\end{picture}
\caption{F5} % (I have not tested tables, but it is similar)
\end{figure}
\section{C4}
\chapter{Evolution}
\minitoc
\minilof %Empty => invisible
\minilot %Empty => invisible
\section{D1} \lipsum[64]
\section{D2} \lipsum[65]
\section{D3} \lipsum[66]
\section{D4} \lipsum[67]
\mtchideinmaintoc
We terminate the part by adding a marker in the TOC file, then we must close this
\addtocontents{mtchideinmaintoc} environment:
% this line closes the omitted part
4.10 The mtc-bo.tex document file
This document shows the use of the minitoc package in a document using a two column layout for some portions and the tocloft package [469]. The aim is to begin a chapter with a special head and a preliminary block containing a minitoc and some indications, on two columns. The preamble loads the geometry package [447], which defines the global page layout, the multicol package [325], the color package [120], because we want a colored background for the minitoc, the tocloft package [469], to change some parameters of the minitoc, and, at least, the minitoc package itself:
```latex
\documentclass[10pt]{book}
\ProvidesFile{mtc-bo.tex}%
[2007/04/17]
\usepackage[paperwidth=8.5in,paperheight=11in,%
lmargin=1.25in,rmargin=1.25in,tmargin=1in,bmargin=1in]{geometry}
\usepackage{multicol}
\usepackage{color}
\setlength{\addtolength{\cftsecindent}{0cm}}
\setlength{\cftsubsecnumwidth}{15 pt}
\setlength{\cftsubsubsecindent}{\cftsecindent}
\setlength{\cftsubsubsecnumwidth}{20 pt}
\setlength{\cftsubsubsubindent}{\cftsubsecindent}
\addtolength{\cftsubsubsubindent}{\cftsubsecnumwidth}
\cftpagenumbersoff{sec}
\cftpagenumbersoff{subsec}
```
We use the tocloft package and its commands to set the indentations in the TOC and the minitoc:
We load the minitoc package and change the indentation, suppress the rules and change the minitoc title. The hyperref package [391] can also be loaded (after minitoc).
\usepackage[francais,tight]{minitoc}
\usepackage{hyperref}
\setlength{\mtcindent}{0pt}
\nomtcrule % pas de filets en haut et en bas de la mini-tdm
\nomtcpagenumbers % pas de numéro de pages
(non fonctionnel avec tocloft)
\renewcommand{\mtctitle}{Contenu de la rencontre}
We load also some packages for the french language (some are local):
\usepackage[francais]{babel}
\usepackage{franc,frnew}
\usepackage[T1]{fontenc}
\usepackage[latin1]{inputenc}
\usepackage{mypatches}
This code redefines the format of the chapter head:
% MACRO POUR AVOIR LE MOT « RENCONTRE » AU LIEU DE « CHAPITRE »
% Sans saut de ligne (modification du code qui se trouve dans la FAQ)
\makeatletter
\def\@makechapterhead#1{%
\vspace*{10\p@}%
{\parindent \z@ \raggedleft \normalfont
\interlinepenalty\@M
\ifnum \c@secnumdepth >\m@ne
\Huge\bfs\family Rencontre \thechapter\quad
\fi
\Huge\bfs\family #1\par\nobreak
\vskip 10\p@
}}
\def\@makeschapterhead#1{%
\vspace*{10\p@}%
{\parindent \z@ \raggedright \normalfont
\interlinepenalty\@M
\Huge \sffamily #1\par\nobreak
\vskip 10\p@
}}
\makeatother
We define an environment (pageUn) for the block placed at the beginning of a chapter. This block contains a minitoc, then a sequence of informations given by the 6 parameters of the environment. The block uses a multicols environment to typeset on two columns. Some decorations are added: rules, colored background for the minitoc.
% : ENVIRONNEMENT POUR LA PAGE 1 DES RENCONTRES %
\newenvironment{pageUn}[6]{%
\parindent = 0.0in
\rule{\linewidth}{1pt}
\begin{multicols}{2}
{\large \bfseries Math. pour médecine nucléaire\\
\textit{(#2)}}
\vfill\columnbreak
\raggedleft\bfseries Automne 2003\\
#1
\end{multicols}
\vspace{-18pt}
\rule{\linewidth}{1pt}
\setlength{\columnseprule}{.3pt} \setlength{\columnsep}{1cm}
\begin{multicols}{2}%
\colorbox[cmyk]{.1,.0,.0,0}{%
\parbox{\linewidth}{%
\setcounter{minitocdepth}{3}%
\minitoc%
}}
\vfill \columnbreak ~ \vfill
\mtcskip
\colorbox[cmyk]{.1,.0,.0,0}{%
\large \bfseries Documents distribués}
\begin{itemize} \renewcommand{\labelitemi}{$\star$} #3 \end{itemize}
\colorbox[cmyk]{.1,.0,.0,0}{%
\large \bfseries Messages}
\begin{itemize} \renewcommand{\labelitemi}{$\star$}#4\end{itemize}
\colorbox[cmyk]{.1,.0,.0,0}{%
\large \bfseries Lecture}\vspace{-6pt} \par#5 \par
\colorbox[cmyk]{.1,.0,.0,0}{%
\large \bfseries Exercices}\vspace{-6pt}\par#6\par
\newpage
\end{multicols}%
}{}%
\hrule
\renewcommand{\baselinestretch}{1.2} % interligne
\pagestyle{empty} % pas de # de page
\parindent = 0.0in
\parskip = 0.1in
%: REDÉFINIR LES SECTIONS %
\renewcommand{\thesection}{\Alph{section}}
\renewcommand{\thesection}{\thechapter-\Alph{section}}
The body of the document:
%: BEGIN %
\begin{document}
\dominitoc \faketableofcontents
\chapter{Première étape (début)}
\minitoc
\begin{pageUn}
{%1
Date du cours
lundi 25 août
}
{%2
Durée du cours
2 périodes
}
{%3
Liste des documents à-distribuer
\item Plan de cours
\item Fiche d'identification
\item Grille horaire
\item Feuilles d'exercices supplémentaires
}
{%4
Ne pas oublier
\item Acheter le livre de référence
\item Apporter une disquette
}
{%5
Lecture
Lire les pages ppp à-ppp et ppp à-ppp
}
{%6
Exercice
Faire les exercices nnn de la page ppp
}
\end{pageUn}
\section{Titre de la section} %
%: END %
\begin{verbatim}
Texte dans la section
\subsection{Une sous-section}
Bla bla bla
\subsection{Une autre sous-section}
Bla bla bla
\section{Titre d'une autre section}
Texte dans la section
\subsection{Une sous-section}
Bla bla bla
\subsection{Une autre sous-section}
Bla bla bla
\section{Encore une autre section}
Texte dans la section
\end{document}
\end{verbatim}
4.11 The \texttt{mtc-ch0.tex} document file
This document shows the use of the \texttt{minitoc} package in a document using a starred first chapter, inducing the “Chapter Zero” problem.
\begin{verbatim}
(*mtc-ch0)
\documentclass[12pt,a4paper]{report}
\ProvidesFile{mtc-ch0.tex}%
[2007/01/04]
\usepackage[tight,english]{minitoc}
\begin{document}
\dominitoc \tableofcontents
\end{verbatim}
The first chapter is starred, but contains real numbered sections. We add an entry in the TOC for this chapter and see that its sections are using “0” as chapter number:
\chapter*{Chapter One (starred)}
\mtcaddchapter[Fake chapter one]
\minitoc
That’s right, folks -- we’re close to the release of Firefox and Thunderbird-1.0 and, just like our last 1.0-release, we want to organize worldwide parties to celebrate.
Thanks to Dominik ‘Aeneas’ Schnitzer, we have an all-new and improved Mozilla Party Webtool-2.0. You can create your own party, or sign up for one already in progress -- and, in an improvement on Webtool-1.0, organizers can now edit and update party details. The tool allows you to organize a celebration in any of 243-countries, principalities, dominions and islands around the world. Never let it be said that we do things by halves around here.
\subsection{Chap 1, section 1, subsection 1}
That’s right, folks -- we’re close to the release of Firefox and Thunderbird-1.0 and, just like our last 1.0-release, we want to organize worldwide parties to celebrate.
Thanks to Dominik ‘Aeneas’ Schnitzer, we have an all-new and improved Mozilla Party Webtool-2.0. You can create your own party, or sign up for one already in progress -- and, in an improvement on Webtool-1.0, organizers can now edit and update party details. The tool allows you to organize a celebration in any of 243-countries, principalities, dominions and islands around the world. Never let it be said that we do things by halves around here.
The second chapter is normal:
\chapter{Chapter Two (numbered one)}
\minitoc
That’s right, folks -- we’re close to the release of Firefox and Thunderbird 1.0 and, just like our last 1.0-release, we want to organize worldwide parties to celebrate.
Thanks to Dominik ‘Aeneas’ Schnitzer, we have an all-new and improved Mozilla Party Webtool-2.0. You can create your own party, or sign up for one already in progress -- and, in an improvement on Webtool-1.0, organizers can now edit and update party details. The tool allows you to organize a celebration in any of 243-countries, principalities, dominions and islands around the world. Never let it be said that we do things by halves around here.
4.12 The mtc-cri.tex document file
This document shows the use of the minitoc package in a document with a starred part and starred chapters. Note the use of the adjustment commands. This example is not commented: just follow the insertion of the mini-tables in the mtc-cri.log file.
\mtcsetdepth
\doparttoc
\dominitoc
\tableofcontents
\part*
\mtcaddpart
\adjustptc
\parttoc
\chapter*
\mtcaddchapter
\chapter
\minitoc
\section
[french2,tight]%
{minitoc}
\begin{document}
\doparttoc \dominitoc
\tableofcontents
\part*[Présentation générale]
\mtcaddpart[Présentation générale]
\adjustptc[-2]
\parttoc
Texte de la présentation générale\ldots
\chapter*[Les auteurs]
\mtcaddchapter[Les auteurs]
Présentation des auteurs\ldots
\chapter*[Les lecteurs]
\mtcaddchapter[Les lecteurs]
Présentation des lecteurs\ldots
\part{Première partie}
\parttoc
\chapter*[Introduction]
\mtcaddchapter[Introduction]
\chapter{Premier chapitre}
\minitoc
\section{Première section-A}
\Section{Deuxième section-A}
\chapter{Deuxième chapitre}
\minitoc
\section{Première section-B}
\Section{Deuxième section-B}
\part{Deuxième partie}
\parttoc
\chapter{Premier chapitre}
\minitoc
\section{Première section-C}
\Section{Deuxième section-C}
\chapter{Deuxième chapitre}
\minitoc
\section{Première section-D}
\Section{Deuxième section-D}
\end{document}
4.13 The mtc-fko.tex document file
This is a document using the scrbook class. Without any precaution, some entries in the minitocs are not in the right font (bold sans serif) like in the main table of contents; moreover, the language of the minitoc titles is not correct because the options of the babel package are not transferred to the minitoc package. To solve the language problem, we just set “german” as a global option in the \documentclass command (babel and minitoc will hence use this global option).
\documentclass[german,a4paper,oneside]{scrbook}
\ProvidesFile{mtc-fko.tex}%
[2007/02/19]
\mtcindent Then we load the packages and set some parameters:
\usepackage[germanb]{babel}
\usepackage[tight]{minitoc}
\setlength{\mtcindent}{0pt} % optional
\mtcsetfont \mtcsettitlefont
\sectfont
\mtcsettitle
\mtcsetfont{minitoc}{section}{\sectfont\small}
\mtcsettitlefont{minitoc}{\sectfont\large}
\mtcsettitle{minitoc}{Inhalt}
\dominitoc \tableofcontents
\chapter
\minitoc
\begin{document}
\dominitoc \tableofcontents
\chapter{Ein serifenloses Kapitel}
\minitoc % Aufruf Minitoc
\section{Dieser Text ist in minitoc serifenlos}
Auch der Text \glqq Inhaltsangabe\grqq\ will so wie koma es definiert.
\end{document}
4.14 The mtc-fo1.tex document file
\doparttoc
\dominitoc \tableofcontents
\part
\documentclass{report}
\ProvidesFile{mtc-fo1.tex}%
[2007/01/04]
\usepackage{lipsum}
\footnote{Here we only gave the commands for the section entries in the minitocs, but analog commands may be used for lower entries.}
\usepackage{txfonts}
\usepackage[tight]{minitoc}
\begin{document}
\doparttoc \dominitoc \tableofcontents
\part{Introduction} \clearpage
\parttoc A first copy, with default fonts:
\parttoc \clearpage
\mtcsetfont \parttoc
\parttoc
\mtcsetfont{\parttoc}{chapter}{\normalsize\rmfamily\upshape\bfsseries}
\parttoc \clearpage
\mtcsetfont \parttoc
\mtcsetfont{\parttoc}{chapter}{\normalsize\ttfamily\upshape\bfsseries}
\parttoc \clearpage
\mtcsetfont \parttoc
\mtcsetfont{\parttoc}{*}{\normalsize\ttfamily\upshape\mdseries}
\minitoc \parttoc \clearpage
\section{A very short chapter}
\subsection{First section} \lipsum[2]
\subsection{Alpha} \lipsum[3]
\subsection{Beta} \lipsum[4]
\section{Second section} \lipsum[5]
\subsection{Gamma} \lipsum[6]
\subsection{Delta} \lipsum[7]
\end{document}
(//mtc-fo1)
4.15 The mtc-fo2.tex document file
This document creates several copies of the same parttoc, but with different fonts (for the chapter level entries); you can compare the results. As the fonts are not declared the same way, compare the results with those of mtc-fo1.tex (see section 4.14 on the preceding page).
(*mtc-fo2)
\documentclass{report}
\ProvidesFile{mtc-fo2.tex}%
[2007/01/04]
\usepackage{lipsum}
\usepackage{txfonts}
\usepackage[tight]{minitoc}
\ptcfont We declare the fonts with the old method:
\ptcSSfont
\ptcSSSfont \def\ptcSSfont{\ptcfont} % (subsections)
\ptcPfont \def\ptcPfont{\ptcfont} % (subsubsections)
\ptcSPfont \def\ptcSPfont{\ptcfont} % (paragraphs)
\plffont \def\plffont{\ptcfont} % (subparagraphs)
\plfSfont \def\plfSfont{\ptcfont} % (figures)
\pltfont \def\pltfont{\ptcfont} % (subfigures)
\pltSfont \def\pltSfont{\ptcfont} % (tables)
\doparttoc
\dominitoc
\begin{document}
\doparttoc \dominitoc
\tocofcontents
\part{Introduction}
\clearpage
\parttoc A first version of the parttoc, with the fonts defined above:
\parttoc \clearpage
\mtcsetfont \parttoc
A second version of the parttoc, with chapter entries in a roman bold font:
\mtcsetfont{parttoc}{chapter}{\normalsize\rmfamily\upshape\bfseries}
\parttoc \clearpage
\mtcsetfont \parttoc
A third version of the parttoc, with chapter entries in a typewriter bold font:
\mtcsetfont{parttoc}{chapter}{\normalsize\ttfamily\upshape\bfseries}
\parttoc \clearpage
\mtcsetfont \parttoc
A fourth version of the parttoc, with chapter entries in a non bold typewriter font:
\mtcsetfont{parttoc}{*}{\normalsize\ttfamily\upshape\mdseries}
\parttoc \clearpage
\chapter{A very short chapter}
\minitoc
\lipsum[1]
\section{First section} \lipsum[2]
\subsection{Alpha} \lipsum[3] \subsection{Beta} \lipsum[4]
\section{Second section} \lipsum[5]
\subsection{Gamma} \lipsum[6] \subsection{Delta} \lipsum[7]
4.16 The mtc-gap.tex document file
The mtc-gap.tex document file is described in section 2.44 on page 76.
4.17 The mtc-hi1.tex document file
The mtc-hi1.tex document file is described in section 2.25 on page 68.
4.18 The mtc-hi2.tex document file
The mtc-hi2.tex document file is described in section 2.25 on page 69.
4.19 The mtc-hia.tex document file
This document shows the use of the minitoc package in a document where the entries for some tables must be hidden in the main list of tables. The document uses the article class.
\begin{verbatim}
\documentclass[oneside,a4paper]{article}
\ProvidesFile{mtc-hia.tex}%
[2007/01/04]
\usepackage{lipsum}
\usepackage[
tight,insection]%
{minitoc}
\dosectlot
\begin{document}
\listoftables
\section{First section}
\sectlot
\lipsum[1]
\begin{table}[hb]
\caption{My first visible table}
\end{table}
\lipsum[2]
\begin{table}[ht]
\caption{A second visible table}
\end{table}
\lipsum[3]
\end{document}
\end{verbatim}
For the first hidden table, we add \mtchideinmainlot before its caption:
\begin{table}[hb]
\mtchideinmainlot
\caption{My first hidden table}
\end{table}
\lipsum[4–6]
\begin{table}[ht]
\caption{A second hidden table}
\end{table}
\lipsum[7]
\section{Second section}
\sectlot
\lipsum[8]
For the last hidden table, we add \endmtchideinmainlot after its caption:
\begin{table}[hb]
\caption{My last hidden table}
\end{table}
\lipsum[9]
\begin{table}[ht]
\caption{A third visible table}
\end{table}
\lipsum[10]
\begin{table}[hb]
\caption{A fourth visible table}
\end{table}
\lipsum[11]
\end{document}
\end{mtc-hia}
4.20 The mtc-hir.tex document file
This document shows the use of the minitoc package in a document where the entries for some tables must be hidden in the main list of tables. The document uses the report class.
\dominilot
\listoftables
\chapter
\minilot
(*mtc-hir)
\documentclass[a4paper]{report}
\ProvidesFile{mtc-hir.tex}%
[2007/01/04]
\usepackage{lipsum}
\usepackage[tight]{minitoc}
\dominilot
\begin{document}
\listoftables
\chapter{First chapter}
\begin{table}[hb]
\caption{My first visible table}
\end{table}
\lipsum[2]
\begin{table}[ht]
\caption{A second visible table}
\end{table}
\lipsum[3]
For the first hidden table, we add \mtchideinmainlot before its caption:
\chapter
\minilot
\begin{table}[hb]
\mtchideinmainlot % <--
\caption{My first hidden table}
\end{table}
\lipsum[4–6]
\begin{table}[ht]
\caption{A second hidden table}
\end{table}
\lipsum[7]
\chapter{Second chapter}
\minilot
\lipsum[8]
For the *last* hidden table, we add \endmtchideinmainlot after its caption:
\begin{table}[hb]
\caption{My last hidden table}
\end{table}
\lipsum[9]
\begin{table}[ht]
\caption{A third visible table}
\end{table}
\lipsum[10]
\begin{table}[hb]
\caption{A fourth visible table}
\end{table}
\lipsum[11]
\end{document}
4.21 The mtc-hop.tex document file
This document shows the use of the minitoc package in a document of class scrbook.
\documentclass[oneside,12pt]{scrbook}
\ProvidesFile{mtc-hop.tex}%
[2007/01/04]
\usepackage{lipsum}
\usepackage[hints]{minitoc}
\begin{document}
\dominitoc
\domilof
\tableofcontents
\listoffigures
\part*
\mtcaddpart
\chapter
\minitoc
\minilof
\chapter{Chapter 1}
\minitoc \minilof
\section{Section one of first chapter} \lipsum[1]
\begin{figure}
\centering Test
\caption{Picture one of first chapter}
\end{figure}
\section{Section two of first chapter} \lipsum[2]
\begin{figure}
\centering Test
\caption{Picture two of first chapter}
\end{figure}
\chapter{Chapter 2}
\minitoc \minilof
\section{Section one of second chapter} \lipsum[3]
\begin{figure}
\centering Test
\caption{Picture one of second chapter}
\end{figure}
\cleardoublepage
\section{Section two of second chapter} \lipsum[4]
\begin{figure}
\centering Test
\caption{Picture two of second chapter}
\end{figure}
\end{document}
4.22 The mtc-liv.tex document file
This document shows the use of the minitoc package in a document of book class, with customized TOC and minitocs.
\documentclass[10pt,twoside,openright]{book}
\ProvidesFile{mtc-liv.tex}%
[2007/01/04]
First, we want that empty pages be really empty, without page number nor headers, so we redefine \cleardoublepage:
\makeatletter
\def\ps@chapterverso{\ps@empty}%
\def\cleardoublepage{\clearpage
\if@twoside
\ifodd\c@page\else
\null\thispagestyle{chapterverso}\newpage
\if@twocolumn\null\newpage\fi
\fi
\fi
}%
\def\ps@chapterverso{\ps@empty}%
\makeatother
We define the encodings, for input and output, because the document is in french and uses accented letters:
\usepackage[latin1]{inputenc}
\usepackage[TS1,T1]{fontenc}
We load two packages, tocloft [469], to customize the TOC and the minitocs, and sectsty [319], to customize the sectionning commands:
\usepackage{tocloft}
\usepackage{sectsty}
We load the minitoc package then some complementary local packages for the french language:
\usepackage[french,undotted,tight]{minitoc}
\usepackage[english,francais]{babel}
\usepackage{franc,frnew,mypatches}
\providecommand{\fup}{\textsuperscript{1}}
We make some customizations: indentation for the subsection entries in the TOC and the minitocs, depth of the TOC, numerotation depth, depth of the minitocs, some fonts:
\addtolength{\cftsubsecindent}{1em} % for tocloft
\chapterfont{\cftsetmarg{2.55em plus 1fil}} % to avoid hyphenations in the ToC (tocloft).
\thesection\setcounter{tocdepth}{3}
\sectionfont\setcounter{secnumdepth}{1}
\raggedright\setcounter{minitocdepth}{4}
\chapterfont{\huge\bfseries\sffamily} % for sectsty
\renewcommand{\thesection}{\arabic{section}}
\sectionfont{\Large\raggedright} % for sectsty (to avoid hyphenations in section titles)
Some informations for the title page:
\title{Systèmes d’occultation} \author{Laurent-\textsc{Bloch}}
And the document body\footnote{The text has been shortened, so there is an undefined reference; do not worry.}:
\tableofcontents
\chapter{\begin{document}
\minitoc
\section{\maketitle
\subsection
\subsection*{\dominitoc \tableofcontents
\subsubsection
\addcontentsline{toc}{subsection}{Définition et contrôle du travail à-faire}%
\label{chap+controle}
\minitoc
\section{Le modèle de la grande industrie et le taylorisme}
C'est au \textsc{xviii}\textsuperscript{e}-siècle que la vision du travail comme marchandise est vraiment devenue dominante, pour s'imposer au \textsc{xix}\textsuperscript{e}-siècle dans l'organisation type de la grande usine industrielle.
\subsection{Après l'usine, le centre d'appel}
Aujourd'hui le taylorisme\index{taylorisme} au sens strict est en déclin parce qu'il n'est plus guère adapté aux besoins de la production industrielle contemporaine non plus qu'aux nouvelles normes de comportement individuel et collectif.
\section{Tout travail émet de la pensée}
Le travail a vocation à-produire du sens, pour son auteur comme pour son destinataire.
\section{Théorie et pratique de la commande publique}
En France, les prestations de service commandées par les services publics à-des entreprises font l'objet de contrôles de leur bonne réalisation selon des procédures et des règles qui sont des cas particuliers d'un ensemble plus vaste, la réglementation des marchés publics de l'état, dont nous allons donner ci-dessous une brève description.
\subsection{Réglementation des marchés publics}
Le dispositif juridique, réglementaire et comptable qui encadre les actes contractuels de la puissance publique en France est très-[…]
\subsubsection{Premier principe: séparation de l'ordonnateur et du comptable}
Le premier élément du dispositif est le principe de séparation de l'ordonnateur et du comptable. Il a été instauré en 1319 par l'ordonnance portant création de la-[…]
\subsubsection{Second principe: contrôle \textit{a-priori}}
Le second élément du dispositif est le principe du contrôle \textit{a-priori}. Lorsque le directeur de l'organisme public de recherche pris ici comme exemple (l'ordonnateur) décide-[…]
\subsubsection{Le Code des Marchés Publics}
Le troisième pilier de la commande publique est le Code des Marchés Publics (CMP), qui régit tous les contrats, conclus par des organismes publics ou des collectivités territoriales, dont le montant excède un-[…]
\subsection{La pratique des marchés publics}
Lorsque l'administration française fait réaliser un système informatique par un prestataire, elle est en position de maître d'ouvrage\index{maîtrise d'ouvrage}. Elle rédige (ou fait rédiger) un cahier des charges\index{cahier des charges} qui décrit les spécifications du système à-réaliser. Ce cahier des charges constitue-[…]
\subsection{Quels sont les services publics «~rentables~»?}
Pour parler comme les informaticiens, nous pouvons identifier un « effet de bord », c'est-à-dire une conséquence non intentionnelle de la réglementation des marchés publics: les administrations ne disposent d'aucun moyen pour envisager la notion d'investissement. Le-
\section{Projet et cahier des charges}
Jean-Pierre-\textsc{Boutinet} nous guidera ici pour ce qui concerne l'histoire de la notion de [...]
\subsection{La frontière entre conception et fabrication}
La vision classique de la conduite d'un projet informatique de gestion est la suivante: le maître d'ouvrage\index{maîtrise d'ouvrage}~
Nous y reviendrons au chapitre-\ref{chap+travail}, mais nous savons déjà que la mise en \oeuvre de l'informatique s'est beaucoup inspirée des procédures de travail les plus élaborées du \textsc{xx}\fup{e}~siècle~
\chapter{Le travail informatique}
\minitoc
\section{De la nature de l'informatique}
\subsection{Premières croyances}\label{sub+premcroyances}
Les premiers ordinateurs, qui entrèrent en fonction à-l'extrême fin des années 1940 et durant les années 1950, étaient consacrés à-des travaux militaires ou scientifiques puisque, à-cette époque, on pensait- [...]
\subsection{Comment l'informatique diffère des mathématiques}
J'aimerai à-l'occasion de cette analyse attirer l'attention du lecteur sur une question qui est une source constante de malentendus au sujet de la programmation.
\subsubsection{Les preuves de programme}
L'écriture de programmes informatiques obéit à-de tout autres principes. Il convient de préciser cette affirmation pour la préserver- [...]
\section{Programmation dans le monde réel}
\subsection{La vraie nature de la programmation des ordinateurs}
Alors, comment s'écrivent les programmes informatiques? Et d'ailleurs, qu'est-ce qu'une erreur\index{erreur} de programmation? Ces questions sont liées et elles sont, bien sûr, au cœur de notre préoccupation.
\subsection{Méthodes de programmation}
Un processeur quelconque est caractérisé par le jeu des actions élémentaires qu'il est capable d'effectuer. Ces actions élémentaires sont appelées les \emph{primitives} du processeur, ou, si le processeur est une machine, les «~instructions machine~». Un- [...]
Nous avons décrit ci-dessus le processus élémentaire de la programmation, celui qui consiste à écrire les instructions ou les expressions qui vont composer un programme.
\subsubsection{La programmation structurée}
Le premier courant de pensée qui associa la recherche d'une syntaxe claire et expressive à une organisation logique et commode des unités de programme fut la \textit{programmation structurée} des années 1970, dont [...]
\subsubsection{La programmation par objets}
Après la programmation structurée vint un autre courant significatif: la programmation par objets, inventée en Norvège à la fin des années 1960 par l'équipe de [...]
\subsubsection{Excès dans la pensée}
Il y a eu beaucoup de verbiage autour de l'aptitude supposée du modèle [...]
\end{document}
4.23 The mtc-mem.tex document file
This example shows the use of the minitoc package in a memoir class document. First, the preamble:
\begin{verbatim}
(*mtc-mem)
\documentclass[oneside]{memoir}
\ProvidesFile{mtc-mem.tex}
[2007/01/04]
\usepackage{lipsum}
\% \usepackage{hyperref}
\% \usepackage{memhfixc}
\usepackage%
[tight]{minitoc}
\% \usepackage{mtcoff}
\begin{document}
\dominitoc
\tableofcontents*
\chapter
\minitoc
\section
\dominitoc
\tableofcontents*
\chapter[oneA][oneB]{oneC}
\minitoc
\lipsum[1] \newpage \lipsum[2]
\section{S-1-one} \lipsum[3]
\section{S-1-two} \lipsum[4]
\chapter[twoA][twoB]{twoC}
\lipsum[4] \newpage \lipsum[5]
\section{S-2-one} \lipsum[6]
\section{S-2-two} \lipsum[7]
\end{document}
\end{verbatim}
We use the starred form \texttt{\textbackslash tableofcontents*} specific of the memoir class. Note that the \texttt{\textbackslash chapter} command has two optional arguments in the memoir class.
4.24 The mtc-mm1.tex document file
This example shows the use of the minitoc package in a memoir class document and shows some of the necessary adaptations for fonts. First, the preamble:
```latex
\documentclass[oneside]{memoir}
\ProvidesFile{mtc-mm1.tex}%
[2007/01/04]
\usepackage{lipsum} % filling text
\providecommand{\cftsecfont}{\empty}
\providecommand{\cftsubsecfont}{\empty}
\renewcommand{\cftsecfont}{\normalsize\sffamily}
\renewcommand{\cftsubsecfont}{\normalsize\sffamily}
\mtcsetfont{minitoc}{section}{\normalsize\sffamily} % <- no sffamily
\mtcsetfont{minitoc}{subsection}{\normalsize\sffamily} % <- no sffamily
\mtcsettitlefont{minitoc}{\Large\sffamily}
\dominitoc
\tableofcontents*
\chapter
\minitoc
\section
```
We inhibit some font commands of the memoir class:
Then we redefine them:
We load the minitoc package and try to use some minitoc font commands, but without any success:
```latex
\% hyperref before minitoc, optional
\% \usepackage[linktocpage=true]{hyperref}\usepackage{memhfixc}
\usepackage[tight]{minitoc}
\mtcsetfont{minitoc}{section}{\normalsize\sffamily} % <- no sffamily
\mtcsetfont{minitoc}{subsection}{\normalsize\sffamily} % <- no sffamily
\providecommand{\cftsecfont}{\empty}
\providecommand{\cftsubsecfont}{\empty}
\renewcommand{\cftsubsecfont}{\normalsize\rmfamily\sffamily}
\renewcommand{\cftsubsecfont}{\normalsize\rmfamily\sffamily}
\mtcsettitlefont{minitoc}{\Large\sffamily}
\dominitoc
\tableofcontents*
\chapter
\minitoc
\section
```
\begin{document}
\dominitoc \tableofcontents*
\chapter{OneA}[OneB]{OneC}
\minitoc
\section{This section} \lipsum[1]
\section{Second section} \lipsum[2]
\section{Third section} \lipsum[3]
\end{document}
4.25 The mtc-mu.tex document file
This document shows the use of the minitoc package in a document, the minitoc being inserted in the text with the wrapfig package [18].
\documentclass[12pt]{report}
\ProvidesFile{mtc-mu.tex}%
[2007/01/04]
\usepackage[tight]{minitoc}
\setlength{\mtcindent}{0pt}
\usepackage{wrapfig}
\newcommand{\LangSig}[1]{\textsc{[#1]}}
\begin{document}
\dominitoc \tableofcontents
A chapter, with its minitoc set in a minipage, included in a wrapfigure environment on the half of the text width, with some vertical adjustments:
\chapter{Mulspren}\label{chapter+mulspren}
\vspace{\baselineskip}
\minitoc
\begin{wrapfigure}{r}{0.5\linewidth}
\begin{minipage}{\linewidth}
\vspace{-2.\baselineskip}
\minitoc
\vspace{-1.\baselineskip}
\end{minipage}
\end{wrapfigure}
The remaining of the text:
The previous chapter examined many end-user programming environments and found that most contain cognitive programming gulfs. These gulfs were often created when programming environments used multiple notations, and could manifest themselves in a variety of usability problems, ranging from users being unable to understand
a program representation, to not wanting to execute their programs. Conversely, the previous chapter also found circumstances where multiple notations helped users understand programs. It concluded that there was a place for multiple notation programming environments, but developers had to be very careful to avoid creating programming gulfs. It concluded that there was a place for multiple notation programming environments, but developers had to be very careful to avoid creating programming gulfs.
This chapter introduces our programming environment, Mulspreen. Mulspreen was designed to avoid these gulfs and gain the potential benefits of multiple notations. Users program using two notations, one similar to English and one similar to conventional code. Changes in one notation are immediately reflected in the other notation, and users can move rapidly and seamlessly between the notations. This is programming using dual notations. When the program is executed, both notations are animated. Mulspreen’s language signature is $\text{LangSig(Re/Wr/Wa + Re/Wr/Wa + Wa)}$.
Papers describing Mulspreen have been published in \cite{Wright02-2} and \cite{Wright03-3}.
\section{Section 1}
\section{Section 2 bla bla bla bla bla bla bla bla bla bla bla bla bla bla bla bla bla bla}
\section{Section 3}
\section{Section 4}
\section{Section 5 bla bla bla bla bla bla bla bla bla bla bla bla bla bla bla bla}
\begin{thebibliography}{1}
\bibitem[Wright02-2]{Wright02-2}
Tim Wright and Andy Cockburn.
\newblock Mulspreen: a multiple language simulation programming environment.
\newblock In \emph{HCC '02: Proceedings of the IEEE 2002 Symposia on Human Centric Computing Languages and Environments (HCC'02)}, page 101, Washington, DC, USA, 2002. IEEE Computer Society.
\bibitem[Wright03-3]{Wright03-3}
Tim Wright and Andy Cockburn.
\newblock Evaluation of two textual programming notations for children.
\newblock In \emph{AUIC '05: Proceedings of the Sixth Australasian conference on User interface}, pages 55--62, Darlinghurst, Australia, Australia, 2005. Australian Computer Society, Inc.
\end{thebibliography}
\end{document}
4.26 The mtc-nom.tex document file
This document\footnote{It is derived from the example given in the documentation of nomencl.} shows the interaction of the minitoc package with the nomencl package [456], when this package uses its option \texttt{intoc}.
\begin{verbatim}
\documentclass[oneside]{book}
\ProvidesFile{mtc-nom.tex}%
[2007/04/02]
\makenomenclature We load the packages and prepare the nomenclature:
\usepackage[intoc]{nomencl}
\usepackage[tight]{minitoc}
\makenomenclature
\begin{document}
\dominitoc We prepare the minitocs and the table of contents:
\tableofcontents
\chapter{Angels}
\minitoc
\section{Main equations}
\begin{equation}
a = \frac{N}{A}
\end{equation}
\nomenclature{$a$}{The number of angels per unit area}
\nomenclature{$N$}{The number of angels per needle point}
\nomenclature{$A$}{The area of the needle point}
The equation $\sigma = m a$
\nomenclature{$\sigma$}{The total mass of angels per unit area}
\nomenclature{$m$}{The mass of one angel}
follows easily.
\printnomenclature \mtcfixnomenclature We print the nomenclature; but that adds a chapter entry in the TOC because of the \texttt{intoc} option of the \texttt{nomencl}, hence we add a correction with \texttt{\mtcfixnomenclature} (try to remove the correction and look at the result: the next minitocs are wrong):
\end{verbatim}
\chapter{A second chapter, with its minitoc, a section, and an entry in the nomenclature. This entry will be present in the nomenclature printed above.}
\section{False equations}
\begin{equation} i=\sqrt{-1} \end{equation}
\nomenclature{$i$}{The imaginary unit}
\end{document}
4.27 The mtc-ocf.tex document file
This document shows the use of the open and close features of the minitoc package to prepare a minitoc on three columns. The old package fullpage [144] is used to have a wide text area.
\documentclass[oneside]{book}
\ProvidesFile{mtc-ocf.tex}%
[2007/04/02]
\usepackage{multicol} % to make multi-columns.
\usepackage[french]{babel}
\usepackage[latin1]{inputenc}
\usepackage[OT1,TS1,T1]{fontenc}
\usepackage{fullpage}
% to allow a page breaks before a section
\let\osection\section \def\section{\penalty-1\relax\osection}
%
\usepackage[french,tight]{minitoc}
\mtcsetfeature{minitoc}{open}{\vspace{-1ex}\begin{multicols}{3}}
\mtcsetfeature{minitoc}{close}{\end{multicols}\vspace{-1.5ex}}
As the multicols environment adds some vertical spacing before and after it, we added some corrections.
\mtcsetfeature{minitoc}{raggedcolumns}{before}{\raggedcolumns}
\mtcsetfeature{minitoc}{raggedcolumns}{after}{\flushcolumns}
And the body of the document, a chapter with many sections, listed in a minitoc:
\begin{document}
\dominitoc
\tableofcontents
\chapter{Premier chapitre}
\minitoc
% A lot of sections
\section{Alfa}
\section{Bravo}
\section{Charlie}
\section{Delta}
\section{Echo}
\section{Fox-Trot}
\section{Golf}
\section{Hotel}
\section{India}
\section{Juliet}
\section{Kilo}
\section{Lima}
\section{Mike}
\section{November}
\section{Oscar}
\section{Papa}
\section{Quebec}
\section{Romeo}
\section{Sierra}
\section{Tango}
\section{Uniform}
\section{Victor}
\section{Whiskey}
\section{X-Ray}
\section{Yankee}
\section{Zulu}
\end{document}
4.28 The mtc-ofs.tex document file
This document shows the use of the \mtcsetoffset command to shift a minitoc to the left, trying to put it along the left margin of the text. The open and close features of the minitoc package are also used to prepare the minitoc on three columns. The old package fullpage [144] is used to have a wide text area.
\documentclass[a4paper]{book}
\ProvidesFile{mtc-ofs.tex}%
[2007/04/17]
\usepackage{lipsum}
\usepackage{multicol}
\usepackage{fullpage}
\usepackage[a4paper]{geometry}
\usepackage[tight]{minitoc}
\setlength{\mtcindent}{0pt}
\mtcsetfeature{minitoc}{open}{\kern1sp\vspace*{-1ex}\begin{multicols}{4}[\kern-2.5ex]}
\mtcsetfeature{minitoc}{close}{\end{multicols}\kern-2.ex}
\mtcsetfeature{minitoc}{before}{\raggedcolumns}
\mtcsetfeature{minitoc}{after}{\flushcolumns}
We begin the document with a chapter and its minitoc:
\begin{document}
\dominitoc \faketableofcontents
\chapter{Introduction}
\minitoc
As the minitoc is not aligned on the left margin of the text, we set a negative offset and print again the minitoc:
\mtcsetoffset{minitoc}{-1.75em}
\mtcskip \minitoc
But then the minitoc does not use the full width of the text; it would be better to modify both the offset and the indentation, each by the half of the total correction:
\setlength{\mtcindent}{-0.875em}
\mtcskip \setlength{\mtcindent}{-0.875em}
\mtcskip \minitoc
Then a lot of sections, with some text:
\section{Alfa} \lipsum[\arabic{section}]
\section{Bravo} \lipsum[\arabic{section}]
\section{Charlie} \lipsum[\arabic{section}]
\section{Delta} \lipsum[\arabic{section}]
\section{Echo} \lipsum[\arabic{section}]
\section{Fox-Trot} \lipsum[\arabic{section}]
\section{Golf} \lipsum[\arabic{section}]
\section{Hotel} \lipsum[\arabic{section}]
\section{India} \lipsum[\arabic{section}]
\section{Juliet} \lipsum[\arabic{section}]
\section{Kilo} \lipsum[\arabic{section}]
\section{Lima} \lipsum[\arabic{section}]
\section{Mike} \lipsum[\arabic{section}]
\section{November} \lipsum[\arabic{section}]
\section{Oscar} \lipsum[\arabic{section}]
\section{Papa} \lipsum[\arabic{section}]
\section{Quebec} \lipsum[\arabic{section}]
\section{Romeo} \lipsum[\arabic{section}]
\section{Sierra} \lipsum[\arabic{section}]
\section{Tango} \lipsum[\arabic{section}]
\section{Uniform} \lipsum[\arabic{section}]
\section{Victor} \lipsum[\arabic{section}]
\section{Whiskey} \lipsum[\arabic{section}]
\section{X-Ray} \lipsum[\arabic{section}]
\section{Yankee} \lipsum[\arabic{section}]
\section{Zulu} \lipsum[\arabic{section}]
\end{document}
\mtcsetfont{minilot}{subtable}{\small\rmfamily\sllshape\bfs}
\mtcsetfont{minilot}{table}{\small\rmfamily\upshape\bfs}
\dominilof We prepare the minilofs, the table of contents and the list of figures:
\tableofcontents
\listoffigures \dominilof \listoffigures \tableofcontents
\chapter A chapter, with is minilof, twice but with different depths:
\minilof
\mtcskip
\mtcsetdepth{minilof}{1} \minilof
A figure containing three subfigures and their captions:
\begin{figure}
\centering
\fbox{
\begin{minipage}{3.5in}
\raggedright
\begin{center}
\subfigure[First]{%
\fbox{\hbox to 20mm{\vbox to 15mm{\vfil\null}\hfil}}%
\hspace{\subfigtopskip}\hspace{\subfigbottomskip}%
\subfigure[Second Figure]{%
\fbox{\hbox to 20mm{\vbox to 10mm{\vfil\null}\hfil}}\\
\subfigure[Third]{\label{3figs-c}%
\fbox{\hbox to 20mm{\vbox to 10mm{\vfil\null}\hfil}}}\\
\caption{Three subfigures.}\label{3figs}%
\end{center}
\vspace{4pt}%
This figure contains two top 'subfigures' and Figure-\ref{3figs-c}.
\end{minipage}}
\end{figure}
Figure-\vref{3figs} contains two top 'subfigures' and Figure-\vref{3figs-c}.
\end{document}
4.30 The mtc-scr.tex document file
This document shows the use of the mintoc package with a KOMA-Script document class [343, 344, 399], scrreprt. Some precautions are needed, because these classes have specific interfaces with the TOC (class options and commands).
The \hyperref package, if used, must be loaded before minitoc:
\usepackage{hyperref}
With a KOMA-Script class [343, 344, 399], use the k-tight package option in place of tight; as it is a document in german, use also a language package option:
\usepackage[k-tight,germanb]{minitoc}
\usepackage[germanb]{babel}
\begin{document}
\pagenumbering{Roman} % page number in Roman, reset to 1 (I)
\dominitoc \tableofcontents
In this document class, with the liststotoc class option, the \listoftables macro adds a chapter entry in the TOC, so we must add \mtcaddchapter after \listoftables:
\listoftables \mtcaddchapter
With the bibtotoc class option, it is necessary to add a \adjustmtc command after bibliography. This problem is similar to the one of compatibility with the tocbibind package.
\clearpage
\pagenumbering{arabic} % page number in arabic digits
\setcounter{page}{1} % forced to 1
\chapter{Test 1}\label{cha:test-1}
Text.
\section{Tabelle}\label{sec:tabelle}
\begin{table}[h]
\centering
\begin{longtable}{ll}
\textbf{Ausbildungsbetrieb} & \hspace{10mm} & \textbf{Kommanditgesellschaft} \\
\textbf{Ausbildungsstätte} & XXXXX Ort \\
\end{longtable}
\caption{Ausbildungsbetrieb}
\end{table}
Text.
\appendix
\chapter{Dokumente}
\minitoc % Aufruf Minitoc
\section{Anhang}\label{sec:anhang}
Text.\textbackslash\textbackslash
Hier sollte nun der Anhang sein, davor das Verzeichnis dafür.
\end{document}
4.31 The mtc-syn.tex document file
This document shows the use of the \minitoc package when the table of contents is not at the beginning of the document, but is preceded by some starred chapters.
\dominitoc We have the preamble, then we invoke \dominitoc to prepare the minitocs:
\begin{verbatim}
(*mtc-syn)
\documentclass[a4paper,twoside,12pt]{book}
\ProvidesFile{mtc-syn.tex}%
[2007/01/04]
\usepackage{minitoc}
\begin{document}
\dominitoc
\chapter*{Some starred chapters, with calls to \mtcaddchapter to synchronize. The optional argument is used when an entry in the ToC is wanted:
\chapter*{} % Dedication chapter, no title
\mtcaddchapter % Added for a starred chapter
% without entry in the ToC
Dedication goes here
\chapter*{Abstract}
\mtcaddchapter[Abstract] % Added for a starred chapter
% with an entry in the ToC
Abstract goes here
\chapter*{Declaration}
\mtcaddchapter[Declaration] % Added for a starred chapter
% with an entry in the ToC
Declaration goes here
\end{document}
\end{verbatim}
The table of contents comes here. Looking at the `document.log` file shows that the minitoc files inserted after here are from one chapter to far: we add a correction.
\chapter{Chapter One}
\minitoc
\section{Section 1} Some text.
\section{Section 2} Some text.
\chapter{Chapter Two}
\minitoc
\section{Another Section 1}
Some more text.
\section{Another Section 2}
Some more text.
\end{document}
4.32 The mtc-tbi.tex document file
This document shows the use of the minitoc package with a document using the tocbibind package [472].
\documentclass[a4paper]{report}
We don't want an entry for the TOC in the TOC: option `nottoc` for the tocbibind package:
\usepackage[nottoc]{tocbibind}
\usepackage[tight]{minitoc}
As there is no entry for the TOC in the TOC, no correction is necessary; we comment out the usual correction\footnote{It is recommended to keep this comment; you could change your mind.}:
\mtcaddchapter[]
A starred chapter with an entry in the TOC; we add it;
\chapter*{Introduction}
\mtcaddchapter[Introduction]
\chapter{Some normal chapters:}
\minitoc
\section{Title of chapter-1}
\minitoc
\section{as1} \section{as2}
\chapter{Title of chapter-2}
\minitoc
\section{bs1} \section{bs2}
\chapter*{Another starred chapter, with an entry in the TOC:}
\mtcaddchapter
\chapter*{Conclusion}
\chapter*{Yet another starred chapter, with an entry in the TOC, but with starred sections, also listed in the TOC:}
\mtcaddchapter
\minitoc
\section*{Appendices}
\addcontentsline{toc}{section}{first appendix}
\section*{second appendix}
\addcontentsline{toc}{section}{second appendix}
\listoffigures
The list of figures has an entry in the TOC (via the tocbibind package), so a correction must be applied:
\mtcaddchapter
\thebibliography
\bibitem{si}{title ...}
\end{thebibliography}
4.33 The mtc-tlc.tex document file
This document shows the use of the minitoc package in a document of the article class. It is the example of [330, page 58], modernized.
\setlength{Dimensions of the text on the page:}
\textwidth
\textheight \setlength{\textheight}{19\baselineskip}
We load the minitoc package and set some parameters (indentation, base font and depth) for the secttocs:
\usepackage{minitoc}
\setlength{\stcindent}{0pt}
\mtcsetfont{secttoc}{*}
We prepare the secttocs, without title, and the table of contents which is not printed:
\faketableofcontents
\section{\begin{document}
\secttoc[dosecttoc[e] \faketableofcontents
\subsection
\subsubsection{\section{Afghanistan} \secttoc
\subsection{Geography}
\subsubsection{Total area}
647,500 km²
\subsubsection{Land area}
27,400 km²
\subsection{History} \ldots
4.34 The mtc-tlo.tex document file
The mtc-tlo.tex document file is described in section 2.46 on page 79.
4.35 The mtc-tsf.tex document file
This document shows the use of the minitoc package with a document containing subfigures (here with the subfig package [132]). We show how to use minilofs and to adjust their depth. The old package fullpage [144] is used to have a wide text area.
\footnote{It is derived from one of the examples distributed with the subfig package [132].}
The preamble loads the `subfig` package and redefines the format of subfigure entries in the list of figures:
```latex
\documentclass{report}
\ProvidesFile{mtc-tsf.tex}[2008/04/03]
\usepackage{fullpage}
\usepackage[config=altsf]{subfig}
\usepackage[tight]{minitoc}
```
This is utility code to make graduated rules and a box around a figure.
```latex
\newdimen\testtemp
\newcommand{\ru}[1]{
\testtemp #1%
\advance\testtemp .5pt \divide\testtemp 2%
\hbox to \testtemp{\leaders\hbox to 1mm{%
\vrule height1mm depth0pt width.25pt\hfil}\hfil}%
\hbox to 0pt{\vss\vrule height3mm depth0pt width.25pt\hss}%
\hbox to \testtemp{\leaders\hbox to 1mm{%
\hfil\vrule height1mm depth0pt width.25pt\hfil}}%
}
\fboxsep=-\fboxrule
\newcommand{\figbox}[1]{
\fbox{\vbox to lin{%
\vfil\hbox to 2in{\parbox{2in}{\centering #1}}\vfil
\vbox to 0pt{\vss\hbox to 2in{\hfil\ru{1.1lin}\hfil}}}%
}}
```
The body of the document. We set the depth of the list of figures and prepare the minilofs and the list of figures:
```latex
\begin{document}
\setcounter{lofdepth}{2} \dominilof \listoffigures
\newpage
\chapter{Reference Test}
\minilof \mtcskip
\mtcsetdepth{minilof}{1}
\minilof
\begin{figure}[ht]
\centering
\subfigure[]{
\label{fig:A}\figbox{SUBFIGURE ONE:\noopt}
\quad
\subfigure[]{
\label{fig:B}\figbox{SUBFIGURE TWO:\emptyopt}%
}
}
\end{figure}
```
A chapter containing a figure with subfigures. We print its minilof twice, with different depths:
\subfigure[Subfigure Three.]{%
\label{fig:C}\figbox{SUBFIGURE THREE:\( \text{\texttt{(opt)}} \)}}
\quad
\subfigure[][Subfigure Four.]{%
\label{fig:D}\figbox{SUBFIGURE FOUR:\( \text{\texttt{(empty opt and opt)}} \)}}
\quad
\subfigure[]{}{%
\label{fig:E}\figbox{SUBFIGURE FIVE:\( \text{\texttt{(both empty opt)}} \)}}
\quad
\subfigure[The Sixth Subfigure.][Subfigure Six.]{%
\label{fig:F}\figbox{SUBFIGURE SIX:\( \text{\texttt{(both opt)}} \)}}
\quad
\subfigure[The Seventh Subfigure]{}{%
\label{fig:G}\figbox{SUBFIGURE SEVEN:\( \text{\texttt{(opt and empty opt)}} \)}}
\caption{Optional argument test.}%
\labelfig{main}
\end{figure}
The figure-\ref{fig+main} on page-\pageref{fig+main} is composed of the seven subfigures-\subref{fig+A} (aka: \ref{fig+A}), \subref{fig+B} (aka: \ref{fig+B}), \subref{fig+C} (aka: \ref{fig+C}), \subref{fig+D} (aka: \ref{fig+D}), \subref{fig+E} (aka: \ref{fig+E}), \subref{fig+F} (aka: \ref{fig+F}), and \subref{fig+G} (aka: \ref{fig+G}).
\section{Centering Test}
Note that figures-\ref{fig+B}, \ref{fig+E} and \ref{fig+G} are centered. This means that \verb|\subfigcapskip| has been set to zero and is not offsetting the simple label to the left. Also the remaining captioned subfigures (figures-\ref{fig+C}, \ref{fig+D}, and \ref{fig+F}) should have centered labels.
\end{document}
\end{mtc-tsf}
### 4.36 The mtc-vti.tex document file
The mtc-vti.tex example shows how to change the sectionnal titles when they appear in a mini-table: a section title (or a chapter title) can have variants in a parttoc or in a minitoc (similar effects are possible with figure ou table titles). Such entries are said “polymorphic” (section 1.4.13 on page 43). First, the preamble of the document, with utility packages:
\begin{verbatim}
(*mtc-vti*)
\documentclass[10pt,a4paper,oneside]{book}
\ProvidesFile{mtc-vti.tex}[2008/06/26]%
\usepackage{lipsum}
\usepackage{txfonts}
\usepackage[tight]{minitoc}
\begin{document}
\end{verbatim}
For the demonstration, we will use a parttoc and a minitoc, so we must prepare them:
\dominitoc
\doparttoc
We will use a multi-form title for the first section: a form to appear in the parttoc ("Alfa in parttoc"), a form to appear in the minitoc of the chapter ("Alfa in minitoc"), a form to appear elsewhere ("Alfa out subtoc"), and a form as title at the beginning of the section ("Alfa the first section"). So we define a command \alfati using the flags \ifinparttoc and \ifinminitoc to select which title is used in each of its instances.
\newcommand\alfati{\ifinparttoc Alfa in parttoc
\else\ifinminitoc Alfa in minitoc
\else Alfa out subtoc
\fi
\fi}
But we can define a more general macro, \varsecti, with three arguments for the three variants of a section title\footnote{You will eventually need to define similar macros for other sectioning commands or for figures or table titles; proceed with care from this model.}:
\DeclareRobustCommand{\varsecti}[3]{%
{\ifinparttoc#1}\relax
\else\ifinminitoc#2\relax
\else#3\relax
\fi
\fi}
Then the document with a table of contents, a part with its parttoc and a chapter with its minitoc. And an other chapter. You can verify that the entry for the "Alfa" section varies in the main toc, the parttoc, the minitoc and the effective title of the section. Note that the variable title (here \alfati) should be defined \textit{before} any use, like in the main toc or any minitable.
\protect
\tableofcontents
\part{Part-A}
\parttoc
\chapter{One}
\minitoc
\section[\protect\alfati]{Alfa the first section}
\lipsum[1]
We can use the more general macro \varsecti\footnote{This macro is not part of the \texttt{minitoc} package, it is just an example.}, with its three arguments given when the section begins; but that macro must be \textit{protected} (or look at the \texttt{makerobust} [350] package by
Heiko Oberdiek), or declared “robust” by \DeclareRobustCommand as above:
\section{\varsecti{Bravo in parttoc}%
{Bravo in minitoc}%
{Bravo out of subtoc}}% % in maintoc and headers
{Bravo the second section} % local title
\lipsum[2]
\mtcpolymtoc But is is even easier to use a “polymorphic” entry in the optional argument \(^1\):
\chapter{Two}
\minitoc
\section{\mtcpolymtoc%
{Charlie in parttoc}%
{Charlie in minitoc}%
{Charlie in secttoc} % <- see/voir note
{Charlie out subtoc}}%
{Charlie}
\lipsum[3]
\end{document}
\(^\text{1}\) They are no secttoc in a book-class document, but all the four arguments of \mtcpolymtoc must be specified, even empty!
Chapter 5
Messages
Contents
5.1 Introduction .................................................. 151
5.2 Messages from the minitoc package ......................... 153
5.2.1 Informative messages .................................... 153
220.127.116.11 Informative messages for hints ..................... 161
5.2.2 Warning messages ........................................ 165
18.104.22.168 Warning messages for hints ........................ 171
5.2.3 Error messages .......................................... 187
5.3 Messages from the mtcoff package .......................... 201
5.3.1 Warning messages ....................................... 201
5.4 Message from the mtcpatchmem package ...................... 204
Tables
5.1 Message identifiers ........................................ 152
5.1 Introduction
This chapter lists and comments the messages given by the minitoc package, and is associates, mtcoff and mtcpatchmem\textsuperscript{1}. The table 5.1 on the following page lists all messages; in this table, you can click on a message identifier to find quickly its meaning.
- The first line of each message contains usually the name of the package and an unique identifier (this identifier may be useful to search in this chapter of the documentation,
\textsuperscript{1}The texts of the messages given in this chapter may slightly differ from the real text, because some messages contain variable elements and the layout may vary.
but has no special meaning, except the leading letter: I for informative, W for warning, and E for error).
- Informative messages are written only in the `document.log` file; the prefix is F for the warning messages from the mtoff package and M for the informative message from the mtcpatchmem package.
- Warning messages are shown on the screen (but often too quickly to be seen, because normally \LaTeX\ does not stop for warnings) and written in the `document.log` file.
- Error messages are shown on the screen and written in the `document.log` file, but \LaTeX\ stops, so you can ask for help by typing “h”.
- In this chapter, some words in the messages are typeset in italic characters; they represent the variable parts of the message:
- ARG1 The first argument of the command.
- ARG2 The second argument of the command.
– ARG3 The third argument of the command.
– CLASS The name of the class of your document.
– COMMAND The name of the command.
– COUNTER The name of a \LaTeX counter.
– document The name of your document, without its .tex extension.
– EXTENSION The extension part of the name of a file.
– FILE The name of a file (often a minitoc auxiliary file, the document.toc file, the document.lof file, or the document.lot file).
– INTERNAL_NAME The name of an internal macro redefined by a \mtcset... command.
– LANGUAGE The name of the language (for \mtcselectlanguage).
– LINE The number of the line in the source file.
– macro The name of a minitoc font command redefined by \mtcsetfont.
– NEW_TITLE The new value of a title redefined by \mtcsettitle.
– NUMBER The number of mini-tables of the given type in your document (when you are using short extensions and that number is greater than 99).
– OFFSET The new value of an offset redefined by \mtcsetoffset.
– PREPARATION The name of a minitoc preparation command.
– SEQUENCE A sequence of commands used to redefine an internal macro via a \mtcset... command.
– STRING A string of characters, often part of a command name.
– VALUE The new value of a counter.
The messages are produced using macros from the mtcmess package, described in chapter 11 on page 464.
5.2 Messages from the minitoc package
5.2.1 Informative messages
Package: minitoc 2015/07/13 v61 Package minitoc (JPFD/et al.)
This is the announce message of the minitoc package, with its name, date and version. “JPFD” are my initials. This message has no real identifier because it is emitted by \ProvidesPackage, but, for indexing it, we use I0000.
Package minitoc Info: I0001
(minitoc) *** minitoc package, version 61 ***.
Remember the version of the package.
Package minitoc Info: I0002
(minitoc) Autoconfiguration of extensions.
The minitoc package tries to determine if short or long extensions for file names are used by the operating system.
Package minitoc Info: I0003
(minitoc) chapter level macros available.
The \chapter sectionning command is available, so you can use the mini-table commands at the chapter level, but not the mini-table commands at the section level.
Package minitoc Info: I0004
(minitoc) chapter level macros NOT available.
The \chapter sectionning command is not available, so you cannot use the mini-table commands at the chapter level, but, if the \section sectionning command is available, you can use mini-table commands at the section level.
Package minitoc Info: I0005
(minitoc) compatible with hyperref.
This version of minitoc is compatible with the hyperref package.
Package minitoc Info: I0006
(minitoc) document.EXTENSION is empty on input line LINE.
The auxiliary file for a mini-table is found empty (or inexistent) when minitoc tries to insert it. If the checkfiles option is active, it is skipped.
Package minitoc Info: I0007
(minitoc) Horizontal rules are activated
(minitoc) for the ARG1s on input line LINE.
The horizontal rules will be present in the mini-tables of type ARG1.
Package minitoc Info: I0008
(minitoc) Horizontal rules are inhibited
(minitoc) for the ARG1s on input line LINE.
The horizontal rules will be omitted in the mini-tables of type ARG1.
Package minitoc Info: I0009
(minitoc) Listing minitoc auxiliary files.
(minitoc) Creating the document.maf file.
You have used the listfiles package option. A list of the minitoc auxiliary files is written in the document.maf file. It may be helpful to delete these files. See section 1.7 on page 52. This option is the default since version #48.
Package minitoc Info: I0010
Package minitoc Info: The LANGUAGE language is selected.
(minitoc) on input line LINE.
The LANGUAGE.mld file has been successfully loaded for the LANGUAGE language\(^2\) by the \mtcselectlanguage command at line LINE. The titles for the mini-tables are changed.
\(^2\) The english.mld file is always loaded first, to have english as default language.
Package minitoc Info: I0011
(minitoc) LANGUAGE language object selected.
(minitoc) on input line LINE.
The \mtcselectlanguage macro has successfully (indirectly) loaded the LANGUAGE.mlo minitoc object file.
Package minitoc Info: I0012
(minitoc) Long extensions (Unix-like) will be used.
The autoconfiguration has detected that your operating system is able to use long extensions; this will be the default.
Package minitoc Info: I0013
(minitoc) \mtcsetdepth redefines the counter
(minitoc) "COUNTER" as "VALUE" on input line LINE.
The \mtcsetdepth macro changes the value of the specified depth counter and forces it to VALUE.
Package minitoc Info: I0014
(minitoc) \mtcsetfeature redefines the macro
(minitoc) "\INTERNAL_NAME" as
(minitoc) "\SEQUENCE" on input line LINE.
The \mtcsetfeature macro has redefined the internal macro INTERNAL_NAME with the given SEQUENCE.
Package minitoc Info: I0015
(minitoc) \mtcsetfont redefines the macro
(minitoc) "macro" as "SEQUENCE" on input line LINE.
The \mtcsetfont command redefines the (old style) macro by the given SEQUENCE of font commands.
Package minitoc Info: I0016
(minitoc) \mtcsetformat redefines the macro
(minitoc) "\INTERNAL_NAME" as "ARG3" on input line LINE.
The macro \mtcsetformat redefines an internal macro with the value given by its third argument.
Package minitoc Info: I0017
(minitoc) \mtcsettitle redefines the macro
(minitoc) "\INTERNAL_NAME" as
(minitoc) "NEW_TITLE" on input line LINE.
A mini-table title is redefined via the \mtcsettitle macro.
Package minitoc Info: I0018
(minitoc) \mtcsettitlefont redefines the macro
(minitoc) "\INTERNAL_NAME" as
(minitoc) "SEQUENCE" on input line LINE.
The \mtcsettitlefont macro redefines the (old style) \INTERNAL_NAME macro which the given sequence SEQUENCE.
Package minitoc(hints) Info: I0019
(minitoc(hints)) No hints have been written
(minitoc(hints)) in the document.log file.
The hints package option has detected no potential problem.
Package minitoc Info: I0020
(minitoc) old version of the memoir class.
The version of the memoir class is old. The minitoc package does not need to patch this class.
Package minitoc Info: I0021
(minitoc) Page numbers are activated
(minitoc) for the ARGIs on input line LINE.
The page numbers will be present in the mini-tables of type ARGI.
Package minitoc Info: I0022
(minitoc) Page numbers are inhibited
(minitoc) for the ARGIs on input line LINE.
The page numbers will be omitted in the mini-tables of type ARGI.
Package minitoc Info: I0023
(minitoc) part level macros available.
The \part sectioning command is available, so you can use the mini-table commands at the part level.
Package minitoc Info: I0024
(minitoc) PREPARING MINITOCs FROM FILE on input line LINE.
A \dominitoc command prepares the minitoc auxiliary files for minitocs from FILE.
Package minitoc Info: I0025
(minitoc) PREPARING PARTTOCs FROM FILE on input line LINE.
A \doparttoc command prepares the parttoc auxiliary files for parttoc from FILE.
Package minitoc Info: I0026
(minitoc) PREPARING SECTTOCs FROM FILE on input line LINE.
A \dosecttoc command prepares the secttoc auxiliary files for secttoc from FILE.
Package minitoc Info: I0027
(minitoc) recent version of the memoir class.
The version of the memoir class is recent. The minitoc package will try to patch it.
Package minitoc Info: I0028
(minitoc) section level macros available.
The \section sectioning command is available but the \chapter sectioning command is not available, so you can use the mini-table commands at the section level.
Package minitoc Info: I0029
(minitoc) section level macros NOT available.
The \section sectioning command is not defined (by the document class), so the section level commands of the minitoc package are not available.
Package minitoc Info: I0030
(minitoc) the memoir class is loaded:
(minitoc) compatibility attempted.
The memoir document class is used. The minitoc package tries to ensure compatibility.
Package minitoc Info: I0031
(minitoc) =>> this version is configured for UNIX-like
(minitoc) (long extensions) file names.
The autoconfiguration has detected that your operating uses UNIX-like (long extensions) file names.
Package minitoc Info: I0032
(minitoc) This version of the memoir class uses
(minitoc) a version of \chapter which is
(minitoc) incompatible with the minitoc package.
(minitoc) We try to patch.
The memoir class uses a version of the \chapter command which needs to be corrected because its syntax has been changed. A patch is loaded.
Package minitoc Info: I0033
(minitoc) Writing document.EXTENSION.
An auxiliary file for a mini-table is written by a minitoc preparation command (like \dominitoc).
Package minitoc Info: I0034
(minitoc) PREPARING MINILOFS FROM FILE on input line LINE.
A \dominilof command prepares the minilof auxiliary files for minilofs from FILE.
Package minitoc Info: I0035
(minitoc) PREPARING PARTLOFS FROM FILE on input line LINE.
A \dopartlof command prepares the partlof auxiliary files for partlofs from FILE.
Package minitoc Info: I0036
(minitoc) PREPARING SECTLOFS FROM FILE on input line LINE.
A \dosectlof command prepares the sectlof auxiliary files for sectlofs from FILE.
Package minitoc Info: I0037
(minitoc) PREPARING MINILOTS FROM FILE on input line LINE.
A \dominilot command prepares the minilot auxiliary files for minilots from FILE.
Package minitoc Info: I0038
(minitoc) PREPARING PARTLOTS FROM FILE on input line LINE.
A \dopartlot command prepares the partlot auxiliary files for partlots from FILE.
Package minitoc Info: I0039
(minitoc) PREPARING SECTLOTS FROM FILE on input line LINE.
A \dosectlot command prepares the sectlot auxiliary files for sectlots from FILE.
22.214.171.124 Informative messages for hints
Package minitoc(hints) Info: I0040
(minitoc(hints)) The ‘‘abstract’’ package has been loaded with the ‘‘addtotoc’’ option.
(minitoc(hints)) You need to look at the documentation to adjust.
As you are using the abstract package with its addtotoc option, you should look at the minitoc package documentation for specific precautions. See section 2.27 on page 70.
Package minitoc(hints) Info: I0041
(minitoc(hints)) --- The amsbook class is loaded.
(minitoc(hints)) See the minitoc package documentation for specific precautions.
As you are using the amsbook class, you should look at the minitoc package documentation for specific precautions. See section 2.24 on page 66.
Package minitoc(hints) Info: I0042
(minitoc(hints)) --- The appendix package is loaded.
(minitoc(hints)) See the minitoc package documentation
(minitoc(hints)) for specific precautions.
As you are using also the appendix package, you should look at the minitoc package documentation for specific precautions. See section 2.20 on page 64.
Package minitoc(hints) Info: I0043
(minitoc(hints)) --- The KOMAScript CLASS class is loaded.
(minitoc(hints)) See the minitoc package documentation
(minitoc(hints)) for specific precautions.
As you are using also the CLASS class, you should look at the minitoc package documentation for specific precautions. See section 1.5.5 on page 50. The classes involved here are scrbook, scrreprt, and scrartcl, i.e., the KOMA-Script classes [343, 344, 399] compatible with minitoc.
Package minitoc(hints) Info: I0044
(minitoc(hints)) --- The memoir class is loaded.
(minitoc(hints)) See the minitoc package documentation
(minitoc(hints)) for specific precautions.
As you are using the memoir class, you should look at the minitoc package documentation for specific precautions. See section 2.22 on page 65.
Package minitoc(hints) Info: I0045
(minitoc(hints)) The \PREPARATION command
(minitoc(hints)) has been invoked more than once
(minitoc(hints)) on input line LINE.
A minitoc preparation command has been invoked more than once.
Package minitoc(hints) Info: I0046
(minitoc(hints)) --- The tocbibind package is loaded.
(minitoc(hints)) See the minitoc package documentation
(minitoc(hints)) for specific precautions.
As you are using also the tocbibind package, you should look at the minitoc package documentation for specific precautions. See section 1.5.5 on page 50.
Package minitoc(hints) Info: I0047
(minitoc(hints)) --- The tocloft package is loaded.
(minitoc(hints)) See the minitoc package documentation
(minitoc(hints)) for specific precautions.
As you are using also the tocloft package, you should look at the minitoc package documentation for specific precautions. See section 2.2.1 on page 64.
Package minitoc(hints) Info: I0048
(minitoc(hints)) Using \mtcprepare may induce some
(minitoc(hints)) hints about the preparation commands,
(minitoc(hints)) because it invokes ALL the preparation
(minitoc(hints)) commands allowed by the document class,
(minitoc(hints)) without any previous check.
The \mtcprepare command invokes all the possible preparation commands, depending only on the document class and the available contents files. It does not know exactly what you want, so it can prepare too many mini-tables files.
Package minitoc(hints) Info: I0049
(minitoc(hints)) ==> You requested the hints option.
(minitoc(hints)) Some hints are eventually given below.
As you have requested the hints package option (which is set by default), some "hints" are eventually given in the document.log file. You can find them easily by searching for the string "minitoc(hints)" with a text editor.
Package minitoc Warning: I0050
(minitoc) The required "LANGUAGE.mld" file is missing.
(minitoc) The "LANGUAGE" language option will not be available.
(minitoc) Please install it from a recent distribution
(minitoc) or from the CTAN archives.
The LANGUAGE.mld file has not been installed on your system. You should take it from
a recent distribution or from the CTAN archives to complete your installation, else the
LANGUAGE language option will not be available.
Package minitoc Warning: I0051
(minitoc) The required "LANGUAGE.mlo" file is missing.
(minitoc) The "LANGUAGE" language option will not be available.
(minitoc) Please install it from a recent distribution
(minitoc) or from the CTAN archives.
The LANGUAGE.mlo file has not been installed on your system. You should take it from
a recent distribution or from the CTAN archives to complete your installation, else the
LANGUAGE language option will not be available.
Package minitoc Info: I0052
(minitoc) \mtcsetoffset redefines the offset
(minitoc) "OFFSET" as "VALUE" on input line LINE.
The \mtcsetoffset macro changes the value of the specified offset and forces it to VALUE.
Package minitoc Info: I0053
(minitoc) You have loaded the PACK package;
(minitoc) please be aware that the minitoc package
(minitoc) facilities can not be used for new types
(minitoc) of floats defined by the PACK package
The minitoc package does not manage new types of floats defined via the float [302],
floatrow [285], trivfloat [484] and roffloat [420] packages\textsuperscript{3}.
\textsuperscript{3} As the trivfloat and roffloat packages load the float package, this message will then appear twice!
5.2.2 Warning messages
Package minitoc Warning: W0001
(minitoc) \chapter and \section are undefined.
(minitoc) Cannot use \mtcfixglossary without optional argument [part].
The sectioning commands \chapter and \section are not defined (by the document class), hence the \mtcfixglossary macro cannot be used without an optional argument (try \part). This situation is very unlikely to happen, so also verify your document class.
Package minitoc Warning: W0002
(minitoc) \chapter and \section are undefined.
(minitoc) Cannot use \mtcfixindex without optional argument [part].
The sectioning commands \chapter and \section are not defined (by the document class), hence the \mtcfixindex macro cannot be used without an optional argument (try \part). This situation is very unlikely to happen, so also verify your document class.
Package minitoc Warning: W0003
(minitoc) \firstchapteris is an obsolete (ignored) command on input line LINE.
You have used an obsolete command (\firstchapteris). You should remove it.
Package minitoc Warning: W0004
(minitoc) \firstpartis is an obsolete (ignored) command on input line LINE.
You have used an obsolete command (\firstpartis). You should remove it.
Package minitoc Warning: W0005
(minitoc) \firstsectionis is an obsolete (ignored)
(minitoc) command on input line LINE.
You have used an obsolete command (\firstsectionis). You should remove it.
Package minitoc Warning: W0006
(minitoc) \mtcfixglossary can only be used
(minitoc) with the [part] optional argument,
(minitoc) which becomes the default.
The \mtcfixglossary macro can only use [part] as optional argument (which becomes the default), because \chapter and \section are not defined.
Package minitoc Warning: W0007
(minitoc) \mtcfixindex can only be used
(minitoc) with the [part] optional argument,
(minitoc) which becomes the default.
The \mtcfixindex macro can only use [part] as optional argument (which becomes the default), because \chapter and \section are not defined.
Package minitoc Warning: W0008
(minitoc) No file FILE.
(minitoc) MINILOFS NOT PREPARED on input line LINE.
The FILE cannot be found, because it has not been created by a \dominilof command. Please check if you have called \dominilof in the correct sequence of commands.
Package minitoc Warning: W0009
(minitoc) No file FILE.
(minitoc) MINILOTS NOT PREPARED on input line LINE.
The FILE cannot be found, because it has not been created by a \dominilot command. Please check if you have called \dominilot in the correct sequence of commands.
Package minitoc Warning: W0010
(minitoc) No file FILE.
(minitoc) MINITOCS NOT PREPARED on input line LINE.
The FILE cannot be found, because it has not been created by a \dominitoc command. Please check if you have called \dominitoc in the correct sequence of commands.
Package minitoc Warning: W0011
(minitoc) No file FILE.
(minitoc) PARTLOFS NOT PREPARED on input line LINE.
The FILE cannot be found, because it has not been created by a \dopartlof command. Please check if you have called \dopartlof in the correct sequence of commands.
Package minitoc Warning: W0012
(minitoc) No file FILE.
(minitoc) PARTLOTS NOT PREPARED on input line LINE.
The FILE cannot be found, because it has not been created by a \dopartlot command. Please check if you have called \dopartlot in the correct sequence of commands.
Package minitoc Warning: W0013
(minitoc) No file FILE.
(minitoc) PARTTOCS NOT PREPARED on input line LINE.
The FILE cannot be found, because it has not been created by a \dopartttoc command. Please check if you have called \dopartttoc in the correct sequence of commands.
Package minitoc Warning: W0014
(minitoc) No file FILE.
(minitoc) SECTLOFS NOT PREPARED on input line LINE.
The FILE cannot be found, because it has not been created by a \dosectlof command. Please check if you have called \dosectlof in the correct sequence of commands.
Package minitoc Warning: W0015
(minitoc) No file FILE.
(minitoc) SECTLOTS NOT PREPARED on input line LINE.
The FILE cannot be found, because it has not been created by a \dosectlot command. Please check if you have called \dosectlot in the correct sequence of commands.
Package minitoc Warning: W0016
(minitoc) No file FILE.
(minitoc) SECTTOCS NOT PREPARED on input line LINE.
The FILE cannot be found, because it has not been created by a \dosecttoc command. Please check if you have called \dosecttoc in the correct sequence of commands.
Package minitoc Warning: W0017
(minitoc) no section or chapter level macros available
(minitoc) PLEASE VERIFY YOUR MAIN DOCUMENT CLASS.
The \chapter and \section sectionning commands are not defined. Your document class is likely without any sectionning command, so the minitoc package is pointless. Verify your main document class.
Package minitoc Warning: W0018
Package minitoc Warning: part level macros NOT available.
The \part sectionning command is not defined (by the document class), so the part level commands of the minitoc package are not available. It is a warning message because most classes with sectionning commands define the \part command, so you should verify which class you are using.
Package minitoc Warning: W0019
(minitoc) Short extensions (MSDOS-like) will be used.
(minitoc) ==> this version is configured for MSDOS-like
(minitoc) (8+3) file names.
The autofiguration has found that the operating system uses file names with short extensions (8+3 scheme).
Package minitoc Warning: W0020
(minitoc) You have forced the use of short extensions.
You have used the shortext package option to force the use of short extensions (8+3 scheme). This action limits the number of usable mini-tables of each kind and may be problematic if you have more than 99 mini-tables of the same kind. If your operating system allows for long extensions, do not use the shortext package option, except for testing purposes.
Package minitoc Warning: W0021
(minitoc) Your version of latex.tex is obsolete.
(minitoc) Trying to continue...
You are using an obsolete version of \TeX, but the minitoc package will still try to continue. It would be better to update your \TeX installation.
Package minitoc Warning: W0022
Package minitoc Warning: Your version of latex.tex is very obsolete.
(minitoc) Trying to continue... crossing fingers.
Your version of \TeX is very obsolete, and almost unusable with the minitoc package. You can try to continue the compilation, but you are urged to update your \TeX installation as soon as possible.
Package minitoc Warning: W0093
(minitoc) Some "*.mld" or "*.mlo" files are missing in your installation.
(minitoc) Search for the I0050 and I0051 info messages in the \jobname.log file.
(minitoc) The full list of the missing language files is given in the W0094 warning message.
(minitoc) Please install the missing files from a recent distribution or from the CTAN archives.
Some .mld or .mlo files have not been installed on your system. Search for the I0050 and I0051 info messages in the document.log file to find which files are missing. You can retrieve them from a recent distribution or from the CTAN archives to complete your installation, else some language options will not be available. The full list of the missing language files is given in the W0094 warning message.
Package minitoc Warning: W0094
(minitoc) Missing minitoc language file(s):
(minitoc) ...
Some .mld or .mlo files have not been installed on your system. The list is given in the message.
Package minitoc Warning: W0095
(minitoc) \chapter and \section are undefined.
(minitoc) Cannot use \mtcfixnomenclature without optional argument [part].
The sectioning commands \chapter and \section are not defined (by the document class), hence the \mtcfixnomenclature macro cannot be used without an optional argument (try \part). This situation is very unlikely to happen, so also verify your document class.
Package minitoc Warning: W0096
(minitoc) \mtcfixnomenclature can only be used with the [part] optional argument, which becomes the default.
The \mtcfixnomenclature macro can only use [part] as optional argument (which becomes the default), because \chapter and \section are not defined.
Package minitoc Warning: W0098
(minitoc) --- You have used the \nofiles command in your preamble; all preparation commands in the body of the document will be ignored.
You have used the \nofiles command in the preamble of your document; hence the preparation commands will be ignored in your document. Please verify that the mini-table auxiliary files are in their final state. See page 28.
126.96.36.199 Warning messages for hints
Package minitoc(hints) Warning: W0023
(minitoc(hints)) --- It may be the consequence
(minitoc(hints)) of loading the ‘‘hyperref’’ package.
Some sectionning commands have been altered after the loading of the minitoc package. The hyperref package does that, but it is harmless. For other packages or user-made alterations, it is recommended to alter the sectionning commands only before loading the minitoc package. See section 2.17 on page 62.
Package minitoc(hints) Warning: W0024
(minitoc(hints)) Some hints have been written
(minitoc(hints)) in the document.log file.
The hints package option has detected some potential problems and written hints into the document.log file. You can search it for the “minitoc(hints)” string with a text editor.
Package minitoc(hints) Warning: W0025
(minitoc(hints)) --- The alphanum package is loaded.
(minitoc(hints)) It is incompatible
(minitoc(hints)) with the minitoc package.
You are using the alphanum package which is incompatible with the minitoc package. The compilation can continue, but the result could be unsatisfactory.
Package minitoc(hints) Warning: W0026
(minitoc(hints)) --- The amsart class is loaded.
(minitoc(hints)) It is incompatible
(minitoc(hints)) with the minitoc package.
You are using the amsart document class which is incompatible with the minitoc package. The compilation can continue, but the result could be unsatisfactory.
Package minitoc(hints) Warning: W0027
(minitoc(hints)) --- The amsproc class is loaded.
(minitoc(hints)) It is incompatible
(minitoc(hints)) with the minitoc package.
You are using the amsproc document class which is *incompatible* with the minitoc package. The compilation can continue, but the result could be unsatisfactory.
Package minitoc(hints) Warning: W0028
(minitoc(hints)) --- The \chapter command is altered after minitoc.
Some packages alter the sectionning commands, like \chapter. Most of them should be loaded *before* the minitoc package. The hyperref package, even if it is loaded *before* the minitoc package (as recommended), alters the sectionning commands in an \AtBeginDocument, so this message is always printed when you use the hyperref package with minitoc, but then it is harmless.
Package minitoc(hints) Warning: W0029
Package minitoc(hints) Warning: --- The jura class is loaded.
(minitoc(hints)) It is incompatible
(minitoc(hints)) with the minitoc package.
You are using the jura document class which is *incompatible* with the minitoc package. The compilation can continue, but the result could be unsatisfactory.
Package minitoc(hints) Warning: W0030
(minitoc(hints)) --- The \part command is altered after minitoc.
Some packages alter the sectionning commands, like \part. Most of them should be loaded *before* the minitoc package. The hyperref package, even if it is loaded *before* the minitoc package (as recommended), alters the sectionning commands in an \AtBeginDocument, so this message is always printed when you use the hyperref package with minitoc, but then it is harmless.
Package minitoc(hints) Warning: W0031
(minitoc(hints)) --- The placeins package is loaded
(minitoc(hints)) without the section option,
(minitoc(hints)) but minitoc used the insection option
(minitoc(hints)) which implies it. Try to inverse the
(minitoc(hints)) loading order and use consistent options.
(minitoc(hints)) You may have got a message
(minitoc(hints)) ! LaTeX Error: Option clash for package placeins.
You are using the placeins package, but without its section option, while minitoc is called with its insection option which implies it. See page 29, near a “dangerous bend” symbol like the one shown in the margin.
Package minitoc(hints) Warning: W0032
(minitoc(hints)) --- The placeins package loaded is
(minitoc(hints)) too old. You should use a version
(minitoc(hints)) dated of 2005/04/18 at least.
You are using an obsolete version of the placeins package. Please update it from the CTAN archives or a recent distribution.
Package minitoc(hints) Warning: W0033
(minitoc(hints)) The caption package should be
(minitoc(hints)) loaded BEFORE the minitoc package.
The caption package alters some commands and must be loaded before the minitoc package. See section 2.31 on page 72.
Package minitoc(hints) Warning: W0034
(minitoc(hints)) The caption2 package should be
(minitoc(hints)) loaded BEFORE the minitoc package.
The caption2 package alters some commands and must be loaded before the minitoc package. See section 2.31 on page 72. Note that the caption2 package is now obsolete; please use a recent version of the caption package.
Package minitoc(hints) Warning: W0035
(minitoc(hints)) The ccaption package should be
(minitoc(hints)) loaded BEFORE the minitoc package.
The ccaption package alters some commands and must be loaded before the minitoc package. See section 2.31 on page 72.
Package minitoc(hints) Warning: W0036
(minitoc(hints)) The mcaption package should be
(minitoc(hints)) loaded BEFORE the minitoc package.
The mcaption package alters some commands and must be loaded before the minitoc package. See section 2.31 on page 72.
Package minitoc(hints) Warning: W0037
(minitoc(hints)) The sectsty package should be
(minitoc(hints)) loaded BEFORE the minitoc package.
The sectsty package alters some commands and must be loaded before the minitoc package. See section 2.28 on page 70.
Package minitoc(hints) Warning: W0038
(minitoc(hints)) The varsects package should be
(minitoc(hints)) loaded BEFORE the minitoc package.
The varsects package alters some commands and must be loaded before the minitoc package. See section 2.33 on page 73.
Package minitoc(hints) Warning: W0039
(minitoc(hints)) --- The \section command is altered after minitoc.
Some packages alter the sectioning commands, like \section. Most of them should be loaded before the minitoc package. The hyperref package, even if it is loaded before the minitoc package (as recommended), alters the sectioning commands in an \AtBeginDocument, so this message is always printed when you use the hyperref package with minitoc, but then it is harmless.
Package minitoc(hints) Warning: W0040
(minitoc(hints)) --- The titletoc package is loaded.
(minitoc(hints)) It is incompatible
(minitoc(hints)) with the minitoc package.
You are trying to use also the titletoc package, but it is incompatible with the minitoc package. See note 21 on page 53.
Package minitoc(hints) Warning: W0041
(minitoc(hints)) You have attempted to insert empty minilofs.
You have attempted to insert empty minilofs. If you have used the nocheckfiles package option, you will get some ugly empty mini-tables, with only a title and two horizontal rules. By default (checkfiles package option), you will only get this harmless message.
Package minitoc(hints) Warning: W0042
(minitoc(hints)) You have attempted to insert empty minilots.
You have attempted to insert empty minilots. If you have used the nocheckfiles package option, you will get some ugly empty mini-tables, with only a title and two horizontal rules. By default (checkfiles package option), you will only get this harmless message.
Package minitoc(hints) Warning: W0043
(minitoc(hints)) You have attempted to insert empty minitocs.
You have attempted to insert empty minitocs. If you have used the nocheckfiles package option, you will get some ugly empty mini-tables, with only a title and two horizontal rules. By default (checkfiles package option), you will only get this harmless message.
Package minitoc(hints) Warning: W0044
(minitoc(hints)) You have attempted to insert empty partlofs.
You have attempted to insert empty partlofs. If you have used the nocheckfiles package option, you will get some ugly empty mini-tables, with only a title and two horizontal rules. By default (checkfiles package option), you will only get this harmless message.
Package minitoc(hints) Warning: W0045
(minitoc(hints)) You have attempted to insert empty partlots.
You have attempted to insert empty partlots. If you have used the nocheckfiles package option, you will get some ugly empty mini-tables, with only a title and two horizontal rules. By default (checkfiles package option), you will only get this harmless message.
Package minitoc(hints) Warning: W0046
(minitoc(hints)) You have attempted to insert empty parttoccs.
You have attempted to insert empty parttoccs. If you have used the nocheckfiles package option, you will get some ugly empty mini-tables, with only a title and two horizontal rules. By default (checkfiles package option), you will only get this harmless message.
Package minitoc(hints) Warning: W0047
(minitoc(hints)) You have attempted to insert empty sectlofs.
You have attempted to insert empty sectlofs. If you have used the nocheckfiles package option, you will get some ugly empty mini-tables, with only a title and two horizontal rules. By default (checkfiles package option), you will only get this harmless message.
Package minitoc(hints) Warning: W0048
(minitoc(hints)) You have attempted to insert empty sectlots.
You have attempted to insert empty sectlots. If you have used the nocheckfiles package option, you will get some ugly empty mini-tables, with only a title and two horizontal rules. By default (checkfiles package option), you will only get this harmless message.
Package minitoc(hints) Warning: W0049
(minitoc(hints)) You have attempted to insert empty secttocs.
You have attempted to insert empty secttocs. If you have used the nocheckfiles package option, you will get some ugly empty mini-tables, with only a title and two horizontal rules. By default (checkfiles package option), you will only get this harmless message.
Package minitoc(hints) Warning: W0050
(minitoc(hints)) You have invoked an obsolete (ignored) command: \firstchapteris.
You have used an obsolete command (\firstchapteris). You should remove it.
Package minitoc(hints) Warning: W0051
(minitoc(hints)) You have invoked an obsolete (ignored) command: \firstpartis.
You have used an obsolete command (\firstpartis). You should remove it.
Package minitoc(hints) Warning: W0052
(minitoc(hints)) You have invoked an obsolete (ignored) command: \firstsectionis.
You have used an obsolete command (\firstsectionis). You should remove it.
Package minitoc(hints) Warning: W0053
(minitoc(hints)) You have used short extensions
(minitoc(hints)) and more than 99 chapters (NUMBER).
You have used short extensions (limited to 3 characters) and more than 99 chapters, so the number of the auxiliary file does not fit in the extension. NUMBER is the number of effective chapters in your document. See section 1.9 on page 54.
Package minitoc(hints) Warning: W0054
(minitoc(hints)) You have used short extensions
(minitoc(hints)) and more than 99 parts (NUMBER).
You have used short extensions (limited to 3 characters) and more than 99 parts, so the number of the auxiliary file does not fit in the extension. NUMBER is the number of effective parts in your document. See section 1.9 on page 54.
Package minitoc(hints) Warning: W0055
(minitoc(hints)) You have used short extensions
(minitoc(hints)) and more than 99 sections (NUMBER).
You have used short extensions (limited to 3 characters) and more than 99 sections, so the number of the auxiliary file does not fit in the extension. NUMBER is the number of effective sections in your document. See section 1.9 on page 54.
Package minitoc(hints) Warning: W0056
(minitoc(hints)) You are using \dosectlof and/or
(minitoc(hints)) \dosectlot, \sectlof and/or \sectlot,
(minitoc(hints)) hence the ‘‘insection’’ package
(minitoc(hints)) option is recommended.
You are asking for mini-lists of figures or tables at the section level. But as floats (figures and tables) could drift somewhere outside the printing area of the text of the section, the sectlofs and sectlots can be rather strange. In order to have a better behaviour of these mini-tables, it may be useful to add the insection package option. See page 29.
Package minitoc(hints) Warning: W0057
(minitoc(hints)) You have used \minilof,
(minitoc(hints)) but not \dominilof.
You have attempted to insert some minilofs (via \minilof), but the minilofs have not been prepared (via \dominilof).
Package minitoc(hints) Warning: W0058
(minitoc(hints)) You have used \minilot,
(minitoc(hints)) but not \dominilot.
You have attempted to insert some minilots (via \minilot), but the minilots have not been prepared (via \dominilot).
Package minitoc(hints) Warning: W0059
(minitoc(hints)) You have used \minitoc,
(minitoc(hints)) but not \dominitoc.
You have attempted to insert some minitocs (via \minitoc), but the minitocs have not been prepared (via \dominitoc).
Package minitoc(hints) Warning: W0060
(minitoc(hints)) You have used \partlof,
(minitoc(hints)) but not \dopartlof.
You have attempted to insert some partlofs (via \partlof), but the partlofs have not been prepared (via \dopartlof).
Package minitoc(hints) Warning: W0061
(minitoc(hints)) You have used \partlot,
(minitoc(hints)) but not \dopartlot.
You have attempted to insert some partlots (via \partlot), but the partlots have not been prepared (via \dopartlot).
Package minitoc(hints) Warning: W0062
(minitoc(hints)) You have used \parttoc,
(minitoc(hints)) but not \doparttoc.
You have attempted to insert some parttocs (via \parttoc), but the parttocs have not been prepared (via \doparttoc).
Package minitoc(hints) Warning: W0063
(minitoc(hints)) You have used \sectlof,
(minitoc(hints)) but not \dosectlof.
You have attempted to insert some sectlofs (via \sectlof), but the sectlofs have not been prepared (via \dosectlof).
Package minitoc(hints) Warning: W0064
(minitoc(hints)) You have used \sectlot,
(minitoc(hints)) but not \dosectlot.
You have attempted to insert some sectlots (via \sectlot), but the sectlots have not been prepared (via \dosectlot).
Package minitoc(hints) Warning: W0065
(minitoc(hints)) You have used \sectttoc,
(minitoc(hints)) but not \dosectttoc.
You have attempted to insert some sectttocs (via \sectttoc), but the sectttocs have not been prepared (via \dosectttoc).
Package minitoc(hints) Warning: W0066
(minitoc(hints)) You have used \minilof,
(minitoc(hints)) but not \listoffigures nor
(minitoc(hints)) \fakelistoffigures.
You have tried to insert some minilofs (via \minilof), but the document.lof file is not available because you have not invoked \listoffigures nor \fakelistoffigures.
Package minitoc(hints) Warning: W0067
(minitoc(hints)) You have used \minilot but not
(minitoc(hints)) \listoftables nor
(minitoc(hints)) \fakelistoftables.
You have tried to insert some minilots (via \minilot), but the document.lot file is not available because you have not invoked \listoftables nor \fakelistoftables.
Package minitoc(hints) Warning: W0068
(minitoc(hints)) You have used \minitoc but not
(minitoc(hints)) \tableofcontents
(minitoc(hints)) nor \faketableofcontents.
You have tried to insert some minitocs (via \minitoc), but the document.toc file is not available because you have not invoked \tableofcontents nor \faketableofcontents.
Package minitoc(hints) Warning: W0069
(minitoc(hints)) You have used \partlof but not
(minitoc(hints)) \listoffigures
(minitoc(hints)) nor \fakelistoffigures.
You have tried to insert some partlofs (via \partlof), but the document.lof file is not available because you have not invoked \listoffigures nor \fakelistoffigures.
Package minitoc(hints) Warning: W0070
(minitoc(hints)) You have used \partlot but not
(minitoc(hints)) \listoftables
(minitoc(hints)) nor \fakelistoftables.
You have tried to insert some partlots (via \partlot), but the document.lot file is not available because you have not invoked \listoftables nor \fakelistoftables.
Package minitoc(hints) Warning: W0071
(minitoc(hints)) You have used \parttoc but not
(minitoc(hints)) \tableofcontents
(minitoc(hints)) nor \faketableofcontents.
You have tried to insert some parttos (via \parttoc), but the document.toc file is not available because you have not invoked \tableofcontents nor \faketableofcontents.
Package minitoc(hints) Warning: W0072
(minitoc(hints)) You have used \sectlof but not
(minitoc(hints)) \listoffigures
(minitoc(hints)) nor \fakelistoffigures.
You have tried to insert some sectlofs (via \sectlof), but the document.lof file is not available because you have not invoked \listoffigures nor \fakelistoffigures.
Package minitoc(hints) Warning: W0073
(minitoc(hints)) You have used \sectlot but not
(minitoc(hints)) \listoftables
(minitoc(hints)) nor \fakelistoftables.
You have tried to insert some sectlots (via \sectlot), but the document.lot file is not available because you have not invoked \listoftables nor \fakelistoftables.
Package minitoc(hints) Warning: W0074
(minitoc(hints)) You have used \secttoc but not
(minitoc(hints)) \tableofcontents
(minitoc(hints)) nor \faketableofcontents.
You have tried to insert some secttos (via \secttoc), but the document.toc file is not available because you have not invoked \tableofcontents nor \faketableofcontents.
Package minitoc(hints) Warning: W0075
(minitoc(hints)) You have used \doparttoc
(minitoc(hints)) but not \parttoc.
You have prepared some parttocs (via \doparttoc), but you never used one of them.
Package minitoc(hints) Warning: W0076
(minitoc(hints)) You have used \dopartlof
(minitoc(hints)) but not \partlof.
You have prepared some partlofs (via \dopartlof), but you never used one of them.
Package minitoc(hints) Warning: W0077
(minitoc(hints)) You have used \dopartlot
(minitoc(hints)) but not \partlot.
You have prepared some partlots (via \dopartlot), but you never used one of them.
Package minitoc(hints) Warning: W0078
(minitoc(hints)) You have used \dominitoc
(minitoc(hints)) but not \minitoc.
You have prepared some minitocs (via \dominitoc), but you never used one of them.
Package minitoc(hints) Warning: W0079
(minitoc(hints)) You have used \dominilof
(minitoc(hints)) but not \minilof.
You have prepared some minilofs (via \dominilof), but you never used one of them.
Package minitoc(hints) Warning: W0080
(minitoc(hints)) You have used \dominilot
(minitoc(hints)) but not \minilot.
You have prepared some minilots (via \dominilot), but you never used one of them.
Package minitoc(hints) Warning: W0081
(minitoc(hints)) You have used \dosecttoc
(minitoc(hints)) but not \secttoc.
You have prepared some secttocs (via \dosecttoc), but you never used one of them.
Package minitoc(hints) Warning: W0082
(minitoc(hints)) You have used \dosectlof
(minitoc(hints)) but not \sectlof.
You have prepared some sectlofs (via \dosectlof), but you never used one of them.
Package minitoc(hints) Warning: W0083
(minitoc(hints)) You have used \dosectlot
(minitoc(hints)) but not \sectlot.
You have prepared some sectlots (via \dosectlot), but you never used one of them.
Package minitoc(hints) Warning: W0084
(minitoc(hints)) --- The placeins package is loaded
(minitoc(hints)) with the above option,
(minitoc(hints)) but minitoc used the insection option
(minitoc(hints)) which is incompatible with it.
(minitoc(hints)) Try to remove the above option and
(minitoc(hints)) use consistent options.
You are using the placeins package, but with its above option, while minitoc is called with its insection option which is incompatible with it. See page 29, near a “dangerous bend” symbol.
Package minitoc(hints) Warning: W0085
(minitoc(hints)) --- The placeins package is loaded
(minitoc(hints)) with the below option,
(minitoc(hints)) but minitoc used the insection option
(minitoc(hints)) which is incompatible with it.
(minitoc(hints)) Try to remove the below option
(minitoc(hints)) and use consistent options.
You are using the placeins package, but with its below option, while minitoc is called with
its insection option which is incompatible with it. See page 29, near a “dangerous bend”
symbol.
Package minitoc(hints) Warning: W0086
(minitoc(hints)) The fncychap package should be
(minitoc(hints)) loaded BEFORE the minitoc package.
The fncychap package alters some commands and must be loaded before the minitoc
package. See section 2.38 on page 75.
Package minitoc(hints) Warning: W0087
(minitoc(hints)) The quotchap package should be
(minitoc(hints)) loaded BEFORE the minitoc package.
The quotchap package alters some commands and must be loaded before the minitoc
package. See section 2.39 on page 75.
Package minitoc(hints) Warning: W0088
(minitoc(hints)) The romannum package should be
(minitoc(hints)) loaded BEFORE the minitoc package.
The romannum package alters the numbering of some sectionning commands and must be
loaded before the minitoc package. See section 2.40 on page 76.
Package minitoc(hints) Warning: W0089
(minitoc(hints)) The sfheaders package should be
(minitoc(hints)) loaded BEFORE the minitoc package.
The sfheaders package alters the sectionning commands and must be loaded before the minitoc package. See section 2.41 on page 76.
Package minitoc(hints) Warning: W0090
(minitoc(hints)) The alnumsec package should be
(minitoc(hints)) loaded BEFORE the minitoc package.
The alnumsec package alters the sectionning commands and must be loaded before the minitoc package. See section 2.42 on page 76.
Package minitoc(hints) Warning: W0091
(minitoc(hints)) The captcont package should be
(minitoc(hints)) loaded BEFORE the minitoc package.
The captcont package alters the caption commands and must be loaded before the minitoc package. See section 2.43 on page 76.
Package minitoc(hints) Warning: W0092
(minitoc(hints)) The hangcaption package should be
(minitoc(hints)) loaded BEFORE the minitoc package.
The hangcaption package alters some commands and must be loaded before the minitoc package. See section 2.47 on page 79.
Package minitoc(hints) Warning: W0097
(minitoc(hints)) --- The flowfram package is loaded.
(minitoc(hints)) It is incompatible
(minitoc(hints)) with the minitoc package.
You are using the flowfram package which is incompatible with the minitoc package, because it has its own definitions for minitocs. The compilation can continue, but the result could be unsatisfactory.
Package minitoc(hints) Warning: W0099
(minitoc(hints)) --- The titlesec package is loaded.
(minitoc(hints)) It is incompatible
(minitoc(hints)) with the minitoc package.
You are trying to use also the titlesec package, but it is *incompatible* with the minitoc package. See note 21 on page 53.
### 5.2.3 Error messages
! Package minitoc Error: E0001
(minitoc) But \part is undefined.
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
\mtcfixglossary not usable
There are no adequate sectionning command available to use the \mtcfixglossary macro; even \part is undefined. Verify your document class.
! Package minitoc Error: E0002
(minitoc) But \part is undefined.
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
\mtcfixindex not usable
There are no adequate sectionning command available to use the \mtcfixindex macro; even \part is undefined. Verify your document class.
! Package minitoc Error: E0003
(minitoc) Imbrication of mtchideinmainlof environments.
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
The hiding in main LoF could be incorrect
Some \mtchideinmainlof environments are incorrectly imbricated (overlapping), so the hiding in the main list of figures will be strange.
! Package minitoc Error: E0004
(minitoc) Imbrication of \mtchideinmainlot environments.
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
The hiding in main LoT could be incorrect
Some \mtchideinmaintot environments are incorrectly imbricated (overlapping), so the hiding in the main list of tables will be strange.
! Package minitoc Error: E0005
(minitoc) Imbrication of \mtchideinmaintoc environments.
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
The hiding in main ToC could be incorrect
Some \mtchideinmaintoc environments are incorrectly imbricated (overlapping), so the hiding in the main table of contents will be strange.
! Package minitoc Error: E0006
(minitoc) LANGUAGE is not a known language,
(minitoc) LANGUAGE.mld not found.
(minitoc) Command ignored.
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
See the minitoc documentation.
Correct the source using a valid language name.
Press RETURN
The \mtcselectlanguage macro has attempted to load the LANGUAGE.mld minitoc language definition file, but has not found it. First, verify the name of the language (likely to be misspelt), then check if your installation contains all the many distributed .mld files of the minitoc package, at the right place. If it is a local .mld file, it should be installed in the right place (in a local hierarchy) or be in the working directory.
! Package minitoc Error: E0007
(minitoc) LANGUAGE is not a known minitoc
(minitoc) language object file (.mlo),
(minitoc) LANGUAGE.mlo not found.
(minitoc) Command ignored.
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
See the minitoc documentation.
Correct the source using a valid language name.
Press RETURN
The \mtcselectlanguage macro has attempted to load indirectly the LANGUAGE.mlo minitoc language object file, but has not found it. First, verify the name of the language (likely to be misspelt), then check if your installation contains all the many distributed .mlo files of the minitoc package, at the right place. If it is a local .mlo file, it should be installed in the right place (in a local hierarchy) or be in the working directory.
! Package minitoc Error: E0008
(minitoc) \mtcsetdepth attempts to use
(minitoc) an undefined counter (ARG1/depth).
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
Correct the source code.
Type <return> and rerun LaTeX
You are trying to set the depth for an inexistent or undefined type of mini-table. Verify the type given and the document class, and the loaded packages.
! Package minitoc Error: E0009
(minitoc) \mtcsetdepth has a wrong first argument
(minitoc) (ARG1).
(minitoc) It should be a mini-table type
(minitoc) (parttoc...sectlot).
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
Correct the source code.
Type <return> and rerun LaTeX
The first argument of the \mtcsetdepth macro is incorrect. It should be a type of mini-table (parttoc, ..., sectlot).
! Package minitoc Error: E0010
(minitoc) \mtcsetdepth: Illegal type of table (ARG1).
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
Correct the source code.
Type <return> and rerun LaTeX
The first argument of the \mtcsetdepth macro is incorrect. It should be a mini-table type (parttoc, ..., sectlot).
! Package minitoc Error: E0011
(minitoc) \mtcsetfeature has a wrong first argument (ARG1).
(minitoc) It should be a mini-table type (parttoc...sectlot).
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
Correct the source code.
Type <return> and rerun LaTeX
The first argument of the \mtcsetfeature macro is incorrect. It should be a mini-table type (parttoc, ..., sectlot).
! Package minitoc Error: E0012
(minitoc) \mtcsetfeature has a wrong second argument (ARG2).
(minitoc) It should be a feature param (before, after, open, close, pagestyle).
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
Correct the source code.
Type <return> and rerun LaTeX
The second argument of the \mtcsetfeature macro is incorrect. It should be before, after, open, close, or thispagestyle.
The first argument of \mtcsetfont is incorrect; it should be the type of a mini-table (parttoc, ..., sectlot).
The second argument of \mtcsetfont is incorrect; it should be a sectionning level (i.e., a sectionning command without its backslash), like part, subparagraph.
The first argument of a \mtcsetformat macro is incorrect. It should be a mini-table type (parttoc, ..., sectlot).
The second argument of the \mtcsetformat macro is wrong. It should be one of the following keywords: pagenumwidth, tocrightmargin, or dotinterval.
The first argument of the \mtcsetpagenumbers macro must be a type of minitable (parttoc, ..., sectlot).
It should be a boolean value (0/1, yes/no, on/off, ...)
The second argument of the \mtcsetpagenumbers must be a keyword chosen in the following lists\textsuperscript{4}:
- on, ON, yes, YES, y, Y, true, TRUE, t, T, vrai, VRAI, v, V, oui, OUI, o, O, +, and 1;
- off, OFF, no, NO, n, N, false, FALSE, faux, FAUX, f, F, non, NON, −, and Ø.
\textsuperscript{4}0 and o are the letter 0. Ø is the zero digit.
The first argument of a \mtcsettitle macro is incorrect; it should be a mini-table type (parttoc, ..., sectlot).
The first argument of the \mtcsettitlefont must be a mini-table type. You likely misspelt it.
The first and second arguments of the \mtcsetfeature macro are incompatible. You should verify them.
The \mtcsetfont macro takes a mini-table type as first argument, a sectionning level as second argument (or a star), and a sequence of font commands as third argument. The second argument must have a lower level than the first one (i.e., it is meaningless to specify the font for the chapter level entries for a minitoc or a secttoc).
The first and second arguments of a \mtcsetformat macro are incompatible. One is likely to be misspelt.
The optional argument of the \mtcfixglossary macro is incorrect: it should be omitted (then it defaults to chapter) or be part, chapter, or section.
! Package minitoc Error: E0027
(minitoc) The optional argument of \mtcfixindex is wrong.
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
It must be omitted (chapter), or be part, chapter or section
The optional argument of the \mtcfixindex macro is incorrect: it should be omitted (then it defaults to chapter) or be part, chapter, or section.
! Package minitoc Error: E0028
(minitoc) Unable to patch the memoir class.
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
So it remains incompatible. Sorry.
Your version of the memoir class is really incompatible with the minitoc package and cannot be automatically patched. Please update the memoir class and/or the minitoc package from the CTAN archives or a recent distribution.
! Package minitoc Error: E0029
(minitoc) Unbalanced mtchideinmainlof environment.
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
The hiding in main LoF could be incorrect
A mtchideinmainlof environment is unbalanced, so the hiding in the main list of figures could be incorrect.
! Package minitoc Error: E0030
(minitoc) Unbalanced mtchideinmainlot environment.
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
The hiding in main LoT could be incorrect
A \mtchideinmainlot environment is unbalanced, so the hiding in the main list of tables could be incorrect.
! Package minitoc Error: E0031
(minitoc) Unbalanced \mtchideinmaintoc environment.
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
The hiding in main ToC could be incorrect
A \mtchideinmaintoc environment is unbalanced, so the hiding in the main table of contents could be incorrect.
! Package minitoc Error: E0032
(minitoc) You are using the \mtcloadmlo command
(minitoc) outside of a .mld file.
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
It will be ignored
It is forbidden to use the \mtcloadmlo macro outside of a .mld file (which is loaded via \mtcselectlanguage). The command is ignored.
! Package minitoc Error: E0033
(minitoc) The macro \mtcsettitle uses
(minitoc) an illegal type of table (ARG1).
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
Correct the source code.
Type <return> and rerun LaTeX
The first argument of a minitoc macro is incorrect. It should be a type of mini-table, like partttoc, partllof, partllot, minitoc, minilof, minilot, sectttoc, sectllof, or sectllot.
The first argument of a minitoc macro is incorrect. It should be a type of mini-table, like partttoc, partllof, partllot, minitoc, minilof, minilot, sectttoc, sectllof, or sectllot.
The insection package option is intended for article-like document classes, to prevent floats from drifting out of their section. It is pointless for book-like or report-like document classes, where floats are contained in their chapter.
The english.mld language definition file can not be found. You should verify your installation of the minitoc package. As an interim solution, we provide the missing english titles.
! Package minitoc Error: E0037
(minitoc) The \COMMAND command is incompatible with the document class.
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
...
1.39 \dominitoc[r]
? h
Correct the source code.
Type <return> and rerun LaTeX
You have used a preparation or insertion command (\COMMAND) which is not available for the document class you are using. Please verify that the document class is compatible with minitoc and if the level of the mini-table is available in the document class (section-level mini-tables are not available in book- or report-like classes, chapter-level mini-tables are not available in article-like classes, mini-tables are not available in letter-like classes, etc.).
! Package minitoc Error: E0038
(minitoc) Your minitoc installation is incomplete.
(minitoc) A mandatory minitoc language object file, LANGUAGE.mld, is not found.
(minitoc) We will try to continue with current/default values.
Type H <return> for immediate help.
? h
See the minitoc documentation.
Please fix your minitoc installation.
Type <return> to continue
The mandatory LANGUAGE.mld language definition file can not be found. You should verify your installation of the minitoc package. As an interim solution, we provide the default english titles.
! Package minitoc Error: E0039
(minitoc) But \part is undefined.
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
\mtcfixnomenclature not usable
There are no adequate sectioning command available to use the \mtcfixnomenclature macro; even \part is undefined. Verify your document class.
! Package minitoc Error: E0040
(minitoc) The optional argument of \mtcfixnomenclature
(minitoc) is wrong.
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
? h
It must be omitted (chapter), or be part, chapter or section
The optional argument of the \mtcfixnomenclature macro is incorrect: it should be omitted (then it defaults to chapter) or be part, chapter, or section.
! Package minitoc Error: E0041
(minitoc) \mtcsetoffset attempts to use
(minitoc) an undefined mini-table type (ARG1).
See the minitoc package documentation for explanation.
Type H <return> for immediate help.
Correct the source code.
Type <return> and rerun LaTeX
You are trying to set the offset for an inexistent or undefined type of mini-table. Verify the type given and the document class, and the loaded packages.
The first argument of the \mtcsetoffset macro is incorrect. It should be a type of mini-table (parttoc, ..., sectlot).
5.3 Messages from the mtcoff package
The mtcoff package gives only warning messages; their numbers begin with F.
5.3.1 Warning messages
Package mtcoff Warning: F0001
(mtcoff) \addstarredchapter{...} should be replaced by \addcontentsline{toc}{chapter}{...}
(mtcoff) on input line LINE.
The \addstarredchapter command is specific of the minitoc package and simulated by the mtcoff package. If necessary, it should be replaced by the equivalent \addcontentsline{toc}{chapter}{...} command.
Package mtcoff Warning: F0002
(mtcoff) \addstarredpart{...} should be replaced
(mtcoff) by \addcontentsline{toc}{part}{...}
(mtcoff) on input line LINE.
The \addstarredpart command is specific of the minitoc package and simulated by the mtcoff package. If necessary, it should be replaced by the equivalent \addcontentsline{toc}{part}{...} command.
Package mtcoff Warning: F0003
(mtcoff) \addstarredsection{...} should be replaced
(mtcoff) by \addcontentsline{toc}{section}{...}
(mtcoff) on input line LINE.
The \addstarredsection command is specific of the minitoc package and simulated by the mtcoff package. If necessary, it should be replaced by the equivalent \addcontentsline{toc}{section}{...} command.
Package mtcoff Warning: F0004
(mtcoff) \mtcaddchapter{...} should be replaced
(mtcoff) by \addcontentsline{toc}{chapter}{...}
(mtcoff) on input line LINE.
The \mtcaddchapter command is specific of the minitoc package and simulated by the mtcoff package. If necessary, it should be replaced by the equivalent \addcontentsline{toc}{chapter}{...} command.
Package mtcoff Warning: F0005
(mtcoff) \mtcaddpart{...} should be replaced
(mtcoff) by \addcontentsline{toc}{part}{...}
(mtcoff) on input line LINE.
The \mtcaddpart command is specific of the minitoc package and simulated by the mtcoff package. If necessary, it should be replaced by the equivalent \addcontentsline{toc}{part}{...} command.
Package mtcoff Warning: F0006
(mtcoff) \mtcaddsection{...} should be replaced
(mtcoff) by \addcontentsline{toc}{section}{...}
(mtcoff) on input line LINE.
The \mtcaddsection command is specific of the minitoc package and simulated
by the mtcoff package. If necessary, it should be replaced by the equivalent
\addcontentsline{toc}{section}{...} command.
Package mtcoff Warning: F0007
(mtcoff) You should scan (backwards) your .log
(mtcoff) file to find some commands needing
(mtcoff) to be replaced if you decide to
(mtcoff) DEFINITELY stop using minitoc for this
(mtcoff) document. It is more wise to keep the
(mtcoff) \usepackage lines for minitoc and mtcoff
(mtcoff) and to comment out only one of them.
You have replaced the use of the minitoc package by its substitute mtcoff. It is recommended
to keep the \usepackage lines for both minitoc and mtcoff and to comment out only one
of them. If you decide to definitely stop using minitoc for this document, it is wise to
scan (backwards) the document.log file (after a compilation using mtcoff) to locate some
commands needing to be replaced.
Package mtcoff Warning: F0008
(mtcoff) The macro \kernafterSTRING
(mtcoff) should not be used out of context
(mtcoff) on line LINE.
You are using one of the \kernafterSTRING macros with the mtcoff package. The result
may be unpredictable. You can only redefine these macros to adjust the position of the
bottom rule of a type of minitable. Any other usage is meaningless without the minitoc
package.
Package mtcoff Warning: F0009
(mtcoff) The macro \STRINGoffset
(mtcoff) should not be used out of context
(mtcoff) on line LINE.
You are using one of the \STRINGoffset macros with the mtcoff package. The result may be unpredictable. You can only redefine these macros to adjust the horizontal position of a type of minitables. Any other usage is meaningless without the minitoc package.
5.4 Message from the mtcpatchmem package
Package mtcpatchmem Info: M0001
Package mtcpatchmem Info: mtcpatchmem package to patch the memoir class.
You are using a version of the memoir class which needs a correction. This correction has been automatically loaded if necessary. Very recent versions should not need it anymore. See chapter 12 on page 465.
| Extension | Description |
|-----------|-------------|
| .aux | The suffix of the name for an auxiliary file of a LaTeX document. It carries some information from a LaTeX run to the next. |
| .cls | The suffix for the name of a document class file, loaded via \documentclass. |
| .dtx | The suffix of the name for a documented source file of a LaTeX package or class. This file is often associated with a .ins file to generate the package or class. Compiling a .dtx file with LaTeX generates the documentation. |
| .F | The base suffix of the name for a minilof file when short extensions (suffixes) are used. The full suffix is .Fnn where nn is the absolute number of the minilof. |
| .G | The base suffix of the name for a partlof file when short extensions (suffixes) are used. The full suffix is .Gnn where nn is the absolute number of the partlof. |
| .H | The base suffix of the name for a sectlof file when short extensions (suffixes) are used. The full suffix is .Hnn where nn is the absolute number of the sectlof. |
| .ins | The suffix of the name for an installation file of a LaTeX package or class. When compiled with LaTeX, it extracts the files of the package or class from an .dtx file. |
| .lof | The suffix of the name of the “list of figures” file. |
| .log | The suffix of the name of the log file (compilation report). |
| .lot | The suffix of the name of the “list of tables” file. |
| .M | The base suffix of the name for a minitoc file when short extensions (suffixes) are used. The full suffix is .Mnn where nn is the absolute number of the minitoc. |
| .maf | The suffix of the name of the file generated by the listfiles package option. This file contains the list of the minitoc auxiliary files. |
| .mld | The suffix for the name of a minitoc language definition file. A minitoc language definition file contains the definitions for the mini-table titles in a given language. |
| .mlf | The base suffix of the name for a minilof file when long extensions (suffixes) are used. The full suffix is .mlfnn where nn is the absolute number of the minilof. |
| .mlo | The suffix for the name of a minitoc language object file. For some exotic languages, the encoding makes not easy to put directly the titles in a .mld file; hence the .mld file must load a .mlo file. |
| .mlt | The base suffix of the name for a minilot file when long extensions (suffixes) are used. The full suffix is .mltnn where nn is the absolute number of the minilot. |
| .mtc | The base suffix of the name for a minitoc file when long extensions (suffixes) are used. The full suffix is .mtcnn where nn is the absolute number of the minitoc. |
| .P | The base suffix of the name for a parttoc file when short extensions (suffixes) are used. The full suffix is .Pnn where nn is the absolute number of the parttoc. |
.plf The base suffix of the name for a partlof file when long extensions (suffixes) are used. The full suffix is .plfnn where nn is the absolute number of the partlof.
.plt The base suffix of the name for a partlot file when long extensions (suffixes) are used. The full suffix is .pltm where nn is the absolute number of the partlot.
.ptc The base suffix of the name for a parttoc file when long extensions (suffixes) are used. The full suffix is .ptcm where nn is the absolute number of the parttoc.
.S The base suffix of the name for a secttoc file when short extensions (suffixes) are used. The full suffix is .Snn where nn is the absolute number of the secttoc.
.slf The base suffix of the name for a sectlof file when long extensions (suffixes) are used. The full suffix is .slfnn where nn is the absolute number of the sectlof.
.slt The base suffix of the name for a sectlot file when long extensions (suffixes) are used. The full suffix is .slttnn where nn is the absolute number of the sectlot.
.stc The base suffix of the name for a secttoc file when long extensions (suffixes) are used. The full suffix is .stcnn where nn is the absolute number of the secttoc.
.sty The suffix for the name of a package file, loaded via \usepackage.
.T The base suffix of the name for a minilot file when short extensions (suffixes) are used. The full suffix is .Tnn where nn is the absolute number of the minilot.
.tex The suffix of the name of a \TeX or \LaTeX normal source file.
.toc The suffix of the name of the “table of contents” file.
.U The base suffix of the name for a partlot file when short extensions (suffixes) are used. The full suffix is .Umn where nn is the absolute number of the partlot.
.V The base suffix of the name for a sectlot file when short extensions (suffixes) are used. The full suffix is .Vnn where nn is the absolute number of the sectlot.
absolute numbering The auxiliary files for the mini-tables have a suffix containing an absolute number, i.e., the number is unique and always increasing from the first part, chapter or section; this has solved some obscure problems, and also made obsolete some commands, like \firstpartis, \firstchapteris, and \firstsectionis. The absolute numbering has been introduced in version #23.
abstract The abstract package [470] (by Peter R. Wilson) needs some precautions if used with its addtotoc option.
adjustment Some minitoc commands and environments are known as “adjustment commands” because they are used in some circumstances to “adjust” a counter or to alter the displaying of contents files. These commands and environments are \adjustptc, \adjustmtc, \adjusttc, \decrementptc, \decrementmtc, \decrementtc, \incrementptc, \incrementmtc, \incrementtc,
\mtcaddpart, \mtcaddchapter, \mtcaddsection, \mtcfixglossary,
\mtcfixindex, \mtcfixnomenclature, \mtchideinmaintoc,
\mtchideinmainlof, and \mtchideinmainlot. It is strongly recommended that
the user verifies the result of such adjustments in the final document.
after A type of feature (see this term) which is executed after a given type of mini-table.
Look at the documentation of the \mtcsetfeature command, in section 1.10 on
page 48.
afterpage The afterpage [115] package is used to add code to be executed after the next
page break.
alnumsec The alnumsec package [274] allows you to use alphanumeric section numbering, e.g. A. Introduction; III. International Law. It's output is similar to the
alphanum package (part of the jura class [103]), but you can use the standard
LaTeX sectioning commands. Thus it is possible to switch numbering schemes
easily. Greek letters, double letters (bb) and different delimiters around them are
supported. It must be loaded before the minitoc package (see point 1.8 on page 54
and section 2.42 on page 76).
alphanum The alphanum package, which is part of the specialized jura class [103], by
Felix Braun, is incompatible with the minitoc package.
AMS The American Mathematical Society \(^1\). This society has developed some doc-
ument classes: unfortunately, amsart and amsproc are incompatible with the
minitoc package; amsbook is compatible but needs precautions.
amsart, amsart.cls A document class for articles [8], provided by the American Mathe-
matical Society (AMS). Unfortunately, this class is incompatible with the minitoc
package.
amsbook, amsbook.cls A document class for books [8], provided by the American Math-
ematical Society (AMS). This class is compatible with the minitoc package, but
needs some precautions. See section 2.24 on page 66.
amsproc, amsproc.cls A document class for conference proceedings [8], provided by the
American Mathematical Society (AMS). Unfortunately, this class is incompatible
with the minitoc package.
Antomega Antomega [272] (by Alexej M. Kryukov and Dmitry Ivanov) is a language
support package for Lambda (\(\Lambda\)), based on the original omega.sty
file of the Omega project (\(\Omega\)). However, it provides some addi-
tional useful functionalities. Some languages definition files (.mld) use
titles taken from Antomega: greek-mono.mld, greek-polydemo.mld,
greek-polykatha.mld, latvian.mld, polish2.mld, russian2m.mld,
russian2o.mld, and spanish3.mld.
appendices See appendix below.
appendix The appendix package [471] (by Peter R. Wilson) provides various ways of for-
matting the titles of appendices. Also (sub)appendices environments are pro-
vided that can be used, for instance, for per chapter/section appendices. If this
\(^1\) http://www.ams.org
package is used with minitoc, some precautions are needed (see section 2.20 on page 64).
**Arabi** Arabi [243] is a system (by Youssef Jabri) to prepare \LaTeX documents in the arabic or farsi languages. The titles in arab1.mld and farsi3.mld come from the arabic.ldf and farsi1.ldf files of this system.
**ArabTeX** ArabTeX [276, 277] is a package (by Klaus Lagally) to prepare \LaTeX documents in the arabic or hebrew languages. The titles in arab.mld (or arabic.mld), arab2.mld and hebrew.mld come from ArabTeX, while those of hebrew2.mld come from babel [60, 61].
**ArmTeX** ArmTeX [142] is a package (prepared by Sergueï Dachian, Arnak Dalalyan and Vartan Akopian) to prepare \LaTeX documents in the armenian language. The titles in armenian.mld come from ArmTeX.
**article** A standard \LaTeX document class [282]. It has sectioning commands: \part and \section (and below), but not \chapter. It is compatible with the minitoc package and you can make mini-tables at the part and section levels (but, of course, not at the unavailable chapter level).
**\AtBeginDocument** This standard macro allows to add code to be executed at the beginning of the document (if fact, at the very end of its preamble, but inside it, which implies some restrictions), at the point where \begin{document} is processed. This allows a package (or a class) to add code without creating any conflicts with other packages trying to do the same.
**\AtEndDocument** This standard macro allows to add code to be executed at the end of the document, at the point where \end{document} is processed. This allows a package (or a class) to add code without creating any conflicts with other packages trying to do the same.
**autoconfiguration** Since version #28, minitoc detects automaticaly if the extensions (suffixes) of the file names are limited to 3 characters (like under MS-DOS) or not. This process is named autoconfiguration. The package option shortext forces the limitation to 3 characters.
**auxiliary** During the preparation of a document, the \LaTeX system uses some auxiliary files to store information. The standard auxiliary files are document.aux (for cross-reference labels, counters, etc.), document.toc for the table of contents, document.lof for the list of figures, and document.lot for the list of tables. The minitoc package creates its own auxiliary files, to store the contents of each mini-table. These files are the *minitoc auxiliary files*, whose names are document.extension, the table 1.11 on page 55 lists the possible extensions. See also the .maf extension above.
**babel** The babel package [60, 61] (by Johannes L. Braams and others) is a large package useful to write \LaTeX documents in many languages, not only english. Many titles for mini-tables come directly from the babel package.
**BangTeX** A package for typesetting documents in the bangla (bengali) language using the TeX/LaTeX systems; see [362].
**before** A type of feature (see this term) which is executed before a given type of mini-table. Look at the documentation of the \mtcsetfeature command, in section 1.10 on page 48.
**BibTeX** A program by Oren Patashnik to make bibliographies in LaTeX documents. Distributed with LaTeX. See [315, 366, 367, 417].
**bibtopic** A LaTeX package [25] for including several bibliographies in a document. These bibliographies might be considered to cover different topics (hence the name) or bibliographic material (e.g., primary and secondary literature) and the like.
**bibunits** The bibunits package [210] allows separate bibliographies for different units or parts of the text. The units can be chapters, sections or bibunit environments. This package is compatible with a wide variety of packages, including, but not limited to, natbib [145, 146], overcite [17] and KOMA-Script classes [343, 344, 399].
**book** A standard LaTeX document class [282]. It has sectioning commands: \part, \chapter, and \section (and below). It is compatible with the minitoc package and you can make mini-tables at the part and chapter levels (but not at the section level, to avoid too many auxiliary files).
**booktabs** This nice package [165] helps to the preparation of better tables, without vertical rules nor double rules.
**calc** The calc [441] package makes easier the numeric computations (on counters and dimensions) when preparing a LaTeX document.
**cappuccino** See “minutes” below.
**captcont** The captcont package [131] provides support for retaining a figure or caption number across several float environments — usually over several pages. It allows control over the contents of the List-of-Figures and the List-of-Tables pages. It should be compatible with all other packages that modify or extend the float environment and with the subfig package [132] in particular.
**caption** The caption package [421, 422, 424] provides many ways to customize the captions in floating environments such figure and table and cooperates with many other packages.
**caption2** The\(^2\) caption2 package [423] used to be an experimental side-version of the regular caption package [421, 422, 424] and has been superseed by the new release of the regular caption package version 3.0 in December 2003. caption2 is still
\(^2\)This text comes from the documentation of the caption package. The caption and caption2 packages have the same author, Axel Sommerfeldt.
Table 6.1: Category codes
| Category | Meaning |
|----------|---------|
| 0 | Escape character (\ usually) |
| 1 | Beginning of group ({ usually) |
| 2 | End of group (}) usually) |
| 3 | Math shift ($) usually) |
| 4 | Alignment tab (& usually) |
| 5 | End of line (return usually) |
| 6 | Parameter (# usually) |
| 7 | Superscript (^ usually) |
| 8 | Subscript (_) usually) |
| 9 | Ignored character (null usually) |
| 10 | Space (_) usually) |
| 11 | Letter (A, . . . , Z and a, . . . , z) |
| 12 | Other character (none of the above or below) |
| 13 | Active character (~ usually) |
| 14 | Comment character (%) usually) |
| 15 | Invalid character (delete usually) |
some kind of supported, that means it will be part of future releases and bugs will still be fixed, so existing documents using this package will still compile. But Axel Sommerfeldt will not answer questions about this package anymore except questions on migrating to the regular version of the caption package. And it will not be adapted or enhanced in the future.
So please don’t use this package for new documents. It’s old, it’s obsolete and it starts to begin smell bad!
Please ignore all hints in books or other documents which try to tell you that the caption2 package should be used instead of the caption package – these hints are outdated since December 2003.
**catcode** Short for “category code”. In\(^3\) the first place, it’s wise to have a precise idea of what your keyboard sends to the machine. There are 256 characters that TeX might encounter at each step, in a file or in a line of text typed directly on your terminal. These 256 characters are classified into 16 categories numbered 0 to 15. See table 6.1. It’s not necessary for you to learn these code numbers; the point is only that TeX responds to 16 different types of characters. At first, “The TeXbook” led you to believe that there were just two types — the escape character and the others — and then you were told about two more types, the grouping symbols { and }. The category code for any character can be changed at any time, but it is usually wise to stick to a particular scheme.
**ccaption** The ccaption package [474] provides commands for “continuation captions”, unnumbered captions, and a legend heading for any environment. Methods are provided to define captions for use outside float environments, and to define new float environments and subfloats. Tools are provided for defining your own captioning styles.
---
\(^3\) This definition is taken from “The TeXbook” [263, 265].
Table 6.2: Encoding schemes implemented in CJK
| Encoding | 1 byte | 2 bytes | 3 bytes |
|----------|--------|---------|---------|
| GB | 0xA1–0xF7 | 0xA1–0xFE | — |
| Big 5 | 0xA1–0xF9 | 0x40–0xFE | — |
| JIS | 0xA1–0xF4 | 0xA1–0xFE | — |
| SJIS | 0xA1–0xFE | 0x40–0xFC | — |
| KS | 0xA1–0xFD | 0xA1–0xFE | — |
| UTF 8 | 0xC0–0xEF | 0x80–0xBF | 0x80–0xBF |
| CNS | 0xA1–0xFE | 0xA1–0xFE | — |
**chngpage** The chngpage package (by Peter R. Wilson) provides commands to change the page layout in the middle of a document, and to robustly check for typesetting on odd or even pages.
**Chapter 0** Some documents do not begin with chapter number one, but with chapter number zero (or even a weirder number). This caused a serious problem in old versions of the minitoc package: the minitocs appeared in the wrong chapters, and a first correction was the introduction of specific commands (\firstchapteris and co.). With the addition of the absolute numbering of the mini-table auxiliary files (see *absolute* above), the problem was solved in minitoc version #23, and these commands became obsolete. See section 1.5.4 on page 49.
**chapterbib** The chapterbib package [19] allows multiple bibliographies in a LaTeX document, including items \cite’d in more than one bibliography. Despite the name “chapterbib”, *the bibliographies are for each included file*, not necessarily for each chapter.
**checkfiles** A package option of minitoc. It checks every mini-table to look if it is empty; then empty mini-tables are *not* printed. This is the default. The opposite package option (nocheckfiles) prints even the empty mini-tables, which look ugly. See section 9.77.2 on page 408.
**CJK** The CJK system [127, 297, 298] (by Werner Lemberg and others), is a set of packages and fonts to prepare LaTeX documents in some oriental language, like chinese, japanese, korean (with Hangul or Hanja fonts), and thai, plus some variants of russian. The titles of mini-tables for these languages come from some CJK files and were inserted in .mld files when possible, or in .mlo files when the encoding is incompatible with the .ins/.dtx mechanism; then the .mld file must input the corresponding .mlo file. CJK implements the GB, Big 5, JIS, SJIS, KS, UTF 8, and CNS encodings (on 16 bits, except UTF 8 on 24 bits). See table 6.2.
Some encoding schemes (Big 5, SJIS) have gaps in the range of the second byte. It is difficult to input Big 5 and SJIS encoding directly into TeX since some of the values used for the encodings’ second bytes are reserved for control characters: ‘{’, ‘}’, and ‘\’. Redefining them breaks a lot of things in LaTeX; to avoid this, preprocessors are normally used which convert the second byte into a number followed by a delimiter character. For further details, please refer to [309, 310]; Ken Lunde discusses in great detail all CJK encodings which are or have been in use. Please note that the minitoc package uses the .mlo files as a workaround for this problem; see section 1.4.14 on page 44.
Table 6.3: Standard document classes
| Class | Usage |
|-----------|---------------------------------------------------------------------------------------------------------------------------------------|
| article | For articles in scientific journals, presentations, short reports, program documentation, invitations, … |
| proc | For preparing conference proceedings; analog to the article class. |
| ltxdoc | For preparing the documentation of a package or of a class; analog to the article class. |
| ltnews | For preparing the announcement of a \LaTeX\ release; analog to the article class. |
| report | For longer reports containing several chapters, small books, PhD theses, … |
| book | For real books. |
| letter | For letters; as this class has no sectionning commands, do not use minitoc with this class. |
| slides | For slides; the class uses big sans serif letters. You might want to consider using Beamer\TeX\textsuperscript{a} instead. Do not use minitoc with these classes. |
\textsuperscript{a} http://mirror.ctan.org/macros/latex/contrib/beamer/doc/beameruserguide.pdf
**class** The **class**\textsuperscript{4} is the first information \LaTeX\ needs to know when processing an input file; it is the type of document the author wants to create. This is specified with the \texttt{\textbackslash{}documentclass[options]\{class\}} command.
Here \textit{class} specifies the type of document to be created. Table 6.3 lists the standard document classes [282]. The \LaTeX\textsubscript{2e} distribution provides additional classes for other documents, including letters and slides, but the minitoc package has not been tested with all these classes. The \textit{options} parameters customize the behaviour of the document class. The options have to be separated by commas. The standard classes supported by the minitoc package are listed in section 2.7 on page 60.
**close** A type of \textit{feature} (see this term) which is executed immediately after (\textit{close}) the insertion of the auxiliary file for a given type of mini-table. Look at the documentation of the \texttt{\textbackslash{}mtcsetfeature} command, in section 1.10 on page 48. See the \texttt{mtc-ocf.tex} example file, in section 4.27 on page 137.
**cmk** An example of shell script to prepare the documentation files in PostScript format from the ones in PDF format. This script should be adapted to your needs.
**CMR** For “Computer Modern Roman”. The roman subset of the Computer Modern fonts. See “Computer Modern” below.
**comp.text.tex** The Usenet news group about \TeX\ and \LaTeX, in english.
**Computer Modern** A set of fonts [262] designed by Donald E. Knuth for \TeX. Initially they were built with METAFONT [149, 264] (a program also created by Knuth), but PostScript type 1 (vector) versions exist today, with extensions (for accented characters, mainly): the EC-fonts (European Computer Modern), the cm-super fonts, etc.
\textsuperscript{4} This note is extracted from [356], then adapted.
Table 6.4: Depths for sectionning commands
| Class: | book | report | article |
|-----------------|------|--------|---------|
| secnumdepth | 2 | 2 | 3 |
| \part | -1 | -1 | 0 |
| \chapter | 0 | 0 | × |
| \section | 1 | 1 | 1 |
| \subsection | 2 | 2 | 2 |
| \subsubsection | 3 | 3 | 3 |
| \paragraph | 4 | 4 | 4 |
| \subparagraph | 5 | 5 | 5 |
**counter** A TeX register containing an integer value. There are 256 counters (from 0 to 255) in TeX, but LaTeX uses some of them, and many packages need some counters for their own usage. An extended version derived from TeX, εTeX [105], allows more counters. Omega (Ω) also offers more counters.
**CTAN** The Comprehensive TeX Archive Network, a set of computer archives containing most of the TeX related resources (like fonts, software, documentations, packages). They are accessible via Internet. See http://ctan.org.
**dblaccent** I needed to use the dblaccent [328] package to typeset “The pdfTeX Program” entry [204] in the bibliography, because its author’s first name contains a double accent (Thế Thành Hân).
**de.comp.text.tex** The Usenet news group about TeX and LaTeX, in german.
**depth** In the standard documents classes (and in most classes) with sectionning commands, we have a notion of depth. The depth of a sectionning command determines the numbering level in its title (from the value of the secnumdepth counter), and the entries for a given sectionning command appear in the main table of contents if the depth of this sectionning command is lower than or equal to the value of the tocdepth counter; see table 6.4 for the depths of the sectionning commands in the main document classes.
The mechanism is analog for the parttoc, minitoc, and secttoc, using the values of the parttocdepth, minitocdepth, and secttocdepth counters. If you use sub-figures or sub-tables, the corresponding mini-tables use counters like partlofdepth, partlotdepth, minilofdepth, minilotdepth, sectlofdepth, and sectlotdepth.
**descriptor** (file descriptor). A software entity describing the interface between a program and a file. For most programs and operating systems, the number of file descriptors is limited. For TeX (and LaTeX), there are 16 file descriptors for writing and 16 file descriptors for reading.
**devanagari.sty** The *Devanāgarī for TeX* (Devanāgarī) package [364] provides a way to typeset high-quality Devanāgarī text with TeX. Devanāgarī is a script used for writing and printing Sanskrit and a number of languages in Northern and Central India such as Hindi and Marathi, as well as Nepali. The *Devanāgarī* package was originally developed in May 1991 by Frans Véthuis for the University of Groningen, The Netherlands, and it was the first system to provide support for the Devanāgarī script for TeX.
**em** A length unit equal (approximatively) to the width of a “m” letter in the current font.
**emk** An example of shell script to prepare the english documentation of the minitoc package. The script `imk` must have be run previously. See item 10 on page 245.
**en-mtc.bst** A bibliographic style derived from the `plain.bst` standard style, but modified with the `urlbst` tool [196] to add an URL field. Family names of authors and editors are in small caps, years are in old style digits.
**encoding** This specifies the order that characters appear in the font (e.g., whether the 65th character is “A”). The most common value for TeX font encoding is OT1. The other predefined option is T1 (extended TeX). There’s also US ASCII (7 bit), ISO Latin-1 (8 bit), Adobe Standard Encoding, UTF8 (Unicode [128, 151, 448]), etc. See table 6.5 on the following page and [292, 323].
**environment** An environment is a delimited domain in a document, where special rules apply. Such a domain is delimited by `\begin{em} ... \end{em}` and may take arguments, like this:
```
\begin{minipage}[t]{.5\textheight}
\end{minipage}
```
**ε-TeX** ε-Tex [105] is an extented version of TeX, with much more registers and many new primitives; it supports also left-to-right and right-to-left writing.
**ethiop** A LaTeX package [44] giving the ethiopian language support for the babel package [60, 61].
**extension** The name of a file is often made of 2 parts: a *base name* and an *entension*, separated by a dot. On some old operating systems, the base name is limited to 8 characters and the extension to 3 characters (the “8+3” scheme). See also sections 1.9 on page 54 and 2.5 on page 58. It is strongly recommended to not have more than one dot in a file name.
**farsi.sty** See FarsiTeX below.
| Encoding | Comment |
|------------|-------------------------------------------------------------------------|
| ansinew | Windows 3.1 ANSI encoding, extension of Latin-1. |
| applemac | Macintosh encoding. |
| ascii | ASCII encoding for the range 32–127. |
| cp1250 | Windows 1250 (Central and Eastern Europe) code page. |
| cp1251 | Windows 1251 (Cyrillic) code page. |
| cp1252 | Synonym for ansinew. |
| cp1257 | Windows 1257 (Baltic) code page. |
| cp437 | IBM 437 code page, which is the original American code page and contains letters, digits, mathematical symbols, and some characters useful in the construction of pseudographics. |
| cp437de | IBM 437 code page (German version). |
| cp850 | IBM 850 code page, almost the same as ISO Latin 1, but character arrangement is not the same. |
| cp852 | IBM 852 code page. |
| cp855 | IBM 855 code page (Cyrillic). |
| cp865 | IBM 865 code page. |
| cp866 | IBM 866 code page (MS-DOS Cyrillic). |
| decmulti | DEC Multinational Character Set encoding. |
| latin1 | ASCII encoding plus the characters needed for most Western European languages, including Danish, Dutch, English, Faroese, Finnish, Flemish, French, German, Icelandic, Italian, Norwegian, Portuguese, Spanish, and Swedish. Some non-European languages, such as Hawaiian and Indonesian, are also written in this character set. |
| latin2 | ASCII encoding plus the characters needed for most Central European languages, including Croatian, Czech, Hungarian, Polish, Romanian, Slovak, and Slovenian. |
| latin3 | ASCII encoding plus the characters needed for Esperanto, Maltese, Turkish, and Galician. However, latin5 is the preferred character set for Turkish. |
| latin4 | ASCII encoding plus the characters needed for the Baltic languages (Latvian, Estonian, and Lithuanian), Greenlandic, and Lappish (Sámi). |
| latin5 | Is essentially the same as latin1, except that some Turkish characters replace less commonly used Icelandic letters. |
| next | Next encoding. |
**FarsiTeX** A package [162] to typeset a document in the farsi (iranian, persian) language. See http://www.farsitex.org. But this package is today available only for LaTeX2.09. See also sections 13.54 on page 494 and 13.55 on page 495.
**features** A feature (for the minitoc package) is a set of actions executed at each occurrence of a mini-table of a given type. Five features are associated to each mini-table type: a “before” feature (executed before the whole mini-table), an “after” feature (executed after the whole mini-table), a “open” feature, executed just before inserting the mini-table file, a “close” feature, executed just after inserting the mini-table file, and a “pagestyle” feature, which is executed with the mini-table to set its page style. Look at the documentation of the \mtcsetfeature command, in section 1.10 on page 48.
\texttt{filecontents} A special \LaTeX{} environment. It allows to create a file (whose name is passed as an argument of the environment) by writing the contents of the environment into that file:
\begin{filecontents}{file}
...contents ...
\end{filecontents}
This environment should be used before \texttt{\documentclass}. It is used in \texttt{minitoc.ins} to prepare the .mlo files (see section 1.4.14 on page 44) and some files used in the compilation of the documentation.
\texttt{\firstchapteris} An obsolete command, temporarily used as a workaround for the Chapter 0 problem; see Chapter 0 and absolute numbering above, and section 1.5.4 on page 49.
\texttt{\firstpartis} Analog to \texttt{\firstchapteris} above.
\texttt{\firstsectionis} Analog to \texttt{\firstchapteris} above.
\texttt{float} This package [302] (by Anselm Lingnau) improves the interface for defining floating objects such as figures and tables in \LaTeX{}. It adds the notion of a ‘float style’ that governs appearance of floats. New kinds of floats may be defined using a \texttt{\newfloat} command analogous to \texttt{\newtheorem}. This package also incorporates the functionality of David P. Carlisle’s package here, giving floating environments a [H] option which means ‘PUT IT HERE’ (as opposed to the standard [h] option which means ‘You may put it here if you like’).
\texttt{\FloatBarrier} A macro from the placeins package [15]. It sets up a “barrier” against the drift of floats (like figures or tables).
\texttt{floatrow} This package [285] (by Olga G. Lapko) is an extension of the float package [302] (by Anselm Lingnau), reusing its code, with extensions from the roffloat package [420] (by Axel Sommerfeldt).
\texttt{flowfram} This package [433, 434] is designed to enable you to create text frames in a document such that the contents of the document environment flow from one frame to the next in the order that they were defined. This is useful for creating posters or magazines or any other form of document that does not conform to the standard one or two column layout. As this package defines its own system of minitocs, it is incompatible with the minitoc package.
\texttt{fmk} An example of shell script to prepare the french documentation of the minitoc package. The script \texttt{fmk} must have be run previously. See item 10 on page 245.
\texttt{fncychap} The fncychap package [301] provides a set of commands for changing the format used for some headings (chapters) in the standard \LaTeX{} 2\textunderscore{}e document classes: book and report. It must be loaded before the minitoc package (see point 1.8 on page 53 and section 2.38 on page 75).
\texttt{fr.comp.text.tex} The Usenet newsgroup about \TeX{} and \LaTeX{}, in french.
\texttt{franc.sty} A small package file used to prepare the french documentation. It is generated when compiling \texttt{minitoc.ins}.
**frbib.sty** A small package file used to prepare the bibliography of the French documentation. It is generated when compiling `minitoc.ins`.
**fr-mtc.bst** A bibliographic style file used to prepare the bibliography of the French documentation. It has been updated from the standard `plain.bst` for French by Ronan Keryell, then I added some adaptations for French (like last names in small caps for authors and editors, years in old style digits), then modified with the `urlbst` [196] tool to add an URL field.
**frnew.sty** A small package file used to prepare the French documentation. It is generated when compiling `minitoc.ins`.
---
**G**
**geometry** The `geometry` package [447] provides a flexible and complete user interface to page dimensions. You can specify them by using intuitive parameters to get your desired page layout. For instance, if you want to set margins (the left, right, top and bottom margins) to 2cm from each edge of the paper, what you need is just:
```latex
\usepackage[margin=2cm]{geometry}
```
This powerful (and recommended) package is used in some example documents and in this documentation.
**guarani** A LaTeX package to compose text in Guarani, the main language spoken in Paraguay. The file `guarani.ldf`, included in this package, defines the titles. See [45] and section 13.74 on page 504.
---
**H**
**hangcaption** The `hangcaption` package [250] defines a variant of the `\caption` command to produce captions with hanging indentation. This package is likely obsolete (1992, LaTeX2e 2.09).
**Hindi** For the Hindi language, see the Devanāgarī package [364] above. The `minitoc` package accepts the `devanagari` and `hindi` language options, which are synonyms. A `hindi-modern` language option is also available. See also [148] about the Hindi language.
**hint** An indication, a clue to detect a problem. It is also a message written (into the `document.log` file) by the `hints` option (see below).
**hints** An option of the `minitoc` package. It verifies the loading order of some packages, the invocation order of some `minitoc` commands, the consistency between main `minitoc` commands, etc., and gives warnings and other useful hints (mainly in the `document.log` file). This is a default option (use the `nohints` option to skip these checks).
\textbf{HLaTeX} A system to write documents in the Korean language, using \textit{Lambda} ($\Lambda$) (see below). Written by Un Ko\textsc{ungh}i [266, in korean]. It uses special Hangul or Hanja fonts and the UTF-8 input encoding.
\textbf{hyperlink} In a document, a reference to another object which is dynamically found (via a click with the mouse). This requires a special type of document (PDF, PostScript with hypertext features) and a suitable viewer (PDF viewer, recent PS viewer). This is useful to navigate in a document or in many documents, which can be remote documents.
\textbf{hyperref} The hyperref package [390] is used to emend cross-referencing commands in \LaTeX{} to produce some sort of \texttt{\special} commands; there are backends for the \texttt{\special} set defined for HyperTeX dvi processors, for embedded pdfmark commands for processing by Acrobat Distiller (dvips and dvipsone), for dviwindo, for pdflatex, for \texttt{TeX4ht}, and for VTEX’s pdf and HTML backends.
This package derives from, and builds on, the work of the HyperTeX project, described in [371]. It extends the functionality of all the \LaTeX{} cross-referencing commands (including the table of contents, bibliographies, etc.) to produce \texttt{\special} commands which a driver can turn into hypertext links; it also provides new commands to allow the user to write \textit{ad hoc} hypertext links (hyperlinks), including those to external documents and URLs.
\textbf{ifmtarg} The ifmtarg package [483] provides an if-then-else command for testing if a macro argument is empty (“empty” meaning zero or more spaces only).
\textbf{ifthen} The ifthen package [118] implements an \texttt{\ifthenelse} command for \LaTeX{} 2\textit{e}.
\textbf{imk} An example of shell script, which prepares the minitoc package from \texttt{minitoc.ins} and \texttt{minitoc.dtx}; note that \texttt{imk} must be run before running \texttt{emk} or \texttt{fmk}. See item 10 on page 245.
\textbf{insection} The insection package option loads the placeins package [15] with adequate options to avoid the floats (like figures and tables) to drift outside of their sections. This package option is recommended if you use sectlofs or sectlots in your document. See section 1.2 on page 30.
\textbf{insertion} The insertion commands of the minitoc package insert a mini-table in the document. A corresponding preparation command must have been invoked (only once) before. The insertion commands are (see table 3.9 on page 87):
\texttt{\parttoc, \partlof, \partlot,}
\texttt{\minitoc, \minilof, \minilot,}
\texttt{\secttoc, \sectlof, \sectlot,}
\texttt{\mtcprepare}
\textbf{INSTALL} A text file describing the installation of the minitoc package. See chapter 7 on page 242.
\jobname A \TeX primitive containing the name of the document in preparation, i.e., the name of the file read first by \TeX (or \LaTeX), without its extension. Very useful to build the names of other files.
jura The jura class [103], by Felix Braun, is incompatible with the minitoc package. It is used for german judicial documents.
Kannada\TeX A project [485] to use \LaTeX for typesetting in the Kannada language. See section 13.101 on page 517.
k-loose A minitoc package option useful if your document is written with one of the KOMA-Script classes [343, 344, 399]. This option tries to set a loose line spacing in the mini-tables. Analog to the loose package option for standard classes.
k-tight A minitoc package option useful if your document is written with one of the KOMA-Script classes [343, 344, 399]. This option tries to set a tight line spacing in the mini-tables. Analog to the tight package option for standard classes.
KOMA-Script KOMA-Script [343, 344, 399] is a very complex bundle. You may see this, because it is not only one class or one package but a bundle of many classes and packages. The classes (scrartcl, scrbook, scrlettr, scrllttr2, and scrreprt) are counterparts to the standard classes but never they come with only the same commands, environments, options and optional possibilities like the standard classes nor they result in the same look-a-like.
The scrbook, scrreprt, and scrartcl classes are compatible with the minitoc package, with some precautions (see section 1.5.5 on page 50). The scrlettr and scrllttr2 have no sectionning commands, so the minitoc package is pointless with them.
KOMA-Script comes with a lot of classes, packages, commands, environments and possibilities. Some of these you may find also at the standard classes, many of them you wouldn’t. Some are even supplements to the \LaTeX kernel.
The main classes of the KOMA-Script bundle are designed as counterparts to the standard \LaTeX classes. This means that the KOMA-Script bundle contains replacements for the three standard classes book, report, and article. There is also a replacement for the standard class letter.
Lambda The \LaTeX format (in the \TeX meaning of that word) adapted to the special features of Omega ($\Omega$) is called “Lambda” ($\Lambda$).
Lamed The \LaTeX\ format (in the TeX meaning of that word) adapted to the special features of Aleph ($\aleph$) is called “Lamed” (ג).
\LaTeX\ \LaTeX\ [279] is a typesetting system that is very suitable for producing scientific and mathematical documents of high typographical quality. It is also suitable for producing all sorts of other documents, from simple letters to complete books. \LaTeX\ uses TeX [263, 265] as its formatting engine (from [356]).
In fact, \LaTeX\ is a macro package that enables authors to typeset and print their work at the highest typographical quality, using a predefined, professional layout. \LaTeX\ was originally written by Leslie Lamport [279]. It uses the TeX formatter as its typesetting engine. These days \LaTeX\ is maintained by Frank Mittelbach and his team.
In 1994 the \LaTeX\ package was (deeply) updated by the \LaTeX3 team, led by Frank Mittelbach, to include some long-requested improvements, and to reunify all the patched versions which had cropped up since the release of \LaTeX2.09 some years earlier. To distinguish the new version from the old, it is called \LaTeX2e.
\LaTeX\ is pronounced “Lay-tech” or “Lah-tech.” If you refer to \LaTeX\ in an ASCII environment, you type LaTeX. \LaTeX2e\ is pronounced “Lay-tech two e” and typed LaTeX2e.
\LaTeX2.09 An obsolete version of the \LaTeX\ program, before 1994; it is no more supported. Do not use it\footnote{Except in the case of a very old document; if possible, try to convert it.}. Use the current version of \LaTeX2e, which is supported and much more efficient.
\LaTeX2e\ The current version of the \LaTeX\ program, after 1994; it is supported.
\LaTeX3 The future version of \LaTeX, whose development is still in progress.
leaders A repetitive sequence of dots (or of one another small character), regularily spaced, used to link two objects on the same line (leading from a title to a page number in a table of contents or the like).
letter A standard document class [283] to prepare letters for postal mail (mail on paper). As such documents have no sectionning commands nor structure, the minitoc package is pointless (hence incompatible) with them.
lipsum The lipsum package [212] allows to easily insert sentences in a test file with a minimum of typing. The sentences are in latin but are modified and made nearly senseless. I have used this package in some of the examples of documents. See also http://lipsum.com for the origin of this text (pieces of De Finibus Bonorum et Malorum by Marcus Tullius Cicero).
listfiles An option of the minitoc package. It creates a list of the minitoc auxiliary files (these files contains the mini-tables and may be removed after the \LaTeX\ run) in the document.maf file. Default. See section 1.7 on page 52.
LOF, LoF An acronym for “list of figures”.
lofdepth This counter, if it exists, contains the depth of the list of figures.
**loose** An option of the `minitoc` package. It gives a loose line spacing in the mini-tables. It is the default. The opposite option is `tight`.
**LOT, LoT** An acronym for “list of tables”.
**lotdepth** This counter, if it exists, contains the depth of the list of tables.
**LPPL** The *LaTeX Project Public License*, available at
```
http://www.latex-project.org/lppl.txt
```
Its current version is 1.3 (2003-12-01). The `minitoc` package is distributed under this license.
**ltxdoc** A standard LaTeX document class [116], for preparing the documentation of a package or of a class. For the `minitoc` package, it is very similar to the `article` document class; see above.
**ltnews** A standard LaTeX document class [248], for preparing the announcement of a LaTeX release. For the `minitoc` package, it is very similar to the `article` document class; see above.
---
\makeatletter and \makeatother Many\footnote{Informations from [330, page 843].} internal commands of LaTeX, of packages and classes contain the @ character in their names. This effectively prevents such names from being used in documents for user-defined commands. However, it also means that they cannot appear in a document, even in the preamble, without taking special precautions. As it is sometimes necessary to have such bits of “internal code” in the preamble, the commands `\makeatletter` and `\makeatother` make it easy to do: the difficult bit is to remember to add them, failure to do so can result in some strange errors. And these two commands should never be used in a package or class file.
**makefile** A special text file containing instructions describing the creation and the installation of a piece of software, using the “make” utility; `make` is a nice tool coming from the Unix operating system, but variants exists.
**mcaption** The `mcaption` package [228] provides a `margincap` environment for putting captions in the outer document margin with either a top or bottom alignment.
**MCE** A minimal [complete] example is the smallest possible complete document that illustrates a problem. A minimal example file should not include any packages or code that do not contribute to the problem, but must include a document class and the `document` environment (from [432]). See also [384], http://www.tex.ac.uk/cgi-bin/texfaq2html?label=minxampl and http://www.tex.ac.uk/cgi-bin/texfaq2html?label=askquestion for good advices.
memoir, memoir.cls A very general and powerful document class (by Peter R. Wilson, described in [479, 481, 482]); this class is compatible with the minitoc package (with some precautions) if you use a recent version. See section 2.22 on page 65.
mini-bibliography See minibbl below.
mini-list Synonym for “mini-table” below.
mini-lof See “minilof” below.
mini-lot See “minilot” below.
mini-table This term refers to a local table of contents (like a table of contents, a list of figures or a list of tables) for a sectionning unit (part, chapter or section), by opposition to a global table (the table of contents, the list of figures or the list of tables for the whole document). The main aim of the minitoc package is the creation of such mini-tables. But the term “minitoc” is also used to refer to such mini-table, as a generic term, because the first versions of the package allowed only tables of contents for chapters.
mini-toc See “minitoc” below.
minibbl Short for “mini-bibliography”, i.e., to have a bibliography per part, chapter or section, or even by theme or subject. This is out of the domain of the minitoc package. See section 2.9 on page 60.
minilof A list of figures for a chapter.
minilofdepth This counter, if defined, contains the depth of the minilofs.
minilot A list of tables for a chapter.
minilotdepth This counter, if defined, contains the depth of the minilots.
minitoc A table of contents for a chapter. Also used as a generic term for any mini-table (see “mini-table” above).
minitoc-fr.bib A bibliographic data base for the french documentation of the minitoc package.
minitoc-fr.dtx The source file for the french documentation of the minitoc package. In fact, it just sets \jobname then loads minitoc.dtx, which itself loads \jobname.lan to select the language used in minitoc.dtx; minitoc.dtx contains both english and french documentation fragments, selected by \ifcase constructs with the \LANG variable, set to 0 by minitoc.lan or to 1 by minitoc-fr.lan (i.e., by \jobname.lan). minitoc-fr.dtx is generated when compiling minitoc.ins.
minitoc-fr.ist This file contains a style for formatting the index in the french documentation. It is generated when compiling minitoc.ins.
minitoc-fr.lan A file used to force the french language in the documentation. It is generated when compiling minitoc.ins.
minitoc-fr.pdf The french documentation in PDF format.
minitoc-fr.ps The french documentation in PostScript format. No more distributed (but look at the cmk script).
minitoc.bib A bibliographic data base for the english documentation of the minitoc package.
minitoc.bug A plain text file containing a list of problems and questions about the minitoc package. See chapter 2 on page 56.
minitocdepth This counter contains the depth of the minitocs.
minitoc.dtx The file containing the documentation and the commented code of the minitoc package.
minitoc-hyper.sty A special version [454] of the minitoc package which has been prepared by Bernd Jähne, Didier Verna and A. J. “Tony” Roberts to work with the powerful hyperref package [390]; Heiko Oberdiek has integrated their work so since version #31, minitoc is compatible with hyperref. Hence the minitoc-hyper package [454] is now obsolete and should no more be used. It it still present on the CTAN archives for compatibility with old documents.
minitoc.ins The installation file for the minitoc package. Compiling it with LaTeX produces most of the files of the minitoc package.
minitoc.ist This file contains a style for formatting the index in the english documentation. It is generated when compiling minitoc.ins.
minitoc.l A text file containing the list of all the files being included in the minitoc package. Files not listed in minitoc.l are files used only to install the package or to produce its documentation.
minitoc.lan A file used to force the english language in the documentation. It is generated when compiling minitoc.ins.
minitoc.pdf The english documentation in PDF format.
minitoc.pre This file contains a LaTeX preamble for the documentation. It is generated when compiling minitoc.ins.
minitoc.ps The english documentation in PostScript format. No more distributed (but look at the cmk scripts).
minitoc.sty This file contains the main part of the minitoc package, with comments removed. It is generated when compiling minitoc.ins.
minitoc.sum A plain text file containing a commented list of the minitoc commands and environments. See chapter 3 on page 80.
minitoc.tds.zip A ZIP archive of a TDS-compliant hierarchy containing all files in the minitoc package.
minutes The minutes package [300] (by Knut Licker) is used to prepare conference proceedings. The minitoc package allows to add “coffee breaks” in the table of contents via commands like \addcoffeeline and \coffeeline (and internal commands) whose names contain the string “coffee”, hence the footnote about “cappuccino” in the installation chapter!
\footnote{The little cups come from the marvosym package [227].}
MonTeX
MonTeX [137, 140] is a large package to prepare documents in various dialects of the Mongol language (Bicig and Bicig2, Mongol, Bithe and Manju, Buryat, Xalx and Khalkha) and in a dialect of Russian used in Mongolia (Russianc). Bicig is another name for Uighur. You can find many things about Mongolia and Mongolian at the web site [139]. See also:
http://en.wikipedia.org/wiki/Mongolian_writing_systems
http://en.wikipedia.org/wiki/Mongolian_language
http://en.wikipedia.org/wiki/Mongolian_script
http://en.wikipedia.org/wiki/Clear_script
http://www.indiana.edu/~mongsoc/mong/language.htm
http://www.viahistoria.com/SilverHorde/main.html?research/MongolScripts.html
http://www.krystal.com/writing_evolution.html
http://mongolxel.webz.cz/qaguchin/index.htm
The following description is extracted from [140].
MonTeX is a package which offers support for writing documents in Mongolian, Manju, Buryat and Russian.
Mongolian can be represented in traditional Uighur script (also known as Classical or Traditional Script) and Cyrillic. Manju resembles the Traditional Mongolian script (from which it is derived) but uses a rich choice of diacritics in order to eliminate numerous ambiguities of the Mongolian script ancestor. Modern Buryat, like Mongolian in its present form, is written with a Cyrillic alphabet, but both Mongolian (35 letters) and Buryat (36 letters) use more letters than Russian (33 letters).
Mongolian The word Mongolian is actually an umbrella term for several languages rather than the precise name of a single language. Things become more complicated when names of ethnic groups, languages and writing systems are mixed.
Xalx or Khalkha is the name of the Mongolian nationality residing in Mongolia proper. Their dialect forms the basis of Mongolian written with Cyrillic letters. Throughout this text, Modern Mongolian is used as a synonym.
Buryat is the name of the Mongolian nationality residing in Buryatia, north of Mongolia, east of Lake Baikal, being a part of the Russian Federation. The Buryat call themselves Buryaad while Xalx Mongolians call them Burriad. The English name follows the Russian orthography. Linguistically, Xalx and Buryat Mongol are fairly close languages; Buryat has a slightly different sound system in which the phoneme /s/ partially shifted to /ʃ/; the modern Buryat Cyrillic alphabet (virtually identical with the Cyrillic alphabet used for writing Modern Mongolian) has one additional letter (H/h, \xa1x{H/h}) for marking the difference to /s/.
Bicig (literally script in Mongolian) denotes text written in the traditional Mongolian script which is also referred to as Uighur. Throughout this document, the term Bicig will be used on an equal footing with Classical and Traditional Mongolian. The latter term is used in the names of the Unicode/ISO10646 character plane U1800 which contains Mongolian, Manju, Sibe and sets of special characters called Ali Gali or Galig. In order to identify Mongolian script related commands distinct for Mongolian and Manju, the Mongolian commands have the name root *bicig* whereas the Manju commands have the name root *bi the*.
Xalx Mongolian, or Modern Colloquial Mongolian, is about as different from the form written in Classical script as modern English in phonetical spelling (assume it be written in Shavian letters) from the highly historical orthography of Standard English. Beyond these differences, Mongolian written in Classical Script usually preserves a substantial amount of historical grammatical features which make it look a bit like Elizabethan English.
**Manju** Manju is a Tungusic language closely related to Mongolian. Though Manju is virtually not spoken anymore, it has been the official language during 300 years of Manju government in Qing Dynasty China. Vast amounts of official documents survive, as well as some of the finest multilingual dictionaries ever compiled, e.g. the Pentaglot, or Mirror in Five Languages, a dictionary with 18671 entries in five languages (Manju, Tibetan, Mongolian, Uighur and Chinese). See [138] for more details. Manju writing is derived from Uighur Mongolian by adding diacritics in the form of dots and circles (*tongki fuka sindaha hergen*, script with dots and circles).
**MS-DOS** (Microsoft® Disk Operating System) An old operating system for personal computers (PCs). From the minitoc point of view, its main drawback is the use of filenames with short extensions (the “8+3” scheme), which limits to 99 the number of mini-tables for each kind.
**mtc-2c.tex** An example file showing the use of the minitoc package with a two columns page layout. See section 4.1 on page 91.
**mtc-2nd.tex** An example of document using the minitoc package and its french2 language option. See section 4.2 on page 92.
**mtc-add.bib** A small bibliographic data base for the mtc-add.tex and mtc-ads.tex example documents. See section 4.4 on page 96.
**mtc-3co.tex** An example of document using the minitoc package to prepare a minitoc on three columns. See section 4.3 on page 93.
**mtc-add.tex** An example document showing how to use \mtcaddchapter and the tocbibind package [472] with minitoc. See section 4.4 on page 96.
**mtc-ads.tex** An example document showing how to use \mtcaddsection and the tocbibind package [472] with minitoc. See section 4.5 on page 100. It also shows how it is challenging to manage the mini-lists of floats at the section level.
**mtc-amm.tex** An example file showing the use of the appendices environment in a memoir class document with the minitoc package. See section 4.6 on page 105.
**mtc-apx.tex** An example file showing the use of the mtchideinmaintoc environment to hide the entries of the appendices in the main TOC and to create a part-level TOC for the appendices. See section 2.25 on page 67.
**mtc-art.tex** An example of document (article class) using the minitoc package. See section 4.8 on page 105.
mtc-bk.tex An example of document (book or report class) using the minitoc package. See section 4.9 on page 110.
mtc-bo.tex An example file showing the use of the minitoc package with a two columns page layout and using the tocloft package [469]. See section 4.10 on page 115.
mtc-ch0.tex An example file showing the use of the minitoc package in a document with a starred first chapter. See section 4.11 on page 119.
mtc-cri.tex An example file showing the use of the minitoc package with starred parts and chapters. See section 4.12 on page 121.
mtc-fko.tex An example file showing the problem of fonts in minitocs when using the scrbook class. See section 4.13 on page 121.
mtc-fo1.tex An example file showing the use of the minitoc package with changing some fonts. See section 4.14 on page 122.
mtc-fo2.tex Another example file showing the use of the minitoc package with changing some fonts. See section 4.15 on page 123.
mtc-gap.tex An example file showing the use of the \mtcgapbeforeheads and \mtcgapafterheads commands. See section 2.44 on page 76.
mtc-hi1.tex An example file showing the use of the mtchideinmainlof and mtchideinmainlot specialized environments. See section 2.25 on page 68.
mtc-hi2.tex An example file showing the use of the following pairs of commands:
- \mtchideinmainlof and \endmtchideinmainlof,
- \mtchideinmainlot and \endmtchideinmainlot.
See section 2.25 on page 69.
mtc-hia.tex An example file showing the use of the minitoc package to hide the entries for some tables in the main list of tables of an article class document. See section 4.19 on page 125.
mtc-hir.tex An example file showing the use of the minitoc package to hide the entries for some tables in the main list of tables of a report class document. See section 4.20 on page 126.
mtc-hop.tex An example file showing the use of the minitoc package with the scrbook document class. See section 4.21 on page 127.
mtc-liv.tex An example file showing the use of the minitoc package in a book with customized table of contents and minitocs. See section 4.22 on page 128.
mtc-mem.tex An example file showing the use of the minitoc package with the memoir class. See section 4.23 on page 132.
mtc-mm1.tex An example file showing the use of the minitoc package with the memoir class, if you want to change some fonts. See section 4.24 on page 133.
mtc-mu.tex A document using a minitoc set in a wrapfigure environment with the wrapfig package [18]. See section 4.25 on page 134.
mtc-nom.tex A document showing an interaction between the minitoc package and the nomencl package [456]. See section 4.26 on page 136.
mtc-ocf.tex A document using the open and close features to prepare a minitoc on three columns. See section 4.27 on page 137.
mtc-ofs.tex A document using the open and close features to prepare a minitoc on three columns and \mtcsetoffset to shift the minitoc to align it on the left. See section 4.28 on page 138.
mtc-sbf.tex An example file showing the use of the minitoc package with the subfigure package [130]. See section 4.29 on page 140.
mtc-scr.tex An example file showing the use of the minitoc package with a KOMA-Script class [343, 344, 399], scrreprt. See section 4.30 on page 141.
mtc-syn.tex An example file showing the use of the minitoc package when the table of contents is preceded by some starred chapters. See section 4.31 on page 143.
mtc-tbi.tex An example file showing the use of the minitoc package with the tocibibind package [472]. See section 4.32 on page 144.
mtc-tlc.tex An example file showing the use of the minitoc package in a document of article class. It is the example of [330, page 58], modernized. See section 4.33 on page 145.
mtc-tlo.tex An example file showing the use of the minitoc package with the tocloft package [469] and their interaction about the page numbers in the mini-tables. See section 2.46 on page 79.
mtc-tsf.tex An example file showing the use of the minitoc package with the subfig package [132]. See section 4.35 on page 146.
mtc-vti.tex An example file showing the use of the \mtcpolymtoc command and explaining “polymorphic entries”. See section 4.36 on page 148.
mtcmess A package used to provide variants of the standard commands \PackageInfo, \PackageWarning, \PackageWarningNoLine, and \PackageError by adding an optional argument for an unique message identifier.
mtcoff A package which is used in place of the minitoc package to ignore all the commands and environments of the minitoc package. In fact, it defines them to do nothing. Useful if you want a version of your document without any mini-table.
mtcpatchmem A small package which is automatically loaded if necessary when you use the memoir document class with a version incompatible with the minitoc package, but correctible. It is generated when compiling minitoc.ins.
mu A length unit normally used in math mode (mu means “math unit”); 18 math units make 1em (one quad), which is about the width of a “m” in the current font. So the size of 1mu is font dependent. The separation between dots in the dotted lines in the mini-tables is expressed in math units.
**multibib** The `multibib` package [211] allows to create references to multiple bibliographies within one document. It thus provides a complementary functionality to packages like `bibunits` [210] or `chapterbib` [19], which allow to create one bibliography for multiple, but different parts of the document.
**multicol** The `multicol` package [325] defines the `multicols` environment (with a “s”) to typeset text on several columns. Used in some example documents.
**multitoc** This package [414] allows setting only the table of contents, list of figures and/or list of tables in two or more columns (using the `multicol` package [325], of course). The number of columns can be configured via commands; the multicolumn toc(s) can be selected via package options. The `mtc-3co.tex` example document uses this package; see section 4.3 on page 93.
**natbib** It is a LaTeX 2ε (but with some support for LaTeX2.09) package [145, 146] to act as generalized interface for standard and non-standard bibliographic style files (BibTeX).
**needspace** The `needspace` package [468] provides commands to reserve space at the bottom of a page. If there is not enough space on the current page (column) a new page (column) is started.
**NFSS** The *New Font Selection Scheme*. The LaTeX 2ε font selection system [291] was first released as the “New Font Selection Scheme” (NFSS) in 1989, and then in release 2 in 1993. LaTeX 2ε includes NFSS release 2 as standard.
Every text font in LaTeX has five *attributes*:
- **encoding** This specifies the order that characters appear in the font. The two most common text encodings used in LaTeX are Knuth’s “TeX text” encoding (OT1), and the “TeX text extended” encoding (T1) developed by the TeX Users Group members during a TeX Conference at Cork in 1990 (hence its informal name “Cork encoding”). See [292, 323].
- **family** The name for a collection of fonts, usually grouped under a common name by the font foundry. For instance, “Adobe Times”, “ITC Garamond”, and Knuth’s “Computer Modern Roman” are all font families.
- **series** How heavy or expanded a font is. For instance, “medium weight”, “narrow” and “bold extended” are all series.
- **shape** The form of the letters within a font family. For instance, “italic”, “oblique” and “upright” (sometimes called “roman”) are all font shapes.
- **size** The design size of the font, for instance “10pt”.
The possible values for these attributes are given short acronyms by LaTeX. The most common values for the font encoding are given in table 6.6 on the next page.
The “local” encodings are intended for font encodings which are only locally available, for instance a font containing an organisation’s logo in various sizes.
Table 6.6: Most common font encodings
| Encoding | Description |
|----------|-------------|
| T1 | \TeX extended text (“Cork encoding”) |
| TS1 | \TeX symbols (Latin) |
| T2A, T2B, T2C | \TeX text (Cyrillic) |
| T3 | \TeX phonetic alphabet |
| TS3 | \TeX phonetic alphabet (extra symbols) |
| T4 | \TeX text (African languages) |
| T5 | \TeX text (Vietnamese) |
| T7 | \TeX text (reserved for Greek) |
| OT1 | \TeX text (as defined by Donald E. Knuth) |
| OT2 | \TeX text for Cyrillic languages (obsolete) |
| OT3 | International phonetic alphabet (obsolete) |
| OT4 | \TeX text with extensions for the Polish language |
| OT6 | \TeX text with extensions for the Armenian language |
| OML | \TeX math italic (Donald E. Knuth) |
| OMS | \TeX math symbols (Donald E. Knuth) |
| OMX | \TeX math large symbols (Donald E. Knuth) |
| X2 | \TeX extended text (Cyrillic) |
| U | Unknown |
| L(\text{xx}) | A local encoding |
| L7x | Encoding used for the Lithuanian language |
| LTH | Encoding used for the Thai language |
| LV1 | Encoding used with some VTeX fonts |
| LY1 | Alternative to T1 encoding, for Y&Y software |
| PD1 | Implements the PDFDocEncoding for use with \TeX 2\textsubscript{E}’s NFSS. |
| PU | Implements the Unicode encoding for use with \TeX 2\textsubscript{E}’s NFSS. |
Table 6.7: Most common font families
| Family | Description |
|----------|----------------------|
| cmr | Computer Modern Roman |
| cmsss | Computer Modern Sans |
| cmtt | Computer Modern Typewriter |
| cmm | Computer Modern Math Italic |
| cmsy | Computer Modern Math Symbols |
| cmex | Computer Modern Math Extensions |
| ptm | Adobe Times |
| phv | Adobe Helvetica |
| pcr | Adobe Courier |
| lazy | Additional \TeX symbols |
Table 6.8: Most common font series
| Series | Description |
|--------|-------------|
| u1 | Ultra light |
| e1 | Extra light |
| l | Light |
| s1 | Semi light |
| m | Medium |
| sb | Semi bold |
| b | Bold |
| eb | Extra bold |
| bx | Bold extended |
| ub | Ultra bold |
| c | Condensed |
Table 6.9: Most common font shapes
| Shape | Description |
|-------|------------------------------------|
| n | Normal (that is “upright” or “roman”) |
| it | Italic |
| sl | Slanted (or “oblique”) |
| sc | Caps and small caps |
| u | Unslanted (upright italic) |
Table 6.10: Most common font widths
| Width | % | Description |
|-------|-----|----------------------|
| uc | 50.0| Ultra condensed |
| ec | 50.0| Extra condensed |
| c | 50.0| Condensed |
| sc | 50.0| Semi condensed |
| m | 50.0| Medium |
| sc | 50.0| Semi extended |
| c | 50.0| Extended |
| ec | 50.0| Extra extended |
| uc | 50.0| Ultra extended |
Table 6.11: The five font parameters of some fonts
| \TeX specification | Font | \TeX name |
|--------------------|-------------------------------------------|-------------|
| OT1 cmr m n 10 | Computer Modern Roman 10 point | cmr10 |
| OT1 cmss m sl 1pc | Computer Modern Sans Oblique 1 pica | cmssi12 |
| OML cmm m it 10pt | Computer Modern Math Italic 10 point | cmmi10 |
| T1 ptm b it 1in | Adobe Times Bold Italic 1 inch | ptmb8t at 1in |
There are far too many font families to list them all, but some common ones are listed in table 6.7 on the preceding page. The most common values for the font series are listed in table 6.8 on the page before. The most common values for the font shape are listed in table 6.9. The most common values for the font width are listed in table 6.10.
The font size is specified as a dimension, for instance 10pt or 1.5in or 3mm; if no unit is specified, pt is assumed. These five parameters specify every \TeX font, see table 6.11, for instance.
These five parameters are displayed whenever \TeX gives an overfull box warning, for instance:
```
Overfull \hbox (3.80855pt too wide) in paragraph at lines 314–318
[]\OT1/cm/m/n/10 Normally [] and [] will be identical,
```
The table 6.12 on the next page lists the author commands for fonts which set these five attributes\(^8\).
**nocheckfiles** A package option of minitoc. The opposite of the checkfiles package option (see above).
**nohints** A package option of minitoc. The opposite of the hints package option (see above).
**nolistfiles** An option of the minitoc package. It is the opposite of the listfiles above. See section 1.7 on page 52.
\(^8\) The values used by these commands are determined by the document class.
Table 6.12: Author commands for fonts
| Author command | Attribute | Value in article class |
|-------------------------|-----------|------------------------|
| \textrm... or \rmfamily | family | cmr |
| \textsf... or \sffamily | family | cmss |
| \texttt... or \ttfamily | family | cmtt |
| \textmd... or \mdseries | series | m |
| \textbf... or \bfseries | series | bx |
| \textup... or \upshape | shape | n |
| \textit... or \itshape | shape | it |
| \textsl... or \slshape | shape | sl |
| \textsc... or \scshape | shape | sc |
| \tiny | size | 5pt |
| \scriptsize | size | 7pt |
| \footnotesize | size | 8pt |
| \small | size | 9pt |
| \normalsize | size | 10pt |
| \large | size | 12pt |
| \Large | size | 14.4pt |
| \LARGE | size | 17.28pt |
| \huge | size | 20.74pt |
| \Huge | size | 24.88pt |
| \textnormal | normal | normal text |
**notoccite** This option of the minitoc package loads the notoccite package [14] (by Donald Arseneau). It avoids problems with \cite commands in sectioning commands or captions. See section 1.6 on page 52.
---
**Omega**
The Omega typesetting system \(^9\) (\(\Omega\)) (by Yannis Haralambous and John Plaice) is an extension of TeX that is aimed primarily at improving TeX’s multilingual abilities.
When the TeX program was originally developed in the mid seventies [circa 1975] by Professor Donald E. Knuth it was mainly aimed at typesetting mathematical texts in the English language. Since then TeX has made inroads in broader and broader areas of scientific, literary and other scholarly activities in many countries all over the world. In 1991, Knuth froze TeX, mainly in the interest of stability. However, he allows the TeX code to be used as the basis for further developments, so long as the resulting system is distributed under a different name.
In Omega all characters and pointers into data-structures are 31-bit wide, instead of 8-bit, thereby eliminating many of the trivial limitations of TeX. Omega also allows multiple input and output character sets, and uses programmable filters.
---
\(^9\) Most but not all of this note is taken in the Omega documentation [217, 218, 221, 378, 379]. See http://omega.enstb.org/ for more information.
Table 6.13: Some systems derived from \TeX\ and \LaTeX
\[
\begin{array}{ccc}
\TeX & \rightarrow & \Omega \\
+ & + & + \\
\TeX & \rightarrow & \varepsilon-\TeX \\
+ & + & + \\
\hline
\aleph & + & \varepsilon-\LaTeX \\
\end{array}
\]
to translate from one encoding to another, to perform contextual analysis, etc. Internally, Omega uses the universal Unicode/ISO-10646 character set. Omega also includes support for multiple writing directions.
These improvements not only make it a lot easier for \TeX\ users to cope with multiple or complex languages, like Arabic, Indic, Khmer, Chinese, Japanese or Korean, in one document, but also form the basis for future developments in other areas, such as native color support and hypertext features.
The \LaTeX\ format (in the \TeX\ meaning of that word) adapted to the special features of Omega is called “Lambda” (\Lambda). Extending Omega with the \varepsilon-\TeX\ [105] extensions is a separate project, known as “Aleph” (\aleph) [49, 201] and led by Giuseppe Bilotta. The \LaTeX\ for Aleph is known as “Lamed” (\textlamed). There is an experimental system, named Lua\TeX\ [230, 231], which will regroup pdf\TeX, Aleph, \varepsilon-\TeX\ and other developments. A promising development is X\LaTeX\ [256] by Jonathan Kew, with X\LaTeX.
**open**
A type of *feature* (see this term) which is executed immediately before (*open*) the insertion of the auxiliary file for a given type of mini-table. Look at the documentation of the \mtcsetfeature command, in section 1.10 on page 48. See the mtc-ocf.tex example file, in section 4.27 on page 137.
**package**
Packages\(^{10}\) are a very important feature of \LaTeX. These are extensions to the basic \LaTeX\ commands that are written to files with names that end with .sty and are loaded with the command \usepackage in the preamble. Packages can be classified by they origin.
- **Core** packages (in fact, base and required packages) are an integral part of the \LaTeX\ basic installation and are therefore fully standard.
- **Tools** packages are a set written by members of the \LaTeX3 Team and should always be in the installation.
- **Graphics** packages are a standardized set for including pictures generated by other programs and for handling colors; they are at the same level as the tools packages.
\(^{10}\)This info is taken from [270, page 12–13] and adapted.
• \textsc{AMS-TEX} packages, published by the American Mathematical Society\footnote{http://www.ams.org}, should be in any installation\footnote{They are indispensable if you use a lot of mathematics}.
• \textit{Contributed} packages have been submitted by actual users; certain of these have established themselves as “essential” to standard \LaTeX{} usage, but all are useful.
\texttt{pagestyle} A type of \textit{feature} (see this term) which is executed at each occurrence of a given type of mini-table, to force the page style to use for the current page. Look at the documentation of the \texttt{\textbackslash{}mtcsetfeature} command, in section 1.10 on page 48.
\texttt{partlof} A list of figures for a part.
\texttt{partlofdepth} This counter, if defined, contains the depth of the partlofs.
\texttt{partlot} A list of tables for a part.
\texttt{partlotdepth} This counter, if defined, contains the depth of the partlots.
\texttt{parttoc} A table of contents for a part.
\texttt{parttocdepth} This counter contains the depth of the parttocs.
\texttt{PDF} Portable Document Format [183]. A descendant of the PostScript language from Adobe, optimized for navigation on the Internet. It adds hypertext, font substitution, and compression features.
\texttt{placeins} The \texttt{placeins} package [15] keeps floats “in their place”, preventing them from floating past a \texttt{\textbackslash{}FloatBarrier} command into another section. To use it, declare \texttt{\textbackslash{}usepackage\{placeins\}} in the preamble and insert \texttt{\textbackslash{}FloatBarrier} commands at places that floats should not move past, perhaps at every \texttt{\textbackslash{}section}. The \texttt{insection} package option of the \texttt{minitoc} package does that with adequate options, and loads also the \texttt{flafter} package (described in [288] and [330, page 286]); see section 1.3.3 on page 29.
\texttt{placeins.txt} A plain text file containing the documentation of the \texttt{placeins} package [15].
\texttt{PLATEX} A version of \LaTeX{} customized for the polish (\textit{polski}) language. It has been replaced by the \texttt{polski} package. See [357, 463]. But the \textit{same} name was referring also to a version of \LaTeX{} customized for the japanese language, \texttt{PLATEX2e} [239, 254].
\texttt{pmk} An example of shell script to prepare the \texttt{minitoc} package and its documentation; you should adapt it to your needs. See item 10 on page 245.
\texttt{polymorphic entry} An entry in the TOC, LOF or LOT which changes its aspect depending on the place where it appears (main TOC, minitable, etc.); see section 1.4.13 on page 43.
\texttt{PostScript} A page description language, by Adobe. It describes the appearance of a page, including elements such as text, graphics, and scanned images, to a printer or visualization device. Introduced by Adobe in 1985, it has become the language of choice in high quality printing.
preamble In the main file of a \LaTeX source document, the part of it between the commands \documentclass[...]{...} and \begin{document}. In the preamble, you can insert global declarations and the loading of packages via \usepackage commands.
preparation The preparation commands of the minitoc package prepare the auxiliary files for the mini-tables of a given type. A preparation command must have been invoked (only once) before any insertion command for the mini-table type. The preparation commands are (see table 3.9 on page 87):
\ doparttoc, \ dopartlof, \ dopartlot, (part level)
\ dominitoc, \ dominilof, \ dominilot, (chapter level)
\ dosecttoc, \ dosectlof, \ dosectlot, (section level)
\ mtcprepare (all levels)
proc A standard \LaTeX document class, for preparing conference proceedings. For the minitoc package, it is very similar to the article document class; see above.
pseudo-chapter Or starred chapter. A chapter introduced by a \chapter* command. By default, it has no entry in the table of contents. \chapter* needs some precautions with the minitoc package. See section 1.3.4 on page 33.
quotchap The quotchap package [442] provides a set of commands for adding quotations to some headings (chapters) in the standard \LaTeX2e document classes: book, and report. It must be loaded before the minitoc package (see point 1.8 on page 53 and section 2.39 on page 75).
README is a plain text file (english) describing briefly the minitoc package, plus some useful infos.
report A standard \LaTeX document class [282]. It has sectionning commands: \part, \chapter, and \section (and below). It is compatible with the minitoc package and you can make mini-tables at the part and chapter levels (but not at the section level, to avoid too many auxiliary files).
rmk An example of shell script, which sorts the files of the minitoc package into classes (one directory for each class). It should be run after the scripts imk (mandatory) and emk and/or fmk, in that sequence. See item 10 on page 245.
romannum The romannum package [480] changes the numbers (for sectionning commands) generated by \LaTeX from arabic digits to roman numerals. This package uses the stdclsvd package [466]. It must be loaded before the minitoc package (see point 1.8 on page 54 and section 2.40 on page 76).
rotating The rotating [389] package performs all the different sorts of rotation one might like, including complete figures.
rotfloat The packrotfloat [420] package provides commands to define new floats of various styles (plain, boxed, ruled, and userdefined ones); the rotating package [389] provides new environments (sidewaysfigure and sidewaysstable) which are rotated by $90^\circ$ or $270^\circ$. But what about new rotated floats, e.g. a rotated ruled one? This package makes this possible; it builds a bridge between both packages and extend the commands from the float package to define rotated versions of the new floats, too.
rubber rubber [34] is a wrapper for \LaTeX\ and companion programs. Its purpose is, given a \LaTeX\ source to process, to compile it enough times to resolve all references, possibly running satellite programs such as \BmT\X, makeindex, Metapost, etc., to produce appropriate data files. It has facilities to make some post-processing cleanup actions, like deleting the auxiliary files created by minitoc.
scrartcl See KOMA-Script above.
scrbook See KOMA-Script above.
scrreprt See KOMA-Script above.
sectionning commands These are the \LaTeX\ commands which specify the logical structure of your document. The main sectionning commands are \part, \chapter, \section, \subsection, \subsubsection, \paragraph, or \subparagraph. Some standard document classes have not the \chapter command (like the article and proc classes), some have no sectionning commands (like the letter class). In the later case, the minitoc package is pointless. If some of the \part, \chapter, or \section commands are not defined, the minitoc commands for that level are unavailable. If \chapter is defined, the minitoc commands at the section level are not defined in the current and older versions of the minitoc package, but if \chapter is not defined and \section is defined, then the minitoc commands at the section level are defined. See section 1.1.1 on page 26. In non-standard document classes, sectionning commands with non-standard names cannot be recognized by the minitoc package.
sectlof A list of figures for a section.
sectlofdepth This counter, if defined, contains the depth of the sectlofs.
sectlot A list of tables for a section.
sectlotdepth This counter, if defined, contains the depth of the sectlots.
sectsty The sectsty package [319] provides a set of commands for changing the font used for the various sectional headings in the standard \LaTeX\ 2\textunderscore{}E document classes: article, book, and report. This package also works with the KOMA-Script classes [343, 344, 399] scrartcl, scrbook, and scrreprt. It must be loaded before the minitoc package (see point 1.8 on page 53 and section 2.28 on page 70).
secttoc A table of contents for a section.
secttocdepth This counter contains the depth of the secttocs.
sfheaders The sfheaders package [304] (for LaTeX2ε) borrows some definitions from the standard article/report/book classes and modifies them in order to print the part, chapter, section, subsection… headers with the Sans-Serif variant of the current font. It must be loaded before the minitoc package (see point 1.8 on page 54 and section 2.41 on page 76).
shell In the Unix, Unix-like and Linux operating systems, the shell is a program used as an interface between the operating system and the user. It can also be used as a scripting language to write programs or scripts to prepare routinely used sequences of tasks. The main shells are the Bourne shell (sh), the C shell (csh), the Korn shell (ksh), and their many successors (like bash, tcsh, etc.).
shortext An option of the minitoc package. It forces the use of short extensions (3 characters) in the names of the minitoc auxiliary files. This option is inactive by default, but is automatically activated if your operating system needs short extensions. See autoconfiguration above and the section 2.5 on page 58.
shorttoc The shorttoc package [155] allows to create an other table of contents in a document, with an other title and an other depth than the main table of contents.
SJIS The SJIS character encoding (for the Japanese language), also known as MS-Kanji (Kanji for Microsoft®), consists of two overlaid character sets: the so-called halfwidth Katakana (JIS X0201-1976, 1-byte characters encoded in the range 0xA1 to 0xDF) and the (fullwidth) JIS character set (JIS X0208-1990, mapped to the remaining code points). This information is taken from [127, 297, 298].
Slatex A version of LaTeX customized for the Swedish language. See [318].
splitbib A LaTeX package [314] which allows for sorting a bibliography into categories and subcategories; this is interesting for lists of publications, for grouping references by subject, by year, …
stdclsdv The stdclsdv package [466] is intended to be used by the authors of LaTeX packages that need to know about the sectional divisions provided by the document class.
strut A vertical invisible rule used to force a minimal separation between two lines of text.
subfig The subfig package [132] provides support for the inclusion of small, “sub-figures” and “sub-tables”. It simplifies the positioning, captioning and labeling of them within a single figure or table environment. In addition, this package allows such sub-captions to be written to the List of Figures or List of Tables if desired.
subfigure The subfigure package [130] is an obsolete version (by the same author) of the subfig package [132].
suffix See “extension” above.
**TDS** The TeX Directory Structure [445, 446]; a directory structure highly recommended to store macros, fonts, and the other implementation-independent TeX system files; it also suggests how to incorporate the rest of the TeX files in a single structure; the TDS has been designed to work on all modern systems.
**TeX** TeX is a computer program created by Donald E. Knuth [263, 265]. It is aimed at typesetting text and mathematical formulae. Knuth started writing the TeX typesetting engine in 1977 to explore the potential of the digital printing equipment that was beginning to infiltrate the publishing industry at that time, especially in the hope that he could reverse the trend of deteriorating typographical quality that he saw affecting his own books and articles. TeX as we use it today was released in 1982, with some slight enhancements added in 1989 to better support 8-bit characters and multiple languages. TeX is renowned for being extremely stable, for running on many different kinds of computers, and for being virtually bug free. The version number of TeX is converging to $\pi$ and is now at 3.141592.
TeX is pronounced “Tech,” with a “ch” as in the German word “Ach” or in the Scottish “Loch.” In an ASCII environment, TeX becomes TeX.
**thailatex** The thailatex package [320] allows to typeset documents in the Thai language. You can also use the CJK system [127, 297, 298].
**tight** An option of the minitoc package. It gives a tight line spacing in the mini-tables. The opposite option is loose.
**titlesec** The titlesec package [46] allows to change the sectioning titles. Amongst its many features it provides margin titles, different format in left and right pages, rules above and below the title, etc. Unfortunately, it is incompatible with the minitoc package.
**titletoc** The titletoc package is useful for toc entries formatting, providing the possibility of changing the format in the middle of a document, grouping the entries in a single paragraph, pretty free-forms entries, partial tocs, etc. Unfortunately, it is incompatible with the minitoc package.
The `titletoc.sty` file is not part of the `titlesec` package; it’s an independent package, but it’s described in the `titlesec` package documentation [46].
**tmk** A script file which creates a TDS-compliant hierarchy [445, 446] (to be adjusted to your system).
**TOC, ToC** Acronym for “table of contents”.
**tocbibind** The tocbibind package [472] can be used to add the ToC and/or bibliography and/or the index etc., to the Table of Contents listing. But it needs some precautions when used with the minitoc package. See section 1.5.5 on page 50.
**tocdepth** This counter contains the depth of the table of contents.
**tocloft** The tocloft package [469] provides means of controlling the typographic design of the Table of Contents, List of Figures and List of Tables. New kinds of ‘List of …’ can be defined. If you use the tocloft package and the minitoc package, see section 2.21 on page 64 about fixing some minor compatibility issues.
is a plain text file (english) which lists some suggested developments of the package, not yet implemented. Comments and suggestions are welcome.
A token\textsuperscript{13} is either (a) a single character with an attached category code (see “catcode” above), or (b) a control sequence. You \textit{should} remember two chief things about \TeX{}’s tokens: (1) A control sequence is considered to be a single object that is no longer composed of a sequence of symbols. Therefore long control sequence names are no harder for \TeX{} to deal with than short ones, after they have been replaced by tokens. Furthermore, spaces are not ignored after control sequences inside a token list; the ignore-space rule applies only in an input file, during the time that strings of characters are being tokenized. (2) Once a category code has been attached to a character token, the attachment is permanent. For instance, if character ‘f’ were suddenly declared to be of category 12 instead of category 1, the characters ‘f’ already inside token lists of \TeX{} would still remain of category 1; only newly made lists would contain ‘f’ tokens. In other words, individual characters receive a fixed interpretation as soon as they have been read from a file, based on the category they have at the time of reading. Control sequences are different, since they can change their interpretation at any time. \TeX{}’s digestive processes always know exactly what a character token signifies, because the category code appears in the token itself; but when the digestive processes encounter a control sequence token, they must look up the current definition of that control sequence in order to figure out what it means.
The \texttt{trivfloat} package [484] (by Joseph A. Wright) provides a quick method for defining new float types in \LaTeX. A single command sets up a new float in the same style as the \LaTeX{} kernel \texttt{figure} and \texttt{table} float types.
The \texttt{txfonts} package [403] provides the TX fonts, which consist of
1. virtual text roman fonts using Adobe Times (or URW NimbusRomNo9L) with some modified and additional text symbols in OT1, T1, TS1, and LY1 encodings;
2. virtual text sans serif fonts using Adobe Helvetica (or URW NimbusSanL) with additional text symbols in OT1, T1, TS1, and LY1 encodings;
3. monospaced typewriter fonts in the OT1, T1, TS1, and LY1 encodings;
4. math alphabets using Adobe Times (or URW NimbusRomNo9L) with modified metrics;
5. math fonts of all symbols corresponding to those of Computer Modern math fonts (CMSY, CMMI, CMEX, and Greek letters of CMR);
6. math fonts of all symbols corresponding to those of AmS fonts (MSAM and MSBM);
7. additional math fonts of various symbols.
All fonts are in the Type 1 format (in .afm and .pfb files). Necessary .tfm and .vf files together with \LaTeX{} 2e package files and font map files (.map) for dvips are provided.
\textsuperscript{13}This definition is taken from “\textit{The \TeX{}book}” [263, 265].
UNIX A modern operating system, available on many computers and in various flavors. From the minitoc point of view, it has the advantage of using filenames with long extensions (the length limit is too high to be a problem with the number of mini-tables).
UNIX-like Operating systems analog to Unix, with the same advantages. Linux is a good example, but others exist.
uribst A PERL script, by Norman Gray [196], to add a webpage BibTeX entry type, and add support for general url and lastchecked fields, to (most) BibTeX .bst files. Optionally adds basic support for eprint and doi fields, and HyperTeX/hyperref support, too. See [371, 390].
UTF 8 UTF 8 (Unicode Transformation Format 8), also called UTF 2 or FSS-UTF, is a special representation of Unicode (resp. ISO 10646). It uses multibyte sequences of various lengths, but only 2-byte and 3-byte sequences are implemented in CJK. ASCII characters will be used as-is — without this property it would be impossible to use UTF 8 with TeX. See table 6.2 on page 212.
varsects The varsects package [437] provides a set of commands for changing the font used for the various sectional headings in the standard LaTeX2e document classes: article, book, and report. It must be loaded before the minitoc package (see point 1.8 on page 53 and section 2.33 on page 73).
Wikipedia The Wikipedia is a free, multilingual, open content (neutral, verifiable, modifiable and improvable by anyone) encyclopedia project operated by the non-profit Wikimedia Foundation. Its name is a portmanteau of the words wiki (a type of collaborative website) and encyclopedia. Launched in 2001 by Jimmy Wales and Larry Sanger, it is the largest, fastest growing and most popular general reference work currently available on the Internet.
wrapfig The wrapfig package [18] provides the wrapfigure and wraptable environments to place a figure or table at the side of the page and wrap text around it.
\texttt{xmlk} An example of shell script, which typesets the example document files into PDF documents.
\texttt{xr} The \texttt{xr} package [114] implements a system for eXternal References. I wrote the first version of this package, but it had severe problems. David P. Carlisle rewrote it in a much better and more robust way. With his permission, I used some of his code in the \texttt{minitoc} package to implement the preparation commands (like \texttt{\textbackslash domintoc}). If you use also the \texttt{hyperref} package [390], use \texttt{xr-hyper} [117] in place of the \texttt{xr} package.
Chapter 7
Installation
Tables
| Table | Description | Page |
|-------|-------------|------|
| 7.1 | List of files (minitoc.1), first part | 243 |
| 7.2 | List of files (minitoc.1), second part | 244 |
| 7.3 | List of the graphic files | 244 |
| 7.4 | List of the flag files | 244 |
| 7.5 | A TDS-compliant hierarchy for the minitoc files | 247 |
This chapter describes the installation of the minitoc package (version #61).
This package contains a lot of files. The list of all files is given in minitoc.1. See tables 7.1 to 7.2 on pages 243–244. The files are sorted into “classes” below (a file can appear in more than one class). Each class specifies the function and the placement of its files.
(0) The files minitoc.ins and minitoc.dtx are the basic source files of this package. The file minitoc-fr.dtx loads minitoc.dtx but selects the french documentation. The language selection is done by using \ifcase ... \or ... \fi constructs.
(1) The files minitoc.sty, mtcoff.sty, mtcmess.sty, and all *.mld and *.mlo files are the package itself\textsuperscript{1}.
The table 1.7 on page 38 lists the available languages; for each of these languages, a language.mld file is available; the languages in parentheses are aliases of a main language and their .mld files will load the .mld file of that main language.
mtcpatchmem.sty is a temporary fix for compatibility with the memoir class.
The files of this class must be all installed in a directory where \LaTeX\ finds the .sty files.
\textsuperscript{1}The large number of *.mld files is (partially) a consequence of the fact that some languages have aliases (or dialects) and hence one *.mld file for each name (a *.mld file may load another one) and, if necessary, a .mlo file; the english and french languages are evident examples. For some languages, the multiplicity of the *.mld files corresponds to a multiplicity of fonts and/or encodings (chinese, greek, japanese, korean, malayalam, polish, russian, serbian), or even for spelling reforms (german, greek, norsk). Note that the presence of the english.mld file is mandatory. Since version #50, the minitoc package signals the missing .mld or .mlo files and gives their list in a warning message.
| class (0) : | class (1) : | class (2) : | class (3) : |
|---|---|---|---|
| -finnish.mld | -finnish2.mld | -finnish2.mld | -finnish.mld |
| -minitoc.ins | -francais.mld | -francais.mld | -francais.mld |
| -minitoc.dtx | -french.mld | -french.mld | -french.mld |
| -minitoc-fr.dtx | -french1.mld | -french1.mld | -french1.mld |
| -french2.mld | -french2.mld | -french2.mld | -french2.mld |
| -frenchb.mld | -frenchb.mld | -frenchb.mld | -frenchb.mld |
| -frenchle.mld | -frenchle.mld | -frenchle.mld | -frenchle.mld |
| -frenchpro.mld | -frenchpro.mld | -frenchpro.mld | -frenchpro.mld |
| -galician.mld | -german.mld | -german.mld | -german.mld |
| -german.mld | -germanb.mld | -germanb.mld | -germanb.mld |
| -germanb2.mld | -germanb2.mld | -germanb2.mld | -germanb2.mld |
| -greek.mld | -greek.mld | -greek.mld | -greek.mld |
| -greek-mono.mld | -greek-mono.mld | -greek-mono.mld | -greek-mono.mld |
| -greek-polydemo.mld | -greek-polydemo.mld | -greek-polydemo.mld | -greek-polydemo.mld |
| -guarani.mld | -guarani.mld | -guarani.mld | -guarani.mld |
| -hangul.mld | -hangul.mld | -hangul.mld | -hangul.mld |
| -hangul2.mld | -hangul2.mld | -hangul2.mld | -hangul2.mld |
| -hangul3.mld | -hangul3.mld | -hangul3.mld | -hangul3.mld |
| -hangul4.mld | -hangul4.mld | -hangul4.mld | -hangul4.mld |
| -hangul-u8.mld | -hangul-u8.mld | -hangul-u8.mld | -hangul-u8.mld |
| -hanja.mld | -hanja.mld | -hanja.mld | -hanja.mld |
| -hebrew.mld | -hebrew.mld | -hebrew.mld | -hebrew.mld |
| -hindi.mld | -hindi.mld | -hindi.mld | -hindi.mld |
| -hindi-modern.mld | -hindi-modern.mld | -hindi-modern.mld | -hindi-modern.mld |
| -hungarian.mld | -hungarian.mld | -hungarian.mld | -hungarian.mld |
| -icelandic.mld | -icelandic.mld | -icelandic.mld | -icelandic.mld |
| -indon.mld | -indon.mld | -indon.mld | -indon.mld |
| -indonesian.mld | -indonesian.mld | -indonesian.mld | -indonesian.mld |
| -interlingua.mld | -interlingua.mld | -interlingua.mld | -interlingua.mld |
| -irish.mld | -irish.mld | -irish.mld | -irish.mld |
| -italian.mld | -italian.mld | -italian.mld | -italian.mld |
| -italian2.mld | -italian2.mld | -italian2.mld | -italian2.mld |
| -japanese.mld | -japanese.mld | -japanese.mld | -japanese.mld |
| -japanese2.mld | -japanese2.mld | -japanese2.mld | -japanese2.mld |
| -japanese3.mld | -japanese3.mld | -japanese3.mld | -japanese3.mld |
| -japanese4.mld | -japanese4.mld | -japanese4.mld | -japanese4.mld |
| -japanese5.mld | -japanese5.mld | -japanese5.mld | -japanese5.mld |
| -kannada.mld | -kannada.mld | -kannada.mld | -kannada.mld |
| -khalkha.mld | -khalkha.mld | -khalkha.mld | -khalkha.mld |
| -latin.mld | -latin.mld | -latin.mld | -latin.mld |
| -latin2.mld | -latin2.mld | -latin2.mld | -latin2.mld |
| -latinc.mld | -latinc.mld | -latinc.mld | -latinc.mld |
| -latinc2.mld | -latinc2.mld | -latinc2.mld | -latinc2.mld |
| -latvian.mld | -latvian.mld | -latvian.mld | -latvian.mld |
| -latvian2.mld | -latvian2.mld | -latvian2.mld | -latvian2.mld |
| -letton.mld | -letton.mld | -letton.mld | -letton.mld |
| -letton2.mld | -letton2.mld | -letton2.mld | -letton2.mld |
| -lithuanian.mld | -lithuanian.mld | -lithuanian.mld | -lithuanian.mld |
| -lithuanian2.mld | -lithuanian2.mld | -lithuanian2.mld | -lithuanian2.mld |
| -lowersorbian.mld | -lowersorbian.mld | -lowersorbian.mld | -lowersorbian.mld |
| -lorsorbian.mld | -lorsorbian.mld | -lorsorbian.mld | -lorsorbian.mld |
| -magyar.mld | -magyar.mld | -magyar.mld | -magyar.mld |
| -magyar2.mld | -magyar2.mld | -magyar2.mld | -magyar2.mld |
| -malay.mld | -malay.mld | -malay.mld | -malay.mld |
| -malayalam-b.mld | -malayalam-b.mld | -malayalam-b.mld | -malayalam-b.mld |
| -malayalam-keli.mld | -malayalam-keli.mld | -malayalam-keli.mld | -malayalam-keli.mld |
| -malayalam-keli2.mld | -malayalam-keli2.mld | -malayalam-keli2.mld | -malayalam-keli2.mld |
| -malayalam-mr.mld | -malayalam-mr.mld | -malayalam-mr.mld | -malayalam-mr.mld |
| -malayalam-omega.mld | -malayalam-omega.mld | -malayalam-omega.mld | -malayalam-omega.mld |
| -malayalam-rachana.mld | -malayalam-rachana.mld | -malayalam-rachana.mld | -malayalam-rachana.mld |
| -malayalam-rachana2.mld | -malayalam-rachana2.mld | -malayalam-rachana2.mld | -malayalam-rachana2.mld |
| -malayalam-rachana3.mld | -malayalam-rachana3.mld | -malayalam-rachana3.mld | -malayalam-rachana3.mld |
| -manju.mld | -manju.mld | -manju.mld | -manju.mld |
| -mexican.mld | -mexican.mld | -mexican.mld | -mexican.mld |
| -meyalu.mld | -meyalu.mld | -meyalu.mld | -meyalu.mld |
| -mongol.mld | -mongol.mld | -mongol.mld | -mongol.mld |
| -mongolg.mld | -mongolg.mld | -mongolg.mld | -mongolg.mld |
| -mongolian.mld | -mongolian.mld | -mongolian.mld | -mongolian.mld |
| -naustrian.mld | -naustrian.mld | -naustrian.mld | -naustrian.mld |
| -newzealand.mld | -newzealand.mld | -newzealand.mld | -newzealand.mld |
| -ngerman.mld | -ngerman.mld | -ngerman.mld | -ngerman.mld |
| -ngermanb.mld | -ngermanb.mld | -ngermanb.mld | -ngermanb.mld |
| -ngermanb2.mld | -ngermanb2.mld | -ngermanb2.mld | -ngermanb2.mld |
| -norsk.mld | -norsk.mld | -norsk.mld | -norsk.mld |
| -norsk2.mld | -norsk2.mld | -norsk2.mld | -norsk2.mld |
| -nyorsk.mld | -nyorsk.mld | -nyorsk.mld | -nyorsk.mld |
| -nyorsk2.mld | -nyorsk2.mld | -nyorsk2.mld | -nyorsk2.mld |
| -occitan.mld | -occitan.mld | -occitan.mld | -occitan.mld |
| -occitan2.mld | -occitan2.mld | -occitan2.mld | -occitan2.mld |
| -polish.mld | -polish.mld | -polish.mld | -polish.mld |
| -polish2.mld | -polish2.mld | -polish2.mld | -polish2.mld |
| -polski.mld | -polski.mld | -polski.mld | -polski.mld |
| -portuges.mld | -portuges.mld | -portuges.mld | -portuges.mld |
| -portuguese.mld | -portuguese.mld | -portuguese.mld | -portuguese.mld |
| -romanian.mld | -romanian.mld | -romanian.mld | -romanian.mld |
| -romanian2.mld | -romanian2.mld | -romanian2.mld | -romanian2.mld |
| -romanian3.mld | -romanian3.mld | -romanian3.mld | -romanian3.mld |
| -russian.mld | -russian.mld | -russian.mld | -russian.mld |
| -russianb.mld | -russianb.mld | -russianb.mld | -russianb.mld |
| -russianc.mld | -russianc.mld | -russianc.mld | -russianc.mld |
| -russian2.mld | -russian2.mld | -russian2.mld | -russian2.mld |
| -russian20.mld | -russian20.mld | -russian20.mld | -russian20.mld |
| -russian-cca.ml[d] | -russian-cca.ml[d] | -russian-cca.ml[d] | -russian-cca.ml[d] |
| -russian-cca1.ml[d] | -russian-cca1.ml[d] | -russian-cca1.ml[d] | -russian-cca1.ml[d] |
| -russian-lh.ml[d] | -russian-lh.ml[d] | -russian-lh.ml[d] | -russian-lh.ml[d] |
| -russian-lhcyralt.ml[d] | -russian-lhcyralt.ml[d] | -russian-lhcyralt.ml[d] | -russian-lhcyralt.ml[d] |
| -russian-lhcyrkoi.ml[d] | -russian-lhcyrkoi.ml[d] | -russian-lhcyrkoi.ml[d] | -russian-lhcyrkoi.ml[d] |
| -russian-lhcyrwin.ml[d] | -russian-lhcyrwin.ml[d] | -russian-lhcyrwin.ml[d] | -russian-lhcyrwin.ml[d] |
| -samin.mld | -samin.mld | -samin.mld | -samin.mld |
| -scottish.mld | -scottish.mld | -scottish.mld | -scottish.mld |
| -serbian.mld | -serbian.mld | -serbian.mld | -serbian.mld |
| -serbianc.mld | -serbianc.mld | -serbianc.mld | -serbianc.mld |
| -slovak.mld | -slovak.mld | -slovak.mld | -slovak.mld |
| -slovene.mld | -slovene.mld | -slovene.mld | -slovene.mld |
| -spanish.mld | -spanish.mld | -spanish.mld | -spanish.mld |
| -spanish2.mld | -spanish2.mld | -spanish2.mld | -spanish2.mld |
| -spanish3.mld | -spanish3.mld | -spanish3.mld | -spanish3.mld |
See continuation in table 7.2 on the following page.
(2) Informative text files:
- **INSTALL** is a file describing the installation of the package. You are (almost) reading it (but it is shorter).
- **minitoc.l** contains the list of all files of the minitoc distribution. See tables 7.1 to 7.2 on pages 243–244.
- **README** is a file describing briefly the minitoc package, plus some useful infos.
- **TODO** lists some suggested developments of the package, not yet implemented. Comments and suggestions are welcome.
(3) Examples of documents: `mtc-2c.tex`, `mtc-2nd.tex`, `mtc-3co.tex`, `mtc-add.bib`, `mtc-add.tex`, `mtc-ads.tex`, `mtc-amm.tex`, `mtc-apx.tex`, `mtc-art.tex`, `mtc-bk.tex`, `mtc-bo.tex`, `mtc-ch0.tex`, `mtc-cri.tex`, `mtc-fko.tex`, `mtc-fol.tex`, `mtc-f02.tex`, `mtc-gap.tex`, `mtc-hil.tex`, `mtc-hiz.tex`, `mtc-hia.tex`, `mtc-hir.tex`, `mtc-hop.tex`, `mtc-liv.tex`, `mtc-mem.tex`, `mtc-mml.tex`, `mtc-mu.tex`, `mtc-nom.tex`, `mtc-ofc.tex`, `mtc-ofs.tex`, `mtc-sbf.tex`, `mtc-scr.tex`, `mtc-syn.tex`, `mtc-tbi.tex`, `mtc-tlc.tex`, `mtc-tlo.tex`, `mtc-tsf.tex`, `mtc-vti.tex`, are example files, to play with. The associated .pdf files are provided. Another (*short*) examples are welcome.
(4) **minitoc.bug**, **minitoc.sum** are plain text documentation: list of problems (faq, see chapter 2 on page 56) and summary of commands (see chapter 3 on page 80).
(5) **minitoc.ins**, **minitoc.ist**, **minitoc.pre**, **minitoc.lan**, **en-mtc.bst**, **minitoc.dtx**, and **minitoc.bib** are the source of the documentation in (non perfect) english. **minitoc.pre** is the common preamble code for the documentation.
(6) The list of the graphic and flag files is given in tables 7.3 to 7.4 on the page before; they are images to include.
(7) `minitoc.dtx`, `minitoc-fr.dtx`, `minitoc-fr.bib`, `minitoc-fr.ist`, `minitoc-fr.lan`, `minitoc.pre`, `franc.sty`, `frbib.sty`, `frnew.sty`, `fr-mtc.bst` are the source (and tools) of the documentation in french\(^2\).
(8) `minitoc.pdf`, is the documentation in (non perfect) english, in PDF format.
(9) `minitoc-fr.pdf` is the documentation in french, in PDF format. The french documentation and its source files must not be left out.
(10) `pmk` is a shell script\(^3\) to prepare the package and its documentation; the `pmk` script uses the `/tmp/`whoami`.imk and /tmp/`whoami`.tmk directories to not waste disk space under your home directory; there are also six partial scripts\(^4\) and a supplementary one, `cmk` (all to be adapted):
- `imk`, which prepares the package from `minitoc.ins` and `minitoc.dtx`; note that `imk` must be run before running `emk` or `fmk`; it creates also some `.sty` files necessary to prepare the documentation but that are to be installed with it; the `imk` script uses the `/tmp/`whoami`.imk directory to not waste disk space under your home directory;
- `emk`, which prepares the english documentation from `minitoc.dtx`;
- `fmk`, which prepares the french documentation from `minitoc-fr.dtx` and `minitoc.dtx`;
- `xmk`, which typesets the example files (in PDF format);
- `rmk`, which sorts the files into classes (one directory for each class);
- `tmk`, which creates a TDS-compliant hierarchy [445, 446] (to be tailored to your system); see table 7.5 on page 247; this hierarchy is saved in `minitoc.tds.zip`;
- `cmk`, which converts the PDF documentation files into PostScript files.
These scripts are currently written in C-shell, but they are very simple, and should be easy to convert in another classic shell. The documentation in PostScript format is no more distributed on the CTAN archives, but the `cmk` script can prepare it from the documentation in PDF format (recto-verso printing).
(11) `minitoc.tds.zip` is a ZIP-archive file containing a TDS-compliant hierarchy with all the files of the `minitoc` package.
---
\(^2\) This seems rather strange. In fact, the english and french documentations are both contained in the `minitoc.dtx` file. `minitoc-fr.dtx` sets a flag then loads `minitoc.dtx`; hence the file `minitoc-fr.dtx` is much smaller than `minitoc.dtx`. Thus, `minitoc.ins` contains also some utility files which are automatically created (some `.sty` files, `minitoc.ist`, `minitoc-fr.ist`, `minitoc.lan`, `minitoc-fr.lan`). The english and french versions are not word-by-word translations, but they are in parallel in the `minitoc.dtx` file, and this helps the maintenance.
\(^3\) You can sip a big cappuccino ☕ while this script is running! Be patient.
\(^4\) In fact, `pmk` assembles the scripts `imk`, `emk`, `fmk`, `xmk`, `rmk`, and `tmk` (but not `cmk`).
Some remarks about the \texttt{rmk}, \texttt{tmk} and \texttt{pmk} scripts (which you should tailor to your needs):
- **with \texttt{rmk}:**
1. the hierarchy is not TDS-compliant;
2. the files of (0) must be installed in a directory where \LaTeX\ finds .dtx and .ins files;
3. the files of (1) must be installed in a directory where \LaTeX\ finds .sty files;
4. the files of (2), (3), (4), (5), (6), (7) and (10) must be installed in a separate directory, but must not be left out;
5. the files of (8) and (9) must be installed as on-line documentation;
6. the directories created by the \texttt{rmk} script are under /tmp/`whoami`.rmk to not waste disk space under your home directory.
- **with \texttt{tmk}:**
1. the hierarchy is TDS-compliant;
2. each file appears only once in the hierarchy;
3. the installation is much easier: you only need a .zip or a .tar (or .tgz) dump file\footnote{The \texttt{tmk} script creates the \texttt{minitoc.tds.zip} file.} of the hierarchy to be deployed into the installed TDS hierarchy; you should examine very carefully (by comparison with your TDS installation) and tailor the \texttt{tmk} script before using it;
4. the directories created by the \texttt{tmk} script are under /tmp/`whoami`.tmk to not waste disk space under your home directory;
5. the file \texttt{minitoc.tds.zip} (11) should not be installed; it is just a method to help making a TDS-compliant installation.
- **with \texttt{pmk}:**
1. the \texttt{pmk} script performs the actions of \texttt{imk} (preparation of the basic files), \texttt{emk} and \texttt{fmk} (preparation of the english and french documentation), \texttt{xmk} (preparation of the examples of documents), \texttt{rmk} and \texttt{tmk} (repartition of files into classes and in a TDS-compliant hierarchy);
2. the directories created by the \texttt{pmk} script are under /tmp/`whoami`.rmk and /tmp/`whoami`.tmk to not waste disk space under your home directory;
3. the same precautions as for \texttt{tmk} are needed.
The file \texttt{minitoc.tds.zip} contains a ZIP archive of a TDS-compliant hierarchy of all files of the minitoc package. It has been prepared by the \texttt{pmk} or \texttt{tmk} scripts.
Note that \texttt{minitoc.dtx} and hence \texttt{minitoc-fr.dtx} are (not so trivial) examples of using minitoc with hyperref. They show how the combinaison of these two packages may be useful.
Table 7.5: A TDS-compliant hierarchy for the minitoc files
| TDS Root Directory | bib/ | bst/ | latex/ | minitoc/ | makeindex/ | scripts/ | source/ | tex/ |
|--------------------|------|------|--------|----------|------------|----------|---------|------|
| | (A) | (B) | (C) | | | | | |
(A) minitoc-fr.bib, minitoc.bib;
(B) en-mtc.bst, fr-mtc.bst;
(C) INSTALL, README, TODO, minitoc-fr.lan,
minitoc-fr.pdf, minitoc.bug, minitoc.l,
minitoc.lan, minitoc.pdf, minitoc.pre,
minitoc.sum, franc.sty, ftbib.sty, frnew.sty;
(D) minitoc-fr.ist, minitoc.ist;
(E) cmk, emk, fmk, imk, pmk, rmk, tmk, xmk;
(F) minitoc-fr.dtx, minitoc.dtx,
minitoc.ins;
(G) minitoc.sty, mtcoff.sty, mtcmess.sty,
mtcpatchmem.sty, *.mld, *.mlo;
(H) mtc-2c.pdf, mtc-2c.tex, mtc-2nd.pdf,
mtc-2nd.tex, mtc-3co.pdf, mtc-3co.tex,
mtc-add.bib, mtc-add.pdf, mtc-add.tex,
mtc-ads.pdf, mtc-ads.tex, mtc-amm.pdf,
mtc-amm.tex, mtc-apx.pdf, mtc-apx.tex,
mtc-art.pdf, mtc-art.tex, mtc-bk.pdf,
mtc-bk.tex, mtc-bo.pdf, mtc-bo.tex,
mtc-ch0.pdf, mtc-ch0.tex, mtc-cri.pdf,
mtc-cri.tex, mtc-fko.pdf, mtc-fko.tex,
mtc-fo1.pdf, mtc-fo1.tex, mtc-fo2.pdf,
mtc-fo2.tex, mtc-gap.pdf, mtc-gap.tex,
mtc-hi1.pdf, mtc-hi1.tex, mtc-hi2.pdf,
mtc-hi2.tex, mtc-hia.pdf, mtc-hia.tex,
mtc-hir.pdf, mtc-hir.tex, mtc-hop.pdf,
mtc-hop.tex, mtc-liv.pdf, mtc-liv.tex,
mtc-mem.pdf, mtc-mem.tex, mtc-mm1.pdf,
mtc-mm1.tex, mtc-mu.pdf, mtc-mu.tex,
mtc-nom.pdf, mtc-nom.tex, mtc-ocf.pdf,
mtc-ocf.tex, mtc-ors.pdf, mtc-ors.tex,
mtc-sbf.pdf, mtc-sbf.tex, mtc-scr.pdf,
mtc-scr.tex, mtc-syn.pdf, mtc-syn.tex,
mtc-tbi.pdf, mtc-tbi.tex, mtc-tlc.pdf,
mtc-tlc.tex, mtc-tlo.pdf, mtc-tlo.tex,
mtc-tsfl.pdf, mtc-tsfl.tex, mtc-vti.pdf,
mtc-vti.tex;
(I) The list of the graphic and flag files is given in tables 7.3 to 7.4 on page 244.
Chapter 8
Postface
Contents
| Section | Page |
|------------------------------------------------------------------------|------|
| 8.1 The origins | 248 |
| 8.2 New design in 1993 | 249 |
| 8.3 Developments in 1994 | 249 |
| 8.4 No developments in 1995 | 249 |
| 8.5 Developments in 1996 | 250 |
| 8.6 Developments in 1997 | 250 |
| 8.7 Developments in 1998 | 250 |
| 8.8 Developments in 1999 | 250 |
| 8.9 Developments in 2000 | 250 |
| 8.10 Developments in 2001 | 251 |
| 8.11 Developments in 2002 | 251 |
| 8.12 Developments in 2003 | 251 |
| 8.13 Developments in 2004 | 251 |
| 8.14 Developments in 2005 | 252 |
| 8.15 Developments in 2006 | 254 |
| 8.16 Developments in 2007 | 254 |
| 8.17 Developments in 2008 | 258 |
This chapter summarizes the evolution of the minitoc package, year by year. A more detailed history is available in “Changes History”, page 597. Many minor changes are skipped here.
In fact, this chapter is for the average user of the package, who wants to have an overview of its evolution; the chapter “Changes History” is more oriented towards people interested in the code of the package and the problems encountered during its development.
8.1 The origins
The minitoc package was initially written by Nigel Ward in 1990 and 1991, with major contributions by Dan Jurafsky. But minitoc suffered of a major weakness: when the number of chapters exceeded 9 or 10, you got a rather mysterious error message:
No room for a new \write.
As I needed the basic functionality of this package (printing mini-tables of contents for each chapter), I looked further in its code and finally found the culprit: minitoc used a \newwrite
command to create a new file for the contents table of each chapter, allocating a new file descriptor each time. But the number of file descriptors for writing is limited to 16 under \LaTeX (in fact, by the underlying \TeX program itself). As some descriptors are already used by \LaTeX, writing more than 9 or 10 chapters was too much. Such errors are difficult to find when testing on too small documents: with few chapters, everything goes fine. But on a real document, with many chapters, the mysterious error happens.
8.2 New design in 1993
So I decided (June 1993, when I took the maintenance of the package) to change the allocation method to always use the same file descriptor for all the mini-table of contents files. Some major improvements happened in 1993: the addition of the mtcoff (minitocoff at this time) package and a rewrite of minitoc to extract the data from the document.toc file, with a selection mechanism. Then a first solution for the short extension problem was added (still manual). An elementary system for the fonts in the mini-tables was added. In December 1993, the minilofs and minilots were added.
8.3 Developments in 1994
The first improvements in 1994 were about the formatting of the mini-tables: spacing was improved and the position of the title became adjustable (with the optional parameter of \minitoc or \dominitoc). But a major addition was done: part-level mini-tables (parttoc, partlofs, partlots) and, for articles, section-level mini-tables (secttoc, sectlofs, sectlots).
With the emergence of \LaTeXe, replacing the ageing \LaTeX2.09, some work was necessary to support the compatibility with this new version. This was not easy, but Denis B. Roegel and Frank Mittelbach gave me many helpful hints.
Another major addition is the language option feature, with the concept of the *minitoc language definition file* (or .mld file), coming from the babel package [60, 61], by Johannes L. Braams. But at this time, these files were still named as .sty files.
An important simplification is introduced by the notion of “absolute numbering”, with avoids many problems when the chapters are not numbered the standard way (consecutively, starting from 1, with arabic digits).
8.4 No developments in 1995
Sorry, I was busy with an other project.
8.5 Developments in 1996
The very annoying problem with the starred sectionning commands received some (rather primitive) solutions, but it is very complex, so manual interventions are often required.
The names of the mintoc language definition files take now the extension .mld, more specific, and english is the default language. Some new languages are added.
The work on the starred sectionning commands continues.
The minitocoff companion package is renamed mtcoff to keep its name short.
8.6 Developments in 1997
The problem of short extensions for files names under some operating systems is addressed via the new shortext package option and by the new autoconfiguration feature.
For the starred sectionning commands, the \addstarredchapter command is added (with analog commands for starred parts and sections).
8.7 Developments in 1998
The tight and loose package options are added to improve the line spacing in the mini-tables.
8.8 Developments in 1999
The dotted and undotted package options are added to add or suppress some lines of dots (leaders) in the mini-tables.
8.9 Developments in 2000
A major addition is the compatibility with the hyperref package [390], and I ought to thank loudly Heiko Oberdiek, Didier Verna, Bernd Jaehne and A. J. “Tony” Roberts [454].
Some corrections about the starred sectionning commands are added by Heiko Oberdiek.
The mini-tables features (\beforeparttoc and co.) commands are added.
Some adjustment commands, like \mtcaddchapter, are added, again about the problem with the starred sectionning commands.
The compatibility with the tocbibind package [472] is documented.
Aliases for some languages are added.
### 8.10 Developments in 2001
Added the checkfiles and nocheckfiles package options, to avoid the insertion of (ugly) empty mini-tables.
Added the \mtcselectlanguage command to change more easily the language of the mini-tables titles.
### 8.11 Developments in 2002
Correction of an interaction between \tableofcontents (creating a hidden \chapter* or \section* command) and the numbering of the mini-table files.
Added the \mtcskip and \mtcskipamount commands.
### 8.12 Developments in 2003
Added the injection package option (which was temporarily done by the flsection and flsectionb package options) to deal with floats drifting out of their section. The placeins package [15] (by Donald Arseneau) is used.
The font commands are made compatible with the memoir class [479, 481, 482].
Added compatibility with the notoccite package [14].
### 8.13 Developments in 2004
Added comments in the .mld files needing special fonts. Better documentation about languages.
Added an explanation about making a local table of contents for an appendix, eventually masking it in the main table of contents. Compatibility with the appendix package [471].
A major addition is the \texttt{hints} package option, to detect some programming and compatibility problems.
### 8.14 Developments in 2005
All messages are now written via the standard interface commands (\texttt{PackageInfo}, \texttt{PackageWarning}, and \texttt{PackageError}), so the \texttt{minitoc} package is less verbose on the terminal.
Added the \texttt{\mtcsetfont} and \texttt{\mtcsettitlefont} commands (from a suggestion by Benjamin Bayart) to replace many font commands by only one command with a better user interface.
Comments about the \texttt{AMS} classes (some ones are incompatible with \texttt{minitoc}).
Added the \texttt{\mtcsetformat} and \texttt{\mtcsettitle} commands, again to have a simpler user interface.
Added various hints (\texttt{insection} package option, order of \texttt{minitoc} basic commands, short extensions).
Added the \texttt{\mtcsetpagenumbers} and \texttt{\mtcsetrules} commands, again to have a simpler user interface.
Added the \texttt{\mtchideinmaintoc} environment, to hide a group of entries in the main table of contents; added also the \texttt{\mtchideinmainlof} and \texttt{\mtchideinmainlot} environments.
Added the \texttt{\mtcfixindex} and \texttt{\mtcsettitle} commands.
Added the description of the installation of the package (a new chapter and the file \texttt{INSTALL}).
Improved and added hints about consistency of \texttt{\dominitoc}/\texttt{minitoc} and co.
Added the \texttt{\mtcsetfeature} command (very complex).
Added a hint about the \texttt{abstract} package [470].
The \texttt{minitoc} package is now written using the .dtx-.ins system. Some cleanup is done in the code.
Added the \texttt{\mtcfixglossary} command, like \texttt{\mtcfixindex}.
Some improvements are made to print the documentation.
Some new hints are added (\texttt{sectsty} package [319], empty mini-tables, obsolete commands).
Added the notion of depth for mini-tables of figures/tables. Added the \mtcsetdepth command.
The hints package option is now the default.
Added a method for making a bilingual documentation in one file (the minitoc.dtx file). This method could be used for more languages.
Added or improved some adjustment commands (\adjustptc, \incrementptc, \decrementptc, etc.).
Added the k-tight and k-loose package options, for the KOMA-Script [343, 344, 399] document classes.
Added a patch for the recent version of the memoir class [479, 481, 482].
Use \mtcselectlanguage in language options and in “secondary” .mld files.
Added the \mtcloadmlo command to be used in some .mld files to load a .mlo file. The extension .mlo means minitoc language object; such files contains characters not easily manipulated in a .dtx file.
The history of changes is now displayed in a much simpler way (using a glossary was too cumbersome).
Added the listfiles package option, to create a list of the minitoc auxiliary files, which can be removed after the LATEX compilation of the document. It is the document.maf file.
Added a remark in the FAQ chapter (and minitoc.bug) about precautions to take with the starred sectionning commands.
Added hints about the caption, caption2, ccaption, and mcaption packages (they must be loaded before minitoc).
A “Jargon” chapter is added. It will grow slowly.
Added a note about a problem with minitoc, hyperref and memoir used together.
Some bugs in the \mtcset... commands are fixed.
Added a hint about the varsects package [437].
Added a hint on the number of mini-tables when short extensions are used.
Added a chapter with all the (explained) messages.
8.15 Developments in 2006
Added the “*” keyword as first argument of the \mtcsetpagenumbers and \mtcsetrules command, to get an action on all kinds of mini-tables.
Corrections in the \mtcadddsection, \mtcfixglossary, and \mtcfixinindex commands.
In the PDF documentation, the panel of bookmarks shows initially only the bookmarks for parts and chapters, but you can open them to show deeper entries.
Added a comment about the initialization of fonts in the FAQ (point 34). It is still an open domain and I am working on it.
Added a hint about the KOMA-Script classes [343, 344, 399], and an entry in the FAQ chapter (and in minitoc.bug).
Added the “Postface” chapter.
Added the \mtcprepare command.
Added an URL field in the bibliography (the styles are modified with the urlbst tool [196]).
Added the mtcmess package to add unique identifiers to the messages.
Suppressed the PostScript documentation files from the distribution (no more accepted on CTAN archives), but the scripts still creates them.
Corrections in the inssection package option.
Reordering of the chapters in the user’s manual (part I).
8.16 Developments in 2007
Removed the preparation of documentation in PostScript format.
Added the cmk script to convert the documentation from PDF format to PostScript format.
Added hints about the fncychap [301], quotchap [442], romannum [480], sfheaders [304], alnumsec [274], and captcont [131] packages.
Added FAQ 44 and the \mtcgapbeforeheads and \mtcgapafterheads formatting commands.
Added the chapter 4, “Examples of documents”, page 90.
Added FAQ 45 and the \kernafterparttoc and co. commands for the vertical space between a minitable and its bottom rule.
Increased the text width and adjusted the format of the entries in the TOC in the documentation.
Correction of the preamble in the generated files (spurious lines have been eliminated, at least).
Added devanagari.mld and hindi.mld. Added hindi-modern.mld.
The bibliographic styles plainurl.bst and frplain1.bst are renamed en-mtc.bst and fr-mtc.bst.
All example documents are renamed with names beginning with “mtc-”.
The “listfiles” package option is active by default.
Better error messages about undefined preparation and insertion commands.
Added japanese6.mld and japanese6.mlo.
Added a hint about the hangecaption package [250].
Added (in the memento) a table of the classes and packages which are incompatible or need precautions with minitoc.
Added a validation of the language options with the presence of the .mld and .mlo files.
Added the tmk script and a table describing a TDS-compliant structure for minitoc.
Updated the INSTALL file and the “Installation” chapter.
Added the file minitoc.tds.zip (a ZIP archive of a TDS-compliant hierarchy of all files of the package) to the distribution.
Improving the index (entries for: packages and classes, scripts, tools, names, examples, extensions, option, language options).
The names of some internal macros are shortened to fit into the margin.
Indexing the environments and the files.
Indexing the counters and depth counters.
The example files are in their own directory in the (proposed) TDS-compliant hierarchy.
Indexing referenced commands (begin).
Added mongolb.mld and mongolb.mlo.
Removed `mongolb.mlo` (new T2 and X2 cyrillic encodings in `mongolb.mld`).
Added the `mtc-3co.tex` example file.
Added `mongolian.mld` (loads `mongolb.mld`).
Improved the layout of the index.
Indexing the names of authors.
Added the `mtc-fko.tex` example file.
Bibliographic references for packages and classes in the index.
Features in the index.
Added the “open” and “close” features.
Added the `mtc-ofc.tex` example file.
Added the “\mtcfixnomenclature” command.
Added the `mtc-nom.tex` example file.
Corrected the last argument of `\mtcsetfeature` and siblings, using `\mtc@toks`.
Indexing the messages. Messages noted in the right margin.
Added `latinc.mld` and `latinc2.mld` for classical latin.
Added internal hyperlinks for messages.
Added `\mtcoffset` and co. for an horizontal offset of a mini-table.
Added `\mtcsetoffset` for an horizontal offset of a mini-table type.
Added the `mtc-ofs.tex` example file.
Added flagging of macros in example files.
Added a clickable table of all messages.
Added a local minitoc in the “Jargon” chapter.
Added `lithuanian2.mld`.
Added `latvian2.mld` and `letton2.mld`.
Added a hint (warning W0097) about the `flowfram` [433, 434] package (incompatible).
Added a hint (I0053) about the float [302], floatrow [285], trivfloat [484], and rotfloat [420] packages.
Regrouping some marginal notes about messages; improving their positions.
Corrected a bug about minitocs in appendices for the memoir class.
Changed the color of hyperlinks.
Revised the format of headers.
Corrected some \mtcset... commands to use \edef to correctly evaluate \mtc@toks.
Added swahili.mld.
Added stuff (files) for maps of areas of some languages.
Added the bengali language synonym of bangla.
Split the list of files into two tables (tables 7.1 to 7.2 on pages 243–244).
Replaced the .mtc1 extension by .mtc0 in the auto-configuration test (to avoid erasing (\jobname.mtc1 file).
Corrected a problem with \nofiles (Andreas Deininger).
The acknowledgements are moved to the “Complements” part.
Added a hint (warning W0099) about the titlesec [46] package.
Complete indexing of the messages.
Updated lithuanian2.mld.
Using the chngpage package [467] to make increase the width of the pages of the bibliography.
Renamed \if@longextensions@ as \if@mtc@longext@.
Updated czech.mld.
Removed \l@section.
Graphic files are indexed separately.
Added a specific directory for image files in the TDS hierarchy.
Updated galician.mld, lsorbian.mld, ukraineb.mld, and usorbian.mld.
Added malayalam-b.mld, malayalam-keli2.mld, malayalam-mr.mld, and malayalam-rachana3.mld.
Updated malayalam-omega.mlo.
Suppressed parasite entries from the index.
Added occitan.mld.
Updated croatian.mld, danish.mld, dutch.mld, galician.mld, germanb2.mld, greek.mld, icelandic.mld, interlingua.mld, polish.mld, scottish.mld, and turkish.mld.
8.17 Developments in 2008
Corrected polski.mld.
Added table 6.10 on page 231.
Added many maps about languages and dialects, etc.
Better captions for maps.
Added an entry for the Wikipedia in the jargon.
Splitted the TDS hierarchy into three tables 7.3 to 7.5 on pages 244–247.
The page numbers in the index are now hyperlinks (thanks to François Pétiard).
Colors added in figure 1.1 on page 31.
Corrected an error of message number.
Updated from the babel package version v3.8j of 2008/03/16.
Used \vrefrange to compress ranges of internal cross-references.
Added flags for many countries.
Added a figure about lusophonia.
Added a figure about germanophonia.
Added a figure about hispanophonia.
Added a figure about italophonia.
Added a minitoc in the index to make it easier to consult (not trivial).
Added figures about francophones countries.
Added a figure about swahili-speaking countries.
Added a figure about arabic-speaking countries.
Added a figure about russian-speaking countries.
Added a figure about english-speaking countries.
Added flags \ifinparttoc, \ifinpartlof, \ifinpartlot, \ifinminitoc, \ifinminilof, \ifinminilot, \ifinsecttoc, \ifinsectlof, and \ifinsectlot.
Added example document mtc-vti.tex, section 4.36 on page 148.
Added commands for polymorphic entries: \mtcpolymtoc, \mtcpolymlof, and \mtcpolymlot.
Added a figure about dutch-speaking countries.
Renamed fminitoc.dtx and consorts as minitoc-fr.dtx and consorts.
Added missing flag files (thanks to Morten Høgholm).
Replaced many .pdf image files (most of them are flag files) by the original .png file because they were corrupted during the conversion by ImageMagick (xpdf didn't see the problem but Acrobat Reader refuses to show the file); many thanks to Heiko Oberdiek and Staszek Wawrykiewicz.
Back to standard colors and default hyperref color options.
Part II
Implementation
| Section | Page |
|------------------------------------------------------------------------|------|
| 9 Commented code of the minitoc package | 262 |
| 10 Commented code of the mtcoff package | 447 |
| 11 Commented code of the mtcmess package | 464 |
| 12 Patch for the memoir class | 465 |
| 13 Language definition (.mld) and object (.mlo) files | 467 |
Chapter 9
Commented code of the minitoc package
Contents
9.1 Introduction .................................................. 266
9.2 Identification code ........................................... 266
9.3 A file descriptor to write .................................... 266
9.4 Indentation and skip ......................................... 267
9.5 Tests and flags .............................................. 268
9.5.1 Flags for the hints option ............................. 269
9.5.2 Use of section-level mini-lists of floats ............ 269
9.5.3 Presence of some packages and classes ................ 269
9.5.4 Flags for packages dealing with floats ............... 270
9.5.5 Insertion of empty mini-tables ........................ 271
9.5.6 Presence or absence of some sectionning commands .... 271
9.5.7 Flags to check if some commands are used ............. 272
9.5.8 Check if the document has exactly 2 parts ............ 273
9.6 Preparation for the notoccite option ....................... 274
9.7 Preparation for the tight and k-tight options .............. 274
9.8 Preparation to work with hyperref .......................... 274
9.9 Checking the presence of some packages ..................... 275
9.9.1 Check if the sectsty package is loaded, and when .... 275
9.9.2 Check if the varsects package is loaded, and when .... 275
9.9.3 Check if the fncychap package is loaded, and when .... 275
9.9.4 Check if the hangcaption package is loaded, and when .. 275
9.9.5 Check if the quotchap package is loaded, and when .... 276
9.9.6 Check if the romannum package is loaded, and when .... 276
9.9.7 Check if the sfheaders package is loaded, and when .... 276
9.9.8 Check if the alnumsec package is loaded, and when .... 276
9.9.9 Check if the captcont package is loaded, and when .... 277
9.9.10 Check if the caption package is loaded, and when .... 277
9.9.11 Check if the caption2 package is loaded, and when .... 277
9.9.12 Check if the caption package is loaded, and when .... 277
9.9.13 Check if the mcaption package is loaded, and when .... 278
9.9.14 Check if the float package is loaded .................. 278
9.9.15 Check if the floatrow package is loaded ........................................ 278
9.9.16 Check if the trivfloat package is loaded ........................................ 278
9.9.17 Check if the rotfloat package is loaded ......................................... 278
9.10 Is the memoir class loaded? .............................................................. 279
9.11 Testing the emptiness of a file ............................................................ 279
9.12 Internal macros to decrement minitoc counters ................................... 281
9.13 Patching the \part command ............................................................. 281
9.14 Adding an entry in the TOC for a starred part .................................. 282
9.15 Section level macros ........................................................................... 282
9.16 Corrections for numbering .................................................................. 283
9.17 Patching the \section command ........................................................... 283
9.18 Adding an entry in the TOC for a starred section ................................ 283
9.19 Chapter level macros .......................................................................... 284
9.20 Patching the \chapter command .......................................................... 284
9.21 Adding an entry in the TOC for a starred chapter ................................ 284
9.22 Miscellaneous declarations .................................................................. 285
9.23 Autoconfiguration of extensions ........................................................... 286
9.24 Detecting obsolete versions of L\TeX .................................................... 287
9.25 Adding a TOC entry without leaders nor page numbers ....................... 288
9.26 Default values for the page-number customizations ............................. 288
9.27 “Features” for the mini-tables ............................................................... 291
9.28 Fake tables of contents ........................................................................ 294
9.29 Depth counters for minilofs and minilots ............................................. 294
9.30 Chapter level commands ...................................................................... 294
9.31 Starred parts, chapters or sections ....................................................... 295
9.32 Font commands for the mini-tables ...................................................... 297
9.33 Internal commands to position the mini-table titles ............................. 297
9.34 The mtc@verse environment ............................................................... 298
9.35 The \minitoc, \minilof, and \minilot commands ................................ 298
9.35.1 The \minitoc command ................................................................. 298
9.35.2 The \minilof command ................................................................. 302
9.35.3 The \minilot command ................................................................. 305
9.36 Patching the \chapter command, continued ..................................... 308
9.37 The \addstarrered... commands .......................................................... 309
9.38 TOC entries without leaders ................................................................. 309
9.39 Mini-tables with or without leaders ..................................................... 310
9.40 The \dominitoc command and its siblings ........................................ 311
9.40.1 Analysis and splitting of the TOC file ........................................... 314
9.41 Mini-lists of figures ............................................................................ 318
9.41.1 Analysis and splitting of the list of figures file ............................. 318
9.42 Mini-lists of tables .............................................................................. 320
9.42.1 Analysis and splitting of the list of tables file .............................. 321
9.43 Macro to write a contents line ............................................................. 323
9.44 Depth counters for partlofs and partlots ............................................. 324
9.45 Part level commands ........................................................................... 325
9.46 Fonts for the parttocx .......................................................................... 326
9.47 Default titles for part-level mini-tables ............................................... 326
9.48 The ptc@verse environment ............................................................... 328
9.49 The part level mini-tables: \parttoc, \partlof, and \partlot ............... 328
9.49.1 The \parttoc command ................................................................. 329
9.49.2 The \partlof command ................................................................. 331
9.49.3 The \partlot command ................................................................. 334
9.50 Auxiliary commands for printing partttocs ........................................ 337
9.51 Patching the \part command, continued ........................................ 338
9.52 The \doparttoc command and its siblings ....................................... 338
9.52.1 Processing macros for the parttoc ........................................... 340
9.52.2 Processing macros for the partlofs .......................................... 344
9.52.3 Processing macros for the partlots .......................................... 346
9.53 Depth counters for sectools and sectlots ...................................... 349
9.54 Section-level commands ..................................................................... 349
9.55 Fonts commands for sectools and co. .............................................. 350
9.56 Internal macros for title positioning .............................................. 350
9.57 The stc@verse environment .................................................................. 351
9.58 The \secttoc, \sectlof, and \sectlot commands .................................. 351
9.58.1 The \sectttoc command ................................................................. 351
9.58.2 The \sectlof command .................................................................... 354
9.58.3 The \sectlot command .................................................................... 357
9.59 Auxiliary internal commands, section level ....................................... 359
9.60 Patching the \section command (continued) ....................................... 360
9.61 The \dosecttoc command and siblings ............................................... 361
9.62 End of section-level commands ......................................................... 371
9.63 The \mtcprepare command .................................................................. 371
9.64 Use with \nofiles .................................................................................. 372
9.65 Necessary \l@... commands .................................................................. 373
9.66 The horizontal rules and their default values ..................................... 374
9.67 The \mtcset... commands .................................................................... 375
9.67.1 Keywords for the \mtcset... commands ........................................... 375
9.67.2 The \mtcsetfont command ............................................................... 377
9.67.3 The \mtcsettitlefont command ....................................................... 381
9.67.4 The \mtcsettitle command .............................................................. 382
9.67.5 The \mtcsetformat command ........................................................... 384
9.67.6 The \mtcsetpagenumbers command ................................................ 388
9.67.7 The \mtcsetrules command ............................................................. 391
9.67.8 The \mtcsetfeature command .......................................................... 393
9.67.9 The \mtcsetdepth command ............................................................ 395
9.67.10 The \mtcsetoffset command ........................................................... 397
9.68 Polymorphic entries ............................................................................. 398
9.69 The \mtchideinmaintoc environment and siblings ................................ 399
9.70 Fixing the “Glossary” entry in the TOC ............................................. 401
9.71 Fixing the “Index” entry in the TOC ................................................... 403
9.72 Fixing the “Nomenclature” entry in the TOC ....................................... 404
9.73 The \mtcselectlanguage command ...................................................... 405
9.74 The \mtcloadmlo internal command .................................................... 406
9.75 The “coffee breaks” .............................................................................. 407
9.76 Initialization of counters ....................................................................... 407
9.77 Declarations for simple options ............................................................ 407
9.77.1 Options tight and loose, k-tight and k-loose ................................... 407
9.77.2 Options checkfiles and noccheckfiles .............................................. 408
9.77.3 Options dotted and undotted ............................................................ 408
9.77.4 Option notocite ................................................................................ 408
9.77.5 Option shorttext .............................................................................. 408
9.78 The insection option ............................................................................. 408
9.79 The listfiles and nolistfiles options ..................................................... 409
9.80 Language options .................................................................................. 409
9.81 The hints option .................................................................................... 414
9.81.1 First part: \mtc@hints@begindoc ..................................................... 414
188.8.131.52 Hint about the alphanum package ........................................... 415
| Section | Page |
|------------------------------------------------------------------------|------|
| 184.108.40.206 Hint about the appendix package | 415 |
| 220.127.116.11 Hint about the tocbbind package | 415 |
| 18.104.22.168 Hint about the KOMA-Script classes | 415 |
| 22.214.171.124 Hint about the tocloft package | 416 |
| 126.96.36.199 Hint about the titlesec package | 416 |
| 188.8.131.52 Hint about the titleref package | 417 |
| 184.108.40.206 Hint about the placeins package | 417 |
| 220.127.116.11 Hint about the memoir class | 418 |
| 18.104.22.168 Hint about the amsart and amsproc classes | 419 |
| 22.214.171.124 Hint about the amsbook class | 419 |
| 126.96.36.199 Hint about the abstract package | 419 |
| 188.8.131.52 Hint about the jura class | 420 |
| 184.108.40.206 Hint about the flowfram package | 420 |
| 220.127.116.11 Hint about the alteration of the sectionning commands | 420 |
| 18.104.22.168.1 Alteration of \part | 421 |
| 22.214.171.124.2 Alteration of \chapter | 421 |
| 126.96.36.199.3 Alteration of \section | 422 |
| 188.8.131.52 Hint about the consistency of the calling sequences of the | 422 |
| commands | |
| 9.81.2 Final part: \mtc@chints@enddoc | 423 |
| 184.108.40.206 Hint about \sect-\lof|\lot and the insertion option | 423 |
| 220.127.116.11 Final part of the consistency tests | 424 |
| 18.104.22.168 Check if the main tables have been prepared (first part) | 426 |
| 22.214.171.124 Check if the main tables have been prepared (second part) | 428 |
| 126.96.36.199 Check the number of mini-tables, in case of short extensions | 430 |
| 188.8.131.52 Final part of the hint about the sectsty package | 431 |
| 184.108.40.206 Final part of the hint about the varsects package | 431 |
| 220.127.116.11 Final part of the hint about the fncychap package | 432 |
| 18.104.22.168 Final part of the hint about the hangcaption package | 432 |
| 22.214.171.124 Final part of the hint about the quotchap package | 433 |
| 126.96.36.199 Final part of the hint about the romannum package | 433 |
| 188.8.131.52 Final part of the hint about the sfheaders package | 433 |
| 184.108.40.206 Final part of the hint about the alnumsec package | 434 |
| 220.127.116.11 Final part of the hint about the captcont package | 434 |
| 18.104.22.168 Final part of the hint about the caption package | 434 |
| 22.214.171.124 Final part of the hint about the caption2 package | 435 |
| 126.96.36.199 Final part of the hint about the ccaption package | 435 |
| 188.8.131.52 Final part of the hint about the mcaption package | 435 |
| 184.108.40.206 Final part of the hint about the float package | 436 |
| 220.127.116.11 Final part of the hint about the floatrow package | 436 |
| 18.104.22.168 Final part of the hint about the trivfloat package | 436 |
| 22.214.171.124 Final part of the hint about the rotfloat package | 437 |
| 126.96.36.199 Check if empty mini-tables have been detected | 437 |
| 188.8.131.52 Check if obsolete commands have been used | 439 |
| 184.108.40.206 Check if some hints have been written | 440 |
| 9.82 Processing of options | 440 |
| 9.82.1 Processing the insertion option | 441 |
| 9.82.2 Processing the notoccite option | 442 |
| 9.82.3 Processing the listfiles option | 442 |
| 9.82.4 Processing the hints option | 443 |
| 9.82.5 Saving the sectionning commands | 443 |
| 9.83 Trapping the undefined preparation and insertion commands | 444 |
| 9.84 The minitoc-fr.dtx file | 445 |
9.1 Introduction
This very long chapter presents the code of the minitoc package and attempts to explain it. Some comments of the original source file\textsuperscript{1} are skipped, like the history, because they do not need further examination (they will be put in the change history).
The code is split in sections to make the reading easier, and the sections are sometimes reordered to make the reading easier.
Most of the minitoc external commands have \texttt{mtc}, \texttt{ptc}, \texttt{stc}, or one of the mini-table names (\texttt{partttoc}..., \texttt{sectlot}) in their names. Most of the minitoc internal commands have @\texttt{mtc}, @\texttt{ptc}, @\texttt{stc}, or \texttt{partttoc}@..., \texttt{sectlot}@ in their names, or a similar convention. The few exceptions should be explicit enough to not conflict with other packages.
9.2 Identification code
The code of \texttt{minitoc.sty} starts here:
\begin{verbatim}
\NeedsTeXFormat{LaTeX2e}[1996/06/02]
\ProvidesPackage{minitoc}
[2018/07/12 v62 Package minitoc] % message I0000
\RequirePackage{mtcmess}[2006/03/14]
\mtcPackageInfo[I0001]{minitoc}%
{*** minitoc package, version 62 ***\@gobble}
\end{verbatim}
9.3 A file descriptor to write
A file descriptor is needed to write the files containing the mini-tables, it is \texttt{\tf@mtc}. The minitoc package uses only one file descriptor for writing. See section 9.23 on page 286.
\begin{verbatim}
\newwrite\tf@mtc
\end{verbatim}
\textsuperscript{1}The source file of version #42. Version #43 includes the conversion of the package to .dtx-.ins format. Version #42 has not been distributed because of that.
9.4 Indentation and skip
\mtcindent We define the indentation \mtcindent (both sides) of the mini-tables and the command \mtcskip to make a vertical skip before a mini-table, its value is \mtcskipamount (default: \bigskipamount).
\mtcskipamount
\parskip
\addvspace{2476}\newlength\mtcindent
2477\newskip\mtcskipamount
2478\setlength{\mtcskipamount}{\bigskipamount}
2479\def\mtcskip{\parskip=\z@\addvspace{\mtcskipamount}}
Note that \mtcskip uses a local group to avoid the influence of \parskip.
\mtcgapbeforeheads We define the default values for the vertical gaps before and after titles part level mini-tables.
\mtcgapafterheads
2480\def\mtcgapbeforeheads{50\p@}
2481\def\mtcgapafterheads{40\p@}
\@ifundefined\kernafterparttoc\kernafterpartlof\kernafterpartlot\kernaftersecttoc\kernaftersectlof\kernafterminitoc\kernafterminilof\kernafterminilot We define the vertical kernings between the minitable and their before the bottom rule. The names of these macros is rather explicit. The values are empirical and can be changed via \renewcommand.
2482\@ifundefined{part}{}{%\def\kernafterparttoc{\kern-1.\baselineskip\kern.5ex}%
2483\def\kernafterpartlof{\kern-1.\baselineskip\kern.5ex}%
2484\def\kernafterpartlot{\kern-1.\baselineskip\kern.5ex}%
2485\def\kernaftersecttoc{\kern-1.\baselineskip\kern.5ex}%
2486\def\kernaftersectlof{\kern-1.\baselineskip\kern.5ex}%
2487\def\kernaftersectlot{\kern-1.\baselineskip\kern.5ex}%
2488\@ifundefined{chapter}{}{%\@ifundefined{section}{}{%\def\kernaftersecttoc{\kern-1.\baselineskip\kern.5ex}%
2489\def\kernaftersectlof{\kern-1.\baselineskip\kern.5ex}%
2490\def\kernaftersectlot{\kern-1.\baselineskip\kern.5ex}%
2491\def\kernafterminitoc{\kern-.5\baselineskip\kern.5ex}%
2492\def\kernafterminilof{\kern-1.\baselineskip\kern0.ex}%
2493\def\kernafterminilot{\kern-1.\baselineskip\kern0.ex}%
2494}%
2495\def\kernafterminitoc{\kern-.5\baselineskip\kern.5ex}%
2496\def\kernafterminilof{\kern-1.\baselineskip\kern0.ex}%
2497\def\kernafterminilot{\kern-1.\baselineskip\kern0.ex}%
2498}%
2499}
\@ifundefined We defines horizontal offsets by which the margins in the mini-tables are corrected (added to the right margin and subtracted from the left margin). These are commands, not lengths\textsuperscript{2}, to be redefined by \renewcommand.
\ptoffset 2500 \@ifundefined{part}{}{% \def\ptoffset{0pt}%
\ploffset 2501 \def\ploffset{0pt}%
\sloffset 2503 \def\sloffset{0pt}%
\stoffset 2504 }%
\@ifundefined{chapter}{%
\@ifundefined{section}{%
\def\stoffset{0pt}%
\def\sloffset{0pt}%
\def\sloffset{0pt}%
}%
}%
\def\mtoffset{0pt}%
\def\mloffset{0pt}%
\def\mloffset{0pt}%
\ifinparttoc We defines flags which will be true when inside a mini-table of the matching type, false outside.
\ifinpartlof
\ifinpartlot 2518 \newif\ifinparttoc\inparttocfalse%
\ifinminitoc 2519 \newif\ifinpartlof\inpartloffalse%
\ifinminilof 2520 \newif\ifinpartlot\inparttocfalse%
\ifinminilot 2521 \newif\ifinsecttoc\insecttocfalse%
\ifinsecttoc 2522 \newif\ifinsectlof\insectloffalse%
\ifinsectlof 2523 \newif\ifinsectlot\insecttocfalse%
\ifinsectlot 2524 \newif\ifinminitoc\inminitocfalse%
\ifinminilot 2525 \newif\ifinminilof\inminiloffalse%
2526 \newif\ifinminilot\inminilotfalse%
\subsection{Tests and flags}
We need to declare some flags\textsuperscript{3} (via \newif) to detect the loading of some packages or classes and the availability of some commands (this will be used by the hints option (section 9.8.1 on page 414) or to allow the definition of some minitoc commands).
\textsuperscript{2} We avoid to allocate a precious length register.
\textsuperscript{3} Not so many years ago, some authors had a preference for using counters rather than flags, because a flag costs 3 control sequences (\iffoo, \foofalse and \footure), which use memory. But the number of count registers is limited to 256 in the native \TeX engine (much more with e-\TeX [105], but still limited in number), while memory has become rather cheap today. And a code programmed with flags (\iffoo ... \else ... \fi) is easier to structure and debug than a code programmed with counters, \textit{mmio}.
9.5.1 Flags for the hints option
But first, we define some flags for the hints option:
- The flag \if@mtc@hints@ is true if the hints option is required (default).
- The flag \if@mtc@hints@w@ is set true if we detect that some sectionning commands have been altered since the loading of the document class.
- The flag \if@mtc@hints@given@ is set true if the hints option detects something curious and writes messages in the document.log file. It will be used at the end of the document to signal that you should look for hints in the document.log file.
\newif\if@mtc@hints@
\@mtc@hints@true
\newif\if@mtc@hints@w@
\@mtc@hints@w@false
\newif\if@mtc@hints@given@
\@mtc@hints@given@false
9.5.2 Use of section-level mini-lists of floats
We will check if the commands \dosectlof and \dosectlot are used:
\dosectlof
\dosectlot
9.5.3 Presence of some packages and classes
We will check if the placeins package is loaded, then if the memoir is loaded (and if it is a recent enough version), then if the sectsty package is loaded (before or after minitoc).
\newif\if@mtc@placeinsLoaded@
\@mtc@placeinsLoaded@false
\newif\if@mtc@memoirLoaded@
\@mtc@memoirLoaded@false
\newif\if@mtc@memoirnew@
\@mtc@memoirnew@false
\newif\if@mtc@sectstyLoaded@
\@mtc@sectstyLoaded@false
\newif\if@mtc@sectstyLoaded@a@
\@mtc@sectstyLoaded@a@false
We do the same for some caption-related packages:
\newif\if@mtc@captionLoaded@
\@mtc@captionLoaded@false
\newif\if@mtc@captionLoaded@a@
\@mtc@captionLoaded@a@false
\newif\if@mtc@captionIILoaded@
\@mtc@captionIILoaded@false
\newif\if@mtc@captionIILoaded@a@
\@mtc@captionIILoaded@a@false
\newif\if@mtc@ccaptionLoaded@
\@mtc@ccaptionLoaded@false
\newif\if@mtc@ccaptionLoaded@a@
\@mtc@ccaptionLoaded@a@false
\newif\if@mtc@mcaptionLoaded@
\@mtc@mcaptionLoaded@false
\newif\if@mtc@captcontLoaded@
\@mtc@captcontLoaded@false
\if@mtc@varsectsLoaded@ And the varsects package and other packages altering the sectionning commands:
\if@mtc@fncychapLoaded@ \if@mtc@HgcLoaded@ \if@mtc@quotchapLoaded@
\if@mtc@romannumLoaded@ And yet other packages altering the sectionning commands:
\if@mtc@sffheadersLoaded@
9.5.4 Flags for packages dealing with floats
\if@mtc@floatLoaded@ We must warn about a limitation with the float [302], floatrow [285], trivfloat [484], and rotfloat [420] packages.
\if@mtc@trivfloatLoaded@ \if@mtc@rotfloatLoaded@
9.5.5 Insertion of empty mini-tables
\if@mtc@empty@parttoc@
\if@mtc@empty@partlof@
\if@mtc@empty@partlot@
\newif\if@mtc@empty@parttoc@\@mtc@empty@parttoc@false
\newif\if@mtc@empty@partlof@\@mtc@empty@partlof@false
\newif\if@mtc@empty@partlot@\@mtc@empty@partlot@false
\if@mtc@empty@minitoc@
\newif\if@mtc@empty@minitoc@\@mtc@empty@minitoc@false
\if@mtc@empty@minilof@
\newif\if@mtc@empty@minilof@\@mtc@empty@minilof@false
\if@mtc@empty@sectlot@
\newif\if@mtc@empty@sectlot@\@mtc@empty@sectlot@false
\if@mtc@empty@sectlof@
\newif\if@mtc@empty@sectlof@\@mtc@empty@sectlof@false
9.5.6 Presence or absence of some sectionning commands
We define and set flags about the presence of the sectionning commands (in fact, the counters associated with these commands).
\if@mtc@part@def@ The part counter:
\newif\if@mtc@part@def@\@mtc@part@def@false
\@ifundefined{part}{\@mtc@part@def@false}{\@mtc@part@def@true}
\if@mtc@chapter@def@ The chapter counter:
\newif\if@mtc@chapter@def@\@mtc@chapter@def@false
\@ifundefined{chapter}{\@mtc@chapter@def@false}{\@mtc@chapter@def@true}
\if@mtc@section@def@ The section counter:
\newif\if@mtc@section@def@\@mtc@section@def@false
\@ifundefined{section}{\@mtc@section@def@false}{\@mtc@section@def@true}
We define and set flags about the absence of the sectionning commands.
\if@mtc@part@undef@ The part counter:
\newif\if@mtc@part@undef@\@mtc@part@undef@true
\@ifundefined{part}{\@mtc@part@undef@true}{\@mtc@part@undef@false}
\if@mtc@chapter@undef@ The chapter counter:
2581 \newif\if@mtc@chapter@undef@ \omtc@chapter@undef@true
2582 \ifundefined{chapter}{\@mtc@chapter@undef@true}{\@mtc@chapter@undef@false}
\if@mtc@section@undef@ The section counter:
2583 \newif\if@mtc@section@undef@ \omtc@section@undef@true
2584 \ifundefined{section}{\@mtc@section@undef@true}{\@mtc@section@undef@false}
9.5.7 Flags to check if some commands are used
We define a pair of flags for each mini-table type: one for the command itself and one for the preparation command (\do...). These flags will be used by the hints package option (section 9.8.1 on page 414).
\if@parttoc@used@ For the part level:
\if@partlof@used@
\if@partlot@used@ 2585 \newif\if@parttoc@used@ \global \@parttoc@used@false
\if@doparttoc@used@ 2586 \newif\if@partlof@used@ \global \@partlof@used@false
\if@dopartlot@used@ 2587 \newif\if@partlot@used@ \global \@partlot@used@false
\if@doparttoc@used@ 2588 \newif\if@doparttoc@used@ \global \doparttoc@used@false
2589 \newif\if@dopartlof@used@ \global \@dopartlof@used@false
2590 \newif\if@dopartlot@used@ \global \@dopartlot@used@false
\if@minitoc@used@ For the chapter level:
\if@minilof@used@
\if@minilot@used@ 2591 \newif\if@minitoc@used@ \global \@minitoc@used@false
\if@dominitoc@used@ 2592 \newif\if@minilof@used@ \global \@minilof@used@false
\if@dominilot@used@ 2593 \newif\if@minilot@used@ \global \@minilot@used@false
\if@dominitoc@used@ 2594 \newif\if@dominitoc@used@ \global \dominitoc@used@false
2595 \newif\if@dominilof@used@ \global \dominilof@used@false
2596 \newif\if@dominilot@used@ \global \dominilot@used@false
\if@secttoc@used@ For the section level:
\if@sectlof@used@
\if@sectlot@used@ 2597 \newif\if@secttoc@used@ \global \@secttoc@used@false
\if@dosecttoc@used@ 2598 \newif\if@sectlof@used@ \global \@sectlof@used@false
\if@dosectlot@used@ 2599 \newif\if@sectlot@used@ \global \@sectlot@used@false
\if@dosecttoc@used@ 2600 \newif\if@dosecttoc@used@ \global \dosecttoc@used@false
2601 \newif\if@dosectlof@used@ \global \dosectlof@used@false
2602 \newif\if@dosectlot@used@ \global \dosectlot@used@false
We also detect the use of some obsolete commands:
\if@firstpartis@used@
\if@firstchapteris@used@
\if@firstsectionis@used@
In French, the ordinal adjective is “deuxième” if the second object is not the last object, but “second” (masculine) or “seconde” (feminine) when it is also the last one (see [251, page 204]). So we define a specific flag:
\newif\ifmtcsecondpart \mtcsecondpartfalse
At the beginning of the document, we test this flag and make it global:
\AtBeginDocument{\ifmtcsecondpart \global\mtcsecondparttrue \else \global\mtcsecondpartfalse \fi}
At the end of the document, we set and memorize the value of the flag in the .aux file:
\AtEndDocument{\ifnum\value{part}=2\relax \mtcsecondparttrue \else \mtcsecondpartfalse \fi \if@filesw \ifmtcsecondpart \immediate\write\@mainaux {\string\global\string\mtcsecondparttrue} \else \immediate\write\@mainaux {\string\global\string\mtcsecondpartfalse} \fi \fi}
So we need two LaTeX runs to get a correct result. The french2.mld language definition file (see section 13.62 on page 498) uses this trick to form the titles of part level mini-tables. See the mtc-2nd.tex example file in section 4.2 on page 92.
9.6 Preparation for the notoccite option
We declare a flag for the presence of this option and the new internal “hook” command (redefinable command) \mtc@hook@beforeinputfile, used by this option (this has been requested by Donald Arseneau for his notoccite package [14]). See section 1.6 on page 52.
\newif\if@mtc@notoccite@
\if@mtc@notoccite@\mtc@notoccite@false
\@ifundefined{mtc@hook@beforeinputfile}%
{\let\mtc@hook@beforeinputfile\relax}{}
9.7 Preparation for the tight and k-tight options
We just declare a flag for each of these options; they are set false by default (loose and k-loose options):
\newif\iftightmtc\tightmtcfalse
\newif\ifktightmtc\ktightmtcfalse
9.8 Preparation to work with hyperref
This code prepares the interface with the hyperref package [390]. A flag is defined, then this preparation is performed in an \AtBeginDocument block if this package is loaded. This action defines some commands for the hyperref package.
\mtcPackageInfo[I0005]{minitoc}{compatible with hyperref\gobble}
\newif\if@mtc@hyper@used@\global\@mtc@hyper@used@false
\AtBeginDocument{%
\ifpackageloaded{hyperref}{%
\global\@mtc@hyper@used@true
\def\toclevel@xpart{1000}%
\def\toclevel@xchapter{1000}%
\def\toclevel@xsect{1000}%
\let\toclevel@starpart\toclevel@part
\let\toclevel@starchapter\toclevel@chapter
\let\toclevel@starsection\toclevel@section
\let\toclevel@starsubsection\toclevel@subsection
\let\toclevel@starssubsection\toclevel@subsubsection
\let\toclevel@starparagraph\toclevel@paragraph
\let\toclevel@starssubparagraph\toclevel@subparagraph
}}%
9.9 Checking the presence of some packages
9.9.1 Check if the sectsty package is loaded, and when
We must test if the sectsty package [319] is loaded before or after minitoc, so we test when minitoc is loaded and also in an \AtBeginDocument block, when all packages have been loaded. See section 220.127.116.11 on page 431.
\AtBeginDocument
\if@mtc@sectstyLoaded@\fi
\if@mtc@sectstyLoaded@a@
\ifpackageloaded
\ifpackageloaded{sectsty}{\@mtc@sectstyLoaded@true}{}%
\AtBeginDocument{\ifpackageloaded{sectsty}{\@mtc@sectstyLoaded@a@true}{}}
9.9.2 Check if the varsects package is loaded, and when
We must test if the varsects package [437] is loaded before or after minitoc, so we test when minitoc is loaded and also in an \AtBeginDocument block, when all packages have been loaded. See section 18.104.22.168 on page 431.
\ifpackageloaded
\AtBeginDocument
\if@mtc@varsectsLoaded@\fi
\if@mtc@varsectsLoaded@a@
\ifpackageloaded{varsects}{\@mtc@varsectsLoaded@true}{}%
\AtBeginDocument{\ifpackageloaded{varsects}{\@mtc@varsectsLoaded@a@true}{}}
9.9.3 Check if the fncychap package is loaded, and when
We must test if the fncychap package [301] is loaded before or after minitoc, so we test when minitoc is loaded and also in an \AtBeginDocument block, when all packages have been loaded. See section 22.214.171.124 on page 432.
\ifpackageloaded
\AtBeginDocument
\if@mtc@fncychapLoaded@\fi
\if@mtc@fncychapLoaded@a@
\ifpackageloaded{fncychap}{\@mtc@fncychapLoaded@true}{}%
\AtBeginDocument{\ifpackageloaded{fncychap}{\@mtc@fncychapLoaded@a@true}{}}
9.9.4 Check if the hangcaption package is loaded, and when
We must test if the hangcaption package [250] is loaded before or after minitoc, so we test when minitoc is loaded and also in an \AtBeginDocument block, when all packages have been loaded. See section 126.96.36.199 on page 432.
\ifpackageloaded
\AtBeginDocument
\if@mtc@HgcLoaded@\fi
\if@mtc@HgcLoaded@a@
\ifpackageloaded{hangcaption}{\@mtc@HgcLoaded@true}{}%
\AtBeginDocument{\ifpackageloaded{hangcaption}{\@mtc@HgcLoaded@a@true}{}%
9.9.5 Check if the quotchap package is loaded, and when
We must test if the quotchap package [442] is loaded before or after minitoc, so we test when minitoc is loaded and also in an \AtBeginDocument block, when all packages have been loaded. See section 188.8.131.52 on page 433.
\ifpackageloaded{quotchap}{\@mtc@quotchapLoaded@true}{}%
\AtBeginDocument{\ifpackageloaded{quotchap}{\@mtc@quotchapLoaded@a@true}{}}
9.9.6 Check if the romannum package is loaded, and when
We must test if the romannum package [480] is loaded before or after minitoc, so we test when minitoc is loaded and also in an \AtBeginDocument block, when all packages have been loaded. See section 184.108.40.206 on page 433.
\ifpackageloaded{romannum}{\@mtc@romannumLoaded@true}{}%
\AtBeginDocument{\ifpackageloaded{romannum}{\@mtc@romannumLoaded@a@true}{}}
9.9.7 Check if the sfheaders package is loaded, and when
We must test if the sfheaders package [304] is loaded before or after minitoc, so we test when minitoc is loaded and also in an \AtBeginDocument block, when all packages have been loaded. See section 220.127.116.11 on page 433.
\ifpackageloaded{sfheaders}{\@mtc@sfheadersLoaded@true}{}%
\AtBeginDocument{\ifpackageloaded{sfheaders}{\@mtc@sfheadersLoaded@a@true}{}}
9.9.8 Check if the alnumsec package is loaded, and when
We must test if the alnumsec package [274] is loaded before or after minitoc, so we test when minitoc is loaded and also in an \AtBeginDocument block, when all packages have been loaded. See section 18.104.22.168 on page 434.
\ifpackageloaded{alnumsec}{\@mtc@alnumsecLoaded@true}{}%
\AtBeginDocument{\ifpackageloaded{alnumsec}{\@mtc@alnumsecLoaded@a@true}{}%
9.9.9 Check if the `captcont` package is loaded, and when
We must test if the `captcont` package [131] is loaded before or after `minitoc`, so we test when `minitoc` is loaded and also in an `\AtBeginDocument` block, when all packages have been loaded. See section 22.214.171.124 on page 434.
\ifpackageloaded{captcont}{\@mtc@captcontLoaded@true}{}%
\AtBeginDocument{\ifpackageloaded{captcont}{\@mtc@captcontLoaded@a@true}{}}
9.9.10 Check if the `caption` package is loaded, and when
We must test if the `caption` package [421, 422, 424] is loaded before or after `minitoc`, so we test when `minitoc` is loaded and also in an `\AtBeginDocument` block, when all packages have been loaded. See section 126.96.36.199 on page 434.
\ifpackageloaded{caption}{\@mtc@captionLoaded@true}{}%
\AtBeginDocument{\ifpackageloaded{caption}{\@mtc@captionLoaded@a@true}{}}
9.9.11 Check if the `caption2` package is loaded, and when
We must test if the `caption2` package [423] is loaded before or after `minitoc`, so we test when `minitoc` is loaded and also in an `\AtBeginDocument` block, when all packages have been loaded. See section 188.8.131.52 on page 435.
\ifpackageloaded{caption2}{\@mtc@captionIILoaded@true}{}%
\AtBeginDocument{\ifpackageloaded{caption2}{\@mtc@captionIILoaded@a@true}{}}
9.9.12 Check if the `ccaption` package is loaded, and when
We must test if the `ccaption` package [474] is loaded before or after `minitoc`, so we test when `minitoc` is loaded and also in an `\AtBeginDocument` block, when all packages have been loaded. See section 184.108.40.206 on page 435.
\ifpackageloaded{ccaption}{\@mtc@ccaptionLoaded@true}{}%
\AtBeginDocument{\ifpackageloaded{ccaption}{\@mtc@ccaptionLoaded@a@true}{}%
9.9.13 Check if the mcaption package is loaded, and when
We must test if the mcaption package [228] is loaded before or after minitoc, so we test when minitoc is loaded and also in an \AtBeginDocument block, when all packages have been loaded. See section 220.127.116.11 on page 435.
\ifpackageloaded{mcaption}{\@mtc@mcaptionLoaded@true}{}%
\AtBeginDocument{\ifpackageloaded{mcaption}{\@mtc@mcaptionLoaded@a@true}{}}
9.9.14 Check if the float package is loaded
We must test if the float package [302] is loaded in the preamble, so we use an \AtBeginDocument block. See section 18.104.22.168 on page 436.
\AtBeginDocument{\ifpackageloaded{float}{\@mtc@floatLoaded@true}{}}
9.9.15 Check if the floatrow package is loaded
We must test if the floatrow package [285] is loaded in the preamble, so we use an \AtBeginDocument block. See section 22.214.171.124 on page 436.
\AtBeginDocument{\ifpackageloaded{floatrow}{\@mtc@floatrowLoaded@true}{}}
9.9.16 Check if the trivfloat package is loaded
We must test if the trivfloat package [484] is loaded in the preamble, so we use an \AtBeginDocument block. See section 126.96.36.199 on page 436.
\AtBeginDocument{\ifpackageloaded{trivfloat}{\@mtc@trivfloatLoaded@true}{}}
9.9.17 Check if the rotfloat package is loaded
We must test if the rotfloat package [420] is loaded in the preamble, so we use an \AtBeginDocument block. See section 188.8.131.52 on page 437.
\AtBeginDocument{\ifpackageloaded{rotfloat}{\@mtc@rotfloatLoaded@true}{}%
9.10 Is the memoir class loaded?
We test if the memoir [479, 481, 482] class is loaded. This class needs some compatibility adjustments or may be incompatible if too recent. In the later case, a patch is inserted (see chapter 12 on page 465). This correction is no more necessary after the 2005/09/25 version of memoir.cls.
\if@mtc@memoirLoaded
\if@mtc@memoirnew
\if@mtcpatchmemoir
\newif\if@mtcpatchmemoir@
\@mtcpatchmemoir@false
\ifclassloaded{memoir}%
{\@mtc@memoirLoaded@true\relax%
\mtcPackageInfo[I0030]{minitoc}%
{the memoir class is loaded: \MessageBreak
compatibility attempted\@gobble}%
{\@mtc@memoirLoaded@false}
\if@mtc@memoirLoaded@
\ifundefined{\m@chapter}%
{\@mtc@memoirnew@false\mtcPackageInfo[I0020]{minitoc}%
{old version of the memoir class\@gobble}}
{\@mtc@memoirnew@true\mtcPackageInfo[I0027]{minitoc}%
{recent version of the memoir class\@gobble}
\mtcPackageInfo[I0032]{minitoc}%
{This version of the memoir class uses
\MessageBreak
a version of \string\chapter\space which is
\MessageBreak
incompatible with the minitoc package.
\MessageBreak
We try to patch\@gobble}%
\@mtcpatchmemoir@true}
\fi
\if@mtcpatchmemoir@
And now the patch:
\if@mtcpatchmemoir@
\IffileExists{mtcpatchmem.sty}{%
\ifclasslater{memoir}{2005/09/25}{}{\RequirePackage{mtcpatchmem}}}{%
\mtcPackageError[E0028]{minitoc}%
{Unable to patch the memoir class}%
{So it remains incompatible. Sorry.}}
\fi
9.11 Testing the emptiness of a file
Some macros for testing if an argument of a macro is empty (taken from the package ifmtarg [483], by Peter R. Wilson and Donald Arseneau, and from while.tip, by
\mtc@ifmtarg
\mtc@ifmtarg ifmtarg [483], by Peter R. Wilson and Donald Arseneau, and from while.tip, by
\mtc@WhilePreCondition
\mtc@WhileCondition
\mtc@WhileBody
\mtc@While
\mtc@WhileNext
Stephan P. von Bechtolsheim [460, Vol III, page 408]). The group is necessary to keep local
the catcode change of “Q”, hence a \gdef is needed for \mtc@ifmtarg.
\begin{group}
\catcode`Q=3
\long\gdef\mtc@ifmtarg#1{%
\mtc@xfmtarg#1Q\@secondoftwo\@firstoftwo\nil}
\long\gdef\mtc@xfmtarg#1#2#3#4#5\nil{#4}
\end{group}
\let\mtc@EndWhile = \fi
\def\mtc@While #1#2#3\mtc@EndWhile{%
\def\mtc@WhilePreCondition{#1}%
\def\mtc@WhileCondition{#2}%
\def\mtc@WhileBody{#3}%
\mtc@@While
}
\def\mtc@@While{%
\mtc@WhilePreCondition
\mtc@WhileCondition
\def\mtc@WhileNext{%
\mtc@WhileBody
\mtc@@While
}%
\else
\def\mtc@WhileNext{}%
\fi
\mtc@WhileNext
}
\if@mtc@checkfiles Some macros to test if a file is empty or not: \mtc@CkFile{file} returns \mtc@Ftrue
\if@mtc@FE if the file is empty, \mtc@Ffalse if the is file not empty. An inexistent file is empty.
\if@mtc@LI A file full of white space (space, tabulation, newline) is empty. Comments are empty.
\mtc@While
\mtc@Body
\mtc@EndWhile
\mtc@CkFile
\mtc@CkStr
\mtc@Rline
\newif\if@mtc@LI\@mtc@LItrue
\newif\if@mtc@FE\@mtc@Ftrue
\if@mtc@checkfiles\@mtc@checkfilestrue
\def\mtc@Body{\immediate\read\@inputcheck to \mtc@Rline\relax
\ifeof\@inputcheck\relax\@mtc@LIfalse\fi
\expandafter\ifx\mtc@Rline\par\relax
\def\mtc@Rline{}
\else
\ifeof\@inputcheck\relax\global\@mtc@LIfalse\fi
\mtc@ifmtarg{\mtc@Rline}{\relax}{\@mtc@Ffalse\@mtc@LIfalse}
\fi}
\def\mtc@CkFile#1{%
\@mtc@LItrue\@mtc@Ftrue
\if@mtc@checkfiles
\IfFileExists{\#1}%
{\immediate\openin\@inputcheck \#1\relax
\mtc@While{}{\if@mtc@LI\relax}{\mtc@Body}\mtc@EndWhile}%
{\@mtc@Ftrue%
\fi}
\closein\@inputcheck\relax
\def\mtc@CKStr{\#1}%
\immediate\openout\@mtc \jobname.mtc
\immediate\write\@mtc{\mtc@F}
\immediate\closeout\@mtc
\mtc@CkFile{\jobname.mtc}%
\immediate\openout\@mtc \jobname.mtc
\immediate\closeout\@mtc
9.12 Internal macros to decrement minitoc counters
\mtc@onebackpart
\mtc@onebackchapter
\mtc@onebacksection
\addtocounter
\def\mtc@onebackpart{\addtocounter{ptc}{-1}}
\def\mtc@onebackchap{\addtocounter{mtc}{-1}}
\def\mtc@onebacksect{\addtocounter{stc}{-1}}
9.13 Patching the \part command
\part
If the \part command is not defined (by the document class, usually), we cannot patch it and a warning is displayed\footnote{Document classes with sectionning commands but no \part command are likely non standard, hence the warning displayed on the terminal.}. Else, we patch its two branches, \@part (for the unstarred version) or \@spart (for the starred version, \part*): we add \stepcounter{ptc} to increment the parttoc counter ptc. See also section 9.51 on page 338.
\mtc@svspart
The code of the next section (section 9.14 on the following page) is also skipped if \part is not defined.
\@ifundefined{part}%
{\mtcPackageWarningNoLine[W0018]{minitoc}%
{part level macros NOT available}%
}{% else undefined part (\part defined)
\mtcPackageInfo[I0023]{minitoc}%
{part level macros available@\gobble}%
\let\mtc@svspart\@spart}
9.14 Adding an entry in the TOC for a starred part
To add an entry in the TOC for a starred part, we need the \mtcaddpart macro, which has an optional argument, the title of the part as if should appear in the TOC.
By default, this argument is empty. If it is empty (tested via \mtc@ifmtag) or omitted, we add a \contentsline{xpart}{}... line in the .toc file. If it is not empty, we add a \contentsline{xpart}{title...}... line in the .toc file. We always add a \contentsline{xpart}{}... line in the .lof and .lot files. Then we increment the ptc counter, via \adjustptc (defined in section 9.45 on page 325). Using xpart as first argument of \contentsline means that \l@xpart will be invoked in place of \l@part to print the entry in the TOC, but \l@xpart uses a huge depth (10 000) for this entry, hence it will never be really printed (except if you cheat).
\newcommand{\mtcaddpart}[1][]{%
\mtc@ifmtag{#1}{\addcontentsline{toc}{xpart}{}}
{\addcontentsline{toc}{part}{#1}}
\addcontentsline{lof}{xpart}{}%
\addcontentsline{lot}{xpart}{}%
\adjustptc}
This code terminates (temporarily) the part level commands.
9.15 Section level macros
The section level macros are defined if \chapter is not defined and \section defined, i.e., in document classes like article, but not in document classes like book or report. So we test if \chapter is defined and if \section is defined, with adequate warnings. If neither are defined, you are in big trouble to use the minitoc package with the class of your document.
\@ifundefined{chapter}{\mtcPackageInfo[I0004]{minitoc}%
{chapter level macros NOT available}\@gobble}%
\@ifundefined{section}{\mtcPackageInfo[I0029]{minitoc}%
{section level macros NOT available}\@gobble}%
\mtcPackageWarningNoLine[W0017]{minitoc}%
{no section or chapter level macros available}%
\MessageBreak
9.16 Corrections for numbering
As the TOC, the LOF and the LOT are considered as (starred) sections, we must decrement the secttoc counter (stc) via \mtc@onebacksect when the corresponding commands are executed. Hence we patch these commands.
\let\mtcsv@tableofcontents\tableofcontents
\let\mtcsv@listoffigures\listoffigures
\let\mtcsv@listoftables\listoftables
\def\tableofcontents{\mtcsv@tableofcontents\mtc@onebacksect}
\def\listoffigures{\mtcsv@listoffigures\mtc@onebacksect}
\def\listoftables{\mtcsv@listoftables\mtc@onebacksect}
9.17 Patching the \section command
If the \section command is not defined (by the document class, usually), we cannot patch it and a warning is displayed. Else, we patch its two branches, \@sect (for the unstarred version) or \@ssect (for the starred version, \section*): we add \stepcounter{stc} to increment the secttoc counter stc, only in the unstarred case\footnote{Version #25 has removed a spurious decrementation of this counter.}.
\let\mtcsvsection\section
\def\section{\stepcounter{stc}\mtcsvsection}
\let\mtcsvss@ssect
9.18 Adding an entry in the TOC for a starred section
To add an entry in the TOC for a starred section, we need the \mtcaddsection macro, which has an optional argument, the title of the section as it should appear in the TOC. By default, this argument is empty. If it is empty (tested via \mtc@ifmtarg) or omitted, we add a \contentsline{xsect}{}... line in the .toc file. If it is not empty, we add a \contentsline{section}{title...}... line in the .toc file. We always add a \contentsline{xsect}{}... line in the .lof and .lot files. Then we increment the stc counter, via \adjuststc (this command is defined in section 9.54 on page 349). Using xsect as first argument of \contentsline means that \l@xsect will be invoked in place.
of \l@section to print the entry in the TOC, but \l@xsect uses a huge depth (10 000) for this entry, hence it will never be really printed (except if you cheat).
\newcommand{\mtcaddsection}[1][]{
\mtc@ifmtarg{#1}{\addcontentsline{toc}{xsect}{}}
{\addcontentsline{lof}{xsect}{\section{#1}}}
\addcontentsline{lot}{xsect}{}
\adjuststc
}
This code terminates (temporarily) the section level commands, and we continue with chapter level macros.
9.19 Chapter level macros
The chapter level macros are defined if \chapter is defined, i.e., in document classes like book or report. So we test if \chapter is defined, with adequate warnings. The test is already done above, we are in the "else" branch of \ifundefined{chapter}.
\mtcPackageInfo[10003]{minitoc}{chapter level macros available@gobble}
9.20 Patching the \chapter command
The \chapter command is defined (by the document class, usually). We patch its two branches, \@chapter (for the unstarred version) or \@schapter (for the starred version, \chapter*): we add call to \stepcounter{mtc} to increment the minitoc counter mtc. Only the unstarred branch (\@chapter) is patched here. The other branch is patched later (section 9.36 on page 308).
\let\mtc@svchapter\@chapter
\def\@chapter{\stepcounter{mtc}\mtc@svchapter}
9.21 Adding an entry in the TOC for a starred chapter
To add an entry in the TOC for a starred chapter, we need the \mtcaddchapter macro, which has an optional argument, the title of the chapter as if should appear in the TOC. By default, this argument is empty. If it is empty (tested via \mtc@ifmtarg) or omitted, we add a \contentsline{xchapter}{}... line in the .toc file. If it is not empty, we
add a \contentsline{chapter}{title...}... line in the .toc file. We always add a \contentsline{xchapter}{}... line in the .lof and .lot files. Then we increment the mtc counter, via \adjustmtc (defined in section 9.31 on page 295). Using xchapter as first argument of \contentsline means that \1xchapter will be invoked in place of \1chapter to print the entry in the TOC, but \1xchapter uses a huge depth (10000) for this entry, hence it will never be really printed (except if you cheat).
\newcommand{\mtcaddchapter}[1][]{
\mtc@ifmtarg{#1}{\addcontentsline{toc}{xchapter}{}}%
{\addcontentsline{toc}{chapter}{#1}}%
\addcontentsline{lof}{xchapter}{}
\addcontentsline{lot}{xchapter}{}
\adjustmtc
}
This code terminates (temporarily) the chapter level commands, i.e., terminates the \@ifundefined{chapter} at the beginning of section 9.15 on page 282.
### 9.22 Miscellaneous declarations
The \newread command must be redeclared as being \outer (as Donald Arseneau told me). We need a token register (\mtc@toks), a temporary string (\mtc@string), struts (two kinds, each one using a box containing an invisible vertical rule), a rule with all dimensions equal to zero (\mtc@zrule) and a command discouraging page breaks (\mtc@BBR, for “bad break”). For the struts, which are boxes containing an invisible vertical rule, we use “ex” units, to follow the current font.
\def\newread{\alloc@6\read\chardef\sixt@n}
\newtoks\mtc@toks
\def\mtc@string{\relax}
\def\mtc@zrule{\setbox\mtc@strutbox=\hbox{\rule[1.8ex]{\z@}{2.5ex}}
\def\mtc@strut{\relax\ifmmode\copy\mtc@strutbox
\else\nhcopy\mtc@strutbox\fi}
\def\mtc@hstrut{\relax\ifmmode\copy\mtc@hstrutbox
\else\nhcopy\mtc@hstrutbox\fi}
\def\mtc@vf{\leavevmode\mtc@strut}
\def\mtc@zrule{\rule[\z@]{\z@}{\z@}}
\def\mtc@BBR{\unpenalty\nopagebreak[4]}
9.23 Autoconfiguration of extensions
This code is a trick to determine if the operating system is able or unable to use long extensions (> 3 characters) in file names. We define a file descriptor (\tf@mtc) to write files\footnote{It is the \textit{only} new file descriptor created by the minitoc package. All files written by minitoc use this descriptor, or one of the standard descriptors, e.g., for the \texttt{document.log} file. In fact, minitoc writes also in the .toc, .lof and .lot files, but via file descriptors already used by standard commands like \texttt{\tableofcontents}, \texttt{\listoffigures} and \texttt{\listoftables}. We can conclude that minitoc itself uses only one file descriptor (or write stream). Some other attempts to make per chapter TOCs have failed by quickly leading to exhaustion of file descriptors (TeX offers only 16 file descriptors for writing), because they called the standard internal \texttt{\starttoc} macro, which invokes \texttt{\newwrite}, for each mini-table. As minitoc writes into only one file at a time (and in the \texttt{document.log} file, and in the standard contents files, of course), we can reuse the same file descriptor and avoid this serious problem (which was present in the original version of the package). The minitoc package writes in the contents files when it encounters a major sectioning command (\texttt{\part}, \texttt{\chapter}, or \texttt{\section}), if necessary. It writes into the mini-table auxiliary files only via the mini-table preparing commands (\texttt{\doparttoc}, \ldots, \texttt{\dosectlot}), once at a time. You do not need a new hammer for each nail.}. This code is verbose if long extensions cannot be used, else the messages are only written in the \texttt{document.log} file. The sequencing of these operations is vital. The table 9.1 shows this sequence. A star (*) denotes which file is read in phase 3.
\begin{table}[h]
\centering
\begin{tabular}{l l l l}
Phase (time runs from left to right): & 1 & 2 & 3 \\
\hline
OS with long extensions & \jobname.mtc0 & TRUE & TRUE * \\
& \jobname.mtc & FALSE & \\
OS with short extensions & \jobname.mtc(0) & TRUE & FALSE * \\
\end{tabular}
\caption{Trick to detect the limitation to short extensions}
\end{table}
\begin{verbatim}
\newif\if@mtc@longext@\tf@mtc
\immediate\openout\tf@mtc\jobname.mtc
\write\tf@mtc{\string\@mtc@longext@true}
\immediate\closeout\tf@mtc
\newif\if@mtc@longext@\tf@mtc
\immediate\openout\tf@mtc\jobname.mtc
\write\tf@mtc{\string\@mtc@longext@false}
\immediate\closeout\tf@mtc
\input{\jobname.mtc0}
\newif\if@mtc@longext@\tf@mtc
\immediate\openout\tf@mtc\jobname.mtc
\write\tf@mtc{\string\@mtc@longext@true}
\immediate\closeout\tf@mtc
\input{\jobname.mtc0}
\newif\if@mtc@longext@\tf@mtc
\immediate\openout\tf@mtc\jobname.mtc
\write\tf@mtc{\string\@mtc@longext@false}
\immediate\closeout\tf@mtc
\input{\jobname.mtc0}
\end{verbatim}
\jobname.mtc. The text and the severity of the messages are different.
\if@mtc@longext@
\mtcPackageInfo[10012]{minitoc}%
{Long extensions (Unix-like) will be used\gobble}
\mtcPackageInfo[10031]{minitoc}%
{===> this version is configured for UNIX-like
\MessageBreak
\space\space\space\space(long extensions) file names\gobble}%
\else
\mtcPackageWarningNoLine[W0019]{minitoc}%
{Short extensions (MSDOS-like) will be used
\MessageBreak
===> this version is configured for MSDOS-like
\MessageBreak
\space\space\space\space(8+3) file names}
\fi
(5) We erase the contents of the two files (because \jobname.mtc is also used later as a scratch file, see section 9.11 on page 279).
\immediate\openout\tf@mtc \jobname.mtc
\immediate\closeout\tf@mtc
\immediate\openout\tf@mtc \jobname.mtc0
\immediate\closeout\tf@mtc
9.24 Detecting obsolete versions of \LaTeX
This code detects old versions of the \LaTeX kernel that are no more supported and with which the minitoc package can hardly work. The trick is to detect the absence of some internal \LaTeX commands, \@inputcheck and \reset@font. If you get one of these messages, your are in bad luck and should urgently update your \LaTeX installation, which is just rusting since... a lot of years!
\@ifundefined{@inputcheck}%
{\mtcPackageWarningNoLine[W0021]{minitoc}%
{Your version of latex.tex is obsolete.
\MessageBreak
Trying to continue..}\newread@\inputcheck\relax}{}%
\@ifundefined{reset@font}%
{\mtcPackageWarningNoLine[W0022]{minitoc}%
{Your version of latex.tex is very obsolete.
\MessageBreak
Trying to continue... crossing fingers}%
\let\reset@font\relax}{}
9.25 Adding a TOC entry without leaders nor page numbers
The (internal) macro \undottedtocline is a modified version of the standard command \dottedtocline. It will be used in customization macros.
\newif\ifundottedmtc
\undottedmtcfalse
\def\undottedtocline#1#2#3#4#5{%
\ifnum #1>\c@tocdepth\relax \else
\vskip \z@ plus .2\p@
{\leftskip #2\relax \rightskip \z@skip \parfillskip -\rightskip
\parindent #2\relax\@afterindenttrue
\interlinepenalty\@M
\leavevmode
\tempdima #3\relax \advance\leftskip \tempdima \hbox{}%
\hskip -\leftskip
#4\nobreak\hfill \nobreak
\null\par}%
\fi}
9.26 Default values for the page-number customizations
This section defines some customization macros for the presence or absence of page numbers in the mini-tables. But if the memoir class [479, 481, 482] is loaded, it does the job. So, we test first \if@mtc@memoirLoaded@ to use the commands of memoir when they are available.
\if@mtc@memoirLoaded@
For entries in minitocs:
\mtcpagenumbers
\nomtcpagenumbers
\def\mtcpagenumbers{%
\cftpagenumberson{section}
\cftpagenumberson{subsection}
\cftpagenumberson{subsubsection}
\cftpagenumberson{paragraph}
\cftpagenumberson{subparagraph}}
\def\nomtcpagenumbers{%
\cftpagenumbersoff{section}
\cftpagenumbersoff{subsection}
\cftpagenumbersoff{subsubsection}
\cftpagenumbersoff{paragraph}
\cftpagenumbersoff{subparagraph}}
\stcpagenumbers For entries in sectttocs:
\nostcpagenumbers
2898 \def\stcpagenumbers{%
2899 \cftpagenumberson{\subsection}
2900 \cftpagenumberson{\subsubsection}
2901 \cftpagenumberson{\paragraph}
2902 \cftpagenumberson{\subparagraph}}
2903 \def\nostcpagenumbers{%
2904 \cftpagenumbersoff{\subsection}
2905 \cftpagenumbersoff{\subsubsection}
2906 \cftpagenumbersoff{\paragraph}
2907 \cftpagenumbersoff{\subparagraph}}
\ptcpagenumbers For entries in partttocs:
\noptcpagenumbers
2908 \def\ptcpagenumbers{%
2909 \cftpagenumberson{\chapter}
2910 \cftpagenumberson{\section}
2911 \cftpagenumberson{\subsection}
2912 \cftpagenumberson{\subsubsection}
2913 \cftpagenumberson{\paragraph}
2914 \cftpagenumberson{\subparagraph}}
2915 \def\noptcpagenumbers{%
2916 \cftpagenumbersoff{\chapter}
2917 \cftpagenumbersoff{\section}
2918 \cftpagenumbersoff{\subsection}
2919 \cftpagenumbersoff{\subsubsection}
2920 \cftpagenumbersoff{\paragraph}
2921 \cftpagenumbersoff{\subparagraph}}
\mlfpagenumbers For entries in minilofs, sectlofs, and partlofs:
\nomlfpagenumbers
2922 \def\mlfpagenumbers{\cftpagenumberson{\figure}}
2923 \def\nomlfpagenumbers{\cftpagenumbersoff{\figure}}
2924 \def\slfpagenumbers{\cftpagenumberson{\figure}}
2925 \def\noslfpagenumbers{\cftpagenumbersoff{\figure}}
2926 \def\plfpagenumbers{\cftpagenumberson{\figure}}
2927 \def\noplfpagenumbers{\cftpagenumbersoff{\figure}}
\mltpagenumbers For entries in minilots, sectlots, and partlots:
\nomltpagenumbers
2928 \def\mltpagenumbers{\cftpagenumberson{\table}}
2929 \def\nomltpagenumbers{\cftpagenumbersoff{\table}}
2930 \def\sltpagenumbers{\cftpagenumberson{\table}}
2931 \def\nosltpagenumbers{\cftpagenumbersoff{\table}}
2932 \def\pltpagenumbers{\cftpagenumberson{\table}}
2933 \def\nopltpagenumbers{\cftpagenumbersoff{\table}}
Else, minitoc will use its own commands.
\else
\mtcpagenumbers First, for minitocs, secttocss and parttocss:
\nomtcpagenumbers
\mlfpagenumbers \def\mtcpagenumbers{\let\mtc@pgno\null}
\nomlfpagenumbers \def\nomtcpagenumbers{\let\mtc@pgno\relax}
\mltpagenumbers \def\stcpagenumbers{\let\stc@pgno\null}
\nomltpagenumbers \def\nostcpagenumbers{\let\stc@pgno\relax}
\ptcpagenumbers \def\ptcpagenumbers{\let\ptc@pgno\null}
\noptcpagenumbers \def\noptcpagenumbers{\let\ptc@pgno\relax}
\mlfpagenumbers Then, for minilofs, sectlofs and partlofs:
\nomlfpagenumbers
\mlfpagenumbers \def\mlfpagenumbers{\let\mlf@pgno\null}
\nomlfpagenumbers \def\nomlfpagenumbers{\let\mlf@pgno\relax}
\mltpagenumbers \def\s1fpagenumbers{\let\s1f@pgno\null}
\nomltpagenumbers \def\nos1fpagenumbers{\let\s1f@pgno\relax}
\plfpagenumbers \def\plfpagenumbers{\let\plf@pgno\null}
\noplfpagenumbers \def\noplfpagenumbers{\let\plf@pgno\relax}
\mltpagenumbers Then, for minilots, sectlots and partlots:
\nomltpagenumbers
\mltpagenumbers \def\mltpagenumbers{\let\mlt@pgno\null}
\nomltpagenumbers \def\nomltpagenumbers{\let\mlt@pgno\relax}
\mltpagenumbers \def\s1tpagenumbers{\let\s1t@pgno\null}
\nomltpagenumbers \def\nos1tpagenumbers{\let\s1t@pgno\relax}
\pltpagenumbers \def\pltpagenumbers{\let\plt@pgno\null}
\nopltpagenumbers \def\nopltpagenumbers{\let\plt@pgno\relax}
\fi
\ptcpagenumbers Then the default values are set; page numbers are present:
\plfpagenumbers
\pltpagenumbers \ptcpagenumbers
\mtcpagenumbers \plfpagenumbers
\mlfpagenumbers \pltpagenumbers
\mltpagenumbers \mtcpagenumbers
\stcpagenumbers \mlfpagenumbers
\s1fpagenumbers \mltpagenumbers
\s1tpagenumbers \stcpagenumbers
\s1tpagenumbers \s1fpagenumbers
9.27 “Features” for the mini-tables
Each kind of mini-table has five “features”: a “before” feature, an “after” feature, an “open” feature, an “close” feature, and a “pagestyle” feature.
A “before” feature is defined by a macro like \beforeparttoc which contains code to be executed before any mini-table of a given type: \beforeparttoc is executed before each parttoc. Usually such features contain only trivial commands like \clear[double]page, or \empty.
An “after” feature is analog but its code is executed after each mini-table of a given type.
An “open” feature contains code to be executed just before the insertion of the file containing the mini-table. Usually such features either do nothing, either prepare some basic formatting (like multi-column). It does not concern the title of the mini-table or the decorative rules.
An “close” feature contains code to be executed just after the insertion of the file containing the mini-table. Usually such features either do nothing, either finish some basic formatting (like multi-column). It does not concern the title of the mini-table or the decorative rules.
A “pagestyle” feature is defined by a macro like \thispageparttocstyle which contains code to define the page style implied by mini-tables of a given type: the command \thispageparttocstyle can be defined as \thispagestyle{...}. Usually, the “pagestyle” feature is only defined for part-level mini-tables, which use page breaks in their before and after features. For chapter- and section-level mini-tables, the “pagestyle” feature is usually defined as \empty.
We set the default values for the part-level features depending on the presence of the \chapter command, as article-like documents are different from the book- or report-like documents for the layout of part-level mini-tables.
\chapter If \chapter is not defined, the part level mini-tables have no “before” feature (by default):
\beforeparttoc
\beforepartlof
\beforepartlot
2963 \@ifundefined{chapter}{%
2964 \let\beforeparttoc\empty
2965 \let\beforepartlof\empty
2966 \let\beforepartlot\empty}%
\cleardoublepage But if \chapter is defined, they have a \cleardoublepage as default “before” feature:
2967 {\let\beforeparttoc\cleardoublepage
2968 \let\beforepartlof\cleardoublepage
2969 \let\beforepartlot\cleardoublepage}
\beforeminitoc Chapter level mini-tables have no “before” feature (by default):
\beforeminilof
\beforeminilot
\beforesecttoc Section level mini-tables have no “before” feature (by default):
\beforesectlof
\beforesectlot
\chapter If \chapter is not defined, the part level mini-tables have no “after” feature (by default):
\afterparttoc
\afterpartlof
\afterpartlot
\cleardoublepage But if \chapter is defined, they have a \cleardoublepage as default “after” feature:
\afterminitoc Chapter level mini-tables have no “after” feature (by default):
\afterminilof
\afterminilot
\aftersecttoc Section level mini-tables have no “after” feature (by default):
\aftersectlof
\aftersectlot
\openparttoc By default, the “open” features do nothing:
\openpartlof
\openpartlot 2989 \let\openparttoc\empty
\openminitoc 2990 \let\openpartlof\empty
\openminilof 2991 \let\openpartlot\empty
\openminilot 2992 \let\openminitoc\empty
\opensecttoc 2993 \let\openminilof\empty
\opensectlof 2994 \let\openminilot\empty
\opensectlot 2995 \let\opensecttoc\empty
2996 \let\opensectlof\empty
2997 \let\opensectlot\empty
\closeparttoc By default, “close” features do nothing:
\closepartlof
\closepartlot 2998 \let\closeparttoc\empty
\closeminitoc 2999 \let\closepartlof\empty
\closeminilof 3000 \let\closepartlot\empty
\closeminilot 3001 \let\closeminitoc\empty
\closesecttoc 3002 \let\closeminilof\empty
\closesectlof 3003 \let\closeminilot\empty
\closesectlot 3004 \let\closesecttoc\empty
3005 \let\closesectlof\empty
3006 \let\closesectlot\empty
\thispagestyle By default, all the “pagestyle” features (at part level) use the empty page style. It affects only the first page of the mini-table. If \chapter is not defined, there is no default “pagestyle” features at the part level.
3007 \@ifundefined{chapter}{%
\thispageparttocstyle 3008 \def\thispageparttocstyle{\empty}
\thispagepartlofstyle 3009 \def\thispagepartlofstyle{\empty}
\thispagepartlotstyle 3010 \def\thispagepartlotstyle{\empty}}%
\thispagesecttocstyle 3011 {\def\thispageparttocstyle{\thispagestyle{empty}}}
\thispagesectlofstyle 3012 {\def\thispagepartlofstyle{\thispagestyle{empty}}}
\thispagesectlotstyle 3013 {\def\thispagepartlotstyle{\thispagestyle{empty}}}
3014 \def\thispageminitocstyle{\empty}
3015 \def\thispageminilofstyle{\empty}
3016 \def\thispageminilotstyle{\empty}
3017 \def\thispagesecttocstyle{\empty}
3018 \def\thispagesectlofstyle{\empty}
3019 \def\thispagesectlotstyle{\empty}
\mtcsetfeature In section 9.67.8 on page 393, we will define the \mtcsetfeature macro which is a much easier user interface to set the mini-tables “features”.
9.28 Fake tables of contents
If you don’t want a table of contents, but want minitocs, you need to create the .toc file, without inserting it into your document. This \faketableofcontents command is a stripped off version of the standard command \tableofcontents. We define in the same way the analog commands \fakelistoffigures and \fakelistoftables, using in fact just a stripped version \fake@starttoc of \@starttoc. But it is nice to reset to zero the ptc, mtc, and stc counters now, if they are defined\footnote{Remember the infamous “stc0” bug.}.
\def\faketableofcontents{\fake@starttoc{toc}%
\if@undefined{c@ptc}{}{\setcounter{ptc}{0}}%
\if@undefined{c@mtc}{}{\setcounter{mtc}{0}}%
\if@undefined{c@stc}{}{\setcounter{stc}{0}}%
}
\def\fakelistoffigures{\fake@starttoc{lof}}
\def\fakelistoftables{\fake@starttoc{lot}}
\def\fake@starttoc#1{\begingroup \makeatletter
\if@filesw \expandafter\newwrite\csname tf@#1\endcsname
\immediate\openout \csname tf@#1\endcsname \jobname.#1\relax \fi
\global\@nobreakfalse \endgroup}
This code uses the same file descriptors (for writing) than the original commands.
9.29 Depth counters for minilofs and minilotls
If the counters lofdepth and lotdepth are defined, we create the necessary new counters: minilofdepth and minilotdepth. These counters are initialized to 2. This is done after the loading of the packages, in an \AtBeginDocument block:
\AtBeginDocument{%
\if@undefined{c@lofdepth}{}%
{\newcounter{minilofdepth}\setcounter{minilofdepth}{2}}%
\if@undefined{c@lotdepth}{}%
{\newcounter{minilotdepth}\setcounter{minilotdepth}{2}}%
}
9.30 Chapter level commands
From here, we define the chapter-level commands.
\mtc@markboth First, we memorize the marks (not used today, but...):
3038 \global\let\mtc@markboth\markboth
3039 \global\let\@mkboth\markboth
9.31 Starred parts, chapters or sections
\addst@rred We define commands to manage the starred sectionning commands: \part*, \chapter* and \section*. The section-level is different depending on the presence of the \chapter command. Eventually, a counter is incremented. A contents line is added in the .toc file, with the right depth to print it (see \l@star... later, in section 9.65 on page 373).
\addcontentsline
\stepcounter
\c@ptc
\c@mtc
\c@stc
3040 \def\addst@rred#1#2{%
3041 \addcontentsline{toc}{star#1}{#2}%
3042 \@ifundefined{c@ptc}{}{%
3043 \expandafter\ifx\csname #1\endcsname\part\relax
3044 \stepcounter{ptc}%
3045 \fi
3046 }%
3047 \@ifundefined{c@mtc}{}{%
3048 \expandafter\ifx\csname #1\endcsname\chapter\relax
3049 \stepcounter{mtc}%
3050 \fi
3051 \expandafter\ifx\csname #1\endcsname\appendix\relax
3052 \stepcounter{mtc}%
3053 \fi
3054 }%
3055 \@ifundefined{c@stc}{}{%
3056 \expandafter\ifx\csname #1\endcsname\section\relax
3057 \ifx\@undefined{chapter}{\stepcounter{stc}}{}%
3058 \stepcounter{stc}%
3059 \fi
3060 }%
3061 }%
\addstarredsection If \chapter is not defined, we just define \addstarredsection:
\chapter
\addst@rred
3062 \@ifundefined{chapter}{%
3063 \gdef\addstarredsection#1{\addst@rred{section}{#1}}
3064 }%
Else we begin to define the stuff for chapter-level commands (the “else” branch of \ifundefined{chapter}:
\The@mtc
\firstchapteris
\if@firstchapteris@used@
\newcounter
\setcounter
\adjustmtc
\decrementmtc
\incrementmtc
\themtc
\columnwidth
We define now: the internal format of the mtc counter (\The@mtc), the obsolete command \firstchapteris (it just emits a harmless warning), the mtc counter (initialized to 0), the \adjustmtc command (increments the mtc counter, by 1 by default), the \decrementmtc command (decrements the mtc counter by 1), the \incrementmtc command (increments the mtc counter by 1), the format of the mtc counter (\themtc), the counter minitocdepth, initialized to 2, for the depth of a minitoc (analog to the standard tocdepth counter).
\def\The@mtc{\arabic{mtc}}
\def\firstchapteris#1%
{\mtcPackageWarning[W0003]{minitoc}%
{\string\firstchapteris \space is an obsolete (ignored) command}%
\if@firstchapteris@used@true}
\newcounter{mtc}
\setcounter{mtc}{0}
\newcommand{\adjustmtc}[1][1]{\addtocounter{mtc}{#1}}
\def\decrementmtc{\addtocounter{mtc}{-1}}
\def\incrementmtc{\addtocounter{mtc}{+1}}
\gdef\themtc{\arabic{mtc}}
\newcounter{minitocdepth}
\setcounter{minitocdepth}{2}
\mtc@rule
\mlf@rule
\mlt@rule
\plf@rule
\plt@rule
\slf@rule
\slt@rule
\mtcindent
We define the horizontal rules to draw before and after minitocs (\mtc@rule), and we copy that definition into analog macros for other kinds of mini-tables. We also set the default value (24pt) of \mtcindent, the indentation for minitocs (both sides). The rules are 0.4pt thick. They are defined via \hrule to stay in vertical mode for the final \kern.
\def\mtc@rule{\kern-3\p@\hrule\@width\columnwidth\kern2.6\p@}
\let\mlf@rule\mtc@rule
\let\mlt@rule\mtc@rule
\let\plf@rule\mtc@rule
\let\plt@rule\mtc@rule
\let\slf@rule\mtc@rule
\let\slt@rule\mtc@rule
\mtcindent=24\p@
9.32 Font commands for the mini-tables
\mtcfont We define these commands with full NFSS [291] descriptions. These definitions are effective if \chapter is defined. The fonts for titles are also defined here. See also the \mtcsetfont macro (section 9.67.2 on page 377) and the \mtcsettitlefont macro later (section 9.67.3 on page 381).
\mtcPfont
\mtcSPfont 3089 \def\mtcfont{\small\rmfamily\upshape\mdseries}
\mlffont 3090 \def\mtcSfont{\small\rmfamily\upshape\bfseries}
\mlfsfont 3091 \let\mtcSSfont\mtcfont \let\mtcSfont\mtcfont
\mltfont 3092 \let\mtcPfont\mtcfont \let\mtcSPfont\mtcfont
\mltsfont 3093 \let\mlffont\mtcfont \let\mlfsfont\mtcfont
\mtifont 3094 \let\mltfont\mtcfont \let\mltsfont\mtcfont
3095 \def\mtifont{\large\rmfamily\upshape\bfseries}
\coffeefont And \coffeefont is used for “coffee breaks ☕” in the minutes package [300].
3096 \def\coffeefont{\small\rmfamily\sllshape\mdseries}
9.33 Internal commands to position the mini-table titles
\df@mtitc The commands \miniXXX and \dominiXXX accept an optional argument to left justify, center, right justify or omit the title of the chapter-level mini-tables. By default, these titles are left justified. The choice made in a \dominiXXX command is global and memorized in \df@mtitc, \df@mtilf or \df@mtilt; the choice made in a \miniXXX command is local and stored in \do@mtitc, \do@mtilf or \do@mtilt. See the \minitoc@ macro later (section 9.35.1 on the following page). An empty title needs a vertical correction (Frank Mittelbach).
\c@mti Centering, flushleft, flushright or empty titles:
\l@mti
\r@mti 3097 \def\r@mti#1{\null\hfill #1\hfill\null}
\e@mti 3098 \def\e@mti#1{\null #1\hfill\null}
\n@mti 3099 \def\n@mti#1{\null\hfill #1\null}
3100 \def\e@mti#1{\vspace{-\baselineskip}}
3101 \def\n@mti#1{\vspace{-\baselineskip}}
\l@mti Default: titles on left:
\do@mtitc
\df@mtitc 3102 \let\do@mtitc\l@mti
\do@mtilf 3103 \let\df@mtitc\l@mti
\df@mtilf 3104 \let\do@mtilf\l@mti
\do@mtilt 3105 \let\df@mtilt\l@mti
\df@mtilt
9.34 The \mtc@verse environment
Each minitoc is placed inside a \mtc@verse environment. This environment is analog to the standard verse environment and hence defined via two commands: \mtc@verse and \endmtc@verse. As it is a list environment, we first define (in a local way) \\, then call \list{} and set some dimensions like \itemsep, \itemindent, \listparindent, \topsep. \parskip is set to zero if the tight option is active (to reduce the spacing of the lines). Both margins are set to \mtcindent. \endmtc@verse terminates the list and discourages a page break. The \mtc@verse environment has an argument which is an horizontal offset (a command like \mtcoffset).
\def\mtc@verse#1{\let\\=\@centercr
\list{}{%
\itemsep=\z@ \itemindent=\z@ \partopsep=\z@
\listparindent=\itemindent \topsep=\ex
\iftightmtc \parsep=\z@ \fi \ifktightmtc \parskip=\z@ \fi
\leftmargin=\mtcindent \rightmargin=\leftmargin
\addtolength{\leftmargin}{+#1}%
\addtolength{\rightmargin}{-#1}%
}%
\item[]}
\def\endmtc@verse{\nopagebreak[4]\endlist}
9.35 The \minitoc, \minilof, and \minilot commands
These three commands are very similar, with only cosmetic differences.
9.35.1 The \minitoc command
The \minitoc command must be used after \chapter if you need a minitoc (no automatic minitoc).
This command accepts an optional argument, whose default value has eventually been set earlier by a \dominitoc command. The letter “d” represents this default value. \dominitoc has itself an optional argument which sets the default value of the optional argument of \minitoc.
The default value of the optional argument of the \dominitoc command is “1”. It seems tortuous, but it is simple to use: we have a default behaviour (1) which can be altered globally via the optional argument of \dominitoc, or locally via the optional argument of \minitoc.
\minitoc So we define \minitoc with an optional argument and its (current) default value, and call the true code in the \minitoc@ macro (which has one delimited argument); we use the \ifnextchar trick to detect a left bracket for the optional argument:
\[319\def\minitoc{\ifnextchar[{\minitoc@}{\minitoc@d}}\]
The real code of \minitoc is in \minitoc@, which has a mandatory argument (delimited by brackets) specifying the position of the title.
\ifminitoc@used@ First, we set the global flag \@minitoc@used@true to note that \minitoc has been called (this will be used by a hint later, section 184.108.40.206 on page 424).
\[3120\def\minitoc@[#1]{%
3121\global\@minitoc@used@true}\]
\tocfile The name of the file containing the minitoc is constructed from \jobname and a suffix \tocfile, which is .mtc (long extensions) or .M (short extensions) followed by the absolute number of the minitoc.
\[3122\if@mtc@longext@
3123\def\tocfile{mtc\The@mtc}%
3124\else
3125\def\tocfile{M\The@mtc}%
3126\fi\]
\mtc@CkFile Then we test (via \mtc@CkFile) the emptiness of this file. A warning is given if the file is empty and a flag is set (a hint will signal that an empty minitoc has been requested).
\[3127\mtc@CkFile{\jobname.\tocfile}%
3128\if@mtc@FE
3129\mtcPackageInfo[10006]{minitoc}%
3130{\jobname.\tocfile\space is empty}%
3131\@mtc@empty@minitoc@true
3132\else\]
\thispageminitocstyle We call \thispageminitocstyle to set the page style (by default, this does nothing because, by default, there is no page break before a minitoc). The marks are not treated, because usually there is no new page for a minitoc.
\beforeminitoc We call \beforeminitoc, then begin a \samepage environment (to try to discourage page breaks in a minitoc) and look at the position of the title. If the title is empty, the layout is corrected. We print the title with its font (\mtifont), then the top rule of the minitoc (if rules are present), using a \tabular environment (to inhibit a page break between the title and the top rule). The font is set to \mtcfont.
\begin{samepage}
\if\@empty\do@mtitc\else\if\@in\let\do@mtitc\n@mti
\else\if\@c\let\do@mtitc@c@mti
\else\if\@l\let\do@mtitc\l@mti
\else\if\@r\let\do@mtitc\r@mti
\else\if\@d\let\do@mtitc\df@mtitc
\fi\fi\fi\fi\fi\fi
\mtc@CkStr{\mtctitle}\if\@mtc@FE \let\do@mtitc\e@mti\relax\fi
\raggedright
\parskip=\z@%
\reset@font\mtcfont%
\parindent=\z@%
\nopagebreak[4]%
\kern-0.8\baselineskip\nopagebreak[4]%
\par\noindent %
\ifx\mtc@rule\relax
\begin{tabular}{@{}p{\columnwidth}@{}}
\reset@font\mtifont\do@mtitc{\mtc@v\mtctitle}\
\end{tabular}%
\else
\begin{tabular}{@{}p{\columnwidth}@{}}
\reset@font\mtifont\do@mtitc{\mtc@\mtctitle}\\\
\hline
\end{tabular}%
\fi
\mtc@zrule We forbid a page break after the title and the top rule, then set some layout parameters and begin an \mtc@verse environment:
\mtc@BBR
\mtcindent
\mtcoffset
\mtc@verse
\nopagebreak[4]\null\leavevmode\mtc@zrule\\
\mtc@BBR
\leftmargin\mtcindent \rightmargin\mtcindent
\itemindent=\z@ \labelwidth=\z@%
\labelsep=\z@ \listparindent=\z@%
\begin{mtc@verse}\mtcoffset}%
\c@tocdepth We force the effective depth of the mini-table (\c@tocdepth) to the required depth (\c@minitocdepth), so the printing is done inside the \mtc@verse environment, where tocdepth has been forced to minitocdepth. to print only the entries whose level is low enough, then inhibit a page break. The blank line is necessary to avoid a parasite negative indentation.
3166 \c@tocdepth=\c@minitocdepth
3167 \leavevmode\\mtc@BBR\vskip -.5\baselineskip
\mtc@pgno We test the presence of leaders and page numbers, then print the minitoc by inputing the minitoc file. But before reading the minitoc file, we must call the hook macro (asked for by Donald Arseneau for his notoccite package [14]) \mtc@hook@beforeinputfile and the macro \mtc@setform which adjusts some layout parameters (defined by the user via some \mtcsetformat commands). We work in a group to keep local some macro redefinitions. The “open” and “close” features are called just before and after the insertion of the mini-table file.
3168 \begingroup
3169 \makeatletter
3170 \@ifundefined{mtc@pgno}%
3171 {\let\@dottedtocline\@undottedtocline}{}
3172 \@iffilesfalse\mtc@hook@beforeinputfile
3173 \mtc@setform%
3174 \openminitoc \global\iminimtoctrue
3175 \@input{\jobname.\@tocfile}%
3176 \global\iminimtocfalse\closeminitoc
3177 \vspace{-\ex}\vspace{-.5\baselineskip}
3178 \leavevmode\mtc@strut
3179 \global\nobreakfalse\endgroup
\mtc@verse We close the \mtc@verse environment, add the bottomrule (while preventing a page break), then close the \samepage environment, and call \afterminitoc. The blank line (\\) is essential.
3180 \end{mtc@verse}%
3181 \kernafterminitoc
3182 \nopagebreak[4]\mtc@bottom@rule\null\leavevmode\\%
3183 \vskip-1.0\baselineskip\mtc@zrule\end{samepage}%
3184 \par\pagebreak[1]\vspace*{-\ex}\afterminitoc\fi}
\mtc@bottom@rule And we define the bottom rule for a minitoc, with some space under the minitoc:
3185 \def\mtc@bottom@rule{%
3186 \ifx\mtc@rule\relax\relax\else
3187 \vskip -2.5ex
3188 \rule[2.4\p@]{\columnwidth}{.4\p@}\vspace*{2.6\p@}\fi}
Then we test (via \mtc@CkFile) the emptiness of this file. A warning is given if the file is empty and a flag is set (a hint will signal that an empty minilof has been requested).
\mtc@CkFile
\if@mtc@FE
\if@mtc@empty@minilof@
3197 \mtc@CkFile{\jobname.\@tocfile}
3198 \if@mtc@FE
3199 \mtcPackageInfo[I0006]{minitoc}%
3200 {\jobname.\@tocfile\space is empty}
3201 \if@mtc@empty@minilof@true
3202 \else
\thispageminilofstyle We call \thispageminilofstyle to set the page style (by default, this does nothing because, by default, there is no page break before a minilof). The marks are not treated, because usually there is no new page for a minilof.
3203 \thispageminilofstyle
3204 \if@mtc@markboth{\MakeUppercase{\mlftitle}}{\MakeUppercase{\mlftitle}}%
\beforeminilof We call \beforeminilof, then begin a samepage environment (to try to discourage page breaks in a minilof) and look at the position of the title. If the title is empty, the layout is corrected. We print the title with its font (\mtifont), then the top rule of the minilof (if rules are present), using a tabular environment (to inhibit a page break between the title and the top rule). The font is set to \mlffont.
3205 \beforeminilof
3206 \relax\begin{samepage}%
3207 \if #1e\let\do@mtlf\e@mti
3208 \else\if #ln\let\do@mtlf\n@mti
3209 \else\if #lc\let\do@mtlf\c@mti
3210 \else\if #ll\let\do@mtlf\l@mti
3211 \else\if #lr\let\do@mtlf\r@mti
3212 \else\if #ld\let\do@mtlf\df@mtlf
3213 \fi\fi\fi\fi\fi\fi
3214 \mtc@CkStr{\mlftitle}\if@mtc@FE \let\do@mtlf\e@mti\relax\fi
3215 \raggedright
3216 \parskip=\z@
3217 \reset@font\mlffont
3218 \parindent=\z@
3219 \nopagebreak[4]%
3220 \kern-0.8\baselineskip\nopagebreak[4]%
3221 \par\noindent
3222 \ifx\mlf@rule\relax
3223 \begin{tabular}{@{}p{\columnwidth}@{}}
3224 \reset@font\mtifont\do@mtlf{\mtc@v\mlftitle}\
3225 \end{tabular}%
3226 \else
3227 \begin{tabular}{@{}p{\columnwidth}@{}}
3228 \reset@font\mtifont\do@mtlf{\mtc@v\mlftitle}\\hline
3229 \end{tabular}%
3230 \fi
\mtc@zrule
\mtc@BBR
We forbid a page break after the title and the top rule, then set some layout parameters and begin an \mtc@verse environment:
\mtcindent
\mlfoffset
\mtc@verse
\nopagebreak[4]\null\leavevmode\mtc@zrule\\mtc@BBR
\leftmargin\mtcindent \rightmargin\mtcindent
\itemindent=\z@\labelwidth=\z@%
\labelsep=\z@\listparindent=\z@%
\begin{mtc@verse}{\mlfoffset}%
\c@lofdepth
\c@minilofdepth
\mtc@BBR
We force the effective depth of the mini-table (\c@tocdepth) to the required depth (\c@minilofdepth), so the printing is done inside the \mtc@verse environment, where tocdepth has been forced to minilofdepth, to print only the entries whose level is low enough, then inhibit a page break. The blank line is necessary to avoid a parasite negative indentation.
\@ifundefined{c@lofdepth}{}
{\c@lofdepth=\c@minilofdepth
\ifnum\c@lofdepth<1\relax\c@lofdepth=1\fi}
\leavevmode\\mtc@BBR\vskip -.5\baselineskip
\mtc@pgno
\dottedtocline
\undottedtocline
\mtc@hook@beforeinputfile
\mlf@setform
\ifiminilof
\openminilof
\closeminilof
\mtcsetformat
\mtc@strut
\makeatletter
\@ifundefined{mlf@pgno}%
{\let\dottedtocline\undottedtocline}{}%
\@filesfalse\mtc@hook@beforeinputfile
\mlf@setform
\global\openminilof\inminiloftrue
\@input{\jobname.\@tocfile}%
\global\inminiloffalse\closeminilof
\vspace{-\tex}\vspace{-.5\baselineskip}
\leavevmode\mtc@strut
\global\nobreakfalse\endgroup
\mtc@verse
\mtc@bottom@rule
\samepage
\afterminilof
\end{mtc@verse}%
We close the \mtc@verse environment, add the bottomrule (while preventing a page break), then close the \samepage environment, and call \afterminilof. The blank line (\\) is essential.
9.35.3 The \minilot command
\minilot The \minilot command is absolutely similar to the \minilof command:
\minilot The \minilot command must be used after \chapter if you need a minilot (no automatic minilot).
\dominilot \minilot This command accepts an optional argument, whose default value has eventually been set earlier by a \dominilot command. The letter “d” represents this default value. \dominilot has itself an optional argument which sets the default value of the optional argument of \minilot. The default value of the optional argument of the \dominilot command is “1”. It seems tortuous, but it is simple to use: we have a default behaviour (1) which can be altered globally via the optional argument of \dominilot, or locally via the optional argument of \minilot.
\minilot \minilot@ \@ifnextchar So we define \minilot with an optional argument and its (current) default value, and call the true code in the \minilot@ macro (which has one delimited argument); we use the \@ifnextchar trick to detect a left bracket for the optional argument:
\[ \def\minilot{\@ifnextchar[{\minilot@}{\minilot@[d]}} \]
The real code of \minilot is in \minilot@, which has a mandatory argument (delimited by brackets) specifying the position of the title.
\if@minilot@used@ First, we set the global flag \@minilot@used@true to note that \minilot has been called (this will be used by a hint later, section 220.127.116.11 on page 424).
\[ \def\minilot@[#1]{% \global\@minilot@used@true } \]
\tocfile \if@mtc@longext@ The name of the file containing the minilot is constructed from \jobname and a suffix \tocfile, which is .mlt (long extensions) or .T (short extensions) followed by the absolute number of the minilot.
\[ \if@mtc@longext@% \def\tocfile{mlt\The@mtc} \]
\else
\def\tocfile{T\The@mtc}%
\fi
\mtc@CkFile Then we test (via \mtc@CkFile) the emptiness of this file. A warning is given if the file is empty and a flag is set (a hint will signal that an empty minilot has been requested).
\if@mtc@empty@minilot@
\mtc@CkFile{\jobname.\tocfile}
\if@mtc@FE
\mtcPackageInfo[I0006]{minitoc}%
{\jobname.\tocfile{space is empty}}
\if@mtc@empty@minilot@true
\else
\thispageminilotstyle We call \thispageminilotstyle to set the page style (by default, this does nothing because, by default, there is no page break before a minilot). The marks are not treated, because usually there is no new page for a minilot.
\thispageminilotstyle
\mtc@markboth{\MakeUppercase{\mltttitle}}{\MakeUppercase{\mltttitle}}%
\beforeminilot We call \beforeminilot, then begin a \samepage environment (to try to discourage page breaks in a minilot) and look at the position of the title. If the title is empty, the layout is corrected. We print the title with its font (\mtifont), then the top rule of the minilot (if rules are present), using a \tabular environment (to inhibit a page break between the title and the top rule). The font is set to \mltfont.
\do@mtitc
\e@mti
\n@mti
\c@mti
\l@mti
\r@mti
\df@mtic
\if#1\let\do@mtilt\e@mti
\else\if #1\n\let\do@mtilt\n@mti
\else\if #1c\let\do@mtilt\c@mti
\else\if #1l\let\do@mtilt\l@mti
\else\if #1r\let\do@mtilt\r@mti
\else\if #1d\let\do@mtilt\df@mtilt
\fi\fi\fi\fi\fi
\mtc@CkStr{\mltttitle}\if@mtc@FE \let\do@mtilt\e@mti\relax\fi
\raggedright
\parskip=\z@
\reset@font\mltfont%
\parindent=\z@
\nopagebreak[4]%
\kern-0.8\baselineskip\nopagebreak[4]%
\par\noindent
\ifx\mlt@rule\relax
\begin{tabular}{@{}p{\columnwidth}@{}}
\reset@font\mtifont\do@mtilt{\mtc@v\mltttitle}\\
\end{tabular}%
\else
\begin{tabular}{@{}p{\columnwidth}@{}}
\reset@font\mtc@font\do@mtlt{\mtc@v\mlttitle}\hline
\end{tabular}%
\fi
We forbid a page break after the title and the top rule, then set some layout parameters and begin an \mtc@verse environment:
\begin{verbatim}
\mltoffset
\mtc@verse
\leftmargin\mtcindent \rightmargin\mtcindent
\itemindent=\z@ \labelwidth=\z@
\labelsep=\z@ \listparindent=\z@
\begin{mtc@verse}\mltoffset}%
\end{verbatim}
We force the effective depth of the mini-table (\c@lotdepth) to the required depth (\c@minilotdepth), so the printing is done inside the \mtc@verse environment, where lotdepth has been forced to minilotdepth, to print only the entries whose level is low enough, then inhibit a page break. The blank line is necessary to avoid a parasite negative indentation.
\begin{verbatim}
\@ifundefined{c@lotdepth}{}
{\c@lotdepth=\c@minilotdepth
\i@num\c@lotdepth=1\relax\c@lotdepth=1\fi}
\leavevmode\\ \mtc@BBR\vskip -.5\baselineskip
\end{verbatim}
We test the presence of leaders and page numbers, then print the minilot by inputing the minilot file. But before reading the minilot file, we must call the hook macro (asked for by Donald Arseneau for his notoccite package [14]) \mtc@hook@beforeinputfile and the macro \mlt@setform which adjusts some layout parameters (defined by the user via some \mtcsetformat commands). We work in a group to keep local some macro redefinitions. The “open” and “close” features are called just before and after the insertion of the mini-table file.
\begin{verbatim}
\mtc@pgno
\@dottedtocline
\@undottedtocline
\mtc@hook@beforeinputfile
\mlt@setform
\ifinminilot
\openminilot
\closeminilot
\mtcsetformat
\mtc@strut
\begingroup
\makeatletter
\@ifundefined{mlt@pgno}{}
{\let \@dottedtocline \@undottedtocline {}}
\@fileswfalse\mtc@hook@beforeinputfile
\mlt@setform
\global\openminilot\iminilottrue
\@input{\jobname.\@tocfile}%
\global\iminilotfalse\closeminilot
\vspace{-\ex} \vspace{-\baselineskip}
\leavevmode\mtc@strut
\global\nobreakfalse\endgroup
\end{verbatim}
We close the \mtc@verse environment, add the bottomrule (while preventing a page break), then close the samepage environment, and call \afterminilot. The blank line (\) is essential.
\end{mtc@verse}%
\kern\afterminilot
\nopagebreak[4]\vskip\z@rule\null\leavevmode\%
\vskip-1.0\baselineskip\mtc@zrule\end{samepage}%
\par\pagebreak[1]\vspace*{-1ex}\afterminilot\fi%
9.36 Patching the \chapter command, continued
First, we define \l@xchapter which is like \l@chapter, but with a huge depth, to inhibit its printing (except if you cheat):
\def\l@xchapter{\@dottedtocline{\@M}{1em}{2.3em}}
\def\xchapter{\chapter}
Then we patch \@chapter (the non-starred branch of \chapter) to add pseudo-chapter entries in the LOF and the LOT (these entries will be used by the \dominiXXX commands to split the LOF and the LOT into slices).
\let\sv@chapter\@chapter
\def\@chapter[#1]#2{\sv@chapter[{#1}]#2\relax%
\addcontentsline{lof}{xchapter}{#1}%
\addcontentsline{lot}{xchapter}{#1}%
\ignorespaces}
We also patch \@schapter (the starred branch of \chapter) to add marks in the TOC to delimit chapters; these marks will be used by the \dominiXXX commands to take slices from the LOF and the LOT; as they are defined as \relax, they should not perturbate other packages.
\let\mtc@schapter\@schapter
\def\@schapter{\addtocontents{toc}{\protect\chapterend}\mtc@schapter}
\def\@schapter{\addtocontents{@@}{\protect\chapterbegin}\mtc@schapter}
\let\chapterbegin\relax
\let\chapterend\relax
9.37 The \addstarred... commands
If the command \chapter is undefined, we define the command \addstarredsection (only if \section is defined). If the command \chapter is defined, we define the command \addstarredchapter. If the command \part is defined, we define the command \addstarredpart. We use the utility command \addst@rred defined in section 9.31 on page 295.
\def\addstarredsection#1{\addst@rred{section}{#1}}
\def\addstarredchapter#1{\addst@rred{chapter}{#1}}
\def\addstarredpart#1{\addst@rred{part}{#1}}
9.38 TOC entries without leaders
We define two internal macros to format TOC entries without leaders. The macro \@Undottedtocline prints no page number, but \@Undottedtoclinep prints it.
\def\@Undottedtocline#1#2#3#4#5{%
\ifnum #1>\c@tocdepth\relax \else
\vskip \z@ \@plus .2\p@
{\leftskip #2\relax \rightskip \z@skip \parfillskip -\rightskip
\parindent #2\relax\afterindenttrue
\interlinepenalty\@M
\leavevmode
\tempdima #3\relax
\advance\leftskip \tempdima \null\nobreak\hskip -\leftskip
\coffeefont #4\nobreak \nobreak\null
\par}%
\fi}
\def\@Undottedtoclinep#1#2#3#4#5{%
\ifnum #1>\c@tocdepth\relax \else
\vskip \z@ \@plus .2\p@
{\leftskip #2\relax \rightskip \z@skip \parfillskip -\rightskip
\parindent #2\relax\afterindenttrue
\interlinepenalty\@M
\leavevmode
\tempdima #3\relax
\advance\leftskip \tempdima \null\nobreak\hskip -\leftskip
{#4}\nobreak \hfill \nobreak\null
\hb@xt@\pnumwidth{\hfil\normalfont \normalcolor #5}}%
9.39 Mini-tables with or without leaders
This code sets the flag to false, then patches each mini-table command (its internal part). We alter the commands \minitoc@, \minilof@, etc., to test the flag \ifundottedmtc and, if true, replace locally \dottedtocline by its dotless version \Undottedtoclinep. Of course, we must also test the availability of the \chapter, \part and \section commands, to avoid to define many unnecessary commands.
\sv@minitoc@ \sv@minilof@ \sv@minilot@
\let\sv@minitoc@\minitoc@
\def\minitoc@[#1]{\ifundottedmtc\let\dottedtocline\Undottedtoclinep\fi
\sv@minitoc@[#1]}
\let\sv@minilof@\minilof@
\def\minilof@[#1]{\ifundottedmtc\let\dottedtocline\Undottedtoclinep\fi
\sv@minilof@[#1]}
\let\sv@minilot@\minilot@
\def\minilot@[#1]{\ifundottedmtc\let\dottedtocline\Undottedtoclinep\fi
\sv@minilot@[#1]}
\sv@parttoc@ For the part level:
\sv@partlof@
\sv@partlot@
\ifundottedmtc \let\sv@parttoc@\parttoc@
\parttoc@ \def\parttoc@[#1]{\ifundottedmtc\let\dottedtocline\Undottedtoclinep\fi
\sv@parttoc@[#1]}
\partlof@ \let\sv@partlof@\partlof@
\def\partlof@[#1]{\ifundottedmtc\let\dottedtocline\Undottedtoclinep\fi
\sv@partlof@[#1]}
\let\sv@partlot@\partlot@
\def\partlot@[#1]{\ifundottedmtc\let\dottedtocline\Undottedtoclinep\fi
\sv@partlot@[#1]}
\sv@secttoc@ For the section level:
\sv@sectlof@
\sv@sectlot@
\ifundottedmtc \ifundefined{chapter}{%
\let\sv@secttoc@\secttoc@
\secttoc@ \def\secttoc@[#1]{\ifundottedmtc\let\dottedtocline\Undottedtoclinep\fi
\sv@secttoc@[#1]}
\sectlof@ \let\sv@sectlof@\sectlof@
\def\sectlof@[#1]{\ifundottedmtc\let\dottedtocline\Undottedtoclinep\fi
\sv@sectlof@[#1]}%
9.40 The \dominitoc command and its siblings
The three commands \dominitoc, \dominilof and \dominilot are, of course, very similar. They take the \jobname.toc file (resp. the \jobname.lof and \jobname.lot files) produced by the previous LaTeX run and cut it in slices (one slice per chapter or starred chapter) into the \jobname.mtc(N) files (resp. the \jobname.mlf(N) and \jobname.mlt(N) files), using specific lines in the \jobname.toc (resp. \jobname.lof and \jobname.lot) file. These lines are essentially chapter-level entry commands (like \contentsline{chapter}.... \contentsline{xchapter}.... \contentsline{starchapter}.... \chapbegin) delimiting chapters in the TOC (or in the LOF or the LOT). Analog part-level lines delimit parts, hence also chapters.
As \dominitoc has an optional argument, whose default value is “l” (left), it calls \dominitoc@ with a argument delimited by brackets.
The macros are \dominitoc (user interface), which calls \dominitoc@[1] (or with the optional argument of \dominitoc). Then \dominitoc@[1] processes its argument and calls \@@dominitoc. \@@dominitoc calls \dominitoc (passing \jobname as argument) then close the minitoc file written. \dominitoc reset to zero the counter of mini-tables, calls \MTC@next#1.toc (where #1 is the value of \jobname), then reset again to zero the counter of mini-tables. Each call to \dominitoc@ (i.e., to \dominitoc) sets the flag \dominitoc@used@true. This will be used later for a hint (which detects that you have correctly called \minitoc after \dominitoc and that both or neither have been called). See section 18.104.22.168 on page 424. The code is similar for \dominilof and \dominilot.
The \dominitoc command extracts information from the .toc file and create the minitocs files, with the adequate extension.
The \dominilof command extracts information from the .lof file and create the minilofs files, with the adequate extension.
\makeatletter
\setcounter{mtc}{0}
\MLT@next#1.\lof\relax\\setcounter{mtc}{0}
\def\dominilof{\@ifnextchar[\{\dominilof@{\dominilof@[1]}
\dominilot The \dominilot command extracts information from the .lot file and create the minilot files, with the adequate extension.
\MLT@next
\@ifnextchar
\def\dominilot#1{%
\makeatletter
\setcounter{mtc}{0}
\MLT@next#1.\lot\relax\\setcounter{mtc}{0}
\def\dominilot{\@ifnextchar[\{\dominilot@{\dominilot@[1]}
\if@dominitoc@used@
\if@mtc@hints@
\@mtc@hints@given@true
\df@mtitc
\e@mti
\n@mti
\c@mti
\l@mti
\r@mti
\@@dominitoc
\def\dominitoc@[#1]{%
\if@mtc@hints@
\n@mti
\if@dominitoc@used@
\mtcPackageInfo[I0045]{minitoc(hints)}%
{The \string\dominitoc \space command
\MessageBreak
has been invoked more than once
\MessageBreak}
\global\@mtc@hints@given@true
\fi
\global\@dominitoc@used@true
\if #1e\let\df@mtitc\e@mti%
\else\if #1n\let\df@mtitc\n@mti%
\else\if #1c\let\df@mtitc\c@mti%
\else\if #1l\let\df@mtitc\l@mti%
\else\if #1r\let\df@mtitc\r@mti%
\fi\fi\fi\fi\fi
\@@dominitoc}
\if@dominilof@used@
\if@mtc@hints@
\@mtc@hints@given@true
\df@mtilf
\e@mti
\n@mti
\c@mti
\r@mti
\@@dominilof
\def\dominilof@[#1]{%
\e@mti
\if@mtc@hints@
\n@mti
\if@dominilof@used@
\mtcPackageInfo[I0045]{minitoc(hints)}%
{The \string\dominilof \space command
\MessageBreak
has been invoked more than once
\MessageBreak}
\if@dominilot@used@
\if@mtc@hints@
\global\@mtc@hints@given@true
\df@mtilt
\if@mti
\if@dominilot@used@
\mtcPackageInfo[10045]{minitoc(hints)}%
{The \string\dominilot \space command has been invoked more than once}
\else
\global\@mtc@hints@given@true
\fi
\fi
\fi
\fi
\fi
\@dominilot
\@dominitoc
These macros invoke the \@domini... macros to create the mini-table file, then close the file descriptor.
\@dominilot
\tf@mtc
\def\@dominitoc{\@dominitoc{\jobname}\immediate\closeout\tf@mtc}
\def\@dominilof{\@dominilof{\jobname}\immediate\closeout\tf@mtc}
\def\@dominilot{\@dominilot{\jobname}\immediate\closeout\tf@mtc}
9.40.1 Analysis and splitting of the TOC file
This is done via a loop managed by the following macros\textsuperscript{8}:
\begin{verbatim}
\MTC@next Processes the next entry in the list and removes it from the head of the list:
\MTC@list
\MTC@loop 3474 \def\MTC@next#1\relax#2\{%
\edef\MTC@list{#2}%
\MTC@loop{#1}%
\end{verbatim}
\begin{verbatim}
\MTC@toc Check if the list is empty:
\MTC@list
\MTC@explist 3478 \def\MTC@toc{%
\ifx\MTC@list\@empty\else\expandafter\MTC@explist\fi
\end{verbatim}
\begin{verbatim}
\MTC@contentsline The macro \MTC@contentsline analyses the lines read from the TOC file and detects interesting keywords. If \chapter is found, the mtc counter (which simulates the chapter counter, but is absolute) is incremented and a new minitoc file is created.
\arabic
\chapter
\themtc
\tf@mtc 3481 \def\MTC@contentsline#1#2#3#4{%
\gdef\themtc{\arabic{mtc}}%
\expandafter\ifx\csname #1\endcsname\chapter
\stepcounter{mtc}%
\end{verbatim}
\begin{verbatim}
\if@mtc@longext@ We test if long or short extensions are used, to build the name of the mini-table file, then open it (after closing the file descriptor):
\themtc
\mtcname
\tf@mtc 3485 \if@mtc@longext@
\closeout 3486 \mtcPackageInfo[10033]{minitoc}%
{Writing\space\jobname.mtc\themtc\@gobble}%
3488 \def\mtcname{\jobname.mtc\themtc}%
3489 \else
3490 \mtcPackageInfo[10033]{minitoc}%
3491 {Writing\space\jobname.M\themtc\@gobble}%
3492 \def\mtcname{\jobname.M\themtc}%
3493 \fi
3494 \immediate\closeout\tf@mtc
3495 \immediate\openout\tf@mtc=\mtcname
3496 \fi
\end{verbatim}
\textsuperscript{8} This code is derived from the \texttt{xt} package [114], by David P. Carlisle, with his permission. Some modifications were made by Heiko Oberdiek, Didier Verna, and Bernd Jahnke for the support of \texttt{hyperref}, essentially by adding an argument to some macros, to use the hyperlink argument in the contents lines.
\if@mtc@longext@
\themtc
\mtcname
\tf@mtc
\closeout
\openout
\mtcPackageInfo[I0033]{minitoc}%
{Writing\space\jobname.mtc\themtc@gobble}%
\def\mtcname{\jobname.M\themtc}%
\else
\mtcPackageInfo[I0033]{minitoc}%
{Writing\space\jobname.M\themtc@gobble}%
\def\mtcname{\jobname.M\themtc}%
\fi
\immediate\closeout\tf@mtc
\immediate\openout\tf@mtc=\mtcname
\mtc@toks Now, we filter the relevant contents lines, the token register \mtc@toks is used as a verbatim memory.
\mtc@toks{\noexpand\leavevmode #2}%
\MTC@WriteContentsline Each interesting contents line is copied, with a font command added before it. We begin with the standard sectioning commands, below \chapter:
\section
\subsection
\subsubsection
\paragraph
\subparagraph
\MTC@WriteContentsline{#1}{mtcS}{#3}{#4}%
\fi
\expandafter\ifx\csname #1\endcsname\subsection
\MTC@WriteContentsline{#1}{mtcSS}{#3}{#4}%
\fi
\expandafter\ifx\csname #1\endcsname\subsubsection
\MTC@WriteContentsline{#1}{mtcSSS}{#3}{#4}%
\fi
\expandafter\ifx\csname #1\endcsname\paragraph
\MTC@WriteContentsline{#1}{mtcP}{#3}{#4}%
\fi
\expandafter\ifx\csname #1\endcsname\subparagraph
\MTC@WriteContentsline{#1}{mtcSP}{#3}{#4}%
\fi
\coffee A coffee break contents line ☕ is written for \coffee:
\MTC@WriteCoffeeLine
\expandafter\ifx\csname #1\endcsname\coffee
\MTC@WriteCoffeeLine{#1}{#3}%
\fi
\footnote{Tim Arnold has signaled the problem; thanks!}
\starchapter If it is \starchapter (for a starred chapter), we increment the mtc counter, build a new minitoc file name, close the file descriptor and open it with this new file.
\stepcounter{mtc}
\if@mtc@longext@
\mtcname
\themtc
\tf@mtc
\closeout
\openout
\else
\fi
\immediate\closeout\tf@mtc
\immediate\openout\tf@mtc=\mtcname
\starsection For starred sectioning commands lower than \chapter, a contents line is written into the minitoc file, with a font command added:
\starsubsection
\starparagraph
\starsubparagraph
\fi
\expandafter\ifx\csname #1\endcsname\starsubsection
\fi
\expandafter\ifx\csname #1\endcsname\starparagraph
\fi
\expandafter\ifx\csname #1\endcsname\starsubparagraph
\fi
\MTC@explist The loop to read the lines of the TOC file; it expands the list of entries and call \MTC@next to process the first one:
\MTC@next
\MTC@list
\def\MTC@explist{\expandafter\MTC@next\MTC@list\\}
\MTC@loop If an entry is found, loop through line by line, looking for interesting entries. Otherwise, process the next entry in the list.
\openin
@inputcheck
\MTC@toc
\MTC@read
\def\MTC@loop#1{\openin@inputcheck#1\relax
\ifeof \@inputcheck
\mtcPackageWarning[W0010]{minitoc}%
{No file #1.
\MessageBreak
MINITOCS NOT PREPARED}%
\expandafter\MTC@toc
\else
\mtcPackageInfo[I0024]{minitoc}{PREPARING MINITOCS FROM #1}%
\expandafter\MTC@read
\fi
\MTC@read Read the next entry of the .toc file.
\read
@inputcheck
\def\MTC@read{%
\MTC@line
\MTC@
\expandafter\MTC@test\MTC@line.....\MTC@
\MTC@test The \ldots make sure that \MTC@test has enough arguments:
\MTC@line
\MTC@
\expandafter\MTC@test\MTC@line.....\MTC@
\MTC@test The \MTC@test macro finds the “interesting” commands in the TOC file, mainly to delimit chapters\footnote{The macro \MTC@test has been patched to call \MTC@contentsline with four parameters instead of three (thanks to Heiko Oberdiek, Didier Verna, Bernd Jahnke and A.J. “Tony” Roberts). The same remark applies to similar macros.}:
\MTC@test Look at the first token of the line. If it is an interesting entry, process it. If it is \@input, add the file to the list. Otherwise ignore. Go around the loop if not at end of file. Finally process the next file in the list.
\MTC@contentsline
\contentsline
\mtc@string
\@input
\MTC@list
\ifx#1\contentsline
\chapterend
\let\mtc@string\string
\closeout
\MTC@contentsline{#2}{#3}{#4}{#5}%
\tf@mtc
\let\mtc@string\relax
\openout
\else\ifx#1\@input
\edef\MTC@list{\MTC@list#2\relax}%
\else\ifx#1\chapterend
\immediate\closeout\tf@mtc
\else\ifx#1\chapterbegin
\addtocounter{mtc}{-1}%
\fi\fi\fi\fi
9.41 Mini-lists of figures
The code is similar to the code for mini-tables of contents, but with less commands to recognize.
9.41.1 Analysis and splitting of the list of figures file
This is done via a loop managed by the following macros:
\MLF@next
\MLF@list
\MLF@loop Processes the next entry in the list and removes it from the head of the list:
\def\MLF@next#1\relax#2\{% \edef\MLF@list{#2}%
\MLF@loop{#1}
\MLF@lof Checks if the list is empty:
\MLF@list
\MLF@explist \def\MLF@lof{% \ifx\MLF@list\@empty\else\expandafter\MLF@explist\fi}
\MLF@contentsline The macro \MLF@contentsline analyses the lines read from the LOF file and detects interesting keywords. If \xchapter is found, the counter mtc is incremented and a new minilof file is created.
\def\MLF@contentsline#1#2#3#4{% \gdef\themtc{\arabic{mtc}}%
\expandafter\ifx\csname #1\endcsname\xchapter \stepcounter{mtc}%
\if@mtc@longext@ The name of the minilof file is built from \jobname and a long or short extension:
\figure The token register \mtc@toks is used to pass the entry to \MTC@WriteContentsline. If we found a \figure entry, we copy it into the minilof file:
\mtc@toks
\MTC@WriteContentsline
\expandafter\ifx\csname #1\endcsname\figure
\mtc@toks{\noexpand\leavevmode#2}%
\MTC@WriteContentsline{#1}{mlf}{#3}{#4}%
\fi
\expandafter\ifx\csname #1\endcsname\subfigure
\mtc@toks{\noexpand\leavevmode#2}%
\MTC@WriteContentsline{#1}{mlfs}{#3}{#4}%
\fi
\MLF@explist The loop to read the LOF file; it expands the list of entries and calls \MLF@next to process the first one:
\MLF@list
\MLF@loop And now, we scan the .lof file:
\openin
\@inputcheck
\MLF@lof
\ifeof \@inputcheck
\mtcPackageWarning[W0008]{minitoc}%
{No file #1.}
\MessageBreak
MINILOFS NOT PREPARED}%
\expandafter\MLF@lof
\else
\mtcPackageInfo[I0034]{minitoc}%
{PREPARING MINILOFS FROM #1}%
\expandafter\MLF@read\fi}
\MLF@read Read the next entry in the .lof file:
\read
@inputcheck
\def\MLF@read{%
\read\@inputcheck to\MLF@line
\MLF@line The ..... make sure that \MLF@test has enough arguments:
\MLF@test
\MLF@ \expandafter\MLF@test\MLF@line.....\MLF@
\MLF@test The \MLF@test macro finds the “interesting” commands in the LOF file, mainly to delimit chapters.
\contentsline
\mtc@string
\MLF@contentsline
\@input
\MLF@list \long\def\MLF@test#1#2#3#4#5#6\MLF@{%
\chapterend \ifx#1\contentsline
\closeout \let\mtc@string\string
\tf@mtc \MLF@contentsline{#2}{#3}{#4}{#5}%
\openout \let\mtc@string\relax
\chapterbegin \else\ifx#1\@input
\edef\MLF@list{\MLF@list#2\relax}%
\addtocounter \else\ifx#1\chapterend
\immediate\closeout\tf@mtc
\MLF@lof \immediate\openout\tf@mtc=\jobname.mtc
\MLF@read \else\ifx#1\chapterbegin
\addtocounter{mtc}{-1}%
\fi\fi\fi\fi
\ifeof\@inputcheck\expandafter\MLF@lof
\else\expandafter\MLF@read\fi%
9.42 Mini-lists of tables
The code is similar to the code for mini-tables of contents, but with less commands to recognize.
9.42.1 Analysis and splitting of the list of tables file
\MLT@next This is done via a loop managed by the following macros:
\MLT@list Processes the next entry in the list and removes it from the head of the list:
\MLT@loop
3657 \def\MLT@next#1\relax#2\{%
3658 \edef\MLT@list{#2}%
3659 \MLT@loop{#1}%
\MLT@lot Checks if the list is empty:
\MLT@list
\MLT@explist 3660 \def\MLT@lot{%
3661 \ifx\MLT@list\@empty\else\expandafter\MLT@explist\fi}
\MLT@contentsline The macro \MLT@contentsline analyses the lines read from the LOT file and detects interesting keywords. If \xchapter is found, the mtc counter is incremented and a new minilot file is created.
\arabic \xchapter
3662 \def\MLT@contentsline#1#2#3#4{%
3663 \gdef\themtc{\arabic{mtc}}%
3664 \expandafter\ifx\csname #1\endcsname\xchapter
3665 \stepcounter{mtc}%
\if@mtc@longext@ The name of the minilot file it build from \jobname and a long or short extension: 10033
\themtc
\mltname 3666 \if@mtc@longext@%
3667 \mtcPackageInfo[I0033]{minitoc}%
3668 {Writing\space\jobname.mlt\themtc@gobble}%
3669 \def\mltname{\jobname.mlt\themtc}%
3670 \else
3671 \mtcPackageInfo[I0033]{minitoc}%
3672 {Writing\space\jobname.T\themtc@gobble}%
3673 \def\mltname{\jobname.T\themtc}%
3674 \fi
3675 \immediate\closeout\tf@mtc
3676 \immediate\openout\tf@mtc=\mltname
3677 \fi
\table The token register \mtc@toks is used to pass the entry to \MTC@WriteContentsline. If we found a \table entry, we copy it into the minilot file:
\subtable \mtc@toks
\MTC@WriteContentsline 3678 \expandafter\ifx\csname #1\endcsname\table
3679 \mtc@toks{\noexpand\leavevmode#2}%
\MLT@explist The loop to read the LOT file; it expands the list of entries and calls \MLT@next to process the first one:
\MLT@list
\def\MLT@explist{\expandafter\MLT@next\MLT@list\\}
\MLT@loop And now, we scan the .lot file:
\openin
\@inputcheck \def\MLT@loop#1{\openin\@inputcheck#1\relax
\MLT@lot \ifeof\@inputcheck
\MLT@read \mtcPackageWarning[W0009]{minitoc}%
{No file #1.
\MessageBreak
MINILOTS NOT PREPARED}%
\expandafter\MLT@lot
\else
\mtcPackageInfo[I0037]{minitoc}%
{PREPARING MINILOTS FROM #1}%
\expandafter\MLT@read\fi}
\MLT@read Read the next entry in the .lot file:
\read
\@inputcheck \def\MLT@read{%
\read\@inputcheck to\MLT@line
\MLT@line The ..... make sure that \MLT@test has enough arguments:
\MLT@test
\MLT@ \expandafter\MLT@test\MLT@line.....\MLT@
\MLT@test The \MLT@test macro finds the “interesting” commands in the LOT file, mainly to delimit chapters.
Look at the first token of the line. If it is an interesting entry, process it. If it is \@input, add the file to the list. Otherwise ignore. Go around the loop if not at end of file. Finally process the next file in the list.
\long\def\MLT@test#1#2#3#4#5#6\MLT@{%
\ifx#1\contentsline
\let\mtc@string\string
\MLT@contentsline{#2}{#3}{#4}{#5}%
\let\mtc@string\relax
\else\ifx#1\@input
\edef\MLT@list{\MLT@list#2\relax}%
\else\ifx#1\chapterend
\immediate\closeout\tf@mtc
\immediate\openout\hf@mtc=\jobname.mtc
\else\ifx#1\chapterbegin
\addtocounter{mtc}{-1}%
\fi\fi\fi\fi
\ifeof\@inputcheck\expandafter\MLT@lot
\else\expandafter\MLT@read\fi\fi}
Note that we terminate with a closing brace to end the chapter-level macros (end of the else branch of a \@ifundefined{chapter} alternative).
9.43 Macro to write a contents line
The \MTC@WriteContentsline macro makes the definition of \MTC@contentsline shorter. An extra \edef level is removed (Heiko Oberdiek):
The arguments of \MTC@WriteContentsline are:
#1: the #1 argument of \MTC@contentsline;
#2: font shorthand \csname #2font\endcsname;
#3: the #3 argument of \MTC@contentsline;
#4: the #4 argument of \MTC@contentsline (hyperlink).
The token register \mtc@toks is used to pass the entry to \MTC@WriteContentsline.
\def\mtc@dot{.}
\def\MTC@WriteContentsline#1#2#3#4{%
\def\mtc@param{#4}%
\immediate\write\tf@mtc{%
\string\reset@font
And the same for a “coffee” ☕ line. The arguments of the macro \MTC@WriteCoffeeLine are:
\write
\tf0\mtc
@resetfont
\coffeefont
\mtc@string
\mtc@toks
#1: the #1 argument of \MTC@contentsline;
#2: the #3 argument of \MTC@contentsline.
The token register \mtc@toks is used to pass the entry to \MTC@WriteCoffeeLine. Le registre token \mtc@toks est utilisé pour passer l’entrée à \MTC@WriteCoffeeLine.
9.44 Depth counters for partlofs and partlots
If the counters lofdepth and lotdepth are defined, we create the corresponding new counters: partlofdepth and partlotdepth. These counters are initialized to 2. This is done after the loading of the packages, in an \AtBeginDocument block:
\AtBeginDocument{%
\ifundefined{c@lofdepth}{}%
{\newcounter{partlofdepth}\setcounter{partlofdepth}{2}}%
\ifundefined{c@lotdepth}{}%
9.45 Part level commands
\part If \part is defined, we define some utility commands, a counter (ptc) for the parttoc and related commands (\theptc, \Thepart, \adjustptc, \decrementptc, \incrementptc), the obsolete command \firstpartis, and the depth counter parttocdepth.
\adjustptc
\decrementptc
\incrementptc
\firstpartis
\firstpartis
\if@firstpartis@used@
\newcounter
\setcounter
{\mtcPackageWarning[W0004]{minitoc}%
{\string\firstpartis \space is an obsolete (ignored)
\MessageBreak
command}%
\@firstpartis@used@true}
\newcounter{ptc}
\setcounter{ptc}{0}
\newcommand{\adjustptc}[1][1][1]{\addtocounter{ptc}{#1}}
\def\decrementptc{\addtocounter{ptc}{-1}}
\def\incrementptc{\addtocounter{ptc}{+1}}
\def\theptc{\arabic{ptc}}
\newcounter{parttocdepth}
\setcounter{parttocdepth}{2}
\ptc@rule But, sometimes, we need to make a difference between book/report and article classes (is \columnwidth \chapter defined?), to have a different layout: the definition of \ptc@rule is empty except if \chapter is undefined. By default, there is no rule before/after parttocs, partlofs, and partlots for books. You should redeclare \ptc@rule if you want these rules.
\@ifundefined{chapter}%
{\def\ptc@rule{\rule[3\p@]{\columnwidth}{.4\p@}\vspace*{2.6\p@}}}%
\ptcindent And we declare the default indentation (both sides) of the parttoc:
\newlength\ptcindent
\@ifundefined{chapter}{\ptcindent=24\p@}{\ptcindent=\z@}
9.46 Fonts for the parttocs
\ptcfont We define the fonts for the parttocs. Note that they are larger if \chapter is defined (book/report-like document classes) than when it is not (article-like document classes):
\ptcSfont 3777 @ifundefined{chapter}{%
\ptcPfont 3778 \def\ptcfont{\small\rmfamily\upshape\mdseries} % the parttoc
\ptcSPfont 3779 \def\ptcSfont{\small\rmfamily\upshape\bfseries}% (sections)
\plffont 3780 \let\ptcSSfont\ptcfont % (subsections)
\plfsfont 3781 \let\ptcSfont\ptcfont % (subsubsections)
\pltfont 3782 \let\ptcPfont\ptcfont % (paragraphs)
\pltSfont 3783 \let\ptcSPfont\ptcfont % (subparagraphs)
\ptifont 3784 \let\plffont\ptcfont % (figures)
3785 \let\plfsfont\ptcfont % (subfigures)
3786 \let\pltfont\ptcfont % (tables)
3787 \let\pltSfont\ptcfont % (subtables)
3788 \def\ptifont{\Large\rmfamily\upshape\bfseries}% titles
3789 }%
\ptcfont If \chapter is defined, the fonts are larger and \ptcCfont must be defined:
\ptcCfont
\ptcSfont 3790 {%
\ptcSSfont 3791 \def\ptcfont{\normalsize\rmfamily\upshape\mdseries} % the parttoc
\ptcSfont 3792 \def\ptcCfont{\normalsize\rmfamily\upshape\bfseries}% (chapters)
\ptcPfont 3793 \def\ptcfont{\normalsize\rmfamily\upshape\mdseries}% (sections)
\ptcSPfont 3794 \let\ptcSSfont\ptcfont % (subsections)
\plffont 3795 \let\ptcSSfont\ptcfont % (subsubsections)
\plfsfont 3796 \let\ptcSfont\ptcfont % (paragraphs)
\pltfont 3797 \let\ptcSPfont\ptcfont % (subparagraphs)
\pltSfont 3798 \let\plffont\ptcfont % (figures)
3799 \let\plfsfont\ptcfont % (subfigures)
3800 \let\pltfont\ptcfont % (tables)
3801 \let\pltSfont\ptcfont % (subtables)
3802 \def\ptifont{\LARGE\rmfamily\upshape\bfseries}% titles
3803 }
9.47 Default titles for part-level mini-tables
\parttoc We define the default position, the fonts and the layout for titles of the part-level mini-tables (\parttoc, \partlof and \partlot). This formatting is different if \chapter is defined or undefined.
\c@pti If \chapter is undefined, the definitions are very simple, for centered, flushleft, flushright or empty titles. Here, empty titles need a vertical correction (Frank Mittelbach).
\l@pti
\edef\c@pti 3804 \ifundefined{chapter}{%
\n@pti 3805 \def\c@pti#1{\null\hfill #1\hfill\null}
3806 \def\l@pti#1{\null #1\hfill\null}
3807 \def\r@pti#1{\null\hfill #1\null}
3808 \def\e@pti#1{\vspace{-\baselineskip}}
3809 \def\n@pti#1{\vspace{-\baselineskip}}}
\edef\c@pti 3810 {%
3811 \def\e@pti#1{\vspace{-\baselineskip}} \def\n@pti#1{\vspace{-\baselineskip}}}
\l@pti For a title on the left, we must test if the main text is on two columns:
\if@twocolumn
\@topnewpage 3812 \def\l@pti#1{\if@twocolumn \@topnewpage[\@makephead@l{#1}]%
\else \@makephead@l{#1}\@afterheading \fi}
\ptifont
\@makephead@l 3815 \vspace*{\mtcgapbeforeheads}%
\mtcgapbeforeheads 3816 {\parindent \z@\raggedright \ptifont #1\par \nobreak
\mtcgapafterheads 3817 \vskip \mtcgapafterheads\hbox{}}
\r@pti For a title on the right, we must also test if the main text is on two columns:
\if@twocolumn
\@topnewpage 3819 \def\r@pti#1{\if@twocolumn \@topnewpage[\@makephead@r{#1}]%
\else \@makephead@r{#1}\@afterheading \fi}
\@afterheading 3821 \def\@makephead@r#1{%
\ptifont 3822 \vspace*{\mtcgapbeforeheads}%
\mtcgapbeforeheads 3823 {\parindent \z@\raggedleft \ptifont #1\par \nobreak
\mtcgapafterheads 3824 \vskip \mtcgapafterheads\hbox{}}
\c@pti For a centered title, we must also test if the main text is on two columns:
\if@twocolumn
\@topnewpage 3826 \def\c@pti#1{\if@twocolumn \@topnewpage[\@makephead@c{#1}]%
\else \@makephead@c{#1}\@afterheading \fi}
\@afterheading 3828 \def\@makephead@c#1{%
\ptifont 3829 \vspace*{\mtcgapbeforeheads}%
\mtcgapbeforeheads 3830 {\parindent \z@\centering \ptifont #1\par \nobreak
\mtcgapafterheads 3831 \vskip \mtcgapafterheads\hbox{}}
3832 }%
By default, titles are on left:
\l@pti \do@ptitc \df@ptitc
\do@ptilf 3835 \let\do@ptilf\l@pti \let\df@ptilf\l@pti
\df@ptilt 3836 \let\do@ptilt\l@pti \let\df@ptilt\l@pti
9.48 The ptc@verse environment
Each parttoc is placed inside a ptc@verse environment. This environment is analog to the standard verse environment and hence defined via two commands: \ptc@verse and \endptc@verse. As it is a list environment, we first define (in a local way) \\, then call \list{} and set some dimensions like \itemsep, \itemindent, \listparindent, \centering, \topsep, \parskip. \parskip is set to zero if the tight option is active (this reduces the spacing between the lines). \parskip is set to zero if the k-tight option is active (this reduces the spacing between the lines). Both margins are set to \ptcindent. \endptc@verse terminates the list and discourages a page break. The ptc@verse environment has an argument which is an horizontal offset (a command like \ptcoffset).
\def\ptc@verse#1{\let\\=\@centercr
\list{}{%
\topsep=1ex \itemsep=\z@ \itemindent=\z@
\listparindent=\itemindent \partopsep=\z@
\leftmargin=\ptcindent \rightmargin=\leftmargin
\iftightmtc \parsep=\z@ \fi
\ifkltightmtc \parskip=\z@ \fi
\addtolength{\leftmargin}{+#1}
\addtolength{\rightmargin}{-#1}
}%
\item[]}
\def\endptc@verse{\nopagebreak[4]\endlist}
9.49 The part level mini-tables: \parttoc, \partlof, and \partlot
These commands are essentially similar to the \minitoc command, except that they should be placed after a \part command to produce a parttoc, a partlof or a partlot, and the formatting is different and depends on the availability of the \chapter command (for the fonts and the horizontal rules). The code is very similar. The \partlof and \partlot commands are siblings of the \parttoc command. Note that \parttoc, \partlof and \partlot use page styles, because \beforepart... and \afterpart... commands imply usually a \clear[double]page command, and hence \markboth{...}{...} must be called.
9.49.1 The \parttoc command
\parttoc This command must be used after \part if you need a parttoc (no automatic parttoc). First, \parttoc@ detects the presence of its optional argument, and uses its default value, d, if it is missing. Then, \parttoc@ is called with the effective position as argument:
\def\parttoc{\ifnnextchar[\{\parttoc@{\parttoc@[d]}}}
\parttoc@ The \parttoc@ macro does the real work. It first sets the flag \if@parttoc@used@ (for a consistency hint) and checks if long extensions are used or not (to create the name of the parttoc file):
\def\parttoc@[#1]{%
\global\@parttoc@used@true
\if@mtc@longext@
\def\@tocfile{ptc\Thepart}%
\else
\def\@tocfile{P\Thepart}%
\fi}
\mtc@CkFile Then, we check the presence of the parttoc file and give a warning if it is not here:
\if@mtc@FE
\mtc@CkFile{\jobname.\@tocfile}
\if@mtc@FE
\mtcPackageInfo[I0006]{minitoc}%
{\jobname.\@tocfile space is empty}
\@mtc@empty@parttoc@true
\else
\beforeparttoc If the parttoc file is present, we can insert it, but we must add some presentation code: first, \beforeparttoc, of course:
\beforeparttoc
\mtc@markboth If \chapter is defined, we just set the page marks with the parttoc title and set the page style:
\@mkboth
\thispageparttocstyle
\MakeUppercase
\ptctitle
\mtc@markboth{\MakeUppercase{\ptctitle}}{\MakeUppercase{\ptctitle}}%
\do@ptitc A \samepage environment is begun, then the argument is treated to set the position of the parttoc title. If the title string is empty, this forces the positioning.
\n@pti
\c@pti 3868 \relax\begin{samepage}%
\l@pti 3869 \if #1\let\do@ptitc\e@pti
\r@pti 3870 \else\if #1\in\let\do@ptitc\n@pti
\df@ptti 3871 \else\if #1c\let\do@ptitc\c@pti
\mtc@CkStr 3872 \else\if #1l\let\do@ptitc\l@pti
\ptctitle 3873 \else\if #1r\let\do@ptitc\r@pti
\if@mtc@FE 3874 \else\if #1d\let\do@ptitc\df@ptitc
\fi\fi\fi\fi\fi\fi
\mtc@CkStr{\ptctitle}\if@mtc@FE \let\do@ptitc\e@pti\relax\fi
\raggedright We adjust some formatting parameters and avoid a page break between the title and the parttoc, then we set the font:
\parskip
\ptcfont
3877 \raggedright \reset@font\ptcfont \parskip=\z@ \parindent=\z@
3878 \nopagebreak[4]\kern-0.8\baselineskip\nopagebreak[4]%
3879 \par\noindent \nopagebreak[4]%
\ptc@rule The parttoc title is set in a \tabular environment (to inhibit a page break between the title and the top rule), with a rule at its bottom if necessary. This rule is an \hline. It is the top rule of the parttoc.
\tabular
\columnwidth
\ptifont
\do@ptitc 3880 \ifx\ptc@rule\relax
\mtc@v 3881 \begin{tabular}{@{}p{\columnwidth}@{}}
\ptctitle 3882 \reset@font\ptifont\do@ptitc{\mtc@v\ptctitle}\\
\hline
3883 \end{tabular}%
3884 \else
3885 \begin{tabular}{@{}p{\columnwidth}@{}}
3886 \reset@font\ptifont\do@ptitc{\mtc@v\ptctitle}\\
3887 \hline
3888 \end{tabular}%
3889 \fi
\mtc@zrule Then, we adjust the position close the top rule and set the indentation and some formatting parameters:
\mtc@BBR
\ptcindent
3889 \nopagebreak[4]\null\leavevmode\mtc@zrule\*[\-\baselineskip]\mtc@BBR
3890 \leftmargin\ptcindent \rightmargin\ptcindent
3891 \itemindent=\z@ \labelwidth=\z@ \labelsep=\z@ \listparindent=\z@
\ptc@verse We enter in a \ptc@verse environment to format the parttoc. The toc depth is forced (locally) to \parttocdepth. A little trick is necessary to adjust the position. A blank line is necessary to avoid a negative indentation.
\ptcoffset
\c@tocdepth
\c@parttocdepth
\mtc@BBR
If the contents lines must have no numbers, we replace the macro \dottedtocline with its undotted version. For chapter-level entries, we must invoke \chapter ignoring the page number argument. A hook (redefinissable command) is added, and the formatting settings coming from \mtcsetformat are activated via \ptc@setform. Then the parttoc file is inserted, followed by a strut, and the ptc@verse environment is terminated. The “open” and “close” features are called just before and after the insertion of the mini-table file.
\begin{verbatim}
\begin{group}
\makeatletter
\ifundefined{ptc@pgno}%
{\let\dottedtocline\undottedtocline}%
\ifundefined{ptc@pgno}%
{\let\l@chapter@SVPN\l@chapter%
\def\l@chapter##1##2{\l@chapter@SVPN{##1}{\hbox{}}}%
}{}
\iffilesfalse\mtc@hook@beforeinputfile
\ptc@setform
\openparttoc\global\inparttoctrue
\input{jobname.\@tocfile}%
\global\inparttocfalse\closeparttoc
\vspace{-\ex}\vspace{-1\baselineskip}
\leavevmode\mtc@strut
\global\nobreakfalse\endgroup
\end{ptc@verse}%
\end{verbatim}
The final part is just to add the bottom rule, if necessary, a possible page break (if \chapter is not defined), and \afterparttoc.
\begin{verbatim}
\kernafterparttoc
\nopagebreak[4]\ptc@rule\null\leavevmode\%
\vskip-1.0\baselineskip\mtc@zrule\end{samepage}%
\par\ifundefined{chapter}{\pagebreak[1]\vspace*{-\ex}}%
\afterparttoc\fi%
\end{verbatim}
### 9.49.2 The \partlof command
This command must be used after \part if you need a partlof (no automatic partlof). First, \partlof@ detects the presence of its optional argument, and uses its default value, d, if it is missing. Then, \partlof@ is called with the effective position as argument:
\begin{verbatim}
\def\partlof{\ifnextchar[\{\partlof@{\partlof@[d]}}
\end{verbatim}
The \partlof@ macro does the real work. It first sets the flag \if@partlof@used@ (for a consistency hint) and checks if long extensions are used or not (to create the name of the partlof file):
\def\partlof@[#1]{%
\global\if@partlof@used@true
\if@mtc@longext@
\def\tocfile{plf\Thepart}%
\else
\def\tocfile{G\Thepart}%
\fi
\mtc@CkFile Then, we check the presence of the partlof file and give a warning if it is not here:
\if@mtc@FE
\tocfile{\mtc@CkFile{\jobname.\@tocfile}
\if@mtc@FE
\mtcPackageInfo[I0006]{minitoc}%
{\jobname.\@tocfile\space is empty}
\if@mtc@empty\partlof@true
\else
\beforepartlof If the partlof file is present, we can insert it, but we must add some presentation code: first, \beforepartlof, of course:
\beforepartlof
\mtc@markboth If \chapter is defined, we just set the page marks with the partlof title and set the page style:
\@mkboth
\thispagepartlofstyle
\MakeUppercase
\plftitle
\@ifundefined{chapter}{}
{
\global\let\mtc@markboth\markboth
\global\let\@mkboth\markboth
\thispagepartlofstyle
\mtc@markboth{\MakeUppercase{\plftitle}}{\MakeUppercase{\plftitle}}%
}
\do@ptilf A \samepage environment is begun, then the argument is treated to set the position of the partlof title. If the title string is empty, this forces the positioning.
\n@pti
\e@pti
\relax\begin{samepage}%
\l@pti
\if #1\let\do@ptilfe@pti
\else\if #1n\let\do@ptilf\n@pti
\else\if #1c\let\do@ptilfc@pti
\df@pti
\else\if #1l\let\do@ptilfl@pti
\else\if #1r\let\do@ptilfr@pti
\else\if #1d\let\do@ptilfdf@ptilf
\fi\fi\fi\fi\fi
\mtc@CkStr{\plftitle}\if@mtc@FE \let\do@ptilfe@pti\relax\fi
We adjust some formatting parameters and avoid a page break between the title and the parttoc, then we set the font:
\raggedright
\parskip=\z@
\reset@font\plffont%
The parttoc title is set in a \tabular environment (to inhibit a page break between the title and the top rule), with a rule at its bottom if necessary. This rule is an \hline. It is the top rule of the partlof.
\par\noindent
\ifx\plf@rule\relax
\begin{tabular}{@{}p{\columnwidth}@{}}
\reset@font\ptifont\do@ptilf{\mtc@v\plftitle}\\
\end{tabular}%
\else
\begin{tabular}{@{}p{\columnwidth}@{}}
\reset@font\ptifont\do@ptilf{\mtc@v\plftitle}\\hline
\mtc@hstrut\\
\end{tabular}%
\fi
Then, we adjust the position under the top rule and set the indentation and some formatting parameters:
\nopagebreak[4]\null\leavevmode\mtc@zrule\*[-\baselineskip]\mtc@BBR
\leftmargin\ptcindent \rightmargin\ptcindent
\itemindent=\z@\labelwidth=\z@%
\labelsep=\z@\listparindent=\z@
We enter in a ptc@verse environment to format the partlof. If necessary, the toc depth is forced (locally) to partlofdepth. A little trick is necessary to adjust the position. A blank line is necessary to avoid a negative indentation.
\begin{ptc@verse}{\plfoffset}%
\@ifundefined{\c@lofdepth}{}{%
{\c@lofdepth=\c@partlofdepth
\ifnum\c@lofdepth<1\relax\c@lofdepth=1\fi}%
\leavevmode\\ \mtc@BBR\vskip -.5\baselineskip
If the contents lines must have no numbers, we replace the macro \dottedtocline with its undotted version. A hook is added, and the formatting settings coming from \mtcsetformat are activated via \plf@setform. Then the partlof file is inserted, followed by a strut, and the ptc@verse environment is terminated. The “open” and “close” features are called just before and after the insertion of the mini-table file.
\begin{verbatim}
\begin{group}
\makeatletter
\ifdefined\plf@pgno%
\let\dottedtocline\undottedtocline
\fi
\mtc@hook@beforeinputfile
\plf@setform
\ifinpartlof
\openpartlof
\closepartlof
\@tocfile
\mtc@strut
ptc@verse
\end{ptc@verse}%
\end{group}
\end{verbatim}
The final part is just to add the bottom rule, if necessary, a possible page break (if \chapter is not defined), and \afterpartlof. The blank line (\) is essential.
\begin{verbatim}
\kernafterpartlof
\nopagebreak[4]\plf@rule\null\leavevmode\\%
\vskip-1.\baselineskip\mtc@zrule\end{samepage}%
\par\ifdefined\chapter{\pagebreak[1]\vspace*{-1ex}}%
\afterpartlof\fi}
\end{verbatim}
### 9.49.3 The \partlot command
This command must be used after \part if you need a partlot (no automatic partlot). First, \partlot detects the presence of its optional argument, and uses its default value, d, if it is missing. Then, \partlot@ is called with the effective position as argument:
\begin{verbatim}
\def\partlot{\ifnextchar[\{\partlot@\{\partlot@[d]}}
\end{verbatim}
The \partlot@ macro does the real work. It first sets the flag \if@partlot@used@ (for a consistency hint) and checks if long extensions are used or not (to create the name of the partlot file):
\begin{verbatim}
\if@partlot@used@
\if@mtc@longext@
\@tocfile
\Thetpart
\fi
\end{verbatim}
\def\@tocfile{\plt\Thepart}%
\else
\def\@tocfile{U\Thepart}%
\fi
\mtc@CkFile Then, we check the presence of the partlot file and give a warning if it is not here:
\if@mtc@FE
\@tocfile{\mtc@CkFile{\jobname.\@tocfile}}
\if@mtc@FE
\mtcPackageInfo[I0006]{minitoc}%
{\jobname.\@tocfile{space is empty}}
\@mtc@empty\partlof\true
\else
\beforepartlot If the partlot file is present, we can insert it, but we must add some presentation code: first, \beforepartlot, of course:
\beforepartlot
\mtc@markboth If \chapter is defined, we just set the page marks with the partlot title and set the page style:
\@mkboth
\thispagepartlotstyle
\MakeUppercase
\plttitle
\mtc@markboth{\MakeUppercase{\plttitle}}{\MakeUppercase{\plttitle}}%
\do@ptilt A \samepage environment is begun, then the argument is treated to set the position of the \e@pti partlof title. If the title string is empty, this forces the positionning.
\n@pti
\e@pti
\relax\begin{samepage}%
\l@pti
\if #1\let\do@ptilt\e@pti
\else\if #1n\let\do@ptilt\n@pti
\df@pti
\else\if #1c\let\do@ptilt\c@pti
\else\if #1l\let\do@ptilt\l@pti
\else\if #1r\let\do@ptilt\r@pti
\else\if #1d\let\do@ptilt\df@ptilt
\fi\fi\fi\fi\fi\fi
\mtc@CkStr{\plttitle}\if@mtc@FE \let\do@ptilt\e@pti\relax\fi
We adjust some formatting parameters and avoid a page break between the title and the partlot, then we set the font:
\raggedright
\parskip=\z@%
\reset@font\pltfont%
\parindent=\z@%
\nopagebreak[4]%
\kern-0.8\baselineskip\nopagebreak[4]%
\par\noindent
The partlot title is set in a \texttt{tabular} environment (to inhibit a page break between the title and the top rule), with a rule at its bottom if necessary. This rule is an \texttt{\hline}. It is the top rule of the partlot.
\begin{tabular}{@{}p{\columnwidth}@{}}
\reset@font\ptifont\do@ptilt{\mtc@v\plttitle}\\
\end{tabular}%
\else
\begin{tabular}{@{}p{\columnwidth}@{}}
\reset@font\ptifont\do@ptilt{\mtc@v\plttitle}\\
\hline
\mtc@hstrut\\
\end{tabular}%
\fi
Then, we adjust the position under the top rule and set the indentation and some formatting parameters:
\nopagebreak[4]\null\leavevmode\mtc@zrule\*[-\baselineskip]\mtc@BBR
\leftmargin\ptcindent \rightmargin\ptcindent
\itemindent=\z@ \labelwidth=\z@%
\labelsep=\z@ \listparindent=\z@%
We enter in a \texttt{ptc@verse} environment to format the parttoc. If necessary, the toc depth is forced (locally) to \texttt{partlotdepth}. A little trick is necessary to adjust the position.
\begin{ptc@verse}{\pltoffset}%
\@ifundefined{c@lotdepth}{}{%
\ifnum\c@lotdepth<\c@partlotdepth
\ifnum\c@lotdepth=1\relax\c@lotdepth=1\fi}
\leavevmode\\ \mtc@BBR\vskip -.5\baselineskip
If the contents lines must have no numbers, we replace the macro \dottedtocline with its undotted version. A hook is added, and the formatting settings coming from \mtcsetformat are activated via \plt@setform. Then the partlot file is inserted, followed by a strut, and the ptc@verse environment is terminated. The “open” and “close” features are called just before and after the insertion of the mini-table file.
\begin{verbatim}
\begin{group}
\makeatletter
\ifundef{\plt@pgno}%
{\let\dottedtocline\undottedtocline}{}%
\@filesfalse\mtc@hook@beforeinputfile
\plt@setform
\openpartlot\global\inpartlottrue
\@input{\jobname.\tocfile}%
\global\inpartlotfalse\closepartlot
\vspace{-1ex} \vspace{-1\baselineskip}
\leavevmode\mtc@strut
\global\nobreakfalse\endgroup
\end{ptc@verse}%
\end{verbatim}
The final part is just to add the bottom rule, if necessary, a possible page break (if \chapter is not defined), and \afterpartlot. The blank line (\) is essential.
\begin{verbatim}
\kernafterpartlot
\nopagebreak[4]\plt@rule\null\leavevmode\%
\vskip-1.0\baselineskip\mtc@zrule\endsamepage\%
\par\ifundef{chapter}{\pagebreak[1]\vspace*{-1ex}}%
\afterpartlot\fi}
\end{verbatim}
### 9.50 Auxiliary commands for printing parttocs
The following auxiliary commands are used in the printing of parttocs. Note that \l@xpart uses a huge depth to inhibit the printing of its contents line (except if you cheat). These commands are similar to \l@subsection, only the arguments have been altered:
\begin{verbatim}
\def\l@xpart{\dottedtocline{\OM}{1.0em}{2.3em}}
\def\l@pchapter{\dottedtocline{1}{1.0em}{2.3em}}
\def\l@psect{\dottedtocline{2}{1.0em}{2.3em}}
\def\pchapter{pchapter}
\def\psect{psect}
\end{verbatim}
9.51 Patching the \part command, continued
\sv@part We patch both branches of the \part command: \@part (unstarred \part) and \@spart (\part*). We add the incrementation of the ptc counter to both branches. In the unstarred branch, we add xpart entries in the TOC, the LOF and the LOT. In the starred branch, we add a \partbegin line in the TOC. This command is just a marker and does nothing real (\relax).
\mtc@svpart
\@part
\addtocontents
\sv@spart
\ptc@spart
\@spart
\stepcounter
\partbegin
\partend
\addcontentsline{lof}{xpart}{#1}%
\addcontentsline{lot}{xpart}{#1}%
\addcontentsline{toc}{xpart}{#1}%
\stepcounter{ptc}}
\let\sv@spart\@spart
\def\@spart{\stepcounter{ptc}\sv@spart}
\let\ptc@spart\@spart
\def\@spart{\addtocontents{toc}{\protect\partend\ptc@spart}
\def\@spart{\addtocontents{toc}{\protect\partbegin\ptc@spart}
\let\partend\relax
\let\partbegin\relax
9.52 The \doparttoc command and its siblings
\doparttoc The \doparttoc command works like the \dominitoc command. \dopartlof like \dominihof and \dopartlot like \dominilot.
\dopartlot
@doparttoc The \doparttoc command extracts information from the .toc file and creates the .ptc(N) files (.ptc becomes .P on MS-DOS).
\setcounter
\def@doparttoc#1{%
\makeatletter
\setcounter{ptc}{0}%
\PTC@next#1.toc\relax\\setcounter{ptc}{0}}%
@dopartlof The \dopartlof command extracts information from the .lof file and creates the .plf(N) files (.plf becomes .G on MS-DOS).
\setcounter
\def@dopartlof#1{%
\makeatletter
\setcounter{ptc}{0}%
\PLF@next#1.lof\relax\\setcounter{ptc}{0}}%
The \dopartlot command extracts information from the .lot file and creates the .plt files (.plt becomes .U on MS-DOS).
\setcounter
\def\dopartlot#1{%
\makeatletter
\setcounter{ptc}{0}%
\PLT@next#1.lot\relax\}\setcounter{ptc}{0}%
We define the user macros, who detect the optional argument:
\def\doparttoc{\ifnextchar[\doparttoc@{\doparttoc@[1]}}
\def\dopartlof{\ifnextchar[\dopartlof@{\dopartlof@[1]}}
\def\dopartlot{\ifnextchar[\dopartlot@{\dopartlot@[1]}}
We treat the optional argument of \doparttoc (it becomes the default position for titles of parttoc) and flag this macro as used; a hint detects any spurious invocation.
\def\doparttoc@{\ifmtc@hints@
\if@doparttoc@used@
\mtcPackageInfo[10045]{minitoc(hints)}%
{The \string\doparttoc \space command has been invoked more than once}
\fi
\global\@doparttoc@used@true
\fi
\if#1e\let\df@ptite\e@pti%
\else\if#1n\let\df@ptite\n@pti%
\else\if#1c\let\df@ptite\c@pti%
\else\if#1l\let\df@ptite\l@pti%
\else\if#1r\let\df@ptite\r@pti%
\fi\fi\fi\fi\fi\fi}
We treat the optional argument of \dopartlof (it becomes the default position for titles of partlofs) and flag this macro as used, a hint detects any spurious invocation.
\def\dopartlof@{\ifmtc@hints@
\if@dopartlof@used@
\mtcPackageInfo[10045]{minitoc(hints)}%
{The \string\dopartlof \space command has been invoked more than once}
\@doparttoc These macros invoke the @dopart... commands to create the mini-table file, then close the file descriptor.
\@dopartlof
\@dopartlot
\@doparttoc{\@doparttoc{\jobname}\immediate\closeout\@mtc}
\@dopartlof{\@dopartlof{\jobname}\immediate\closeout\@mtc}
\@dopartlot{\@dopartlot{\jobname}\immediate\closeout\@mtc}
9.52.1 Processing macros for the parttoc
\PTC@next Processing the next entry in the list and remove it from the head of the list:
\PTC@list
\PTC@loop
\def\PTC@next#1\relax#2\{%
\edef\PTC@list{#2}%
\PTC@loop{#1}}
\PTC@toc Check if the list is empty:
\PTC@list
\PTC@explist
\def\PTC@tocf\ifx\PTC@list\@empty\else\expandafter\PTC@explist\fi}
\PTC@contentsline The macro \PTC@contentsline analyses the lines read from the TOC file and detects interesting keywords. If \part is found, the ptc counter is incremented and a new partlof file is created.
\part
\theptc
\tf@mtc
\ptcname
\def\PTC@contentsline#1#2#3#4\{%
\expandafter\ifx\csname #1\endcsname\part
\stepcounter{ptc}%
\if@mtc@longext@%
\mtcPackageInfo[I0033]{minitoc}%
{Writing\space\jobname.ptc\theptc\gobble}%
\def\ptcname{\jobname.ptc\theptc}%
\else
\mtcPackageInfo[I0033]{minitoc}%
{Writing\space\jobname.P\theptc\gobble}%
\def\ptcname{\jobname.P\theptc}%
\fi
\immediate\closeout\tf@mtc
\immediate\openout\tf@mtc=\ptcname
\fi
\expandafter\ifx\csname #1\endcsname\starpart\relax
\stepcounter{ptc}%
\if@mtc@longext@ We test if long or short extensions are used, to build the name of the mini-table file, then open it:
\if@mtc@longext@%
\mtcPackageInfo[I0033]{minitoc}%
{Writing\space\jobname.ptc\theptc}%
\def\ptcname{\jobname.ptc\theptc}%
\else
\mtcPackageInfo[I0033]{minitoc}%
{Writing\space\jobname.P\theptc}%
\def\ptcname{\jobname.P\theptc}%
\fi
\immediate\closeout\tf@mtc
\immediate\openout\tf@mtc=\ptcname
\fi
The token register \mtc@toks is used to pass the entry to \MTC@WriteContentsline:
\mtc@toks{\noexpand\leavevmode #2}%
Now, we filter the relevant contents lines; this code extracts and writes info for chapters, sections, etc.:
\chapter
\pchapter
\section
\expandafter\ifx\csname #1\endcsname\chapter
\MTC@WriteContentsline{#1}{ptcC}{#3}{#4}%
\fi
\subsection
\expandafter\ifx\csname #1\endcsname\appendix
\MTC@WriteContentsline{#1}{ptcC}{#3}{#4}%
\fi
\subsubsection
\expandafter\ifx\csname #1\endcsname\pchapter
\MTC@WriteContentsline{#1}{ptcC}{#3}{#4}%
\fi
\paragraph
\expandafter\ifx\csname #1\endcsname\section
\MTC@WriteContentsline{#1}{ptcS}{#3}{#4}%
\fi
\subparagraph
\expandafter\ifx\csname #1\endcsname\coffee
\MTC@WriteCoffeeLine{#1}{#3}%
\fi
\subsubsection
\expandafter\ifx\csname #1\endcsname\subsection
\MTC@WriteContentsline{#1}{ptcSS}{#3}{#4}%
\fi
\paragraph
\expandafter\ifx\csname #1\endcsname\paragraph
\MTC@WriteContentsline{#1}{ptcP}{#3}{#4}%
\fi
\subparagraph
\expandafter\ifx\csname #1\endcsname\subparagraph
\MTC@WriteContentsline{#1}{ptcSP}{#3}{#4}%
\fi
And for the starred sectionning commands:
\starchapter
\expandafter\ifx\csname #1\endcsname\starchapter
\MTC@WriteContentsline{#1}{ptcC}{#3}{#4}%
\fi
\starsection
\expandafter\ifx\csname #1\endcsname\starsection
\MTC@WriteContentsline{#1}{ptcS}{#3}{#4}%
\fi
\starsubsection
\expandafter\ifx\csname #1\endcsname\starsubsection
\MTC@WriteContentsline{#1}{ptcSS}{#3}{#4}%
\fi
\starparagraph
\expandafter\ifx\csname #1\endcsname\starparagraph
\MTC@WriteContentsline{#1}{ptcSP}{#3}{#4}%
\fi
\def\PTC@explist{\expandafter\PTC@next\PTC@list\\}
\def\PTC@loop#1{\openin\@inputcheck#1\relax
\ifeof\@inputcheck
\mtcPackageWarning[W0013]{minitoc}%
{No file #1
\MessageBreak
PARTTOCS NOT PREPARED}%
\expandafter\PTC@toc
\else
\mtcPackageInfo[I0025]{minitoc}%
{PREPARING PARTTOCS FROM #1}%
\expandafter\PTC@read\fi}
\def\PTC@read{Read the next entry of the .toc file.
\def\PTC@line{\read\@inputcheck to\PTC@line}
\PTC@test The ..... make sure that \PTC@test has enough arguments:
\expandafter\PTC@test\PTC@line.....\PTC@
The \PTC@test macro finds the “interesting” commands in the TOC file, mainly to delimit parts:
Look at the first token of the line. If it is an interesting entry, process it. If it is \@input, add the file to the list. Otherwise ignore. Go around the loop if not at end of file. Finally process the next file in the list.
\long\def\PTC@test#1#2#3#4#5#6\PTC@{%
\ifx#1\contentsline
\let\mtc@string\string
\PTC@contentsline{#2}{#3}{#4}{#5}%
\let\mtc@string\relax
\else\ifx#1\@input
\edef\PTC@list{\PTC@list#2\relax}%
\else\ifx#1\partend
\immediate\closeout\tf@mtc
\immediate\openout\tf@mtc=\jobname.mtc
\else\ifx#1\partbegin
\addtocounter{ptc}{-1}%
\fi\fi\fi\fi
\ifeof\@inputcheck\expandafter\PTC@toc
\else\expandafter\PTC@read\fi%
9.52.2 Processing macros for the partlofs
Processing the next entry in the list and remove it from the head of the list:
\def\PLF@next#1\relax#2\\{%
\edef\PLF@list{#2}%
\PLF@loop{#1}%
Check if the list is empty:
\def\PLF@lof{%
\ifx\PLF@list\@empty\else\expandafter\PLF@explist\fi}
The macro \PLF@contentsline analyses the lines read from the LOF file and detects interesting keywords. If \part is found, the ptc counter is incremented and a new partlof file is created.
\def\PLF@contentsline#1#2#3#4{%
\expandafter\ifx\csname #1\endcsname\xpart
\stepcounter{ptc}%
We test if long or short extensions are used, to build the name of the mini-table file, then open it:
```latex
\if@mtc@longext@
\def\plfname{\jobname.plf\theptc}
\else
\def\plfname{\jobname.G\theptc}
\fi
\immediate\closeout\tf@mtc
\immediate\openout\tf@mtc=\plfname
```
The token register `\mtc@toks` is used to pass the entry to `\MTC@WriteContentsline`. Now, we filter the relevant contents lines:
```latex
\expandafter\ifx\csname #1\endcsname\figure
\mtc@toks{\noexpand\leavevmode#2}%
\MTC@WriteContentsline{#1}{plf}{#3}{#4}%
\fi
\expandafter\ifx\csname #1\endcsname\subfigure
\mtc@toks{\noexpand\leavevmode#2}%
\MTC@WriteContentsline{#1}{plfs}{#3}{#4}%
\fi
```
The loop to read the lines of the LOF file; expands the list of entries and call `\PLF@next` to process the first one:
```latex
\def\PLF@explist{\expandafter\PLF@next\PLF@list\\}
```
If an entry is found, loop through line by line, looking for interesting entries. Otherwise, process the next entry in the list.
```latex
\def\PLF@loop#1{\openin\@inputcheck#1\relax
\ifeof\@inputcheck
\mtcPackageWarning[W0011]{minitoc}%
{No file #1
\MessageBreak
PARTLOFS NOT PREPARED}%
\expandafter\PLF@lof
\else
\mtcPackageInfo[I0035]{minitoc}%
{PREPARING PARTLOFS FROM #1}%
\expandafter\PLF@read\fi}
```
\PLF@read Read the next entry of the .lof file.
\PLF@line
4310 \def\PLF@read{%
4311 \read\@inputcheck to\PLF@line
\PLF@test The ..... make sure that \PLF@test has enough arguments:
\PLF@line
4312 \expandafter\PLF@test\PLF@line.....\PLF@
4313 }%
\PLF@test The \PLF@test macro finds the “interesting” commands in the LOF file, mainly to delimit parts:
\PLF@contentsline Look at the first token of the line. If it is an interesting entry, process it. If it is \@input, add the file to the list. Otherwise ignore. Go around the loop if not at end of file. Finally process the next file in the list.
\mtc@string
\PLF@list
\PLF@lof
\PLF@read 4314 \long\def\PLF@test#1#2#3#4#5#6\PLF@{%
4315 \ifx#1\contentsline
4316 \let\mtc@string\string
4317 \PLF@contentsline{#2}{#3}{#4}{#5}%
4318 \let\mtc@string\relax
4319 \else\ifx#1\@input
4320 \edef\PLF@list{\PLF@list#2\relax}%
4321 \else\ifx#1\partend
4322 \immediate\closeout\tf@mtc
4323 \immediate\openout\tf@mtc=\jobname.mtc
4324 \else\ifx#1\partbegin
4325 \addtocounter{ptc}{-1}%
4326 \fi\fi\fi\fi
4327 \ifeof\@inputcheck\expandafter\PLF@lof
4328 \else\expandafter\PLF@read\fi}%
9.52.3 Processing macros for the partlots
\PLT@next Processing the next entry in the list and remove it from the head of the list:
\PLT@list
\PLT@loop 4329 \def\PLT@next#1\relax#2\{%
4330 \edef\PLT@list{#2}%
4331 \PLT@loop{#1}
\def\PLT@lot{% Check if the list is empty:
\ifx\PLT@list\@empty\else\expandafter\PLT@explist\fi}
\def\PLT@contentsline#1#2#3#4{% The macro \PLT@contentsline analyses the lines read from the LOT file and detects interesting keywords. If \part is found, the ptc counter is incremented and a new partlot file is created.
\expandafter\ifx\csname #1\endcsname\xpart
\stepcounter{ptc}%
\fi}
\if@mtc@longext@% We test if long or short extensions are used, to build the name of the mini-table file, then open it:
\if@mtc@longext@
\mtcPackageInfo[I0033]{minitoc}%
{Writing\space\jobname.plt\theptc}%
\def\pltname{\jobname.plt\theptc}%
\else
\mtcPackageInfo[I0033]{minitoc}%
{Writing\space\jobname.\U\theptc}%
\def\pltname{\jobname.\U\theptc}%
\fi
\immediate\closeout\tf@mtc
\immediate\openout\tf@mtc=\pltname
\fi
The token register \mtc@toks is used to pass the entry to \MTC@WriteContentsline. Now, we filter the relevant contents lines:
\expandafter\ifx\csname #1\endcsname\table
\mtc@toks{\noexpand\leavevmode#2}%
\MTC@WriteContentsline{\#1}{\plt}{\#3}{\#4}%
\fi
\expandafter\ifx\csname #1\endcsname\subtable
\mtc@toks{\noexpand\leavevmode#2}%
\MTC@WriteContentsline{\#1}{\pltS}{\#3}{\#4}%
\fi
}
The loop to read the lines of the LOT file; expands the list of entries and call \PLT@next to process the first one:
\def\PLT@explist{\expandafter\PLT@next\PLT@list\\}
If an entry is found, loop through line by line, looking for interesting entries. Otherwise, process the next entry in the list.
\def\PLT@loop{\ifopenin\@inputcheck#1\relax
\ifeof\@inputcheck
\mtcPackageWarning[W0012]{minitoc}%
{No file #1
\MessageBreak
PARTLOTS NOT PREPARED}%
\else
\mtcPackageInfo[I0038]{minitoc}%
{PREPARING PARTLOTS FROM #1}%
\fi
\expandafter\PLT@lot
}
Read the next entry of the .lot file.
\def\PLT@read{%
\read\@inputcheck to\PLT@line
}
The ..... make sure that \PLT@test has enough arguments:
\expandafter\PLT@test\PLT@line.....\PLT@
The \PLT@test macro finds the “interesting” commands in the LOT file, mainly to delimit parts:
Look at the first token of the line. If it is an interesting entry, process it. If it is \@input, add the file to the list. Otherwise ignore. Go around the loop if not at end of file. Finally process the next file in the list.
\long\def\PLT@test#1#2#3#4#5#6\PLT@{%
\ifx#1\contentsline
\let\mtc@string\string
\PLT@contentsline{#2}{#3}{#4}{#5}%
\else\ifx#1\@input
End of the part level stuff (begun in section 9.45 on page 325):
\AtBeginDocument
\c@lofdepth
\c@lotdepth
\newcounter{sectlofdepth}
\setcounter{sectlofdepth}{2}
\if@mtc@chapter@undef@
\if@mtc@section@def@
\firstsectionis
\adjuststc
\decrementstc
\incrementstc
\stc@rule
\stcindent
\columnwidth
We define the obsolete command \firstsectionis (with its harmless warning), the counter stc of secttoc, the \adjuststc, \decrementstc and \incrementstc commands, the depth counter secttocdepth and its default value 2 (to include at least the subsections), the horizontal rule \stc@rule (rule before/after secttoc/sectlof/sectlot), the indentation (both sides) \stcindent for the secttoc (with its default values).
\string\firstsectionis \space is an obsolete (ignored)
\MessageBreak
command}%
@firstsectionis@used@true}
\newcounter{stc}\setcounter{stc}{0}%
\newcommand{\adjuststc}[1][1]{\addtocounter{stc}{#1}}%
\def\decrementstc{\addtocounter{stc}{-1}}%
\def\incrementstc{\addtocounter{stc}{+1}}%
\newcounter{secttocdepth}\setcounter{secttocdepth}{2}%
\def\stc@rule{\rule[3\p@]{\columnwidth}{.4\p@}\vspace*{2.6\p@}}%
\nellength\stcindent \stcindent=24\p@
### 9.55 Fonts commands for sectttocs and co.
\stcfont We define the fonts commands for the sectttocs, secttlofs and sectlots and their titles:
\stcSSfont
\stcSSSfont
\def\stcfont{\small\rmfamily\upshape\mdseries} % sectttoc
\stcPfont
\def\stcSSfont{\small\rmfamily\upshape\bfseries} % (subsections)
\stcSPfont
\let\stcSSSfont\stcfont % (subsubsections)
\sllfont
\let\stcPfont\stcfont % (paragraphs)
\sllfSfont
\let\stcSPfont\stcfont % (subparagraphs)
\sllfont
\let\sllfSfont\stcfont % sectlof (figures)
\sllfSfont
\let\sllfont\stcfont % sectlof (subfigures)
\sllfSfont
\let\sllfSfont\stcfont % sectlot (tables)
\stifont
\let\sllfSfont\stcfont % sectlot (subtables)
\def\stifont{\large\rmfamily\upshape\bfseries} % titles
### 9.56 Internal macros for title positionning
\l@sti Some internal macros for title positionning, from the optional arguments of \dosecttoc and \secttoc commands (and siblings). Centering, flushleft, flushright or empty titles (with a vertical correction for empty titles, from Frank Mittelbach):
\e@sti
\n@sti
\def\c@sti#1{\null\hfill #1\hfill\null}
\def\l@sti#1{\null #1\hfill\null}
\def\r@stif#1{\null\hfill #1\null}
\def\e@sti#1{\vspace{-\baselineskip}}
\def\n@sti#1{\vspace{-\baselineskip}}
\dostitc By default, titles are flushleft.
\dostilf
\let\dostitc\d@sti
\let\dostilf\d@stif
\dostilt
\l@sti
9.57 The stc@verse environment
The stc@verse environment is a very simple list environment, analog to the standard verse environment. Some formatting parameters are adjusted. The tight/loose and k-tight/k-loose package options are honored. The stc@verse environment has an argument which is an horizontal offset (a command like \stcoffset).
\def\stc@verse#1{\let\\=\@centercr
\list{}{%
\itemsep=\z@ \itemindent=\z@ \topsep=1ex
\listparindent=\itemindent \partopsep=\z@
\iftightmtc \parsep=\z@ \fi
\ifktightmtc \parskip=\z@ \fi
\leftmargin=\stcindent \rightmargin=\leftmargin
\addtolength{\leftmargin}{+\#1}
\addtolength{\rightmargin}{-\#1}%
}%
\item[]%
}\def\endstc@verse{\nopagebreak[4]\endlist}
9.58 The \secttoc, \sectlof, and \sectlot commands
These three commands are very similar.
9.58.1 The \secttoc command
The \secttoc command must be used after \section if you need a secttoc (no automatic secttoc). Its code is similar to the code of \minitoc (but simpler). First, \secttoc detects the presence of its optional argument, and uses its default value, d, if it is missing. Then, \secttoc@ is called with the effective position as argument:
\def\secttoc{\@ifnextchar[\{\secttoc@}{\secttoc@[d]}
The \secttoc@ macro does the real work. It first sets the flag \if@secttoc@used@ (for a consistency hint) and checks if long extensions are used or not (to create the name of the secttoc file):
\def\secttoc@[#1]{%
\global\@secttoc@used@true
\if@mtc@longext@
\def\@tocfile{stc\thestc}%
\else
\def\@tocfile{S\thestc}%
\fi
Then, we check the presence and the emptiness of the secttoc file and give a warning if it is not here or is empty:
\mtc@CkFile{\jobname.\@tocfile}
\if@mtc@FE
\mtcPackageInfo[I0006]{minitoc}%
{\jobname.\@tocfile\space is empty}
\@mtc@empty@secttoc@true
\else
If the secttoc file is present and not empty, we can insert it, but we must add some presentation code: first, \beforesecttoc, of course, and the page style feature:
\beforesecttoc
\thispagesecttocstyle
We begin a samepage environment, then treat the positionning argument. If the title is empty, we simulate the “e” positionning.
\c@sti
\l@sti
\r@sti
\df@sti
\mtc@CkStr
\stctitle
\if@mtc@FE
\samepage
\mtc@markboth{\MakeUppercase{\stctitle}}{\MakeUppercase{\stctitle}}%
\relax\begin{samepage}%
\if#1e\let\do@stitc\e@sti
\else\if #1n\let\do@stitc\n@sti
\else\if #1c\let\do@stitc@c@sti
\else\if #1l\let\do@stitc\l@sti
\else\if #1r\let\do@stitc\r@sti
\else\if #1d\let\do@stitc\df@stitc
\fi\fi\fi\fi\fi\fi
\mtc@CkStr{\stctitle}\if@mtc@FE \let\do@stitc\e@sti\relax\fi
We adjust some formatting parameters and avoid a page break between the title and the secttoc, then we set the font:
\raggedright
\parskip=\z@
\reset@font\stcfont%
\parindent=\z@
\nopagebreak[4]
The secttoc title is set in a \tabular environment (to inhibit a page break between the title and the top rule), with a rule at its bottom if necessary. This rule is an \hline. It is the top rule of the secttoc.
\stc@rule
\tabular{\columnwidth}
\stifont
\do@stitc
\mtc@v
\stctitle
\hline
\kern-0.8\baselineskip\nopagebreak[4]%
\par\noindent
\nopagebreak[4]%
\ifx\stc@rule\relax
\begin{tabular}{@{}p{\columnwidth}@{}}
\reset@font\stifont\do@stitc{\mtc@v\stctitle}\\
\end{tabular}%
\else
\begin{tabular}{@{}p{\columnwidth}@{}}
\reset@font\stifont\do@stitc{\mtc@v\stctitle}\\
\hline
\end{tabular}%
\fi
Then, we adjust the position under the top rule and set the indentation and some formatting parameters:
\nopagebreak[4]\null\leavevmode\mtc@zrule\mtc@BBR
\leftmargin\stcindent
\itemindent=\z@\labelwidth=\z@
\labelsep=\z@\listparindent=\z@
We enter in a \stc@verse environment to format the secttoc. The toc depth is forced (locally) to \secttocdepth. A little trick is necessary to adjust the position.
\begin{stc@verse}{\stcoffset}\c@tocdepth=\c@secttocdepth%
\leavevmode\mtc@BBR\vskip -.5\baselineskip
If the contents lines must have no numbers, we replace the macro \dottedtocline with its undotted version. A hook is added, and the formatting settings coming from \mtcsetformat are activated via \stc@setform. Then the secttoc file is inserted, followed by a strut, and the \stc@verse environment is terminated. The “open” and “close” features are called just before and after the insertion of the mini-table file.
\begin{group}
\makeatletter
\stc@setform%
\ifundefined{\stc@pgno}%
{\let\dottedtocline\undottedtocline}{}
\@fileswwfalse\mtc@hook@beforeinputfile
\stc@setform%
\opensectttoc\global\insectttoctrue
\input{\jobname.\@tocfile}%
\global\insectttocfalse\closesectttoc
\vspace{-1ex} \vspace{-\baselineskip}
\leavevmode\mtc@strut
\global\nobreakfalse\endgroup
\end{stc@verse}
The final part is just to add the bottom rule, if necessary, a possible page break and \mtc@zrule \aftersectttoc.
\aftersectttoc
\kernaftersectttoc
\nopagebreak[4]\stc@rule\null\leavevmode\%
\vskip-1.0\baselineskip\mtc@zrule\end{samepage}%
\par\pagebreak[1]\vspace*{-1ex}\aftersectttoc\fi}%
9.58.2 The \sectlof command
The \sectlof command must be used after \section if you need a sectlof (no automatic sectlof). Its code is similar to the code of \minilof (but simpler). First, \sectlof detects the presence of its optional argument, and uses its default value, d, if it is missing. Then, \sectlof@ is called with the effective position as argument:
\def\sectlof{\ifnextchar[\{\sectlof@}{\sectlof@[d]}
The \sectlof@ macro does the real work. It first sets the flag \if@sectlof@used@ (for a consistency hint) and checks if long extensions are used or not (to create the name of the sectlof file):
\def\sectlof@[#1]{%
\global\@sectlof@used@true
\if@mtc@longext@
\def@\tocfile{slf\thestc}%
\else
\def@\tocfile{H\thestc}%
\fi
Then, we check the presence and the emptiness of the sectlof file and give a warning if it is not here or is empty:
\mtc@CkFile
\if@mtc@FE
\mtc@CkFile{\jobname.\@tocfile}
\if@mtc@FE
\mtcPackageInfo[10006]{minitoc}%
{\jobname.\@tocfile\space is empty}
\if@mtc@empty@sectlof@true
\else
\beforesectlof
\thispagesectlofstyle
If the sectlof file is present and not empty, we can insert it, but we must add some presentation code: first, \beforesectlof, of course, and the page style feature:
\thispagesectlofstyle
\mtc@markboth{\MakeUppercase{\slftitle}}{\MakeUppercase{\slftitle}}
\beforesectlof
\do@stilf We begin a samepage environment, then treat the positionning argument. If the title is empty, we simulate the “e” positionning.
\relax\begin{samepage}%
\if#1\let\do@stilfe@sti
\else\if #ln\let\do@stilfr@sti
\else\if #lc\let\do@stilfn@sti
\else\if #ll\let\do@stilfl@sti
\else\if #lr\let\do@stilfr@sti
\else\if #id\let\do@stilfd@stilf
\fi\fi\fi\fi\fi\fi
We adjust some formatting parameters and avoid a page break between the title and the sectlof, then we set the font:
\raggedright
\parskip=\z@
\reset@font\slffont%
\parindent=\z@
\nopagebreak[4]
The sectlof title is set in a tabular environment (to inhibit a page break between the title and the top rule), with a rule at its bottom if necessary. This rule is an \hline. It is the top rule of the sectlof.
\kern-0.8\baselineskip\nopagebreak[4]%
\par\noindent
\hline
\ifx\slf@rule\relax
\begin{tabular}{|p{\columnwidth}|}
\reset@font\stifont\do@stilf{\mtc@v\slftitle} \\
\end{tabular}%
\else
\begin{tabular}{|p{\columnwidth}|}
\mtc@hstrut
\reset@font\stifont\do@stilf{\mtc@v\slftitle}\\
\end{tabular}%
\fi
\mtc@zrule Then, we adjust the position under the top rule and set the indentation and some formatting parameters:
\mtc@BBR
\stcindent
\nopagebreak[4]\null\leavevmode\mtc@zrule\mtc@BBR
\leftmargin\stcindent \rightmargin\stcindent
\itemindent=\z@ \labelwidth=\z@%
\labelsep=\z@\listparindent=\z@
\stc@verse We enter in a \stc@verse environment to format the sectlof. The toc depth is forced (locally) \slloffset to \sectlofdepth. A little trick is necessary to adjust the position.
\c@tocdepth
\c@sectlofdepth
\mtc@BBR
\nopagebreak[4]\null\leavevmode\mtc@BBR\vskip -.5\baselineskip
\slf@pgno If the contents lines must have no numbers, we replace the macro \dottedtocline with its undotted version. A hook is added, and the formatting settings coming from \mtcsetformat are activated via \slf@setform. Then the sectlof file is inserted, followed by a strut, and the \stc@verse environment is terminated. The “open” and “close” features are called just before and after the insertion of the mini-table file.
\dottedtocline
\undottedtocline
\mtc@hook@beforeinputfile
\slf@setform
\ifinsectlof
\opensectlof
\closesectlof
\@tocfile
\mtc@strut
\stc@verse
\begin{group}
\makeatletter
\@ifundefined{\slf@pgno}%
{\let\dottedtocline\undottedtocline}{}%
\@fileswfalse\mtc@hook@beforeinputfile
\slf@setform%
\opensectlof\global\insectloftrue
\@input{\jobname.\@tocfile}%
\global\insectloffalse\closesectlof
\global\nobreakfalse\endgroup
\end{stc@verse}%
The final part is just to add the bottom rule, if necessary, a possible page break and \aftersectlof. The blank line \\ is essential.
\kernaftersectlof
\nopagebreak[4]\slf@rule\null\leavevmode\\%
\vskip-1.0\baselineskip\mtc@zrule\end{samepage}%
\par\pagebreak[1]\vspace*{-1ex}\aftersectlof\fi}
9.58.3 The \sectlot command
The \sectlot command must be used after \section if you need a sectlot (no automatic sectlot). Its code is similar to the code of \minilot (but simpler). First, \sectlot detects the presence of its optional argument, and uses its default value, d, if it is missing. Then, \sectlot@ is called with the effective position as argument:
\def\sectlot{\@ifnextchar[\{\sectlot@{\sectlot@d}}
\sectlot@ The \sectlot@ macro does the real work. It first sets the flag \if@sectlot@used@ (for a consistency hint) and checks if long extensions are used or not (to create the name of the sectlot file):
\def\sectlot@[#1]{%
\global\@sectlot@used@true
\if@mtc@longext@
\def\@tocfile{slt\thestc}%
\else
\def\@tocfile{I\thestc}%
\fi
Then, we check the presence and the emptiness of the sectlot file and give a warning if it is not here or is empty:
\mtc@CkFile{\jobname.\@tocfile}
\if@mtc@FE
\mtcPackageInfo[I0006]{minitoc}%
{\jobname.\@tocfile\space is empty}
\@mtc@empty@sectlot@true
\else
If the sectlot file is present and not empty, we can insert it, but we must add some presentation code: first, \beforesectlot, of course, and the page style feature:
\thispagesectlotstyle
\mtc@markboth{\MakeUppercase{\sltttitle}}{\MakeUppercase{\sltttitle}}%
\beforesectlot
\do@stilt We begin a \texttt{samepage} environment, then treat the positionning argument. If the title is empty, we simulate the “e” positionning.
\n@sti
\c@sti 4593 \relax\begin{samepage}%
\l@sti 4594 \if #1\let\do@stilt\e@sti
\r@sti 4595 \else\if #1\n\let\do@stilt\n@sti
\df@sti 4596 \else\if #1c\let\do@stilt\c@sti
\mtc@CkStr 4597 \else\if #1l\let\do@stilt\l@sti
\slttitle 4598 \else\if #1r\let\do@stilt\r@sti
\if@mtc@FE 4599 \else\if #1d\let\do@stilt\df@stilt
samepage 4600 \fi\fi\fi\fi\fi
\mtc@CkStr{\slttitle}\if@mtc@FE \let\do@stilt\e@sti\relax\fi
\raggedright We adjust some formatting parameters and avoid a page break between the title and the sectlot, then we set the font:
\parskip \z@
\reset@font\sltfont%
\parindent \z@
\nopagebreak[4]%
\stc@rule The sectlot title is set in a \texttt{tabular} environment (to inhibit a page break between the title and the top rule), with a rule at its bottom if necessary. This rule is an \texttt{\hline}. It is the top rule of the sectlot.
\tabular \stifont
\columnwidth
\do@stilt 4607 \kern-0.8\baselineskip\nopagebreak[4]%
\mtc@v 4608 \par\noindent
\slttitle 4609 \ifx\slt@rule\relax
\hline 4610 \begin{tabular}{@{}p{\columnwidth}@{}}
\reset@font\stifont\do@stilt{\mtc@v\slttitle}\\
\end{tabular}%
\else
\begin{tabular}{@{}p{\columnwidth}@{}}
\mtc@Bstrut
\reset@font\stifont\do@stilt{\mtc@v\slttitle}\hline
\end{tabular}%
\fi
\mtc@zrule Then, we adjust the position under the top rule and set the indentation and some formatting parameters:
\mtc@BBR
\stcindent 4619 \nopagebreak[4]\null\leavevmode\mtc@zrule\\
\mtc@BBR
\leftmargin\stcindent \rightmargin\stcindent
\itemindent=\z@\labelwidth=\z@
\labelsep=\z@\listparindent=\z@%
We enter in a \stc@verse environment to format the sectlot. The toc depth is forced (locally) to \c@sectlotdepth. A little trick is necessary to adjust the position.
\begin{stc@verse}{\sltoffset}%
\ifundefined{\c@lotdepth}{1}%
{\c@lotdepth=\c@sectlotdepth}%
\ifnum\c@lotdepth>1\relax\c@lotdepth=1\fi}%
\leavevmode\\mtc@BBR\vskip -.5\baselineskip
If the contents lines must have no numbers, we replace the macro \dottedtocline with its undotted version. A hook is added, and the formatting settings coming from \mtcsetformat are activated via \slt@setform. Then the sectlot file is inserted, followed by a strut, and the \stc@verse environment is terminated. The “open” and “close” features are called just before and after the insertion of the mini-table file.
\begin{group}
\makeatletter
\ifundefined{\slt@pgno}%
{\let\dottedtocline\undottedtocline}{}%
\gdef\thestc{\arabic{stc}}%
\iffilesfalse\mtc@hook@beforeinputfile
\slt@setform%
\opensectlot\global\insectlottrue
\input{\jobname.\@tocfile}%
\global\insectlotfalse\closesectlot
\global\nobreakfalse\endgroup
\end{stc@verse}%
The final part is just to add the bottom rule, if necessary, a possible page break and \aftersectlot.
\kernaftersectlof
\nopagebreak[4]\slt@rule\null\leavevmode\%
\vskip-1.0\baselineskip\mtc@zrule\end{samepage}%
\par\pagebreak[1]\vspace*{-1ex}\aftersectlot\fi%
9.59 Auxiliary internal commands, section level
We define auxiliary commands, used for the mini-tables and as delimiters in the TOC file (and LOF and LOT files). The depth of \xsect is huge to inhibit the printing of its contents line (except if you cheat).
\def\xsect{\dottedtocline{\@M}{1.0em}{2.3em}}
\def\xsection{\dottedtocline{\@M}{1.0em}{2.3em}}
9.60 Patching the \section command (continued)
We patch the both branches of the \section command: \@sect for the unstarred version and \@ssect for the starred version. First, for the unstarred version (\@sect), we add a xsect contents line in the LOF and in the LOT. The test \ifnum #2=1 restricts the action to the section level macros (because \@sect is also used by \subsection and below, which have no mini-tables).
\let\sv@sect\@sect
\gdef\@sect#1#2#3#4#5#6[#7]{%
\ifnum #2=1\relax
\addcontentsline{lof}{xsect}{#7}%
\addcontentsline{lot}{xsect}{#7}%
\fi
\sv@sect{#1}{#2}{#3}{#4}{#5}{#6}[{#7}]{#8}}
If it is a section (unstarred or starred via \starsection), we add a xsect entry in the LOF and in the LOT.
\def\@sect#1#2#3#4#5#6[#7]{%
\expandafter
\ifx\csname #1\endcsname\section\relax
\addcontentsline{lof}{xsect}{#7}%
\addcontentsline{lot}{xsect}{#7}%
\fi
\ifx\csname #1\endcsname\starsection\relax
\addcontentsline{lof}{xsect}{#7}%
\addcontentsline{lot}{xsect}{#7}%
\fi}
And the remainder of the section header formatting:
\refstepcounter
\tempskipa
\ifnum #2>\c@sectiondepth\relax
\let\svsec\@empty
\else
\numberline
\refstepcounter{#1}%
\edef\@svsec{\csname the#1\endcsname\hskip\lem}%
\xsect
\fi
\tempskipa #5\relax
\ifdim \tempskipa>\z@
\begingroup #6\relax
\hangfrom{\hskip #3\relax\@svsec}%
\fi
\@sect Then we patch the unstarred branch (\@sect). We define also the delimiting commands \sectbegin and \sectend commands. We do not add \sectbegin if it is a subsection or deeper.
\stc@sect
\addtocontents{toc}{\protect\sectbegin}
\let\sectend\relax
\let\sectbegin\relax
9.61 The \dosecttoc command and siblings
The \dosecttoc command is very similar to \dominitoc.
\dosecttoc The \dosecttoc command extracts information from the .toc file and creates the .stc(N) files (.stc becomes .S on MS-DOS).
\@dosecttoc
\STC@next
\def@dosecttoc#1{%\makeatletter
\setcounter{stc}{0}
\STC@next#1.toc\relax\}\setcounter{stc}{0}}
\dosectlof@ We treat the optional argument of \dosectlof (it becomes the default position for titles of sectlofs) and flag this macro as used; a hint detects any spurious invocation.
\if@mtc@hints@given@true
\if@dosectlof@used@
\df@stilf
\e@sti
\n@sti
\c@sti
\l@sti
\r@sti
\if#1e\let\df@stilfe@sti%
\else\if #ln\let\df@stilt\n@sti%
\else\if #lc\let\df@stilt\c@sti%
\else\if #ll\let\df@stilt\l@sti%
\else\if #lr\let\df@stilt\r@sti%
\fi\fi\fi\fi\fi%
\fi
\global\@dosectlof}
\dosectlot@ We treat the optional argument of \dosectlot (it becomes the default position for titles of sectlofs) and flag this macro as used; a hint detects any spurious invocation.
\if@mtc@hints@given@true
\if@dosectlot@used@
\df@stilf
\e@sti
\n@sti
\c@sti
\l@sti
\r@sti
\if#1e\let\df@stilfe@sti%
\else\if #ln\let\df@stilt\n@sti%
\else\if #lc\let\df@stilt\c@sti%
\else\if #ll\let\df@stilt\l@sti%
\else\if #lr\let\df@stilt\r@sti%
\fi\fi\fi\fi\fi%
\fi
\global\@dosectlot}
These macros invoke the \dosect... commands to create the mini-table file, then close the file descriptor.
\def\dosecttoc{\dosecttoc{\jobname}\immediate\closeout\tf@mtc}
\def\dosectlof{\dosectlof{\jobname}\immediate\closeout\tf@mtc}
\def\dosectlot{\dosectlot{\jobname}\immediate\closeout\tf@mtc}
Processing the next entry in the list and remove it from the head of the list:
\def\STC@next#1\relax#2\{%
\edef\STC@list{#2}%
\STC@loop{#1}
Check if the list is empty:
\def\STC@toc{%
\ifx\STC@list\@empty\else\expandafter\STC@explist\fi}
The macro \STC@contentsline analyses the lines read from the TOC file. If \section is found, the stc counter is incremented and a new secttoc file is created.
\def\STC@contentsline#1#2#3#4{%
\gdef\thestc{\arabic{stc}}%
\expandafter\ifx\csname #1\endcsname\section
\stepcounter{stc}%
We test if long or short extensions are used, to build the name of the mini-table file, then open it:
\if@mtc@longext@
\stcname
\else
\stcname
\fi
\immediate\closeout\tf@mtc
\immediate\openout\tf@mtc=\stcname
The token register \mtc@toks is used to pass the entry to \MTC@WriteContentsline or \MTC@WriteCoffeeline. Now, we filter the relevant contents lines:
\coffee 4798 \mtc@toks{\noexpand\leavevmode #2}%
\subsection 4799 \expandafter\ifx\csname #1\endcsname\coffee
\subsubsection 4800 \MTC@WriteCoffeeline{#1}{#3}%
\paragraph 4801 \fi
\subparagraph 4802 \expandafter\ifx\csname #1\endcsname\subsection
4803 \MTC@WriteContentsline{#1}{stcSS}{#3}{#4}%
4804 \fi
4805 \expandafter\ifx\csname #1\endcsname\subsubsection
4806 \MTC@WriteContentsline{#1}{stcSSS}{#3}{#4}%
4807 \fi
4808 \expandafter\ifx\csname #1\endcsname\paragraph
4809 \MTC@WriteContentsline{#1}{stcP}{#3}{#4}%
4810 \fi
4811 \expandafter\ifx\csname #1\endcsname\subparagraph
4812 \MTC@WriteContentsline{#1}{stcSP}{#3}{#4}%
4813 \fi
A starred section terminates the current section and creates a new secttoc file:
\starsection 4814 \ifx\csname #1\endcsname\starsection
\arabic 4815 \stepcounter{stc}%
\if@mtc@longext@ 4816 \gdef\thestc{\arabic{stc}}
\stcname 4817 \if@mtc@longext@
\closeout 4818 \mtcPackageInfo[I0033]{minitoc}%
\openout 4819 {Writing\space\jobname.stc\thestc}%
4820 \def\stcname{\jobname.stc\thestc}%
\else 4821 \mtcPackageInfo[I0033]{minitoc}%
4822 {Writing\space\jobname.S\thestc}%
4823 \def\stcname{\jobname.S\thestc}%
4825 \fi
4826 \immediate\closeout\tf@mtc
4827 \immediate\openout\tf@mtc=\stcname
4828 \fi
We process the entries for starred sectionning commands:
\starsubsection 4829 \expandafter\ifx\csname #1\endcsname\starsubsection
\starparagraph 4830 \MTC@WriteContentsline{#1}{stcSS}{#3}{#4}%
\starsubparagraph 4831 \fi
4832 \expandafter\ifx\csname #1\endcsname\starssubsubsection
4833 \MTC@WriteContentsline{#1}{stcSSS}{#3}{#4}%
4834 \fi
4835 \expandafter\ifx\csname #1\endcsname\starparagraph
4836 \MTC@WriteContentsline{#1}{stcP}{#3}{#4}%
4837 \fi
4838 \expandafter\ifx\csname #1\endcsname\starsubparagraph
\STC@explist The loop to read the lines of the TOC file; expands the list of entries and call \STC@next to process the first one.
\STC@next
\STC@list
\def\STC@explist{\expandafter\STC@next\STC@list\\}
\STC@loop If an entry is found, loop through line by line, looking for interesting entries. Otherwise, process the next entry in the list.
\STC@toc
\STC@read
\def\STC@loop#1{\openin@\inputcheck#1\relax
\ifeof@\inputcheck
\mtcPackageWarning[W0016]{minitoc}%
{No file #1
\MessageBreak
SECTTOCS NOT PREPARED}%
\expandafter\STC@toc
\else
\mtcPackageInfo[I0026]{minitoc}%
{PREPARING SECTTOCS FROM #1}%
\expandafter\STC@read\fi}
\STC@read Read the next entry of the .toc file.
\STC@line
\def\STC@read{%
\read\@inputcheck to\STC@line}
\STC@test The ..... make sure that \STC@test has enough arguments:
\STC@line
\expandafter\STC@test\STC@line.....\STC@
\STC@test The \STC@test macro finds the “interesting” commands in the TOC file, mainly to delimit sections;
\STC@contentsline
\mtc@string
\STC@list
\long\def\STC@test#1#2#3#4#5#6\STC@{%
\STC@toc
\ifx#1\contentsline
\STC@read
\let\mtc@string\string
\sectend
\STC@contentsline{#2}{#3}{#4}{#5}%
\sectbegin
\let\mtc@string\relax
\else\ifx#1\@input
\edef\STC@list{\STC@list#2\relax}%
\else\ifx#1\sectend
\immediate\closeout\tf@mtc
\immediate\openout\tf@mtc=\jobname.mtc
\else\ifx#1\sectbegin
\addtocounter{stc}{-1}%
\fi\fi\fi\fi
\ifeof@\inputcheck\expandafter\STC@toc
\else\expandafter\STC@read\fi\fi
\SLF@next Processing the next entry in the list and remove it from the head of the list:
\SLF@list
\SLF@loop
\def\SLF@next#1\relax#2\{%
\edef\SLF@list{#2}%
\SLF@loop{#1}}
\SLF@lof Check if the list is empty:
\SLF@list
\SLF@explist
\def\SLF@lof{%
\ifx\SLF@list\empty\else\expandafter\SLF@explist\fi}
\SLF@contentsline The macro \SLF@contentsline analyses the lines read from the LOF file. If \section is found, the stc counter is incremented and a new sectlof file is created.
\section
\thestc
\tf@mtc
\slnfname
\gdef\thestc{\arabic{stc}}%
\MTC@WriteContentsLine
\expandafter\ifx\csname #1\endcsname\xsect
\stepcounter{stc}%
\if@mtc@longext@ We test if long or short extensions are used, to build the name of the mini-table file, then open it:
\if@mtc@longext@
\mtcPackageInfo[I0033]{minitoc}%
{Writing\space\jobname.slf\thestc}%
\def\slnfname{\jobname.slf\thestc}%
\else
\mtcPackageInfo[I0033]{minitoc}%
{Writing\space\jobname.H\thestc}%
\def\slnfname{\jobname.H\thestc}%
\fi
\immediate\closeout\tf@mtc
\immediate\openout\tf@mtc=\slnfname
\fi
The token register \mtc@toks is used to pass the entry to \MTC@WriteContentsline. Now, we filter the relevant contents lines:
\figure
\subfigure
4894 \mtc@toks{\noexpand\leavevmode #2}%
4895 \expandafter\ifx\csname #1\endcsname\figure
4896 \MTC@WriteContentsline{#1}{\slf}{#3}{#4}%
4897 \fi
4898 \expandafter\ifx\csname #1\endcsname\subfigure
4899 \MTC@WriteContentsline{#1}{\slfs}{#3}{#4}%
4900 \fi
4901 }
\SLF@explist The loop to read the lines of the LOF file; expands the list of entries and call \SLF@next to process the first one.
\SLF@list
4902 \def\SLF@explist{\expandafter\SLF@next\SLF@list\\}
\SLF@loop If an entry is found, loop through line by line, looking for interesting entries. Otherwise, process the next entry in the list.
\SLF@lof
\SLF@read
4903 \def\SLF@loop#1{\openin@\inputcheck#1\relax
4904 \ifeof\@inputcheck
4905 \mtcPackageWarning[W0014]{minitoc}%
4906 {No file #1
4907 \MessageBreak
4908 SECTLOFS NOT PREPARED}%
4909 \expandafter\SLF@lof
4910 \else
4911 \mtcPackageInfo[I0036]{minitoc}%
4912 {PREPARING SECTLOFS FROM #1}%
4913 \expandafter\SLF@read\fi}
Read the next entry of the .lof file.
\SLF@read The ..... make sure that \SLF@test has enough arguments:
\SLF@test
\SLF@line
4914 \def\SLF@read{%
4915 \read\@inputcheck to\SLF@line
4916 \expandafter\SLF@test\SLF@line.....\SLF@%
4917 }%
\SLF@test The \SLF@test macro finds the “interesting” commands in the LOF file, mainly to delimit sections;
\SLF@contentsline
\mtc@string
\SLF@list
4918 \long\def\SLF@test#1#2#3#4#5#6\SLF@{%
\SLF@lof
\SLF@read
\sectend
\sectbegin
\ifx#1\contentsline
\let\mtc@string\string
\SLF@contentsline{#2}{#3}{#4}{#5}%
\let\mtc@string\relax
\else\ifx#1\@input
\edef\SLF@list{\SLF@list#2\relax}%
\else\ifx#1\sectend
\immediate\closeout\tf@mtc
\immediate\openout\tf@mtc=\jobname.mtc
\else\ifx#1\sectbegin
\addtocounter{stc}{-1}%
\fi\fi\fi\fi
\ifeof@\inputcheck\expandafter\SLF@lof
\else\expandafter\SLF@read\fi%
\SLT@next Processing the next entry in the list and remove it from the head of the list:
\SLT@list
\SLT@loop
\def\SLT@next#1\relax#2\\{%
\edef\SLT@list{#2}%
\SLT@loop{#1}}
\SLT@lot Check if the list is empty:
\SLT@list
\SLT@explist
\def\SLT@lot{%
\ifx\SLT@list@empty\else\expandafter\SLT@explist\fi}
\SLT@contentsline The macro \SLT@contentsline analyses the lines read from the LOT file. If \section is found, the stc counter is incremented and a new sectlot file is created.
\section
\thestc
\tf@mtc
\sltname
\def\thestc{\arabic{stc}}%
\gdef\sltname{\csname #1\endcsname\xsect
\stepcounter{stc}%
\if@mtc@longext@ We test if long or short extensions are used, to build the name of the mini-table file, then open it:
\sltname
\if@mtc@longext@
\mtcPackageInfo[I0033]{minitoc}%
{Writing\space\jobname.slt\thestc}%
\def\sltname{\jobname.slt\thestc}%
\else
\mtcPackageInfo[I0033]{minitoc}%
{Writing\space\jobname.\V\thestc}%
\def\sltname{\jobname.\V\thestc}%
\fi
\mtc@toks \immediate\closeout\tf@mtc
\immediate\openout\tf@mtc=\sltname
\fi
The token register \mtc@toks is used to pass the entry to \MTC@WriteContentsline. Now, we filter the relevant contents lines:
\table \subtable \mtc@toks{\noexpand\leavevmode #2}%
\expandafter\ifx\csname #1\endcsname\table
\MTC@WriteContentsline{#1}{\slt}{#3}{#4}%
\fi
\expandafter\ifx\csname #1\endcsname\subtable
\MTC@WriteContentsline{#1}{\sltS}{#3}{#4}%
\fi
}
\def\SLT@explist{\expandafter\SLT@next\SLT@list\\}
If an entry is found, loop through line by line, looking for interesting entries. Otherwise, process the next entry in the list.
\def\SLT@loop#1{\openin\inputcheck#1\relax
\ifeof\@inputcheck
\mtcPackageWarning[W0015]{minitoc}%
{No file #1
\MessageBreak
SECTLOTS NOT PREPARED}%
\expandafter\SLT@lot
\else
\mtcPackageInfo[I0039]{minitoc}%
{PREPARING SECTLOTS FROM #1}%
\expandafter\SLT@read\fi
Read the next entry of the .lot file.
The ..... make sure that \SLT@test has enough arguments:
\def\SLT@read{%
\read\@inputcheck to\SLT@line
\expandafter\SLT@test\SLT@line.....\SLT@%
The \SLT@test macro finds the “interesting” commands in the LOT file, mainly to delimit sections:
\long\def\SLT@test#1#2#3#4#5#6\SLT@{%
\ifx#1\contentsline
\let\mtc@string\string
\SLT@contentsline{#2}{#3}{#4}{#5}%
\else\ifx#1\relax
\else\ifx#1\@input
\edef\SLT@list{\SLT@list#2\relax}%
\else\ifx#1\sectend
\immediate\closeout\tf@mtc
\immediate\openout\tf@mtc=\jobname.mtc
\else\ifx#1\sectbegin
\addtocounter{stc}{-1}%
\fi\fi\fi\fi
\ifeof@\inputcheck\expandafter\SLT@lot
\else\expandafter\SLT@read\fi%
9.62 End of section-level commands
We terminate the else branch of the test \if@mtc@section@def@, the true branch of the test \if@mtc@chapter@undef@ and add an empty else branch to that test:
\fi\fi\fi\fi
\ifeof@\inputcheck\expandafter\SLT@lot
\else\expandafter\SLT@read\fi%
9.63 The \mtcprepare command
This command tests the availability of the \do... minitoc preparation commands and of the contents files, then calls as much as possible of these preparation commands. A hint is given.
\def\mtcprepare{\ifnextchar[\{\mtcprepare@[\#1]\}}%
\def\mtcprepare@[#1]{%
\jobname
\ifundefined{part}{}{%
\IfFileExists{\jobname.toc}{\doparttoc[#1]}{%
\IfFileExists{\jobname.lof}{\dopartlof[#1]}{%
\dopartlot
\dominitoc
\dominilof
\dominilot
\dosecttoc
\dosectlof
\dosectlot
\mtcPackageInfo
9.64 Use with \nofiles
In case the document uses the \nofiles command (in its preamble), the auxiliary files for the mini-tables should not be overwritten by the preparation commands, so these ones must be just faked; as these commands may have an optional argument, they will be faked using the internal \TeX macro \ifnextchar (to get the optional argument) and the new utility command \gobbleopt@. Problem signaled by Andreas Deininger.
\def\gobbleopt@[#1]{\relax}
A test is placed in a \AtBeginDocument and gives a warning if \nofiles is used:
\AtBeginDocument{\if@files\else
\mtcPackageWarningNoLine{--- You have used the \string\nofiles\space command
in your preamble; all preparation commands
in the body of the document will be ignored}
Since \nofiles has been used, we must disable all the preparation commands:
\@ifnextchar Commands for part level mini-tables:
\doparttoc
\dopartlof 5036 \def\doparttoc{\@ifnextchar[{\gobbleopt@}{\gobbleopt@[1]}}
\dopartlot 5037 \def\dopartlof{\@ifnextchar[{\gobbleopt@}{\gobbleopt@[1]}}
5038 \def\dopartlot{\@ifnextchar[{\gobbleopt@}{\gobbleopt@[1]}}
\@ifnextchar Commands for chapter level mini-tables:
\dominitoc
\dominilof 5039 \def\dominitoc{\@ifnextchar[{\gobbleopt@}{\gobbleopt@[1]}}
\dominilot 5040 \def\dominilof{\@ifnextchar[{\gobbleopt@}{\gobbleopt@[1]}}
5041 \def\dominilot{\@ifnextchar[{\gobbleopt@}{\gobbleopt@[1]}}
\@ifnextchar Commands for section level mini-tables:
\dosecttoc
\dosectlof 5042 \def\dosecttoc{\@ifnextchar[{\gobbleopt@}{\gobbleopt@[1]}}
\dosectlot 5043 \def\dosectlof{\@ifnextchar[{\gobbleopt@}{\gobbleopt@[1]}}
5044 \def\dosectlot{\@ifnextchar[{\gobbleopt@}{\gobbleopt@[1]}}
\@ifnextchar Command \mtcprepare:
\mtcprepare
5045 \def\mtcprepare{\@ifnextchar[{\gobbleopt@}{\gobbleopt@[1]}}
End of the inhibition of the preparation commands and of the \AtBeginDocument block:
5046 \fi}
### 9.65 Necessary \l@... commands
Some \l@... commands (analog to \l@section or \l@paragraph) are required to format some entries in the mini-tables, for starred sectionning commands essentially:
\l@listof
\l@starpart
\l@starchapter
\l@starsection
\l@starsubsection
\l@starsubsection
\l@starparagraph
\l@starsubparagraph
5047 \@ifundefined{section}{}{\let\l@listof\l@section}
5048 \@ifundefined{chapter}{}{\let\l@listof\l@chapter}
5049 \@ifundefined{part}{}{\let\l@starpart\l@part}
5050 \@ifundefined{chapter}{}{\let\l@starchapter\l@chapter}
5051 \@ifundefined{section}{}{\let\l@starsection\l@section}
5052 \@ifundefined{subsection}{}{\let\l@starsubsection\l@subsection}
5053 \@ifundefined{subsubsection}{}{\let\l@starsubsection\l@subsubsection}
5054 \@ifundefined{paragraph}{}{\let\l@starparagraph\l@paragraph}
5055 \@ifundefined{subparagraph}{}{\let\l@starsubparagraph\l@subparagraph}
9.66 The horizontal rules and their default values
\columnwidth We define here the various commands to activate or inhibit the horizontal rules in the various kinds of mini-tables. Each such command is an indirect definition of the corresponding horizontal rule. The rules are .4pt high horizontal rules. We begin with rules for mini-tables of contents.
\noptcrule \def\noptcrule{\let\ptc@rule\relax}
\nomtcrule \def\nomtcrule{\let\mtc@rule\relax}
\nostcrule \def\nostcrule{\let\stc@rule\relax}
\ptc@rule \def\ptc@rule{\kern-3p@\hrule width \columnwidth \kern2.6p@}
\mtc@rule \def\mtc@rule{\kern-3p@\hrule width \columnwidth \kern2.6p@}
\stc@rule \def\stc@rule{\kern-3p@\hrule width \columnwidth \kern2.6p@}
\def\ptc@rule{\rule[3p@]{\columnwidth}{.4p@}\vspace*{2.6p@}}
\def\mtc@rule{\rule[3p@]{\columnwidth}{.4p@}\vspace*{2.6p@}}
\def\stc@rule{\rule[3p@]{\columnwidth}{.4p@}\vspace*{2.6p@}}
\columnwidth Then, the rules for mini-lists of figures:
\noplfrule \def\noplfrule{\let\plf@rule\relax}
\nomlfrule \def\nomlfrule{\let\mlf@rule\relax}
\noslfrule \def\noslfrule{\let\slf@rule\relax}
\plf@rule \def\plf@rule{\kern-3p@\hrule width \columnwidth \kern2.6p@}
\mlf@rule \def\mlf@rule{\kern-3p@\hrule width \columnwidth \kern2.6p@}
\slf@rule \def\slf@rule{\kern-3p@\hrule width \columnwidth \kern2.6p@}
\def\plf@rule{\rule[3p@]{\columnwidth}{.4p@}\vspace*{2.6p@}}
\def\mlf@rule{\rule[3p@]{\columnwidth}{.4p@}\vspace*{2.6p@}}
\def\slf@rule{\rule[3p@]{\columnwidth}{.4p@}\vspace*{2.6p@}}
\columnwidth Then, the rules for mini-lists of tables:
\nopltrule \def\nopltrule{\let\plt@rule\relax}
\nomltrule \def\nomltrule{\let\mlt@rule\relax}
\nosltrule \def\nosltrule{\let\slt@rule\relax}
\plt@rule \def\plt@rule{\kern-3p@\hrule width \columnwidth \kern2.6p@}
\mlt@rule \def\mlt@rule{\kern-3p@\hrule width \columnwidth \kern2.6p@}
\slt@rule \def\slt@rule{\kern-3p@\hrule width \columnwidth \kern2.6p@}
\def\plt@rule{\rule[3p@]{\columnwidth}{.4p@}\vspace*{2.6p@}}
\def\mlt@rule{\rule[3p@]{\columnwidth}{.4p@}\vspace*{2.6p@}}
\def\slt@rule{\rule[3p@]{\columnwidth}{.4p@}\vspace*{2.6p@}}
9.67 The \mtcset... commands
These commands\textsuperscript{11} have been introduced to build a nicer user interface, and each of them replaces numerous user commands, offering a rather unified and logical syntax.
9.67.1 Keywords for the \mtcset... commands
We define some common keywords for the \mtcset... commands. A keyword is created via the \namedef – \nameuse mechanism the following way:
\@namedef{mtc@family@name}{abbreviation}
where family is the name of a group of keywords relative to one or several \mtcset... macros, name is the keyword that the user gives as argument to the \mtcset... macro, and abbreviation is a string used to build the name of the macro effectively used. As some \mtcset... macros have several keyword parameters, this method can reduce the number of macros at the user level, at the cost of few keyword families.
We define a family (typetable) of keywords for the types of mini-tables:
\@namedef{mtc@typetable@parttoc}{ptc}\def\mtc@typetable@parttoc{ptc}
\@namedef{mtc@typetable@partlof}{plf}\def\mtc@typetable@partlof{plf}
\@namedef{mtc@typetable@partlot}{plt}\def\mtc@typetable@partlot{plt}
\@namedef{mtc@typetable@minitoc}{mtc}\def\mtc@typetable@minitoc{mtc}
\@namedef{mtc@typetable@minilof}{mlf}\def\mtc@typetable@minilof{mlf}
\@namedef{mtc@typetable@minilot}{mlt}\def\mtc@typetable@minilot{mlt}
\@namedef{mtc@typetable@secttoc}{stc}\def\mtc@typetable@secttoc{stc}
\@namedef{mtc@typetable@sectlof}{slf}\def\mtc@typetable@sectlof{slf}
\@namedef{mtc@typetable@sectlot}{slt}\def\mtc@typetable@sectlot{slt}
Then another family (typetitle) for the titles of the mini-tables:
\@namedef{mtc@typetitle@parttoc}{pti}\def\mtc@typetitle@parttoc{pti}
\@namedef{mtc@typetitle@partlof}{pti}\def\mtc@typetitle@partlof{pti}
\@namedef{mtc@typetitle@partlot}{pti}\def\mtc@typetitle@partlot{pti}
\@namedef{mtc@typetitle@minitoc}{mti}\def\mtc@typetitle@minitoc{mti}
\@namedef{mtc@typetitle@minilof}{mti}\def\mtc@typetitle@minilof{mti}
\@namedef{mtc@typetitle@secttoc}{sti}\def\mtc@typetitle@secttoc{sti}
\@namedef{mtc@typetitle@sectlof}{sti}\def\mtc@typetitle@sectlof{sti}
\@namedef{mtc@typetitle@sectlot}{sti}\def\mtc@typetitle@sectlot{sti}
\textsuperscript{11}The general concept of the \mtcset... commands was proposed by Benjamin BAYART.
We define a family (YN) of keywords to recognize the keywords “off” and “on”, with their many synonyms\textsuperscript{12} and meaning false or true\textsuperscript{13}:
\begin{verbatim}
\@namedef{mtc@YN@off}{no}\def\mtc@YN@off{no}
\@namedef{mtc@YN@OFF}{no}\def\mtc@YN@OFF{no}
\@namedef{mtc@YN@no}{no}\def\mtc@YN@no{no}
\@namedef{mtc@YN@NO}{no}\def\mtc@YN@NO{no}
\@namedef{mtc@YN@n}{no}\def\mtc@YN@n{no}
\@namedef{mtc@YN@m}{no}\def\mtc@YN@m{no}
\@namedef{mtc@YN@false}{no}\def\mtc@YN@false{no}
\@namedef{mtc@YN@FALSE}{no}\def\mtc@YN@FALSE{no}
\@namedef{mtc@YN@faux}{no}\def\mtc@YN@faux{no}
\@namedef{mtc@YN@FAUX}{no}\def\mtc@YN@FAUX{no}
\@namedef{mtc@YN@f}{no}\def\mtc@YN@f{no}
\@namedef{mtc@YN@F}{no}\def\mtc@YN@F{no}
\@namedef{mtc@YN@NON}{no}\def\mtc@YN@NON{no}
\@namedef{mtc@YN@non}{no}\def\mtc@YN@non{no}
\@namedef{mtc@YN@0}{no}\expandafter\def\csname mtc@YN@0\endcsname{no}
\@namedef{mtc@YN@-}{no}\expandafter\def\csname mtc@YN@-\endcsname{no}
\%
\@namedef{mtc@YN@on}{ }\def\mtc@YN@on{}
\@namedef{mtc@YN@ON}{ }\def\mtc@YN@ON{}
\@namedef{mtc@YN@yes}{ }\def\mtc@YN@yes{}
\@namedef{mtc@YN@YES}{ }\def\mtc@YN@YES{}
\@namedef{mtc@YN@y}{ }\def\mtc@YN@y{}
\@namedef{mtc@YN@Y}{ }\def\mtc@YN@Y{}
\@namedef{mtc@YN@true}{ }\def\mtc@YN@true{}
\@namedef{mtc@YN@TRUE}{ }\def\mtc@YN@TRUE{}
\@namedef{mtc@YN@t}{ }\def\mtc@YN@t{}
\@namedef{mtc@YN@T}{ }\def\mtc@YN@T{}
\@namedef{mtc@YN@vrai}{ }\def\mtc@YN@vrai{}
\@namedef{mtc@YN@VRAI}{ }\def\mtc@YN@VRAI{}
\@namedef{mtc@YN@v}{ }\def\mtc@YN@v{}
\@namedef{mtc@YN@V}{ }\def\mtc@YN@V{}
\@namedef{mtc@YN@oui}{ }\def\mtc@YN@oui{}
\@namedef{mtc@YN@oui}{ }\def\mtc@YN@oui{}
\@namedef{mtc@YN@o}{ }\def\mtc@YN@o{}
\@namedef{mtc@YN@1}{ }\expandafter\def\csname mtc@YN@1\endcsname{}
\@namedef{mtc@YN@+}{ }\expandafter\def\csname mtc@YN@+\endcsname{}
\end{verbatim}
\textsuperscript{12}This (deliberately extreme) case shows the easyness for creating synonyms of frequently used keywords. Note also that when a keyword contains a non-letter character, we must use a hack with \expandafter \csname ... \endcsname.
\textsuperscript{13}0 and o are the letter 0, 0 is the zero digit.
9.67.2 The \mtcsetfont command
We define the sectionning level keywords (note that part is not a member of this family (sectlevel), because no contents line for a part can appear in a mini-table, part being the highest sectionning level); “*” represents “any level”, and is used to set the global default font for a given kind of mini-table.
\mtcsetfont The \mtcsetfont command has the following syntax:
\mtcsetfont{mini-table}{level-name}{font commands}
The mini-table type is a keyword like minitoc, the level-name is a sectionning level like subsection (no backslash). The font commands are a font specification, using NFSS [29] basic commands usually.
\if@mtc@setfont@ First, we declare a flag, set true:
\newif\if@mtc@setfont@\@mtc@setfont@true
\mtcsetfont Then, we begin the command, which has three arguments:
\newcommand{\mtcsetfont}[3]{%
\mtc@mta@abbrev The two first arguments of this command are keywords. They must be translated into the effective strings. We process the first argument, a keyword from the typetable family. The result is stored in \mtc@mta@abbrev. Example: if #1 is minitoc, we get mtc.
\def\mtc@mta@abbrev{X}
\@mtc@setfont@true
\expandafter\ifx\csname mtc@typetable@#1\endcsname\relax
\@mtc@setfont@false
\def\mtc@mta@abbrev{X}
\mtcPackageError[E0013]{minitoc}%
{\string\mtcsetfont\space has a wrong first argument
\MessageBreak
(#1).
\MessageBreak
It should be a mini-table type
\MessageBreak
(parttoc...sectlot)}%
{Correct the source code.
\MessageBreak
Type <return> and rerun LaTeX}
\else
\edef\mtc@mta@abbrev{\@nameuse{mtc@typetable@#1}}
\fi
The second argument, a keyword from the family \texttt{sectlevel}, is processed the same way and the result is stored into a macro \texttt{\mtc@level@abbrev}. Example: if #2 is the subparagraph keyword, we get SP.
\def\mtc@level@abbrev{X}
\expandafter\ifx\csname mtc@sectlevel@#2\endcsname\relax
\mtc@setfont@false
\def\mtc@level@abbrev{X}
\mtcPackageError[E0014]{minitoc}%
{\string\mtcsetfont\space has a wrong second argument
\MessageBreak
(#2).
\MessageBreak
It should be a sectionning level
\MessageBreak
(part...subparagraph) or * }%
{Correct the source code.
\MessageBreak
Type <return> and rerun LaTeX}
\else
\edef\mtc@level@abbrev{\@nameuse{mtc@sectlevel@#2}}
\fi
Then, we construct the effective macro to be applied:
\def\mtc@tmp@name{\mtc@mta@abbrev\mtc@level@abbrev_font}
Example: if #1 is \texttt{minitoc} and #2 is \texttt{subsection}, we get \texttt{mtcSSfont}, which is the name of the command for the font of a subsection entry in a minitoc (the backslash is missing, but we will use a \texttt{\csname ... \endcsname} pair to apply the constructed command).
But all combinaisons are not legal (the level of the entry must be lower than the level of the mini-table, and the kind\textsuperscript{14} of the entry must be consistent with that of the mini-table), so we must test. Special care must be taken for testing via internal defined commands (\textit{quarks}) with \texttt{@mtc@qk} at the end of their names).
\begin{verbatim}
\def\parttoc@mtc@qk{\parttoc@mtc@qk}
\def\minitoc@mtc@qk{\minitoc@mtc@qk}
\def\secttoc@mtc@qk{\secttoc@mtc@qk}
\def\partlof@mtc@qk{\partlof@mtc@qk}
\def\minilof@mtc@qk{\minilof@mtc@qk}
\def\sectlof@mtc@qk{\sectlof@mtc@qk}
\def\partlot@mtc@qk{\partlot@mtc@qk}
\def\minilot@mtc@qk{\minilot@mtc@qk}
\def\sectlot@mtc@qk{\sectlot@mtc@qk}
\def\part@mtc@qk{\part@mtc@qk}
\def\chapter@mtc@qk{\chapter@mtc@qk}
\def\appendix@mtc@qk{\appendix@mtc@qk}
\def\section@mtc@qk{\section@mtc@qk}
\def\subsection@mtc@qk{\subsection@mtc@qk}
\def\subsubsection@mtc@qk{\subsubsection@mtc@qk}
\def\paragraph@mtc@qk{\paragraph@mtc@qk}
\def\subparagraph@mtc@qk{\subparagraph@mtc@qk}
\def\figure@mtc@qk{\figure@mtc@qk}
\def\table@mtc@qk{\table@mtc@qk}
\def\subfigure@mtc@qk{\subfigure@mtc@qk}
\def\subtable@mtc@qk{\subtable@mtc@qk}
\@mtc@setfont@true
\expandafter\ifx\csname #1@mtc@qk\endcsname\parttoc@mtc@qk\relax
\expandafter\ifx\csname #2@mtc@qk\endcsname\figure@mtc@qk\relax\@mtc@setfont@false\fi
\expandafter\ifx\csname #2@mtc@qk\endcsname\subfigure@mtc@qk\relax\@mtc@setfont@false\fi
\expandafter\ifx\csname #2@mtc@qk\endcsname\table@mtc@qk\relax\@mtc@setfont@false\fi
\expandafter\ifx\csname #2@mtc@qk\endcsname\subtable@mtc@qk\relax\@mtc@setfont@false\fi
\fi
\expandafter\ifx\csname #1@mtc@qk\endcsname\partlof@mtc@qk\relax
\expandafter\ifx\csname #2@mtc@qk\endcsname\table@mtc@qk\relax\@mtc@setfont@false\fi
\expandafter\ifx\csname #2@mtc@qk\endcsname\subtable@mtc@qk\relax\@mtc@setfont@false\fi
\fi
\expandafter\ifx\csname #1@mtc@qk\endcsname\partlot@mtc@qk\relax
\expandafter\ifx\csname #2@mtc@qk\endcsname\figure@mtc@qk\relax\@mtc@setfont@false\fi
\expandafter\ifx\csname #2@mtc@qk\endcsname\subfigure@mtc@qk\relax\@mtc@setfont@false\fi
\fi
\expandafter\ifx\csname #1@mtc@qk\endcsname\minitoc@mtc@qk\relax
\expandafter\ifx\csname #2@mtc@qk\endcsname\part@mtc@qk\relax\@mtc@setfont@false\fi
\expandafter\ifx\csname #2@mtc@qk\endcsname\chapter@mtc@qk\relax\@mtc@setfont@false\fi
\expandafter\ifx\csname #2@mtc@qk\endcsname\appendix@mtc@qk\relax\@mtc@setfont@false\fi
\expandafter\ifx\csname #2@mtc@qk\endcsname\figure@mtc@qk\relax\@mtc@setfont@false\fi
\expandafter\ifx\csname #2@mtc@qk\endcsname\table@mtc@qk\relax\@mtc@setfont@false\fi
\expandafter\ifx\csname #2@mtc@qk\endcsname\subtable@mtc@qk\relax\@mtc@setfont@false\fi
\fi
\expandafter\ifx\csname #1@mtc@qk\endcsname\minilof@mtc@qk\relax
\expandafter\ifx\csname #2@mtc@qk\endcsname\part@mtc@qk\relax\@mtc@setfont@false\fi
\fi
\end{verbatim}
\textsuperscript{14}“Kind” being sectionning, (sub-)figure, or (sub-)table.
\if@mtc@setfont@
\def\mtc@tmp@name{\mtc@mta@abbrev\mtc@level@abbrev font}
\mtc@toks{#3}
\mtcPackageInfo[I0015]{minitoc}%
{\string\mtc@setfont\space redefines the macro
\MessageBreak
"mtc@tmp@name" as "\the\mtc@toks"}%
\expandafter\edef\csname\mtc@tmp@name\endcsname{\the\mtc@toks}%
If the combinaison is legal, we apply it, i.e., we redefine the meaning of the constructed macro with the sequence of commands given as third argument of \mtc@setfont and we log that event (we store the third argument in a token register to can print it verbatim); if the combinaison is not legal, an error message is displayed.
9.67.3 The \mtcsettitlefont command
\mtcsettitlefont This command is very similar to the \mtcsetfont command. Its syntax is almost identical:
\mtcsettitlefont{mini-table}{font commands}
The *mini-table* type is a keyword like minitoc. The *font commands* are a font specification, using NFSS [291] basic commands usually. The difference is the absence of the second keyword argument, because the *font commands* will be applied to the title of each mini-table of the given kind.
First, we declare a flag, set true:
\newif\if@mtc@settitlefont@
And we begin the definition of the \mtcsettitlefont command, which has two arguments:
\newcommand{\mtcsettitlefont}[2]{%
We process the first argument, a keyword of the typetitle family, then the result is stored into \mtc@mtatf@abbrev:
\def\mtc@mtatf@abbrev{X}
\@mtc@settitlefont@true
\expandafter\ifx\csname mtc@typetitle@#1\endcsname\relax
\@mtc@settitlefont@false
\def\mtc@mtatf@abbrev{X}
\mtcPackageError[E0022]{minitoc}%
{\string\mtcsettitlefont \space has a wrong first argument
\MessageBreak
(#1).
\MessageBreak
It should be a mini-table type}
\if@mtc@settitlefont@
\def\mtc@tmptf@name{\mtc@mtatf@abbrev font}
\mtc@toks{#2}%
\mtcPackageInfo[I0018]{minitoc}%
{\string\mtcsettitlefont\space redefines the macro
\MessageBreak
"\mtc@tmptf@name" as
\MessageBreak
"\the\mtc@toks"}%
\expandafter\edef\csname\mtc@tmptf@name\endcsname{\the\mtc@toks}%
\else
\mtcPackageError[E0034]{minitoc}%
{The macro \string\mtcsettitlefont\space uses
\MessageBreak
an illegal type of table (#1)}%
{Correct the source code.
\MessageBreak
Type <return> and rerun LaTeX}{\relax}
\fi
9.67.4 The \mtcsettitle command
\mtcsettitle This command is very similar to the \mtcsettitlefont command. Its syntax is almost identical:
\mtcsettitle{mini-table}{text}
The mini-table type is a keyword like minitoc. The text is the text for a mini-table title.
\if@mtc@settitle@ First, we declare a flag, set true:
\newif\if@mtc@settitle@\@mtc@settitle@true
Then we define the \mtcsettitle command, which has two arguments:
\newcommand{\mtcsettitle}[2]{%
We process the first argument, a keyword of the typetable family. The result is stored in \mtc@mtati@abbrev:
\def\mtc@mtati@abbrev{X}
\ifcsname mtc@typetable@#1\endcsname\relax
\mtc@settitle@false
\def\mtc@mtati@abbrev{X}
\mtcPackageError[E0021]{minitoc}%
{\string\mtcsettitle \space has a wrong first argument (#1).
\MessageBreak
It should be a mini-table type
\MessageBreak
(parttoc...sectlot)}%
{Correct the source code.
\MessageBreak
Type <return> and rerun LaTeX}
\else
\edef\mtc@mtati@abbrev{\nameuse{mtc@typetable@#1}}
\fi
And we construct the name of the effective macro and apply it:
\ifmtc@settitle@
\mtc@tmpi@name
\mtc@mtati@abbrev
\mtc@toks
\def\mtc@tmpi@name{\mtc@mtati@abbrev title}%
\mtc@toks{#2}%
\mtcPackageInfo[I0017]{minitoc}%
{\string\mtcsettitle\space redefines the macro
\MessageBreak
"mtc@tmpi@name" as
\MessageBreak
"\the\mtc@toks"}%
\expandafter\edef\csname\mtc@tmpi@name\endcsname{\the\mtc@toks}%
\else
\mtcPackageError[E0033]{minitoc}%
{The macro \string\mtcsettitle\space uses
\MessageBreak
an illegal type of table (#1)}%
{Correct the source code.
\MessageBreak
Type <return> and rerun LaTeX}\relax
\fi
9.67.5 The \mtcsetformat command
\@namedef We define first the keywords (family formatparam) for the three formatting parameters that this command can alter:
\def\mtc@arg@dotinterval{dotsep}
\def\mtc@arg@tocrightmargin{tocrightmargin}
\def\mtc@arg@pagenumwidth{\mtc@arg@pagenumwidth}
\% \not yet available
\% \def\mtc@arg@numwidth{\mtc@arg@numwidth} \not yet available
\AtBeginDocument The \mtcsetformat command needs an initialization to be done at the beginning of the document, to set the defaults values of the formatting parameters:
\AtBeginDocument{%
\@pnumwidth We take, if possible, the default value of \@pnumwidth for each type of mini-tables:
\ptcpnumwidth
\stcpnumwidth
\plfnumwidth
\mlfnumwidth
\sllfnumwidth
\pltnumwidth
\mltnumwidth
\slltnumwidth
\@tocrmarg We take, if possible, the default value of \@tocrmarg for each type of mini-tables:
\ptctocrmarg
\mtclofrmarg
\stclotrmarg
\plftocrmarg
\mlftocrmarg
\sllftocrmarg
\plttocrmarg
\mlttocrmarg
\sllttocrmarg
We take, if possible, the default value of \@dotsep for each type of mini-tables:
\ptcdotsep
\mtcdotsep 5400 \ifundefined{ptcdotsep}{\let\ptcdotsep\@dotsep}{}%
\stcdotsep 5401 \ifundefined{mtcdotsep}{\let\mtcdotsep\@dotsep}{}%
\plfdotsep 5402 \ifundefined{stcdotsep}{\let\stcdotsep\@dotsep}{}%
\mlfdotsep 5403 \ifundefined{plfdotsep}{\let\mlfdotsep\@dotsep}{}%
\sldotsep 5404 \ifundefined{mlfdotsep}{\let\sldotsep\@dotsep}{}%
\pltdotsep 5405 \ifundefined{sldotsep}{\let\pltdotsep\@dotsep}{}%
\mltdotsep 5406 \ifundefined{pltdotsep}{\let\mltdotsep\@dotsep}{}%
\sldotsep 5407 \ifundefined{mltdotsep}{\let\sldotsep\@dotsep}{}%
And we terminate the \AtBeginDocument block:
5409 }%
The executive part is done via the following macros, which are invoked in the mtc@verse-like environments for each kind of mini-table. These commands activate the values recorded by \mtcsetformat.
The \ptc@setform macro is invoked in ptc@verse to set format parameters:
\ptc@verse
5410 \def\ptc@setform{%
5411 \let\@pnumwidth\ptcpnumwidth\relax
5412 \let\tocrmarg\ptctocrmarg\relax
5413 \let\@dotsep\ptcdotsep\relax
5414 }
The \mtc@setform macro is invoked in mtc@verse to set format parameters:
\mtc@verse
5415 \def\mtc@setform{%
5416 \let\@pnumwidth\mtcpnumwidth\relax
5417 \let\tocrmarg\mtctocrmarg\relax
5418 \let\@dotsep\mtcdotsep\relax
5419 }
The \stc@setform macro is invoked in stc@verse to set format parameters:
\stc@verse
5420 \def\stc@setform{%
5421 \let\@pnumwidth\stcpnumwidth\relax
5422 \let\tocrmarg\stctocrmarg\relax
5423 \let\@dotsep\stcdotsep\relax
5424 }
\plf@setform The \plf@setform macro is invoked in ptc@verse to set format parameters:
\def\plf@setform{%
\let\numwidth\plfpnumwidth\relax
\let\tocrmarg\plftocrmarg\relax
\let\dotsep\plfdotsep\relax
}
\mlf@setform The \mlf@setform macro is invoked in mtc@verse to set format parameters:
\def\mlf@setform{%
\let\numwidth\mlfpnumwidth\relax
\let\tocrmarg\mlftocrmarg\relax
\let\dotsep\mlfdotsep\relax
}
\slf@setform The \slf@setform macro is invoked in stc@verse to set format parameters:
\def\slf@setform{%
\let\numwidth\slfpnumwidth\relax
\let\tocrmarg\slftocrmarg\relax
\let\dotsep\slfdotsep\relax
}
\plt@setform The \plt@setform macro is invoked in ptc@verse to set format parameters:
\def\plt@setform{%
\let\numwidth\pltfnumwidth\relax
\let\tocrmarg\plttocrmarg\relax
\let\dotsep\pltdotsep\relax
}
\mlt@setform The \mlt@setform macro is invoked in mtc@verse to set format parameters:
\def\mlt@setform{%
\let\numwidth\plfpnumwidth\relax
\let\tocrmarg\plftocrmarg\relax
\let\dotsep\plfdotsep\relax
}
The \slt@setform macro is invoked in \stc@verse to set format parameters:
\def\slt@setform{%
\let\numwidth\plfnumwidth\relax
\let\tocrmarg\plftocrmarg\relax
\let\dotsep\plfdotsep\relax
}
We now define a flag and the \mtcsetformat command, with has the following syntax:
\mtcsetformat{mini-table}{parameter-name}{value}
where *mini-table* is a keyword of the typetable family, *parameter-name* is a keyword of the formatparam family and *value*, the value of this parameter for the given kind of mini-table.
\newif\if@mtc@setformat@\@mtc@setformat@true
\newcommand{\mtcsetformat}[3]{%
\mtc@mtf@abbrev We now process the first argument and store the result in \mtc@mtf@abbrev:
\mtc@fparam@abbrev
\def\mtc@mtf@abbrev{X}
\def\mtc@fparam@abbrev{X}
\@mtc@setformat@true
\expandafter\ifx\csname mtc@typetable@#1\endcsname\relax
\@mtc@setformat@false
\def\mtc@mtf@abbrev{X}
\mtcPackageError[E0015]{minitoc}%
{string\mtcsetformat \space has a wrong first argument
\MessageBreak
(#1).
\MessageBreak
It should be a mini-table type
\MessageBreak
(parttoc...sectlot)}%
{Correct the source code.
\MessageBreak
Type <return> and rerun LaTeX}
\else \edef\mtc@mtf@abbrev{\@nameuse{mtc@typetable@#1}}
\fi
\mtc@fparam@abbrev Then we process the second argument and store the result into a macro \mtc@fparam@abbrev:
\@nameuse
\expandafter\ifx\csname mtc@formatparam@#2\endcsname\relax
\@mtc@setformat@false
\def\mtc@fparam@abbrev{X}
\mtcPackageError[E0016]{minitoc}%
{Correct the source code.
\MessageBreak
It should be a format parameter
\MessageBreak
(parttoc...sectlot)}%
\if@mtc@setformat@
\mtc@tmpfm@name
\mtc@mtf@abbrev
\mtc@fparam@abbrev
\if@mtc@setformat@
\mtc@toks{\#3}%
\def\mtc@tmpfm@name{\mtc@mtf@abbrev\mtc@fparam@abbrev}%
\mtcPackageInfo[I0016]{minitoc}%
{\string\mtcsetformat\space redefines the macro
"\mtc@tmpfm@name" as "\the\mtc@toks"}
\expandafter\edef\csname\mtc@tmpfm@name\endcsname{\the\mtc@toks}%
\else
\mtcPackageError[E0025]{minitoc}%
{The macro \string\mtcsetformat\space has incompatible
\MessageBreak
first (#1) and second (#2) arguments}%
{Correct the source code.
\MessageBreak
Type <return> and rerun LaTeX}%
\fi
\fi
9.67.6 The \mtcsetpagenumbers command
This command activates or inhibits page numbers in the mini-tables of a given kind. Its syntax is the following:
\mtcsetpagenumbers{mini-table}{on|off}
where *mini-table* is a keyword for a kind of mini-table (*parttoc*, … *sectlot*), or on and off a keyword to activate (on) or inhibit (off) the page numbers. on and off have many synonyms.
\if@mtc@setpagenumbers@
\if0\mtc@spn@ok@
5511 \newif\if@mtc@setpagenumbers@ \@mtc@setpagenumbers@false
5512 \newif\if@mtc@spn@ok@
\mtcsetpagenumbers We define the user-level macro. If the first argument is a star, we call the internal macro \mtcsetpagenumbers@ for each type of mini-table available; else, we call this internal macro only once, for the specified type of mini-table.
5513 \newcommand{\mtcsetpagenumbers}[2]{%
5514 \expandafter\ifx\csname #1\endcsname\relax
5515 \@ifundefined{part}{}{%
5516 {\mtcsetpagenumbers@{parttoc}{#2}
5517 \mtcsetpagenumbers@{partlof}{#2}
5518 \mtcsetpagenumbers@{partlot}{#2}}
5519 \@ifundefined{chapter}{}{%
5520 {\mtcsetpagenumbers@{minitoc}{#2}
5521 \mtcsetpagenumbers@{minilof}{#2}
5522 \mtcsetpagenumbers@{minilot}{#2}}
5523 \@ifundefined{section}{}{%
5524 {\mtcsetpagenumbers@{secttoc}{#2}
5525 \mtcsetpagenumbers@{sectlof}{#2}
5526 \mtcsetpagenumbers@{sectlot}{#2}}
5527 }else
5528 \mtcsetpagenumbers@{#1}{#2}%
5529 \fi
5530 }
\mtcsetpagenumber@ Then the \mtcsetpagenumbers@ internal macro, with two arguments:
5531 \newcommand{\mtcsetpagenumbers@}[2]{%
\mtc@mttpn@abbrev We process the first argument, a keyword of the typetable family, and store the result in \mtc@pnsw@abbrev:
5532 \def\mtc@mttpn@abbrev{X}
5533 \@mtc@setpagenumbers@true
5534 \def\mtc@pnsw@abbrev{}
5535 \expandafter\ifx\csname mtc@typetable@#1\endcsname\relax
5536 \@mtc@setpagenumbers@false
5537 \def\mtc@pnsw@abbrev{X}
5538 \def\mtc@mttpn@abbrev{X}
5539 \mtcPackageError[E0017]{minitoc}%
5540 {(\string\mtcsetpagenumbers \space has a wrong first
5541 \MessageBreak
5542 argument (#1)}%
5543 {It should be a mini-table type
5544 \MessageBreak
\else
\edef\mtc@mttpn@abbrev{\@nameuse{mtc@typetable@\#1}}
\fi
\if0\mtc@spn@ok@
Then the second argument, a keyword of the YN family, and store the result into a macro
\mtc@pnsw@abbrev \mtc@pnsw@abbrev. The name of the effective macro is built and the macro executed.
\if\mtc@setpagenumbers@0
\expandafter\ifx\csname mtc@YN@\#2\endcsname\relax
\mtc@spn@ok@\false
\def\mtc@pnsw@abbrev{X}
\def\mtc@mttpn@abbrev{X}
\mtc@setpagenumbers@\false
\def\mtc@mttpn@abbrev{X}
\mtcPackageError[E0018]{minitoc}%
{\string\mtc@setpagenumbers \space has a wrong second
\MessageBreak
argument (#2)}%
{It should be a boolean value (0/1, yes/no, on/off, ...)}
\MessageBreak
Correct the source code.
\MessageBreak
Type <return> and rerun LaTeX}
\else
\edef\mtc@pnsw@abbrev{\@nameuse{mtc@YN@\#2}}
\def\mtc@pnsw@abbrevX{X}
\def\mtc@noX{mtc@noX}
\def\mtc@tmppn@name{\mtc@pnsw@abbrev\mtc@mttpn@abbrev pagenumbers}
\expandafter\ifx\csname mtc@mtc@pnsw@abbrev X\endcsname\mtc@noX
\mtcPackageInfo[I0022]{minitoc}%
{Page numbers are inhibited
\MessageBreak
for the #1s}
\else
\mtcPackageInfo[I0021]{minitoc}%
{Page numbers are activated
\MessageBreak for the #1s}
\fi
\csname\mtc@tmppn@name\endcsname{}
\fi
\fi
9.67.7 The \mtcsetrules command
This macro is very similar to \mtcsetpagenumbers and its syntax is the same:
\mtcsetrules{mini-table}{on|off}
where *mini-table* is a keyword for a kind of mini-table (*parttoc*, … *sectlot*), or on and off a keyword to activate (on) or inhibit (off) the horizontal rules. on and off have many synonyms.
Hence the code is similar.
\if@mtc@setrules@ We define some flags:
\if@mtc@sru@ok@
5587 \newif\if@mtc@setrules@ \@mtc@setrules@false
5588 \newif\if@mtc@sru@ok@
\mtcsetrules We define the user-level macro. If the first argument is a star, we call the internal macro \mtcsetrules@ for each type of mini-table available; else, we call this internal macro only once, for the specified type of mini-table.
5589 \newcommand{\mtcsetrules}[2]{%
5590 \expandafter\ifx\csname #1\endcsname\relax
5591 \ifundefined{part}{}{%
5592 {\mtcsetrules@{parttoc}}{#2}
5593 {\mtcsetrules@{partlof}}{#2}
5594 {\mtcsetrules@{partlist}}{#2}}
5595 \ifundefined{chapter}{}{%
5596 {\mtcsetrules@{minitoc}}{#2}
5597 {\mtcsetrules@{minilof}}{#2}
5598 {\mtcsetrules@{minilot}}{#2}}
5599 \ifundefined{section}{}{%
5600 {\mtcsetrules@{secttoc}}{#2}
5601 {\mtcsetrules@{sectlof}}{#2}
5602 {\mtcsetrules@{sectlot}}{#2}}
5603 \else
5604 \mtcsetrules@{#1}{#2}%
5605 \fi
5606 }
\mtcsetrules@ Then the \mtcsetrules@ internal macro, which has two arguments:
5607 \newcommand{\mtcsetrules@}[2]{%
9.67.8 The \mtcsetfeature command
For this command, we must define three families of keywords, but the third is just used to add the word “style” for the “pagestyle” when “pagestyle” is used.
A family (ltypetable) for the long names of the types of mini-tables:
```latex
\@namedef{mtc@ltypetable@parttoc}{partttoc}\def\mtc@ltypetable@parttoc{partttoc}
\@namedef{mtc@ltypetable@partlof}{parttlof}\def\mtc@ltypetable@partlof{parttlof}
\@namedef{mtc@ltypetable@partlot}{parttlot}\def\mtc@ltypetable@partlot{parttlot}
\@namedef{mtc@ltypetable@minitoc}{minitoc}\def\mtc@ltypetable@minitoc{minitoc}
\@namedef{mtc@ltypetable@minilof}{minilof}\def\mtc@ltypetable@minilof{minilof}
\@namedef{mtc@ltypetable@minilot}{minilot}\def\mtc@ltypetable@minilot{minilot}
\@namedef{mtc@ltypetable@secttoc}{sectttoc}\def\mtc@ltypetable@secttoc{sectttoc}
\@namedef{mtc@ltypetable@sectlof}{secttlof}\def\mtc@ltypetable@sectlof{secttlof}
\@namedef{mtc@ltypetable@sectlot}{secttlot}\def\mtc@ltypetable@sectlot{secttlot}
```
A family (featureparam) for the type of feature:
```latex
\@namedef{mtc@featureparam@before}{before}\def\mtc@featureparam@before{before}
\@namedef{mtc@featureparam@after}{after}\def\mtc@featureparam@after{after}
\@namedef{mtc@featureparam@open}{open}\def\mtc@featureparam@open{open}
\@namedef{mtc@featureparam@close}{close}\def\mtc@featureparam@close{close}
\@namedef{mtc@featureparam@pagestyle}{thispage}\def\mtc@featureparam@pagestyle{thispage}
```
And a family (ft3) to add “style” if it is a “pagestyle” feature:
```latex
\@namedef{mtc@ft3@before}{}\expandafter\def\csname mtc@ft3@before\endcsname{}
\@namedef{mtc@ft3@after}{}\expandafter\def\csname mtc@ft3@after\endcsname{}
\@namedef{mtc@ft3@open}{}\expandafter\def\csname mtc@ft3@open\endcsname{}
\@namedef{mtc@ft3@close}{}\expandafter\def\csname mtc@ft3@close\endcsname{}
\@namedef{mtc@ft3@pagestyle}{style}\expandafter\def\csname mtc@ft3@pagestyle\endcsname{style}
```
The \mtcsetfeature command has the following syntax:
\mtcsetfeature{mini-table}{feature-name}{commands}
where *mini-table* is a keyword of the ltypetable family, *feature-name* is a keyword of the featureparam family (but also of the ft3 family), and *commands* are the commands which constitute the selected feature.
We define a flag and the \mtcsetfeature command, with three arguments:
5688 \newif\if@mtc@setfeature@\@mtc@setfeature@true
5689 \newcommand{\mtcsetfeature}[3]{%
We process the first argument, a keyword of the ltypetable family, and store the result in \mtc@mtfeat@abbrev:
5690 \def\mtc@mtfeat@abbrev{X}
5691 \def\mtc@featparam@abbrev{X}
5692 \@mtc@setfeature@true
5693 \expandafter\ifx\csname mtc@ltypetable@#1\endcsname\relax
5694 \@mtc@setfeature@false
5695 \def\mtc@mtfeat@abbrev{X}
5696 \mtcPackageError[E0011]{minitoc}%
5697 {\string\mtcsetfeature \space has a wrong first argument
5698 \MessageBreak
5699 (#1).
5700 \MessageBreak
5701 It should be a mini-table type
5702 \MessageBreak
5703 (parttoc...sectlot))%
5704 {Correct the source code.
5705 \MessageBreak
5706 Type <return> and rerun LaTeX}
5707 \else
5708 \edef\mtc@mtfeat@abbrev{\@nameuse{mtc@ltypetable@#1}}
5709 \fi
The second argument is a keyword of the featureparam family, the result is stored in \mtc@featparam@; and the complement is computed from the first argument, interpreted as a keyword of the ft3 family and whose result is stored in \mtc@featparam@third.
5710 \expandafter\ifx\csname mtc@featureparam@#2\endcsname\relax
5711 \@mtc@setfeature@false
5712 \def\mtc@featparam@abbrev{X}
5713 \def\mtc@featparam@third{X}
5714 \mtcPackageError[E0012]{minitoc}%
5715 {\string\mtcsetfeature \space has a wrong second argument
\if@mtc@setfeature@
\def\mtc@tmpfeat@name%
{\mtc@featparam@abbrev\mtc@mtfeat@abbrev\mtc@featparam@third}%
\mtc@toks{\string\mtcsetfeature\space redefines the macro
"\csname mtc@tmpfeat@name\endcsname" as
"\the\mtc@toks"}%
\expandafter\def\csname\mtc@tmpfeat@name\endcsname{\the\mtc@toks}%
\else
\mtcPackageError{E0023}{minitoc}%
{The macro \string\mtcsetfeature\space has incompatible
first (#1) and second (#2) arguments}%
\fi
9.67.9 The \mtcsetdepth command
This command is very similar to the \mtcsettitle command. Its syntax is almost identical:
\mtcsetdepth{mini-table}{depth}
The mini-table type is a keyword like minitoc. The depth is the depth for a mini-table. If it is a mini-table for a list of figures or tables, the corresponding depth counter must be available, i.e., must have been created (often by an adequate package, like the subfig package [132]).
\if@mtc@setdepth@ First, we declare a flag, set true:
5749 \newif\if@mtc@setdepth@\@mtc@setdepth@true
\mtcsetdepth Then we define the \mtcsetdepth command, with two arguments:
5750 \newcommand{\mtcsetdepth}[2]{%
\mtc@mtade@abbrev We process the first argument, a keyword of the ltypetable family. The result is stored in \mtc@mtade@abbrev:
\if@mtc@setdepth@
\nameuse
5751 \def\mtc@mtade@abbrev{X}
5752 \@mtc@setdepth@true
5753 \expandafter\ifx\csname mtc@ltypetable@#1\endcsname\relax
5754 \@mtc@setdepth@false
5755 \def\mtc@mtade@abbrev{X}
5756 \mtcPackageError[E0009]{minitoc}%
5757 {\string\mtcsetdepth \space has a wrong first argument
5758 \MessageBreak
5759 (#1).
5760 \MessageBreak
5761 It should be a mini-table type
5762 \MessageBreak
5763 (parttoc...sectlot)}%
5764 {Correct the source code.
5765 \MessageBreak
5766 Type <return> and rerun LaTeX}
5767 \else
5768 \edef\mtc@mtade@abbrev{\nameuse{mtc@ltypetable@#1}}
5769 \fi
\if@mtc@setdepth@ And we construct the name of the effective counter and gave it the value:
\mtc@tmpde@name
\mtc@mtade@abbrev
5770 \if@mtc@setdepth@
\mtc@toks
\setcounter
5771 \def\mtc@tmpde@name{\mtc@mtade@abbrev depth}
5772 \ifundefined{c@\mtc@mtade@abbrev depth}%
5773 {\mtcPackageError[E0008]{minitoc}%
5774 {\string\mtcsetdepth \space attempts to use
5775 \MessageBreak
5776 an undefined counter (#1depth).}%
5777 {Correct the source code.
5778 \MessageBreak
5779 Type <return> and rerun LaTeX}}{%
9.67.10 The \mtcsetoffset command
This command is very similar to the \mtcsettitle command. Its syntax is almost identical:
\mtcsetoffset{mini-table}{value}
The *mini-table* type is a keyword like minitoc. The *value* is the offset value for a mini-table.
\if@mtc@setoffset@ First, we declare a flag, set true:
\newif\if@mtc@setoffset@\@mtc@setoffset@true
\mtcsetoffset Then we define the \mtcsetoffset command, with two arguments:
\newcommand{\mtcsetoffset}[2]{%
\mtc@taof@abbrev We process the first argument, a keyword of the typetable family. The result is stored in \mtc@taof@abbrev:
\def\mtc@taof@abbrev{X}
\if@mtc@setoffset@true
\expandafter\ifx\csname mtc@typetable@#1\endcsname\relax
\@mtc@setoffset@false
\def\mtc@taof@abbrev{X}
\mtcPackageError[E0042]{minitoc}%
{\string\mtcsetoffset \space has a wrong first argument (#1).
\MessageBreak
(#1).
\MessageBreak
It should be a mini-table type
\MessageBreak
(partttoc...sectlot)}%
{Correct the source code.
\MessageBreak
Type <return> and rerun LaTeX}
\else
\edef\mtc@taof@abbrev{\@nameuse{mtc@typetable@#1}}
\fi
And we construct the name of the effective offset and gave it the value:
\if@mtc@setoffset@
\mtc@tmpof@name
\mtc@mtaof@abbrev
\mtc@toks
\setcounter
\ifundefined{\mtc@mtaof@abbrev offset}%
{\mtcPackageError[E0041]{minitoc}%
{string}\mtcsetoffset \space attempts to use
an undefined offset (\mtc@mtaof@abbrev offset).}%
{Correct the source code.
\MessageBreak
Type <return> and rerun LaTeX}}{%
\mtc@toks{#2} % trick for explicit message using \the.
\mtcPackageInfo[I0052]{minitoc}%
{\string\mtcsetoffset\space redefines
\MessageBreak
"\mtc@mtaof@abbrev offset" as "\the\mtc@toks"}%
\expandafter\def\csname \mtc@mtaof@abbrev offset\endcsname{#2}}%
\else
\mtcPackageError[E0043]{minitoc}%
{\string\mtcsetoffset:\space Illegal type of table (#1)}%
{Correct the source code.
\MessageBreak
Type <return> and rerun LaTeX}{\relax}%
\fi% end of \mtcsetoffset
9.68 Polymorphic entries
A toc entry should be able to have variants when it appears in the normal text (like the mandatory argument of a sectionning command), in a page header or in the main TOC (like the optional argument of a sectionning command), in a minitable (parttoc, minitoc or secttoc). Similar behaviour should be available for entries in th LOF or the LOT. So we define three commands to be used inside the optional argument of a sectionning command or of \caption for a figure or a table. These commands must be robust (because used in optional arguments) and have 4 arguments: (1) the variant to appear in a parttoc (or partlof or partltof), (2) the variant to appear in a minitoc (or minilof or minilof), (3) the variant to appear in a secttoc (or sectlof or sectltof), (4) the variant to appear in the main TOC (or LOF or LOT). The variant to appear locally as title of the sectionning unit or as local caption of the figure or table is the mandatory argument of the sectionning command or of the caption command (see section 1.4.13 on page 43). We use the \ifin... flags.
\DeclareRobustCommand{\mtcpolymtoc}[4]{%
\ifinparttoc\relax#1\%
\else\ifinminitoc\relax#2\%
\else\ifinsecttoc\relax#3\%
\else\relax#4\%
\fi
\fi}
\mtcpolymlof For entries of the list of figures:
\DeclareRobustCommand
\ifinpartlof \DeclareRobustCommand{\mtcpolymlof}[4]{%
\ifinminilof \ifinpartlof\relax{#1}%
\ifinsectlof \else\ifinminilof\relax{#2}%
\else\ifinsectlof\relax{#3}%
\else\relax{#4}
\fi
\fi
\fi}
\mtcpolymlot For entries of the list of tables:
\DeclareRobustCommand
\ifinpartlot \DeclareRobustCommand{\mtcpolymlot}[4]{%
\ifinminilot \ifinpartlot\relax{#1}%
\ifinsectlot \else\ifinminilot\relax{#2}%
\else\ifinsectlot\relax{#3}%
\else\relax{#4}
\fi
\fi
\fi}
9.69 The \mtchideinmaintoc environment and siblings
\if@mtc@Himtoc@ The flag \if@mtc@Himtoc@ is used to detect an incorrect imbrication of this environment:
5861 \newif\if@mtc@Himtoc@ \@mtc@Himtoc@false
\mtc@savetocdepth We define a macro \mtc@savetocdepth to save the current value of the counter tocdepth. Then we define this environment, which inserts into the TOC file this command and commands of the form \setcounter{tocdepth}{...}. Note that \xdef is necessary! It also save and restore the value of the counter tocdepth, as the optional argument is the hiding depth of the entries in the main TOC.
5862 \newcommand{\mtc@savetocdepth}{\xdef\mtc@sv@tocdepth{\arabic{tocdepth}}}
5863 \newcommand{\mtc@restoretocdepth}{\setcounter{tocdepth}{\mtc@sv@tocdepth}}
5864 \newenvironment{mtchideinmaintoc}[1][-1]{%
5865 {\if@mtc@Himtoc@\mtcPackageError[E0005]{minitoc}%
5866 {Imbrication of mtchideinmaintoc environments}%
5867 {The hiding in main ToC could be incorrect}\fi
5868 \global\@mtc@Himtoc@true
5869 \addtocontents{toc}{\protect\mtc@savetocdepth}%
5870 \addtocontents{toc}{\protect\setcounter{tocdepth}{#1}}%
5871 {\if@mtc@Himtoc@\else\mtcPackageError[E0031]{minitoc}%
5872 {Unbalanced mtchideinmaintoc environment}%
5873 \fi}%
5874 \begin{list}{}{\leftmargin#1em\rightmargin#1em\itemsep0pt\parsep0pt\topsep0pt\partopsep0pt}%
5875 \item[\hfill]}%
9.70 Fixing the “Glossary” entry in the TOC
This macro is complex. Its syntax is:
\mtcfixglossary[part|chapter|section]
Depending on the document class, the “Glossary” entry in the TOC is treated as a starred chapter or a starred section. Hence we must first determine the default value of the optional argument. The default value is then stored in the macro \mtcglofix@level. This is done by the following code, which eventually gives a warning message:
\@ifundefined{chapter}{%
\@ifundefined{section}%
{\mtcPackageWarningNoLine[W0001]{minitoc}%
{\string\chapter\space and \string\section\space are undefined.%
\mtcPackageWarningNoLine[E0001]{minitoc}%
{The “Glossary” entry in the TOC is treated as a starred chapter or a starred section.}}%
{\mtcPackageWarningNoLine[W0006]{minitoc}%
{\string\chapter\space and \string\section\space are undefined.%
\mtcPackageWarningNoLine[E0002]{minitoc}%
{The “Glossary” entry in the TOC is treated as a starred chapter or a starred section.}}%
}%
\if@mtcfixglossary@
\mtcfixglossary
\addcontentsline
Then we define a flag (\if@mtcfixglossary@) and the command \mtcfixglossary, which adds the necessary lines in the TOC, the LOF and the LOT.
\newif\if@mtcfixglossary@
\newcommand{\mtcfixglossary}[1][\mtc@glofix@level]{%
\if@mtcfixglossary@false
\expandafter%
\ifx\csname #1\endcsname\part\relax\@mtcfixglossary@true\fi
\expandafter%
\ifx\csname #1\endcsname\chapter\relax\@mtcfixglossary@true\fi
\expandafter%
\ifx\csname #1\endcsname\section\relax\@mtcfixglossary@true\fi
\if@mtcfixglossary@
\addcontentsline{lof}{x\mtc@glofix@level}{}%
\addcontentsline{lot}{x\mtc@glofix@level}{}%
\csname mtcadd\mtc@glofix@level\endcsname\relax
\else
\mtcPackageError[E0026]{minitoc}%
{The optional argument of \string\mtcfixglossary
\MessageBreak
is wrong}%
{It must be omitted (\mtc@glofix@level), or be part, chapter or section}%
\fi
\fi
}%
\mtcfixglossary{part}
9.71 Fixing the “Index” entry in the TOC
This macro is complex. Its syntax is:
\mtcfixindex[part|chapter|section]
Depending on the document class, the “Index” entry in the TOC is treated as a starred chapter or a starred section. Hence we must first determine the default value of the optional argument. The default value is then stored in the macro \mtc@ixfix@level. This is done by the following code, which eventually gives a warning message:
```latex
\@ifundefined{chapter}{%
\@ifundefined{section}{%
{\mtcPackageWarningNoLine[W0002]{minitoc}%
{\string\chapter\space and \string\section\space are undefined.%
\MessageBreak
Cannot use \string\mtcfixindex \space without
\MessageBreak
optional argument [part]}}%
}{%
{\mtcPackageError[E0002]{minitoc}%
{But \string\part\space is undefined}%
{\string\mtcfixindex\space not usable}}%
}{%
{\mtcPackageWarningNoLine[W0007]{minitoc}%
{\string\mtcfixindex\space can only be used with
\MessageBreak
the [part] optional argument,
\MessageBreak
which becomes the default}%
\def\mtc@ixfix@level{part}%
}%
}{%
{\def\mtc@ixfix@level{section}}%
}%
}{\def\mtc@ixfix@level{chapter}}
```
Then we define a flag and the command \mtcfixindex, which adds the necessary lines in the TOC, the LOF and the LOT.
```latex
\newif\if@mtcfixindex@
\@mtcfixindexfalse
\newcommand{\mtcfixindex}[1][\mtc@ixfix@level]{%
\@mtcfixindexfalse
\expandafter%
\ifx\csname #1\endcsname\part\relax\@mtcfixindex@true\fi
\expandafter%
\ifx\csname #1\endcsname\chapter\relax\@mtcfixindex@true\fi
\expandafter%
\ifx\csname #1\endcsname\section\relax\@mtcfixindex@true\fi
\if@mtcfixindex@
\addcontentsline{lof}{x\mtc@ixfix@level}{}%
```
9.72 Fixing the “Nomenclature” entry in the TOC
This macro is complex. Its syntax is:
\mtcfixnomenclature[part|chapter|section]
Depending on the document class, the “Nomenclature” entry\footnote{If you are using the \texttt{nomencl} package [456] or \texttt{nomentbl} package [161] (nomencl calls nomentbl).} in the TOC is treated as a starred chapter or a starred section. Hence we must first determine the default value of the optional argument. The default value is then stored in the macro \mtc@nomenclfix@level. This is done by the following code, which eventually gives a warning message:
\@ifundefined{chapter}{%
\@ifundefined{section}{%
{\mtcPackageWarningNoLine[W0095]{minitoc}%
{\string\chapter\space and \string\section\space are undefined.%
\MessageBreak
Cannot use \string\mtcfixnomenclature \space without
\MessageBreak
optional argument [part]}%
}{\@ifundefined{part}{%
{\mtcPackageError[E0039]{minitoc}%
{But \string\part\space is undefined}%
{\string\mtcfixnomenclature\space not usable}}%
}{\mtcPackageWarningNoLine[W0096]{minitoc}%
{\string\mtcfixnomenclature\space can only be used with
\MessageBreak
the [part] optional argument,
\MessageBreak
which becomes the default}%
\def\mtc@nomenclfix@level{part}%
}%
}{\def\mtc@nomenclfix@level{section}}%
}{\def\mtc@nomenclfix@level{chapter}}
Then we define a flag and the command \mtcfixnomenc, which adds the necessary lines in the TOC, the LOF and the LOT.
\newif\if@mtc@insellang@
\if@mtc@insellang@
\IfFileExists{#1.mld}%
{\@input{#1.mld}}%
\fi
\newif\if@mtc@insellang@ \mtc@insellang@false
\def\mtcselectlanguage#1{%
\if@mtc@insellang@true
\InputIfFileExists{#1.mld}%
{\mtcPackageInfo[10010]{minitoc}{The #1 language is selected.%
\MessageBreak
}}%
{\mtcPackageError[E0006]{minitoc}%
{#1 is not a known language,
\MessageBreak
#1.mld not found.
\MessageBreak
Command ignored}%
{See the minitoc documentation.
\MessageBreak
Correct the source using a valid language name.
\MessageBreak
Press RETURN}}%
9.74 The \mtcloadmlo internal command
\mtcloadmlo This command loads a minitoc language object file \(language.mlo\) to set the language-dependent titles for the mini-tables when exotic characters are needed. This command is used only in some .mld files when the title strings can not be generated by the normal processing of \texttt{minitoc.dtx}. The .mlo files are generated by \texttt{filecontents} environments in the \texttt{minitoc.ins} file. But first, we verify that this .mlo file exists.
This command should not be invoked directly by the user. This is verified via the flag \if@mtc@insellang@.
\def\mtcloadmlo#1{%
\if@mtc@insellang@
\InputIfFileExists{#1.mlo}%
{\mtcPackageInfo[I0011]{minitoc}%
{#1 minitoc language object selected.
\MessageBreak}%
{\mtcPackageError[E0007]{minitoc}%
{#1 is not a known minitoc
\MessageBreak
language object file (.mlo),
\MessageBreak
#1.mlo not found.
\MessageBreak
Command ignored}%
{See the minitoc documentation.
\MessageBreak
Correct the source using a valid language name.
\MessageBreak
Press RETURN}}}
\else
\mtcPackageError[E0032]{minitoc}%
{You are using the \string\mtcloadmlo\space command
\MessageBreak
outside of a .mld file}%
{It will be ignored}
\mtc@insellang@false
\fi}
9.75 The “coffee breaks”
For the minutes package [300] (by Knut Lickert), we need some commands to insert special entries, undotted, in the TOC to mark “coffee breaks” ☕ in a conference. Hence we define \addcoffeeline, \coffeeline and \l@coffee, and internal commands analog to the standard internal commands to format the TOC.
\addcoffeeline
\addtocontents
\coffeeline
\l@coffee
\Undottedtocline
6120 \def\addcoffeeline#1#2#3{%
6121 \addtocontents{#1}{\protect\coffeeline{#2}{#3}{\null}}}
6122 \def\coffeeline#1{\csname #1\endcsname}
6123 \newcommand*\l@coffee{\Undottedtocline{1}{1.5em}{2.3em}}
9.76 Initialization of counters
At the beginning of the document, we initialize the absolute counters for parts, chapters and sections, if they are defined.
\AtBeginDocument
@ifundefined
\setcounter
6124 \AtBeginDocument{%
6125 \@ifundefined{c@ptc}{}{\setcounter{ptc}{0}}
6126 \@ifundefined{c@mtc}{}{\setcounter{mtc}{0}}
6127 \@ifundefined{c@stc}{}{\setcounter{stc}{0}}}
9.77 Declarations for simple options
These options are just setting a flag.
9.77.1 Options tight and loose, k-tight and k-loose
These options influence the interline separation in the mini-tables.
\DeclareOption
\iftightmtc
\iftightmtc
6128 \DeclareOption{tight}{\tightmtctrue}
6129 \DeclareOption{loose}{\tightmtctfalse} % default
6130 \DeclareOption{k-tight}{\ktightmtctrue}
6131 \DeclareOption{k-loose}{\ktightmtctfalse} % default
9.77.2 Options checkfiles and nocheckfiles
\DeclareOption{checkfiles}{\@mtc@checkfilestrue} % default
\DeclareOption{nocheckfiles}{\@mtc@checkfilesfalse}
9.77.3 Options dotted and undotted
\DeclareOption{undotted}{\undottedmtctrue}
\DeclareOption{dotted}{\undottedmtcfalse} % default
9.77.4 Option notoccite
\DeclareOption{notoccite}{\@mtc@notoccite@true}
9.77.5 Option shortext
\DeclareOption{shortext}{%
\@mtc@longext@false
\mtcPackageWarningNoLine[W0020]{minitoc}%
{You have forced the use of short extensions}}
9.78 The insection option
This option is available only if \chapter is not defined and \section defined. It is to be revised when chapter/section level commands will ever be allowed together, sometime in the far away future, with a lot of luck (and work)\footnote{Please, do not dream too much!}.
9.79 The listfiles and nolistfiles options
The `listfiles` option creates a file containing a list of the auxiliary files created by the `minitoc` package. This is the default. This file is named `document.maf`. The `nolistfiles` option inhibits this listing.
\newif\if@mtc@listfiles@
\DeclareOption{listfiles}{\@mtc@listfiles@true}
\DeclareOption{nolistfiles}{\@mtc@listfiles@false}
9.80 Language options
First, we define an utility macro (\@gobblethree), a list of the missing files (accumulated in the \mtc@listmisslanguages macro), and a macro (\mtc@addmisslanguage) to add a file name to the list:
\def \@gobblethree #1#2#3{\empty}
\def \mtc@listmisslanguages {}
\def \mtc@addmisslanguage #1{%
\let \mtc@LML \mtc@listmisslanguages
\edef \mtc@listmisslanguages {\mtc@LML \MessageBreak #1}}
Before defining a language option, we must verify that the corresponding .mld file exists, and, if necessary, that the corresponding .mlo file exists. Hence, we must first define a flag \mtc@misslang and two macros to test the presence of these files; if the files are available, we define the language option.
\newif\if\mtc@misslang
\newcommand{\mtc@setlangopt}{1}%
\IfFileExists{#1.mld}%
{\DeclareOption{#1}{\mtcselectlanguage{#1}}}
{\mtc@misslangtrue \mtc@addmisslanguage{#1.mld}
\mtcPackageInfo[I0050]{minitoc}%
{The required "#1.mld" file is missing.
\MessageBreak
The "#1" language option will not be available.
\MessageBreak
Please install it from a recent distribution
\MessageBreak
or from the CTAN archives\gobble}%
}
\newcommand{\mtc@setlangopt}{1}%
\IfFileExists{#1.mlo}%
{\mtc@setlangopt{#1}%
{\mtc@misslangtrue \mtc@addmisslanguage{#1.mlo}
\mtcPackageInfo[I0051]{minitoc}%
{The required "#1.mlo" file is missing.
\MessageBreak
The "#1" language option will not be available.
\MessageBreak
Please install it from a recent distribution
\MessageBreak
or from the CTAN archives\gobble}%
}
\IfFileExists{#1.mld}{}%
{\mtc@misslangtrue
\mtc@addmisslanguage{#1.mld}
\mtcPackageInfo[I0050]{minitoc}%
{The required "#1.mld" file is missing.
\MessageBreak
The "#1" language option will not be available.
\MessageBreak
Please install it from a recent distribution
\MessageBreak
or from the CTAN archives\gobble}%
}%
}
Some .mld files are mandatory (english.mld because english is the default language), so their absence is a serious error:
\newcommand{\mtc@setlangoptm}{1}%
\IfFileExists{#1.mld}%
{\DeclareOption{#1}{\mtcselectlanguage{#1}}}%
\mtc@addmisslanguage
\providecommand We must define the default titles (english):
\ptctitle
\plftitle \providecommand{\ptctitle}{Table of Contents}%
\plttitle \providecommand{\plftitle}{List of Figures}%
\mtctitle \providecommand{\mtctitle}{List of Tables}%
\mlftitle \providecommand{\mlftitle}{Contents}%
\mlttitle \providecommand{\mlttitle}{Figures}%
\stctitle \providecommand{\stctitle}{Tables}%
\slltitle \providecommand{\slltitle}{Contents}%
\slltitle \providecommand{\slltitle}{Figures}%
\AtEndDocument If a .mld or .mlo file is missing, we signal that at the end of the document, with also the full list of the missing language files:
\mtcPackageWarningNoLine
\MessageBreak \AtEndDocument{%
\if@mtc@misslang
\mtc@listmisslanguages
@gobblethree
\mtcPackageWarningNoLine[W0093]{minitoc}%
{Some "*.mld" or "*.mlo" files are missing in your installation.
\MessageBreak
Search for the I0050 and I0051 info messages in the \string\jobname.log file.
\MessageBreak
The full list of the missing language files is given in the W0094 warning message.
\MessageBreak
Please install the missing files from
\DeclareOption{mtc@setlangopt}{%
\mtc@setlangopt{american}%
\mtc@setlangopt{arabic}%
\mtc@setlangopt{arab}%
\mtc@setlangopt{arabian}%
\mtc@setlangopt{australian}%
\mtc@setlangopt{austrian}%
\mtc@setlangopt{bahasa}%
\mtc@setlangopt{bahasai}%
\mtc@setlangopt{bangla}%
\mtc@setlangopt{basque}%
\mtc@setlangopt{bengali}%
\mtc@setlangopt{bicig1}%
\mtc@setlangopt{bicig2}%
\mtc@setlangopt{bicig3}%
\mtc@setlangopt{bethe}%
\mtc@setlangopt{brazil1}%
\mtc@setlangopt{brazilian}%
\mtc@setlangopt{breton}%
\mtc@setlangopt{british}%
\mtc@setlangopt{bulgarian}%
\mtc@setlangopt{bulgarianb}%
\mtc@setlangopt{burjat}%
\mtc@setlangopt{buryat2}%
\mtc@setlangopt{canadian}%
\mtc@setlangopt{canadien}%
\mtc@setlangopt{castillian}%
\mtc@setlangopt{chinese1}%
\mtc@setlangopt{chinese2}%
\mtc@setlangopt{croatian}%
\mtc@setlangopt{czech}%
\mtc@setlangopt{danish}%
\mtc@setlangopt{devanagari}%
\mtc@setlangopt{dutch}%
\mtc@setlangopt{english1}%
\mtc@setlangopt{english2}%
\mtc@setlangopt{esperant}%
\mtc@setlangopt{esperanto}%
\mtc@setlangopt{estonian}%
\mtc@setlangopt{ethiopia}%
\mtc@setlangopt{ethiopian}%
\mtc@setlangopt{ethiopian2}%
\mtc@setlangopt{farsi1}%
\mtc@setlangopt{farsi2}%
\mtc@setlangopt{farsi3}%
\mtc@setlangopt{finnish}%
\mtc@setlangopt{finnish2}%
\mtc@setlangopt{francais}%
\mtc@setlangopt{french1}%
\mtc@setlangopt{french2}%
\mtc@setlangopt{frenchb}%
\mtc@setlangopt{frenchle}%
\mtc@setlangopt{frenchpro}%
\mtc@setlangopt{galician}%
\mtc@setlangopt{german}%
Each language option reads the corresponding *language*.mld file via the specialized macro \mtcselectlanguage, after verification by \mtc@setlangopt or \mtc@setlangoptm (when a .mlo file is required), by \mtc@setlangoptm when the language is mandatory. If the file does not exist, a standard error message is displayed. The language options are (should be) in alphabetical order (to make maintenance easier). Several options could load the same file, but, by convention, there should be a *language*.mld file for each language option, given that this file may load another one (as american.mld loads english.mld).
9.81 The hints option
\DeclareOption We declare the hints (default) and nohints options:
\if@mtc@hints@
\DeclareOption{hints}{\@mtc@hints@true}
\DeclareOption{nohints}{\@mtc@hints@false}
\@mtc@hints@begindoc
\AtBeginDocument
The hints option is made of three parts: the first, \@mtc@hints@begindoc, is executed via \AtBeginDocument and looks if some packages or classes are loaded, then gives warnings about their compatibility with minitoc.
The second part is made of tiny pieces of code inserted in the minitoc code, to verify that some macros are called in the right order.
\@mtc@hints@enddoc
\AtEndDocument
The third and last part, \@mtc@hints@enddoc, is executed via \AtEndDocument and examines the flags set by the first and the second parts. Then, if necessary, it writes some infos in the document.log file and/or warnings on the screen and in the document.log file. The hints option does not signal errors, only infos and warnings, so it does not stop the LaTeX run.
9.81.1 First part: \@mtc@hints@begindoc
\if@mtc@abstract@loaded@
\@mtc@hints@begindoc
\if@mtc@toc@used@
\if@mtc@lof@used@
\if@mtc@lot@used@
\newif\if@mtc@abstract@loaded@
\global\@mtc@abstract@loaded@false
\newif\if@mtc@toc@used@
\global\@mtc@toc@used@false
\newif\if@mtc@lof@used@
\global\@mtc@lof@used@false
\newif\if@mtc@lot@used@
\global\@mtc@lot@used@false
\def\@mtc@hints@begindoc{%
\PackageInfo{minitoc(hints)}{%
You requested the hints option.%
Some hints are eventually given below}%
}%
22.214.171.124 Hint about the alphanum package
We test the presence of the alphanum package (part of the jura class [103]), and emit a warning, because this package is incompatible with minitoc:
```latex
\@ifpackageloaded{alphanum}%
{\@mtc@hints@given@true
\mtcPackageWarningNoLine[W0025]{minitoc(hints)}%
{--- The alphanum package is loaded.
\MessageBreak
It is incompatible
\MessageBreak
with the minitoc package}}{}%
```
126.96.36.199 Hint about the appendix package
We test the presence of the appendix package [471]:
```latex
\@ifpackageloaded{appendix}%
{\@mtc@hints@given@true
\mtcPackageInfo[I0042]{minitoc(hints)}%
{--- The appendix package is loaded.
\MessageBreak
See the minitoc package documentation
\MessageBreak
for specific precautions\gobble}}{}%
```
188.8.131.52 Hint about the tocbibind package
We test the presence of the tocbibind package [472]:
```latex
\@ifpackageloaded{tocbibind}%
{\@mtc@hints@given@true
\mtcPackageInfo[I0046]{minitoc(hints)}%
{--- The tocbibind package is loaded.
\MessageBreak
See the minitoc package documentation
\MessageBreak
for specific precautions\gobble}}{}%
```
184.108.40.206 Hint about the KOMA-Script classes
We test the presence of each minitoc-compatible KOMA-Script class [343, 344, 399]:
220.127.116.11 Hint about the tocloft package
We test the presence of the tocloft package [469]:
\ifpackageloaded{tocloft}%
{\@mtc@hints@given@true
\mtcPackageInfo[I0047]{minitoc(hints)}%
{--- The tocloft package is loaded.
\MessageBreak
See the minitoc package documentation
\MessageBreak
for specific precautions\gobble}}{}
18.104.22.168 Hint about the titlesec package
We test the presence of the titlesec package [46], and emit a warning, because this package is incompatible with minitoc:
\ifpackageloaded{titlesec}%
{\@mtc@hints@given@true
\mtcPackageWarningNoLine[W0099]{minitoc(hints)}%
{--- The titlesec package is loaded.}
22.214.171.124 Hint about the `titletoc` package
We test the presence of the `titletoc` package [46], and emit a warning, because this package is incompatible with `minitoc`:
```latex
@ifpackageloaded{titletoc}%
{\@ifmtc@hints@given@
\mtpackagewarningnoline[W0040]{minitoc(hints)}%
{--- The titletoc package is loaded.
\MessageBreak
It is incompatible
\MessageBreak
with the minitoc package}}{}%
```
126.96.36.199 Hint about the `placeins` package
We test if the `placeins` package [15] is loaded and, if yes, we check if the selected options are correct (see section 1.3.3 on page 29):
```latex
@ifpackageloaded{placeins}%
{\if@mtc@ss@insection@
\@ifpackagewith{placeins}{section}{}%
{\@ifmtc@given@true
\mtpackagewarningnoline[W0031]{minitoc(hints)}%
{--- The placeins package is loaded
\MessageBreak
without the section option,
\MessageBreak
but minitoc used the insection option
\MessageBreak
which implies it. Try to inverse the
\MessageBreak
loading order and use consistent options.
\MessageBreak
You may have got a message
\MessageBreak
! LaTeX Error: Option clash for package placeins}%
}%
\@ifpackagewith{placeins}{above}%
{\@ifmtc@given@true
\mtpackagewarningnoline[W0084]{minitoc(hints)}%
{--- The placeins package is loaded
\MessageBreak
without the above option,
\MessageBreak
but minitoc used the insection option
\MessageBreak
which implies it. Try to inverse the
\MessageBreak
loading order and use consistent options.
\MessageBreak
You may have got a message
\MessageBreak
! LaTeX Error: Option clash for package placeins}%
}%
}%
```
\if@mtc@hints@given@
{\@ifclassloaded{placeins}{below}%
{\@mtc@hints@given@true
\mtcPackageWarningNoLine[W0085]{minitoc(hints)}%
{--- The placeins package is loaded
\MessageBreak
with the below option,
\MessageBreak
but minitoc used the injection option
\MessageBreak
which is incompatible with it.
\MessageBreak
Try to remove the below option
\MessageBreak
and use consistent options}%
}%
\fi
\@ifpackagelater{placeins}{2005/04/18}{}{%
{\@mtc@hints@given@true
\mtcPackageWarningNoLine[W0032]{minitoc(hints)}%
{--- The placeins package loaded is
\MessageBreak
too old. You should use a version
\MessageBreak
dated of 2005/04/18 at least}%
}%
}%
188.8.131.52 Hint about the memoir class
\if@mtc@hints@given@
{\@ifclassloaded{memoir}%
{\@mtc@hints@given@true
\mtcPackageInfo[I0044]{minitoc(hints)}%
{--- The memoir class is loaded.
\MessageBreak
See the minitoc package documentation
\MessageBreak
for specific precautions}@gobble}%
}%
184.108.40.206 Hint about the amsart and amsproc classes
We test if the amsart or amsproc class is loaded and emit a warning, because these classes are incompatible with minitoc:
```latex
\if@mtc@hints@given@
\ifclassloaded{amsart}%
{\@mtc@hints@given@true
\mtcPackageWarningNoLine[W0026]{minitoc(hints)}%
{--- The amsart class is loaded.
\MessageBreak
It is incompatible
\MessageBreak
with the minitoc package}}{}%
\ifclassloaded{amsproc}%
{\@mtc@hints@given@true
\mtcPackageWarningNoLine[W0027]{minitoc(hints)}%
{--- The amsproc class is loaded.
\MessageBreak
It is incompatible
\MessageBreak
with the minitoc package}}{}%
```
220.127.116.11 Hint about the amsbook class
We test if the amsbook class is loaded:
```latex
\if@mtc@hints@given@
\ifclassloaded{amsbook}%
{\@mtc@hints@given@true
\mtcPackageInfo[I0041]{minitoc(hints)}%
{--- The amsbook class is loaded.
\MessageBreak
See the minitoc package documentation
\MessageBreak
for specific precautions\@gobble}}{}%
```
18.104.22.168 Hint about the abstract package
We test the presence of the abstract package [470], then its options:
```latex
\if@mtc@hints@given@
\ifpackageloaded{abstract}%
{\@mtc@abstract@loaded@true%
\@ifpackagewith{abstract}{addtotoc}%
{\@mtc@hints@given@true
\mtcPackageInfo[I0040]{minitoc(hints)}%
{The 'abstract' package has been
\MessageBreak
loaded with the option 'addtotoc'.}}%
```
loaded with the ‘‘addtotoc’’ option.
\MessageBreak
You need to look at the
\MessageBreak
documentation to adjust.
\MessageBreak
22.214.171.124 Hint about the jura class
\ifclassloaded We test if the jura class is loaded and emit a warning, because this class is incompatible with minitoc:
\if@mtc@hints@given@
6644 \ifclassloaded{jura}%
6645 {\if@mtc@hints@given@true
6646 \mtcPackageWarningNoLine[W0029]{minitoc(hints)}%
6647 {--- The jura class is loaded.
6648 \MessageBreak
6649 It is incompatible
6650 \MessageBreak with the minitoc package}}{}%
126.96.36.199 Hint about the flowfram package
\ifpackageloaded We test the presence of the flowfram package [433, 434], and emit a warning, because this package is incompatible with minitoc:
\if@mtc@hints@given@
6651 \ifpackageloaded{flowfram}%
6652 {\if@mtc@hints@given@true
6653 \mtcPackageWarningNoLine[W0097]{minitoc(hints)}%
6654 {--- The flowfram package is loaded.
6655 \MessageBreak
6656 It is incompatible
6657 \MessageBreak
6658 with the minitoc package}}{}%
188.8.131.52 Hint about the alteration of the sectionning commands
To check if the sectionning commands \part, \chapter or \section have been altered by some package or in the preamble, we compare them (when executing an \AtBeginDocument block) with their saved versions (saved by the minitoc package when it is loaded) \mtc@hints@part, \mtc@hints@chapter and \mtc@hints@section. For each sectionning command, we must perform the comparison for the command itself, its unstarred branch and its starred branch. But the hyperref package [390] may interfere, hence the formal precautions in the messages.
184.108.40.206.1 Alteration of \part
\if@mtc@hints@w@
\ifundefined
\part
\mtc@hints@part
\else\@mtc@hints@w@\true\fi
\mtc@hints@@part
\else\@mtc@hints@w@\true\fi
\mtc@hints@@spart
\else\@mtc@hints@w@\true\fi
\if@mtc@hints@given@
\if@mtc@hyper@used@
\mtcPackageWarningNoLine[W0030]{minitoc(hints)}%
{--- The \string\part\space command is altered
\MessageBreak
after minitoc}
\if@mtc@hyper@used@
\mtcPackageWarningNoLine[W0023]{minitoc(hints)}%
{--- It may be the consequence
\MessageBreak
of loading the ‘‘hyperref’’ package}
\fi
\fi
220.127.116.11.2 Alteration of \chapter
\if@mtc@hints@w@
\ifundefined
\chapter
\mtc@hints@chapter
\else\@mtc@hints@w@\true\fi
\mtc@hints@@chapter
\else\@mtc@hints@w@\true\fi
\mtc@hints@@schapter
\else\@mtc@hints@w@\true\fi
\if@mtc@hints@given@
\if@mtc@hyper@used@
\mtcPackageWarningNoLine[W0028]{minitoc(hints)}%
{--- The \string\chapter\space command is altered
\MessageBreak
after minitoc}
\if@mtc@hyper@used@
\mtcPackageWarningNoLine[W0023]{minitoc(hints)}%
{--- It may be the consequence
\MessageBreak
of loading the ‘‘hyperref’’ package}
\fi
\fi
18.104.22.168.3 Alteration of \section
\if@mtc@hints@w@
\ifundefined
\section
\mtc@hints@section
\sect
\ifundefined{chapter}%
\sect
\ifundefined{section}{}{\ifx\section\mtc@hints@section\relax\else
\mtc@hints@section
\ifundefined{section}{}{\ifx\sect\mtc@hints@section\relax\else
\mtc@hints@section
\ifundefined{section}{}{\ifx\sect\mtc@hints@section\relax\else
\if@mtc@hints@given@
\if@mtc@hyper@used@
\if@mtc@hints@w@\mtc@hints@given@true%
\mtcPackageWarningNoLine[W0039]{minitoc(hints)}%
{--- The \string)section\space command is altered
after minitoc}
\fi
\fi
\fi
\fi
\fi
\fi
\fi
\fi
\fi
\fi
\fi
\fi
\fi
\fi
\relax\else\fi}{}%
22.214.171.124 Hint about the consistency of the calling sequences of the commands
And finally, we prepare the consistency tests about the calling sequences of triplets of associated commands like \doparttoc, \parttoc and \[fake]tableofcontents, and similar: to be able to use \parttoc, a table of contents file must have been created via \[fake]tableofcontents and splitted into parttoc files via \doparttoc.
\if@mtc@hints@
\if@mtc@toc@used@
\if@mtc@lof@used@
\if@mtc@lot@used@
\global\@mtc@toc@used@false
\global\@mtc@lof@used@false
\global\@mtc@lot@used@false
\fi
\fi
\fi
\fi
Hence we initialize some flags:
Then we patch the involved commands to set the corresponding flag when they are used. First, the commands for the main summaries:
\mtc@sv@tableofcontents
\tableofcontents
\if@mtc@toc@used@
\mtc@sv@listoffigures
\listoffigures
\def\tableofcontents%
{\global\@mtc@toc@used@true\mtc@sv@tableofcontents}
\fi
\mtc@sv@listoftables
\listoftables
\if@mtc@lot@used@
\def\listoffigures%
{\global\@mtc@lof@used@true\mtc@sv@listoffigures}
\let\mtc@sv@listoftables\listoftables
\def\listoftables%
{\global\@mtc@lot@used@true\mtc@sv@listoftables}
\mtc@sv@fktableofcontents Then, their “fake” siblings:
\fakeableofcontents
\if@mtc@toc@used@
\mtc@sv@fklistoffigures
\fakeableofcontents%
\if@mtc@toc@used@
\mtc@sv@fklistoftables
\fakeableofcontents%
\if@mtc@lof@used@
\mtc@sv@fklistoftables
\def\fakeableoffigures%
\if@mtc@lof@used@
\mtc@sv@fklistoftables
\def\fakeableoftables%
\if@mtc@lot@used@
\mtc@hints@begindoc And the \mtc@hints@begindoc definition is finished (it begins in section 9.81.1 on page 414):
\mtc@hints@enddoc The final part of the hints option is executed via \AtEndDocument. Its code is in the \mtc@hints@enddoc macro. It is a sequence of tests on the packages or classes loaded and the flags set during the first and the second parts of this option. First, we declare the \mtc@hints@enddoc macro:
\def\mtc@hints@enddoc{%
126.96.36.199 Hint about \sect-lof|lot and the insection option
\if@mtc@sect@floats@ We look if some section-level lists of figures or tables have been requested.
\if@dosectlof@used@
\if@dosectlot@used@
\if@sectlof@used@
\if@sectlot@used@
\if@mtc@section@def@
\if@mtc@placeinsLoaded@
\if@mtc@sect@floats@
\if@mtc@hints@w@
\if@mtc@hints@given@
\if@mtc@placeinsLoaded@ \else
\if@mtc@sect@floats@%
\mtcPackageWarningNoLine[W0056]{minitoc(hints)}%
{You are using \string\dosectlof\space and/or
\MessageBreak
\string\dosectlot, \string\sectlof\space and/or \string\sectlot,
\MessageBreak
hence the 'insection' package
\MessageBreak
option is recommended}%
\fi
\fi
188.8.131.52 Final part of the consistency tests
We test if \partttoc has been used without \dopartttoc, etc., for each pair of preparation/insertion commands.
\if@mtc@part@def@
\if@parttoc@used@
\if@dopartttoc@used@
\if@mtc@hints@given@
\if@partlof@used@
\if@dopartlof@used@\else
\mtcPackageWarningNoLine[W0062]{minitoc(hints)}%
{You have used \string\partttoc,
\MessageBreak
but not \string\dopartttoc}
\fi
\fi
\fi
\if@partlof@used@
\if@dopartlof@used@\else
\mtcPackageWarningNoLine[W0060]{minitoc(hints)}%
{You have used \string\partlof,
\MessageBreak
but not \string\dopartlof}
\fi
\fi
\if@partlot@used@
\if@dopartlot@used@\else
\mtcPackageWarningNoLine[W0061]{minitoc(hints)}%
{You have used \string\partlot,
\MessageBreak
but not \string\dopartlot}
\if@mtc@chapter@def@
\if@minitoc@used@
\if@dominitoc@used@
\if@mtc@hints@given@
\if@minilof@used@
\if@dominilot@used@\else
\mtcPackageWarningNoLine[W0059]{minitoc(hints)}%
{You have used \string\minitoc,
\MessageBreak
but not \string\dominitoc}
\fi
\fi
\if@mtc@hints@given@true
\fi
\fi
\fi
\fi
\fi
\if@mtc@section@def@
\if@secttoc@used@
\if@dosecttoc@used@
\if@mtc@hints@given@
\if@sectlof@used@
\if@dosecttoc@used@\else
\mtcPackageWarningNoLine[W0057]{minitoc(hints)}%
{You have used \string\minilof,
\MessageBreak
but not \string\dominilofof}
\fi
\fi
\if@mtc@hints@given@true
\fi
\fi
\fi
\fi
\fi
\if@mtc@subsection@def@
\if@secttoc@used@
\if@dosecttoc@used@
\if@mtc@hints@given@
\if@sectlof@used@
\if@dosecttoc@used@\else
\mtcPackageWarningNoLine[W0063]{minitoc(hints)}%
{You have used \string\sectttoc,
\MessageBreak
but not \string\dosectttoc}
\fi
\fi
\if@mtc@hints@given@true
\fi
\fi
\fi
\fi
\fi
\if@mtc@subsubsection@def@
\if@secttoc@used@
\if@dosecttoc@used@
\if@mtc@hints@given@
\if@sectlof@used@
\if@dosecttoc@used@\else
\mtcPackageWarningNoLine[W0064]{minitoc(hints)}%
{You have used \string\sectltoc,
\MessageBreak
but not \string\dosectltoc}
\fi
\fi
\if@mtc@hints@given@true
\fi
\fi
\fi
\fi
\fi
Section level commands:
\if@mtc@section@def@
\if@mtc@hints@given@
\if@secttoc@used@
\if@secttoc@used@
\if@mtc@toc@used@
\if@sectlof@used@
\if@mtc@lof@used@
\mtcPackageWarningNoLine{minitoc(hints)}%
{You have used \string\secttoc\space but not
\MessageBreak
\string\tableofcontents
\MessageBreak
nor \string\faketableofcontents}
\else
\if@mtc@lot@used@
\mtcPackageWarningNoLine{minitoc(hints)}%
{You have used \string\sectlof\space but not
\MessageBreak
\string\listoffigures
\MessageBreak
nor \string\fakelistoffigures}
\fi
\fi
\else
\if@sectlot@used@
\if@mtc@lot@used@
\mtcPackageWarningNoLine{minitoc(hints)}%
{You have used \string\sectlot\space but not
\MessageBreak
\string\listoftables
\MessageBreak
nor \string\fakelistoftables}
\fi
\fi
\fi
\fi
\fi
\fi
\fi
184.108.40.206 Check the number of mini-tables, in case of short extensions
\mtc@hints@checklongext
\if@mtc@longext@
\if@mtc@part@def@
\value
\fi
\fi
\if@mtc@hints@given@true
\if@mtc@chapter@def@
\if@mtc@section@def@
If short extensions are used, you can use only 99 mini-tables of each kind. If more are created, the auxiliary files can be overwritten: the hundredth minitoc file \jobname.U100 has its name truncated to \jobname.U10, which is already the tenth minitoc file. Thus, we need a hint to signal this situation. The code is rather simple, but the remedy is bitter and costly: either use a better operating system\footnote{On the long term, a good investment.}, either redesign the document.
\else
\if@mtc@part@def@
\ifnum 99 < \value{ptc}\relax \@mtc@hints@given@true
\mtcPackageWarningNoLine[W0054]{minitoc(hints)}%
{You have used short extensions
\MessageBreak
and more than 99 parts (\arabic{ptc})}
\fi
\fi
\fi
\if@mtc@chapter@def@
\ifnum 99 < \value{mtc}\relax \@mtc@hints@given@true
\mtcPackageWarningNoLine[W0053]{minitoc(hints)}%
{You have used short extensions
\MessageBreak
and more than 99 chapters (\arabic{mtc})}
\fi
\else
\if@mtc@section@def@
\ifnum 99 < \value{stc}\relax \@mtc@hints@given@true
\mtcPackageWarningNoLine[W0055]{minitoc(hints)}%
{You have used short extensions
\MessageBreak
and more than 99 sections (\arabic{stc})}
\fi
\fi
\fi
\fi}
\mtc@hints@checklongext
### 220.127.116.11 Final part of the hint about the sectsty package
We test if `sectsty` has been loaded before (correct) or after (incorrect) `minitoc`. See section 9.9.1 on page 275.
\if@mtc@sectstyLoaded@\else
\if@mtc@sectstyLoaded@a@
\if@mtc@hints@given@
\mtcPackageWarningNoLine[W0037]{minitoc(hints)}%
{The sectsty package should be
\MessageBreak
loaded BEFORE the minitoc package}
\@mtc@hints@given@true
\fi
\fi
### 18.104.22.168 Final part of the hint about the varsects package
We test if `varsects` has been loaded before (correct) or after (incorrect) `minitoc`. See
22.214.171.124 Final part of the hint about the fncychap package
We test if fncychap has been loaded before (correct) or after (incorrect) minitoc. See section 9.9.3 on page 275.
\if@mtc@fncychapLoaded@\else
\if@mtc@fncychapLoaded@a@
\if@mtc@hints@given@
\if@mtc@fncychapLoaded@\else
\if@mtc@fncychapLoaded@a@
\mtcPackageWarningNoLine[W0086]{minitoc(hints)}%
{The fncychap package should be
\MessageBreak
loaded BEFORE the minitoc package}
\if@mtc@hints@given@true
\fi
\fi
126.96.36.199 Final part of the hint about the hangcaption package
We test if hangcaption has been loaded before (correct) or after (incorrect) minitoc. See section 9.9.4 on page 275.
\if@mtc@HgcLoaded@\else
\if@mtc@HgcLoaded@a@
\mtcPackageWarningNoLine[W0092]{minitoc(hints)}%
{The hangcaption package should be
\MessageBreak
loaded BEFORE the minitoc package}
\if@mtc@hints@given@true
\fi
\fi
188.8.131.52 Final part of the hint about the quotchap package
\if@mtc@quotchapLoaded@\else
\if@mtc@quotchapLoaded@a@
\if@mtc@hints@given@
We test if quotchap has been loaded before (correct) or after (incorrect) minitoc. See section 9.9.5 on page 276.
\fi
\fi
184.108.40.206 Final part of the hint about the romannum package
\if@mtc@romannumLoaded@\else
\if@mtc@romannumLoaded@a@
\if@mtc@hints@given@
We test if romannum has been loaded before (correct) or after (incorrect) minitoc. See section 9.9.6 on page 276.
\fi
\fi
220.127.116.11 Final part of the hint about the sfheaders package
\if@mtc@sfheadersLoaded@\else
\if@mtc@sfheadersLoaded@a@
\if@mtc@hints@given@
We test if sfheaders has been loaded before (correct) or after (incorrect) minitoc. See section 9.9.7 on page 276.
\fi
\fi
18.104.22.168 Final part of the hint about the alnumsec package
\if@mtc@alnumsecLoaded@
\if@mtc@alnumsecLoaded@a@
\if@mtc@hints@given@
We test if alnumsec has been loaded before (correct) or after (incorrect) minitoc. See section 9.9.8 on page 276.
\if@mtc@alnumsecLoaded@\else
\if@mtc@alnumsecLoaded@a@
\mtcPackageWarningNoLine[W0090]{minitoc(hints)}%
{The alnumsec package should be
\MessageBreak
loaded BEFORE the minitoc package}
\if@mtc@hints@given@true
\fi
\fi
22.214.171.124 Final part of the hint about the captcont package
\if@mtc@captcontLoaded@
\if@mtc@captcontLoaded@a@
\if@mtc@hints@given@
We test if captcont has been loaded before (correct) or after (incorrect) minitoc. See section 9.9.9 on page 277.
\if@mtc@captcontLoaded@\else
\if@mtc@captcontLoaded@a@
\mtcPackageWarningNoLine[W0091]{minitoc(hints)}%
{The captcont package should be
\MessageBreak
loaded BEFORE the minitoc package}
\if@mtc@hints@given@true
\fi
\fi
126.96.36.199 Final part of the hint about the caption package
\if@mtc@captionLoaded@
\if@mtc@captionLoaded@a@
\if@mtc@hints@given@
We test if caption has been loaded before (correct) or after (incorrect) minitoc. See section 9.9.10 on page 277.
\if@mtc@captionLoaded@\else
\if@mtc@captionLoaded@a@
\mtcPackageWarningNoLine[W0033]{minitoc(hints)}%
{The caption package should be
\MessageBreak
loaded BEFORE the minitoc package}
\if@mtc@hints@given@true
\fi
\fi
188.8.131.52 Final part of the hint about the caption2 package
\if@mtc@captionIILoaded@
\if@mtc@captionIILoaded@a@
\if@mtc@hints@given@
We test if caption2 has been loaded before (correct) or after (incorrect) minitoc. See section 9.9.11 on page 277.
\if@mtc@captionIILoaded@\else
\if@mtc@captionIILoaded@a@
\mtcPackageWarningNoLine[W0034]{minitoc(hints)}%
{The caption2 package should be
\MessageBreak
loaded BEFORE the minitoc package}
\if@mtc@hints@given@true
\fi
\fi
184.108.40.206 Final part of the hint about the ccaption package
\if@mtc@ccaptionLoaded@
\if@mtc@ccaptionLoaded@a@
\if@mtc@hints@given@
We test if ccaption has been loaded before (correct) or after (incorrect) minitoc. See section 9.9.12 on page 277.
\if@mtc@ccaptionLoaded@\else
\if@mtc@ccaptionLoaded@a@
\mtcPackageWarningNoLine[W0035]{minitoc(hints)}%
{The ccaption package should be
\MessageBreak
loaded BEFORE the minitoc package}
\if@mtc@hints@given@true
\fi
\fi
220.127.116.11 Final part of the hint about the mcaption package
\if@mtc@mcaptionLoaded@
\if@mtc@mcaptionLoaded@a@
\if@mtc@hints@given@
We test if mcaption has been loaded before (correct) or after (incorrect) minitoc. See section 9.9.13 on page 278.
\if@mtc@mcaptionLoaded@\else
\if@mtc@mcaptionLoaded@a@
\mtcPackageWarningNoLine[W0036]{minitoc(hints)}%
{The mcaption package should be
\MessageBreak
loaded BEFORE the minitoc package}
\if@mtc@hints@given@true
\fi
\fi
18.104.22.168 Final part of the hint about the float package
\if@mtc@floatLoaded@
We test if float has been loaded. See section 9.9.14 on page 278.
\if@mtc@hints@given@
\if@mtc@floatLoaded@
\mtcPackageInfo[I0053]{minitoc(hints)}%
{You have loaded the float package;
\MessageBreak
please be aware that the minitoc package
\MessageBreak
facilities can not be used for new types
\MessageBreak
of floats defined by the float package\@gobble}
\@mtc@hints@given@true
\fi
22.214.171.124 Final part of the hint about the floatrow package
\if@mtc@floatrowLoaded@
We test if floatrow has been loaded. See section 9.9.15 on page 278.
\if@mtc@hints@given@
\if@mtc@floatrowLoaded@
\mtcPackageInfo[I0053]{minitoc(hints)}%
{You have loaded the floatrow package;
\MessageBreak
please be aware that the minitoc package
\MessageBreak
facilities can not be used for new types
\MessageBreak
of floats defined by the floatrow package\@gobble}
\@mtc@hints@given@true
\fi
126.96.36.199 Final part of the hint about the trivfloat package
\if@mtc@trivfloatLoaded@
We test if trivfloat has been loaded. See section 9.9.16 on page 278.
\if@mtc@hints@given@
\if@mtc@trivfloatLoaded@
\mtcPackageInfo[I0053]{minitoc(hints)}%
{You have loaded the trivfloat package;
\MessageBreak
please be aware that the minitoc package
\MessageBreak
facilities can not be used for new types
\MessageBreak
of floats defined by the trivfloat package\@gobble}
\@mtc@hints@given@true
\fi
188.8.131.52 Final part of the hint about the rotfloat package
\if@mtc@rotfloatLoaded@
\if@mtc@hints@given@
We test if rotfloat has been loaded. See section 9.9.17 on page 278.
\if@mtc@rotfloatLoaded@
\mtcPackageInfo[10053]{minitoc(hints)}%
{You have loaded the rotfloat package;
please be aware that the minitoc package facilities can not be used for new types
of floats defined by the rotfloat package}@gobble}
\if@mtc@hints@given@true
\fi
184.108.40.206 Check if empty mini-tables have been detected
We test for each kind of mini-tables.
\if@mtc@empty@partttoc@ For partttocs:
\if@mtc@empty@partttoc@
\mtcPackageWarningNoLine[W0046]{minitoc(hints)}%
{You have attempted to insert
\MessageBreak
empty partttocs}
\if@mtc@hints@given@true
\fi
\if@mtc@empty@partlof@ For partlofs:
\if@mtc@empty@partlof@
\mtcPackageWarningNoLine[W0044]{minitoc(hints)}%
{You have attempted to insert
\MessageBreak
empty partlofs}
\if@mtc@hints@given@true
\fi
\if@mtc@empty@partlot@ For partlots:
\if@mtc@empty@partlot@
\mtcPackageWarningNoLine[W0045]{minitoc(hints)}%
\if@mtc@empty@minitoc@ For minitocs:
\if@mtc@empty@minilof@ For minilofs:
\if@mtc@empty@minilot@ For minilots:
\if@mtc@empty@secttoc@ For secttocs:
\if@mtc@empty@sectlof@ For sectlofs:
7278 \if@mtc@empty@sectlof@
7279 \mtcPackageWarningNoLine[W0047]{minitoc(hints)}%
7280 {You have attempted to insert
7281 \MessageBreak
7282 empty sectlofs}
7283 \@mtc@hints@given@true
7284 \fi
\if@mtc@empty@sectlot@ For sectlots:
7285 \if@mtc@empty@sectlot@
7286 \mtcPackageWarningNoLine[W0048]{minitoc(hints)}%
7287 {You have attempted to insert
7288 \MessageBreak
7289 empty sectlots}
7290 \@mtc@hints@given@true
7291 \fi
220.127.116.11 Check if obsolete commands have been used
This hint is just a reminder if you have used obsolete commands, which are also signalled in the document.log file.
\if@firstpartis@used@ Obsolete macro \firstpartis:
7292 \if@firstpartis@used@
7293 \mtcPackageWarningNoLine[W0051]{minitoc(hints)}%
7294 {You have invoked an obsolete (ignored)
7295 \MessageBreak
7296 command: \string\firstpartis}
7297 \@mtc@hints@given@true
7298 \fi
\if@firstchapteris@used@ Obsolete macro \firstchapteris:
7299 \if@firstchapteris@used@
7300 \mtcPackageWarningNoLine[W0050]{minitoc(hints)}%
7301 {You have invoked an obsolete (ignored)
7302 \MessageBreak
7303 command: \string\firstchapteris}
7304 \@mtc@hints@given@true
7305 \fi
\if@firstsectionis@used@ Obsolete macro \firstsectionis:
7306 \if@firstsectionis@used@
7307 \mtcPackageWarningNoLine[W0052]{minitoc(hints)}%
7308 {You have invoked an obsolete (ignored)
7309 \MessageBreak
7310 command: \string\firstsectionis}
7311 \@mtc@hints@given@true
7312 \fi
18.104.22.168 Check if some hints have been written
\if@mtc@hints@given@
\mtc@hints@enddoc
We come at the end of the third part of the hints option: if problems have been detected, a warning is displayed; the warning is not displayed but only written in the \jobname.log file if no problems have been detected. And we terminate the \mtc@hints@enddoc macro by a closing brace.
7313 \if@mtc@hints@given@
7314 \mtcPackageWarningNoLine[W0024]{minitoc(hints)}%
7315 {Some hints have been written
7316 \MessageBreak
7317 in the \jobname.log file}
7318 \else
7319 \mtcPackageInfo[I0019]{minitoc(hints)}%
7320 {No hints have been written
7321 \MessageBreak
7322 in the \jobname.log file.\@gobble}
7323 \fi
7324 }
9.82 Processing of options
\InputIfFileExists First, if possible, we apply the default language option, english:
7325 \InputIfFileExists{english.mld}%
7326 {\ExecuteOptions{english}}%
Else, we signal a severe error and provide the missing default titles:
\mtcPackageError
\providecommand
\ptctitle
\plftitle
\plttitle
\mtctitle
\mlftitle
\mlttitle
\stctitle
\sllftitle
\sllttitle
\mtcPackageError[E0036]{minitoc}%
{Your minitoc installation is incomplete.
\MessageBreak
The minitoc language object file (.mld),
\MessageBreak
english.mld is not found.
\MessageBreak
We will try to continue with default values}%
{See the minitoc documentation.
\MessageBreak
Please fix your minitoc installation.
\MessageBreak
Press <return> to continue}%
\providecommand{\ptctitle}{Table of Contents}%
\providecommand{\plftitle}{List of Figures}%
\providecommand{\plttitle}{List of Tables}%
\providecommand{\mtctitle}{Contents}%
\providecommand{\mlftitle}{Figures}%
\providecommand{\mlttitle}{Tables}%
\providecommand{\stctitle}{Contents}%
\providecommand{\sllftitle}{Figures}%
\providecommand{\sllttitle}{Tables}%
Then, we execute all requested options: for most options, it is just setting a flag, or loading a file for the language options.
\ProcessOptions*
We now examine the flags for some options and execute the necessary actions.
9.82.1 Processing the \texttt{insection} option
For the \texttt{insection} option, we load the \texttt{placeins} package [15] with its options \texttt{verbose} and \texttt{section}, after the \texttt{flafter} package (described in [288] and [330, page 286]); the correct loading is verified:
\if@mtc@ss@insection@
\RequirePackage{flafter}[2000/07/23]%
\RequirePackage[section,verbose]{placeins}[2005/04/18]%
\@ifpackageloaded{placeins}%
{\@mtc@placeinsLoaded@true}{\@mtc@placeinsLoaded@false}%
\fi
9.82.2 Processing the notoccite option
For the notoccite option, we just load the notoccite package [14]:
\if@mtc@notoccite@
\RequirePackage{notoccite}
\fi
9.82.3 Processing the listfiles option
We define the \mtc@maf macro which closes \tf@mtc and reopens it to write into the file document.maf. It calls \mtc@maf@long or \mtc@maf@short (long or short extensions), then closes \tf@mtc. \mtc@maf@long or \mtc@maf@short writes the names of the existing auxiliary files using decrementing loops on the associated counters, and includes document.mtc in the list (but not the document.maf\footnote{Some users could make a cleanup using this file as a list of files to delete, so it must not be in the list.} file). We must also check the existence of \jobname.mtc@ if long extensions are used.
\def\mtc@maf{%
\mtcPackageInfo[10009]{minitoc}%
{Listing minitoc auxiliary files.}%
\MessageBreak
Creating the \jobname.maf file\gobble}%
\immediate\closeout\tf@mtc
\immediate\openout\tf@mtc \jobname.maf
\ifmtc@longext@\mtc@maf@long\else\mtc@maf@short\fi
\immediate\closeout\tf@mtc}
\def\mtc@addtomaf#1{%
\IfFileExists{#1}{\immediate\write\tf@mtc{#1}}{}}
\def\mtc@maf@long{%
\mtc@addtomaf{\jobname.mtc}
\mtc@addtomaf{\jobname.mtc@}
\@ifundefined{c@ptc}{\loop\ifnum c@ptc>\z@\relax
\mtc@addtomaf{\jobname.ptc\arabic{ptc}}
\mtc@addtomaf{\jobname.plf\arabic{ptc}}
\mtc@addtomaf{\jobname.plt\arabic{ptc}}
\advance\c@ptc\m@ne\repeat}
\@ifundefined{c@mtc}{\loop\ifnum c@mtc>\z@\relax
\mtc@addtomaf{\jobname.mtc\arabic{mtc}}
\mtc@addtomaf{\jobname.mlf\arabic{mtc}}
\mtc@addtomaf{\jobname.mlt\arabic{mtc}}
\advance\c@mtc\m@ne\repeat}
\@ifundefined{c@stc}{\loop\ifnum c@stc>\z@\relax
\mtc@addtomaf{\jobname.stc\arabic{stc}}
\mtc@addtomaf{\jobname.slf\arabic{stc}}
\mtc@addtomaf{\jobname.slt\arabic{stc}}
\advance\c@stc\m@ne\repeat}}
\def\mtc@maf@short{%
\mtc@addtomaf{\jobname.mtc}
\@ifundefined{c@ptc}{}{\loop\ifnum\c@ptc<\z@\relax
\mtc@addtomaf{\jobname.P\arabic{ptc}}
\mtc@addtomaf{\jobname.G\arabic{ptc}}
\mtc@addtomaf{\jobname.U\arabic{ptc}}
\advance\c@ptc\m@ne\repeat}
\@ifundefined{c@mtc}{}{\loop\ifnum\c@mtc<\z@\relax
\mtc@addtomaf{\jobname.M\arabic{mtc}}
\mtc@addtomaf{\jobname.F\arabic{mtc}}
\mtc@addtomaf{\jobname.T\arabic{mtc}}
\advance\c@mtc\m@ne\repeat}
\@ifundefined{c@stc}{}{\loop\ifnum\c@stc<\z@\relax
\mtc@addtomaf{\jobname.S\arabic{stc}}
\mtc@addtomaf{\jobname.H\arabic{stc}}
\mtc@addtomaf{\jobname.V\arabic{stc}}
\advance\c@stc\m@ne\repeat}}
\if@mtc@listfiles@ If this option is active, we call \mtc@maf in an \AtEndDocument block.
\AtEndDocument
\mtc@maf
\if@mtc@listfiles@\AtEndDocument{\mtc@maf}\else\fi
9.82.4 Processing the hints option
\if@mtc@hints@ For the hints option, we set its first part in an \AtBeginDocument block and its third (last) part in an \AtEndDocument block:
\AtBeginDocument
\mtc@hints@begindoc
\AtEndDocument
\mtc@hints@enddoc
\if@mtc@hints@
\AtBeginDocument{\mtc@hints@begindoc}%
\AtEndDocument{\mtc@hints@enddoc}%
\fi
9.82.5 Saving the sectionning commands
And, at least, we save the definitions of sectionning commands (and of their unstarrered and starred branches), for comparisons (this is a part of the hints option executed in the preamble):
\@ifundefined{\mtc@hints@part}
\part
\@ifundefined{part}{}{\let\mtc@hints@part\part}
\let\mtc@hints@@part\@part
\@part
\mtc@hints@@spart
\@spart
\@ifundefined \mtc@hints@chapter
\chapter 7415 \@ifundefined{chapter}{}{\let\mtc@hints@chapter\chapter
\mtc@hints@@chapter 7416 \let\mtc@hints@@chapter\@chapter
\@chapter 7417 \let\mtc@hints@@schapter\@schapter}
\mtc@hints@@schapter
\@schapter
\@ifundefined \mtc@hints@section
\section 7418 \@ifundefined{section}{}{\let\mtc@hints@section\section
\mtc@hints@ssect 7419 \let\mtc@hints@@sect\@sect
\@sect 7420 \let\mtc@hints@@ssect\@ssect}
\mtc@hints@@ssect
\@ssect
9.83 Trapping the undefined preparation and insertion commands
\mtc@classck \mtcPackageError It may happen that you use a preparation command (like \dominitoc) or an insertion command (like \dominitoc) in a document using a class where that command is not available (like article). To get a better diagnostic for such errors, we intercept such commands by providing a default definition which just emits an error message. These default definitions are made in an \AtBeginDocument block.
7421 \def\mtc@classck#1{%
7422 \mtcPackageError[E0037]{minitoc}%
7423 {The \csname #1\endcsname\space command is incompatible
7424 \MessageBreak
7425 with the document class}%
7426 {Correct the source code.
7427 \MessageBreak
7428 Type <return> and rerun LaTeX}%
7429 }%
\AtBeginDocument An \AtBeginDocument bloc:
7430 \AtBeginDocument{%
\providecommand Part-level preparation commands:
\doparttoc
\dopartlof 7431 \providecommand{\doparttoc}[1][1]{\mtc@classck{\doparttoc}}%
\dopartlot 7432 \providecommand{\dopartlof}[1][1]{\mtc@classck{\dopartlof}}%
7433 \providecommand{\dopartlot}[1][1]{\mtc@classck{\dopartlot}}%
\dominitoc Chapter-level preparation commands:
\dominilof
\dominilot \providecommand{\dominitoc}[1][1]{\mtc@classck{dominitoc}}%
\providecommand{\dominilof}[1][1]{\mtc@classck{dominilof}}%
\providecommand{\dominilot}[1][1]{\mtc@classck{dominilot}}%
\dosecttoc Section-level preparation commands:
\dosectlof
\dosectlot \providecommand{\dosecttoc}[1][1]{\mtc@classck{dosecttoc}}%
\providecommand{\dosectlof}[1][1]{\mtc@classck{dosectlof}}%
\providecommand{\dosectlot}[1][1]{\mtc@classck{dosectlot}}%
\parttoc Part-level insertion commands:
\partlof
\partlot \providecommand{\parttoc}[1][1]{\mtc@classck{parttoc}}%
\providecommand{\partlof}[1][1]{\mtc@classck{partlof}}%
\providecommand{\partlot}[1][1]{\mtc@classck{partlot}}%
\minitoc Chapter-level insertion commands:
\minilof
\minilot \providecommand{\minitoc}[1][1]{\mtc@classck{minitoc}}%
\providecommand{\minilof}[1][1]{\mtc@classck{minilof}}%
\providecommand{\minilot}[1][1]{\mtc@classck{minilot}}%
\secttoc Section-level insertion commands:
\sectlof
\sectlot \providecommand{\secttoc}[1][1]{\mtc@classck{secttoc}}%
\providecommand{\sectlof}[1][1]{\mtc@classck{sectlof}}%
\providecommand{\sectlot}[1][1]{\mtc@classck{sectlot}}%
And the package is terminated.
\end{minitoc}
9.84 The minitoc-fr.dtx file
This short file is necessary to create the french documentation. Its rôle is to set \jobname to minitoc-fr in place of minitoc. As minitoc.ins generates the minitoc.lan and minitoc-fr.lan files which set a language number \LANG, and minitoc.dtx reads then the \jobname.lan file, the documentation can be in several languages (english and french here) in minitoc.dtx, the language being selected by \ifcase\LANG\relax ... \or\relax ... \fi constructs. The \relax primitives are necessary to avoid bad surprises.
\ProvidesFile{minitoc-fr.dtx}%
[2018/07/12 minitoc v62 french documentation start file]
\input{minitoc.dtx}
\end{document}
Chapter 10
Commented code of the mtcoff package
Contents
10.1 Why \mtcoff? .................................................. 448
10.2 Identification of the package ................................. 448
10.3 Faking counters and dimensions ............................. 449
10.4 Faking simple commands ...................................... 452
10.5 Faking commands with one optional argument ............... 453
10.6 Faking flags .................................................. 454
10.7 Disabling the internal commands ............................ 454
10.8 Disabling the font commands ................................ 455
10.9 Disabling the \mtcset... commands ......................... 456
10.10 Disabling the \mtcpoly... commands ....................... 456
10.11 Disabling the new \l@... commands ......................... 456
10.12 Ignore the obsolete commands .............................. 457
10.13 Disabling the \mtcselectlanguage and \mtcloadmlo commands 457
10.14 Disabling the commands for the horizontal rules .......... 457
10.15 Disabling the commands for the page numbers ............. 458
10.16 Disabling the mini-table features commands ............... 458
10.17 Disabling miscellaneous flags and commands ............... 459
10.18 Caution for some commands ................................ 460
10.19 Disabling commands for “coffee” ........................... 461
10.20 Disabling the \mtchide\main... environments .............. 461
10.21 Inhibition of the \mtc@[save|restore]XXXdepth internal commands 462
10.22 Disabling the \mtcfixglossary command .................... 462
10.23 Disabling the \mtcfixinindex command ..................... 462
10.24 Disabling the \mtcfixinomenclature command ............... 462
10.25 Disabling the \addstarred... commands .................... 463
10.1 Why mtcoff?
The minitoc package [156, 157] requires that the user inserts many commands in the source code of her/his document, and not only into the preamble of the document. Hence the concept of a replacement package, mtcoff (means “minitoc off”), which substitutes to all commands and environments of the minitoc package some alternative commands and environments with the same names and syntaxes, but doing nothing (except emitting some harmless warnings, for special cases). This way, to turn off easily the minitoc package, you just have to write, in the preamble of your document, something like:
\usepackage[...options...]{minitoc}
\%usepackage{mtcoff}
then the minitoc package is activated with the specified options. If you modify this two lines this way:
\%usepackage[...options...]{minitoc}
\usepackage{mtcoff}
then the minitoc package is desactivated and all its commands and environments are ignored. This is much easier, faster and safer than commenting out all the commands and environments of minitoc. Moreover, this operation is reversible.
10.2 Identification of the package
First, we identify the package and check the version of \LaTeX\footnote{This checking is not really useful for the mtcoff package itself, but it is good to check that your version of \LaTeX\ is not too old to support minitoc.}; we need the mtcmess package to write messages with unique identifiers.
\NeedsTeXFormat{LaTeX2e}%
\ProvidesPackage{mtcoff}[2018/07/12 v62 The mtcoff package]
\RequirePackage{mtcmess}[2006/03/14]
10.3 Faking counters and dimensions
As `minitoc` declares some counters and dimensions registers, we fake them using `\count@` or `\dimen@`. For `\mtcskipamount`, we must use its default definition, `\bigskipamount`.
```latex
\c@minitocdepth
\mtcindent
\let\c@minitocdepth\count@
\mtcskipamount
\bigskipamount
\let\mtcskipamount\bigskipamount
\c@parttocdepth
\mtcindent
\let\c@parttocdepth\count@
\c@secttocdepth
\mtcindent
\let\c@secttocdepth\count@
\stcindent
\let\stcindent\dimen@
```
The basic mini-table counters are provided by `\count@`:
```latex
\c@mtc
\c@ptc
\c@stc
\let\c@mtc\count@
\let\c@ptc\count@
\let\c@stc\count@
```
The gaps before and after parttoc heads receive their default values:
```latex
\mtcgapbeforeheads
\def\mtcgapbeforeheads{50\p@}
\mtcgapafterheads
\def\mtcgapafterheads{40\p@}
```
We must define the macros for the vertical kernings between the minitable and their before the bottom rule. The default values are used. We must issue a warning if one of these macros is used.
```latex
\kernafterparttoc
\kernafterpartlof
\kernafterpartlot
\kernaftersecttoc
\kernaftersectlof
\kernaftersectlot
\kernafterminitoc
\kernafterminilof
\kernafterminilot
\ifundefined{part}{}{%
\def\kernafterparttoc{%
\mtcoffwarn@true
\mtcPackageWarning[F0008]{mtcoff}%
{The macro \string\kernafterparttoc
\MessageBreak
should not be used out of context
\MessageBreak}%
\kern-1.\baselineskip\kern.5ex}%
\def\kernafterpartlof{%
\mtcoffwarn@true
\mtcPackageWarning[F0008]{mtcoff}%
{The macro \string\kernafterpartlof
\MessageBreak
should not be used out of context
\MessageBreak}%
\kern-1.\baselineskip\kern.5ex}%
\def\kernafterpartlot{%
\mtcoffwarn@true
\mtcPackageWarning[F0008]{mtcoff}%
{The macro \string\kernafterpartlot
\MessageBreak
should not be used out of context
\MessageBreak}%
\kern-1.\baselineskip\kern.5ex}%
```
10.4 Faking simple commands
\fake{tableofcontents} Some user commands are easy to fake:
\fake{listoffigures}
\fake{listoftables}
\mtc{skip} \let\fake{tableofcontents}\relax
\mtc{skip} \let\fake{listoffigures}\relax
\mtc{skip} \let\fake{listoftables}\relax
\mtc{skip} \let\fake{tableofcontents}\relax
Basic adjustment commands are also easy:
\newcommand{\adjustptc}[1][1]{\relax}
\newcommand{\adjustmtc}[1][1]{\relax}
\let\decrementptc\relax \let\incrementptc\relax
\let\decrementmtc\relax \let\incrementmtc\relax
\let\decrementstc\relax \let\incrementstc\relax
The following commands are not directly called by the user, in normal circumstances, but must be faked:
\let\partend\relax \let\partbegin\relax
\let\chapterend\relax \let\chapterbegin\relax
\let\sectend\relax \let\sectbegin\relax
### 10.5 Faking commands with one optional argument
The user commands with an optional argument are faked using the internal LaTeX macro \@ifnextchar (to get the optional argument) and the new utility command \gobbleopt@.
\def\gobbleopt@[#1]{\relax}
Commands for part level mini-tables:
\def\doparttoc{\@ifnextchar[\{\gobbleopt@{\gobbleopt@[1]}}
\def\dopartlof{\@ifnextchar[\{\gobbleopt@{\gobbleopt@[1]}}
\def\dopartlot{\@ifnextchar[\{\gobbleopt@{\gobbleopt@[1]}}
\def\parttoc{\@ifnextchar[\{\gobbleopt@{\gobbleopt@[1]}}
\def\partlof{\@ifnextchar[\{\gobbleopt@{\gobbleopt@[1]}}
\def\partlot{\@ifnextchar[\{\gobbleopt@{\gobbleopt@[1]}}
\def\partlottoc{\@ifnextchar[\{\gobbleopt@{\gobbleopt@[1]}}
Commands for chapter level mini-tables:
\def\dominitoc{\@ifnextchar[\{\gobbleopt@{\gobbleopt@[1]}}
\def\dominilof{\@ifnextchar[\{\gobbleopt@{\gobbleopt@[1]}}
\def\dominilot{\@ifnextchar[\{\gobbleopt@{\gobbleopt@[1]}}
\def\minitoc{\@ifnextchar[\{\gobbleopt@{\gobbleopt@[1]}}
\def\minilof{\@ifnextchar[\{\gobbleopt@{\gobbleopt@[1]}}
\def\minilot{\@ifnextchar[\{\gobbleopt@{\gobbleopt@[1]}}
\@ifnextchar Commands for section level mini-tables:
\dosecttoc
\dosectlof
\dosectlot
\secttoc
\sectlof
\sectlot
\sectloff
\sectlotf
\@ifnextchar Command \mtcprepare:
\mtcprepare
7663 \def\mtcprepare{\@ifnextchar[\{\gobbleopt@}{\gobbleopt@[1]}}
10.6 Faking flags
\ifinparttoc We defines flags which were true when inside a mini-table of the matching type, false outside.
\ifinpartlof
\ifinpartlot
7664 \newif\ifinparttoc\inparttocfalse%
\ifinminitoc
7665 \newif\ifinpartlof\inpartloffalse%
\ifinminilof
7666 \newif\ifinpartlot\inpartlotfalse%
\ifinminilot
7667 \newif\ifinsecttoc\insecttocfalse%
\ifinsectlof
7668 \newif\ifinsectlof\insectloffalse%
\ifinsectlot
7669 \newif\ifinsectlot\insectlotfalse%
\ifinsectloff
7670 \newif\ifinminitoc\inminitocfalse%
7671 \newif\ifinminilof\inminiloffalse%
7672 \newif\ifinminilot\inminilotfalse%
10.7 Disabling the internal commands
\@gobbletwo We need also to disable some minitoc commands, with \relax (macros with no argument) or
\@gobbletwo (macros with two arguments):
\mtc@string
\appendixmtc
7673 \let\tr@mtc\count@
\l@xchapter
7674 \let\mtc@string\relax
\l@xchapter
7675 \let\appendixmtc\relax
\pchapter
7676 \let\l@xchapter\@gobbletwo
\psect
7677 \let\xchapter\relax
\l@xpart
7678 \let\pchapter\relax
\psect
7679 \let\psect\relax
\l@xpart
7680 \let\l@xpart\@gobbletwo
\l@xsect
7681 \let\xpart\relax
\xsect
7682 \let\l@xsect\@gobbletwo
7683 \let\xsect\relax
10.8 Disabling the font commands
\empty We disable the mintoc font commands (like \mtcSSfont) with \empty, because some users might have used:
\renewcommand{\mtcSSfont}{...}
which will not work if we use \relax here.
\ptcfont Fonts for part level mini-tables:
\ptcCfont
\ptcSfont 7684 \let\ptcSfont\empty
\ptcSSfont 7685 \let\ptcSfont\empty
\ptcSSSfont 7686 \let\ptcSfont\empty
\ptcPfont 7687 \let\ptcSSfont\empty
\ptcSPfont 7688 \let\ptcSSSfont\empty
\plffont 7689 \let\ptcPfont\empty
\plfsfont 7690 \let\ptcSPfont\empty
\pltfont 7691 \let\plffont\empty
\pltSfont 7692 \let\plfsfont\empty
\ptifont 7693 \let\pltfont\empty
7694 \let\pltSfont\empty
7695 \let\ptifont\empty
\mtcfont Fonts for chapter level mini-tables:
\mtcSfont
\mtcSfont 7696 \let\mtcfont\empty
\mtcSSfont 7697 \let\mtcSfont\empty
\mtcPfont 7698 \let\mtcSSfont\empty
\mtcSPfont 7699 \let\mtcSSSfont\empty
\mlffont 7700 \let\mtcPfont\empty
\mlfsfont 7701 \let\mtcSPfont\empty
\mltfont 7702 \let\mlffont\empty
\mltsfont 7703 \let\mlfsfont\empty
\mtifont 7704 \let\mltfont\empty
7705 \let\mltsfont\empty
7706 \let\mtifont\empty
\stcfont Fonts for section level mini-tables:
\stcSfont
\stcSSfont 7707 \let\stcfont\empty
\stcPfont 7708 \let\stcSfont\empty
\stcSPfont 7709 \let\stcSSfont\empty
\slffont 7710 \let\stcPfont\empty
\slfsfont 7711 \let\stcSPfont\empty
\sltfont 7712 \let\slffont\empty
\sltSfont
\stifont
\let\slfSfont\empty
\let\sltfont\empty
\let\sltSfont\empty
\let\stifont\empty
\coffeefont Font for “coffee” \textbullet lines:
\let\coffeefont\empty
10.9 Disabling the \mtcset... commands
These commands use two or three mandatory arguments:
\mtcsetdepth
\mtcsetoffset
\mtcsetfont
\mtcsettitlefont
\mtcsettitle
\mtcsetformat
\mtcsetfeature
\mtcsetpagenumbers
\mtcsetrules
10.10 Disabling the \mtcpolym... commands
We simulate these commands by keeping only the fourth argument; they must still be robust.
\mtcpolymtoc
\mtcpolymlof
\mtcpolymlot
10.11 Disabling the new \l@... commands
The minitoc package defines the \l@starXXX commands to format TOC entries for starred sectionning commands. We reset to the unstarred version, when necessary:
\l@starpart
\l@starchapter
\l@starsection
\l@starsubsection
\l@starsubsubsection
\l@starparagraph
\l@starssubparagraph
@ifundefined{part}{}{\let\l@starpart\l@part}
@ifundefined{chapter}{}{\let\l@starchapter\l@chapter}
@ifundefined{section}{}{\let\l@starsection\l@section}
10.12 Ignore the obsolete commands
We just ignore the obsolete commands (with one mandatory argument):
\let\firstpartis\@gobble
\let\firstchapteris\@gobble
\let\firstsectionis\@gobble
10.13 Disabling the \mtcselectlanguage and \mtcloadmlo commands
These command have one mandatory argument:
\let\mtcselectlanguage\@gobble
\let\mtcloadmlo\@gobble
10.14 Disabling the commands for the horizontal rules
These commands have no argument:
\nptcrule
\mtcrule 7739 \let\nptcrule\relax
\nomtcrule 7740 \let\nomtcrule\relax
\strerule 7741 \let\strerule\relax
\nostcrule 7742 \let\nostcrule\relax
\plfrule 7743 \let\plfrule\relax
\noplfrule 7744 \let\noplfrule\relax
\mlfrule 7745 \let\mlfrule\relax
\nomlfrule 7746 \let\nomlfrule\relax
\sllrule 7747 \let\sllrule\relax
\noslrule 7748 \let\noslrule\relax
\pltrule 7750 \let\pltrule\relax
\nopltrule 7751 \let\nopltrule\relax
\mltrule 7752 \let\mltrule\relax
\nomltrule 7753 \let\nomltrule\relax
\sllrule 7754 \let\sllrule\relax
\noslrule 7755 \let\noslrule\relax
10.15 Disabling the commands for the page numbers
\ptcpagenumbers These commands have no argument:
\noptcpagenumbers 7757 \let\mtcpagenumbers\relax
\mtcpagenumbers 7758 \let\noptcpagenumbers\relax
\nomtcpagenumbers 7759 \let\stcpagenumbers\relax
\stcpagenumbers 7760 \let\nostcpagenumbers\relax
\nostcpagenumbers 7761 \let\ptcpagenumbers\relax
\plfpagenumbers 7762 \let\noptfpagenumbers\relax
\noplfpagenumbers 7763 \let\mlfpagenumbers\relax
\mlfpagenumbers 7764 \let\nomlfpagenumbers\relax
\nomlfpagenumbers 7765 \let\sllfpagenumbers\relax
\sllfpagenumbers 7766 \let\noslfpagenumbers\relax
\noslfpagenumbers 7767 \let\plfpagenumbers\relax
\noplfpagenumbers 7768 \let\noplfpagenumbers\relax
\mltpagenumbers 7769 \let\mttpagenumbers\relax
\nomltpagenumbers 7770 \let\nomltpagenumbers\relax
\nomltpagenumbers 7771 \let\slltpagenumbers\relax
\slltpagenumbers 7772 \let\nosltpagenumbers\relax
\nosltpagenumbers 7773 \let\mttpagenumbers\relax
\nopltpagenumbers 7774 \let\nopltpagenumbers\relax
10.16 Disabling the mini-table features commands
We disable the commands for features (like \beforeparttoc) with \empty, because some users may have used:
\renewcommand{\beforeparttoc}{...}
which will not work if we use \relax here. These commands have no argument,
\beforeparttoc Commands for part level mini-tables:
\beforepartlof
\beforepartlot 7775 \let\beforeparttoc\empty
\afterparttoc 7776 \let\beforepartlof\empty
\afterpartlof 7777 \let\beforepartlot\empty
\afterpartlot 7778 \let\afterparttoc\empty
\openparttoc 7779 \let\afterpartlof\empty
\openpartlof 7780 \let\afterpartlot\empty
\openpartlot 7781 \let\openparttoc\empty
\openparttoc 7782 \let\openpartlof\empty
\closeparttoc 7783 \let\openpartlot\empty
\closepartlof 7784 \let\closeparttoc\empty
\closepartlot 7785 \let\closepartlof\empty
\thispageparttocstyle 7786 \let\closepartlot\empty
\thispagepartlofstyle
\thispagepartlotstyle
\let\thispageparttocstyle\empty
\let\thispagepartlofstyle\empty
\let\thispagepartlotstyle\empty
\beforeminitoc Commands for chapter level mini-tables:
\beforeminilof
\beforeminilot
\afterminitoc
\afterminilof
\openminitoc
\openminilof
\openminilot
\closeminitoc
\closeminilof
\closeminilot
\thispageminitocstyle
\thispageminilofstyle
\thispageminilotstyle
\beforesecttoc Commands for section level mini-tables:
\beforesectlof
\beforesectlot
\aftersecttoc
\aftersectlof
\aftersectlot
\opensecttoc
\opensectlof
\opensectlot
\closesecttoc
\closesectlof
\closesectlot
\thispagesecttocstyle
\thispagesectlofstyle
\thispagesectlotstyle
10.17 Disabling miscellaneous flags and commands
\if@mtc@longext@ There are some flags and commands that it is wise to declare:
\iftightmtc
\if@mtc@longext@ \newif\if@mtc@longext@\@mtc@longext@true
\ifundottedmtc \newif\iftightmtc \tightmtcfalse
\l@listof
\ifmtcsecondpart
\chapter
10.18 Caution for some commands
Some minitoc commands should eventually be replaced if you decide to definitely stop using the minitoc package with your document. So we declare a flag and an \AtEndDocument block to signal that you have used these commands:
\newif\ifmtcoffwarn@
\AtEndDocument{\ifmtcoffwarn@
\mtcPackageWarningNoLine[F0007]{mtcoff}%
{You should scan (backwards) your .log file to find some commands needing
to be replaced if you decide to
DEFINITELY stop using minitoc for this
document. It is more wise to keep the
\string\usepackage\space lines for minitoc and mtcoff
and to comment out only one of them}
\fi}
Then these commands are disabled and they set the flag and give a warning (useful to get the line number):
\newcommand{\mtcaddchapter}[1][]{
\mtc@ck
\ifmtcoffwarn@
\mtcPackageWarning[F0004]{mtcoff}%
{\protect\mtcaddchapter{...} should be replaced
by \protect\addcontentsline{toc}{chapter}{...}
\MessageBreak}
\def\mtc@ck{\fi}
\ifx\mtc@ck\empty
\else
\addcontentsline{toc}{chapter}{#1}%
\fi}
\newcommand{\mtcaddsection}[1][]{
\mtcPackageWarning[F0006]{mtcoff}%
{\protect\mtcaddsection{...} should be replaced
\MessageBreak}
10.19 Disabling commands for “coffee”
\addcoffeeline We disable the commands relative to “coffee” lines, and the specific version of contents lines without leaders of dots:
\coffeeline \@gobble
\Undottedtocline 786 \def\addcoffeeline#1#2#3{\relax}
787 \let\coffeeline\@gobble
788 \let\l@coffee\relax
789 \def\@Undottedtocline#1#2#3#4#5{\relax}
790 \def\@Undottedtoclinep#1#2#3#4#5{\relax}
10.20 Disabling the \mtchideinmain... environments
\mtchideinmaintoc These environments accept one optional argument:
\mtchideinmainlof
\mtchideinmainlot 7881 \newenvironment{mtchideinmaintoc}[1][-1]{\empty}{\empty}
7882 \newenvironment{mtchideinmainlof}[1][-1]{\empty}{\empty}
7883 \newenvironment{mtchideinmainlot}[1][-1]{\empty}{\empty}
10.21 Inhibition of the \mtc@[save|restore]XXXdepth internal commands
\mtc@savetocdepth
\mtc@savelofdepth
\mtc@savelotdepth
\mtc@restoretocdepth
\mtc@restorelofdepth
\mtc@restorelotdepth
We must inhibit these commands, inserted in the .toc, .lof and .lot files by the hiding commands. So we will not have to delete these files when switching from the minitoc package to the mtcoff package.
7884 \let\mtc@savetocdepth\empty
7885 \let\mtc@savelofdepth\empty
7886 \let\mtc@savelotdepth\empty
7887 \let\mtc@restoretocdepth\empty
7888 \let\mtc@restorelofdepth\empty
7889 \let\mtc@restorelotdepth\empty
10.22 Disabling the \mtcfixglossary command
\mtcfixglossary This command accepts one optional argument:
7890 \newcommand{\mtcfixglossary}[1][]{\relax}
10.23 Disabling the \mtcfixinindex command
\mtcfixinindex This command accepts one optional argument:
7891 \newcommand{\mtcfixinindex}[1][]{\relax}
10.24 Disabling the \mtcfixnomenclature command
\mtcfixinomenclature This command accepts one optional argument:
7892 \newcommand{\mtcfixinomenclature}[1][]{\relax}
10.25 Disabling the \addstarred... commands
\ifmtcoffwarn@ These commands should be replaced by standard commands, but mtcoff simulates and gives a warning, which will be reminded at the end of document:
\addstarredpart
\addstarredchapter
\addstarredsection
\addcontentsline
7893 \def\addstarredpart#1{\mtcoffwarn@true
7894 \mtcPackageWarning[F0002]{mtcoff}%
7895 {\protect\addstarredpart{...} should be replaced by
7896 \MessageBreak
7897 \protect\addcontentsline{toc}{part}{...}
7898 \MessageBreak}
7899 \addcontentsline{toc}{part}{#1}
7900 \def\addstarredchapter#1{\mtcoffwarn@true
7901 \mtcPackageWarning[F0001]{mtcoff}%
7902 {\protect\addstarredchapter{...} should be replaced by
7903 \MessageBreak
7904 \protect\addcontentsline{toc}{chapter}{...}
7905 \MessageBreak}
7906 \addcontentsline{toc}{chapter}{#1}
7907 \def\addstarredsection#1{\mtcoffwarn@true
7908 \mtcPackageWarning[F0003]{mtcoff}%
7909 {\protect\addstarredsection{...} should be replaced by
7910 \MessageBreak
7911 \protect\addcontentsline{toc}{section}{...}
7912 \MessageBreak}
7913 \addcontentsline{toc}{section}{#1}}
And the mtcoff package is terminated.
7914 \end{mtcoff}
To make easier the search of a message in the documentation\footnote{For instance, using the search facility of some PDF reader utility.}, we will assign an unique identifier to each message of the \texttt{minitoc} and \texttt{mtcoff} packages. As the standard commands for such messages do not include this feature, we make extended versions, with the same syntax, plus a first optional argument:
\begin{verbatim}
\ProvidesPackage{mtcmess}[2006/03/14]
\NeedsTeXFormat{LaTeX2e}[1996/06/01]
\newcommand{\mtcPackageInfo}[3]{%
\PackageInfo{#2}{#1\MessageBreak #3}}
\newcommand{\mtcPackageWarning}[3]{%
\PackageWarning{#2}{#1\MessageBreak #3}}
\newcommand{\mtcPackageWarningNoLine}[3]{%
\PackageWarningNoLine{#2}{#1\MessageBreak #3}}
\newcommand{\mtcPackageError}[4]{%
\PackageError{#2}{#1\MessageBreak #3}{#4}}
\end{verbatim}
Hence the first line of the message will contain the package name and the unique identifier of the message.
These macros are defined in a separate package because they are used by at least two packages (minitoc and mtcoff) and because they could be useful for other packages.
\fi
\fi
\chaptermark{\f@rhdr}%
\ifartopt
\makechapterhead{#2}%
\afterheading
\else
\insertchapterspace
\if@twocolumn
\topnewpage[\makechapterhead{#2}]%
\else
\makechapterhead{#2}%
\fi
\afterheading
\fi
\ifnum \c@sectiondepth >\m@ne\relax
\if@mainmatter
\ifanappendix
\addcontentsline{toc}{appendix}{%
\protect\chapternumberline{\thechapter}\f@rtoc}%
\else
\addcontentsline{toc}{chapter}{%
\protect\chapternumberline{\thechapter}\f@rtoc}%
\fi
\else
\addcontentsline{toc}{chapter}{\f@rtoc}%
\fi
\else
\addcontentsline{toc}{chapter}{\f@rtoc}%
\fi
\ifheadnameref\M@gettitle{\f@rhdr}\else\M@gettitle{\f@rtoc}\fi
}
Chapter 13
Language definition (.mld) and object (.mlo) files
Contents
13.1 Overview ................................................................. 471
13.2 “Acadian” language: acadian.mld ............................... 472
13.3 “Acadien” language: acadien.mld .............................. 472
13.4 “Afrikaan” language: afrikaan.mld ............................. 473
13.5 “Afrikaans” language: afrikaans.mld ......................... 473
13.6 “Albanian” language: albanian.mld ............................ 473
13.7 “American” language: american.mld .......................... 474
13.8 “Arab” language: arab.mld ........................................ 474
13.9 “Arab2” language: arab2.mld ................................... 475
13.10 “Arabi” language: arabi.mld ................................... 475
13.11 “Arabic” language: arabic.mld ................................ 476
13.12 “Armenian” language: armenian.mld ......................... 476
13.13 “Australian” language: australian.mld ...................... 476
13.14 “Austrian” language: austrian.mld ........................... 477
13.15 “Bahasa” language: bahasa.mld ................................ 477
13.16 “Bahasai” language: bahasai.mld ............................. 477
13.17 “Bahasam” language: bahasam.mld ......................... 478
13.18 “Bangla” language: bangla.mld ............................... 478
13.19 “Basque” language: basque.mld ............................... 479
13.20 “Bengali” language: bengali.mld .............................. 479
13.21 “Bicig” language: bicig.mld ................................... 479
13.22 “Bicig2” language: bicig2.mld ................................ 480
13.23 “Bicig3” language: bicig3.mld ................................ 480
13.24 “Bithe” language: bithe.mld ................................... 481
13.25 “Brazil” language: brazil.mld .................................. 481
13.26 “Brazilian” language: brazilian.mld ......................... 482
13.27 “Breton” language: breton.mld ................................ 482
13.28 “British” language: british.mld ............................... 483
13.29 “Bulgarian” language: bulgarian.mld ....................... 483
13.30 “Bulgarianb” language: bulgarianb.mld ..................... 483
13.31 “Buryat” language: buryat.mld .................................................. 484
13.32 “Buryat2” language: buryat2.mld .............................................. 485
13.33 “Canadian” language: canadian.mld .......................................... 485
13.34 “Canadian” language: canadien.mld .......................................... 485
13.35 “Castillian” language: castillan.mld ........................................... 486
13.36 “Castillian” language: castillian.mld ......................................... 486
13.37 “Catalan” language: catalan.mld ............................................... 486
13.38 “Chinese1” language: chinese1.ml[d|o] ....................................... 487
13.39 “Chinese2” language: chinese2.ml[d|o] ....................................... 487
13.40 “Croatian” language: croatian.mld ............................................. 487
13.41 “Czech” language: czech.mld .................................................... 488
13.42 “Danish” language: danish.mld .................................................. 488
13.43 “Devanagari” language: devanagari.mld ...................................... 489
13.44 “Dutch” language: dutch.mld .................................................... 489
13.45 “English” language: english.mld ................................................ 490
13.46 “English1” language: english1.mld ............................................ 490
13.47 “English2” language: english2.mld ............................................. 491
13.48 “Esperant” language: esperant.mld ............................................. 492
13.49 “Esperanto” language: esperanto.mld .......................................... 492
13.50 “Estonian” language: estonian.mld ............................................. 492
13.51 “Ethiopia” language: ethiopia.mld .............................................. 493
13.52 “Ethiopian” language: ethiopian.mld .......................................... 493
13.53 “Ethiopian2” language: ethiopian2.mld ....................................... 494
13.54 “Farsi1” language: farsi1.ml[d|o] ............................................... 494
13.55 “Farsi2” language: farsi2.ml[d|o] ............................................... 495
13.56 “Farsi3” language: farsi3.mld .................................................... 495
13.57 “Finnish” language: finnish.mld ................................................ 495
13.58 “Finnish2” language: finnish2.mld ............................................. 496
13.59 “Francais” language: francais.mld .............................................. 496
13.60 “French” language: french.mld .................................................. 497
13.61 “French1” language: french1.mld ............................................... 497
13.62 “French2” language: french2.mld ............................................... 498
13.63 “Frenchb” language: frenchb.mld ............................................... 498
13.64 “Frenchle” language: frenchle.mld ............................................. 499
13.65 “Frenchpro” language: frenchpro.mld ......................................... 499
13.66 “Galician” language: galician.mld ............................................... 499
13.67 “German” language: german.mld ................................................ 500
13.68 “Germanb” language: germanb.mld ............................................. 500
13.69 “Germanb2” language: germanb2.mld .......................................... 501
13.70 “Greek” language: greek.mld ..................................................... 501
13.71 “Greek-mono” language: greek-mono.mld .................................... 502
13.72 “Greek-polydemo” language: greek-polydemo.mld ......................... 502
13.73 “Greek-polykatha” language: greek-polykatha.mld ....................... 503
13.74 “Guarani” language: guarani.mld ............................................... 504
13.75 “Hangull” language: hangull.ml[d|o] .......................................... 505
13.76 “Hangul2” language: hangul2.ml[d|o] .......................................... 505
13.77 “Hangul3” language: hangul3.ml[d|o] .......................................... 506
13.78 “Hangul4” language: hangul4.ml[d|o] .......................................... 506
13.79 “Hangul-u8” language: hangul-u8.ml[d|o] .................................... 507
13.80 “Hanja1” language: hanja1.mld.ml[d|o] ....................................... 507
13.81 “Hanja2” language: hanja2.ml[d|o] ............................................. 508
13.82 “Hanja-u8” language: hanja-u8.ml[d|o] ....................................... 508
13.83 “Hebrew” language: hebrew.mld ................................................ 508
13.84 “Hebrew2” language: hebrew2.mld ........................................ 509
13.85 “Hindi” language: hindi.mld .................................................. 510
13.86 “Hindi-modern” language: hindi-modern.mld ......................... 510
13.87 “Hungarian” language: hungarian.mld .................................... 510
13.88 “Icelandic” language: icelandic.mld ....................................... 511
13.89 “Indon” language: indon.mld .................................................. 511
13.90 “Indonesian” language: indonesian.mld ................................... 511
13.91 “Interlingua” language: interlingua.mld .................................. 512
13.92 “Irish” language: irish.mld ..................................................... 512
13.93 “Italian” language: italian.mld ............................................... 513
13.94 “Italian2” language: italian2.mld ........................................... 513
13.95 “Japanese” language: japanese.ml[d]o ...................................... 514
13.96 “Japanese2” language: japanese2.ml[d]o .................................. 514
13.97 “Japanese3” language: japanese3.ml[d]o .................................. 515
13.98 “Japanese4” language: japanese4.ml[d]o .................................. 515
13.99 “Japanese5” language: japanese5.ml[d]o .................................. 516
13.100 “Japanese6” language: japanese6.ml[d]o ................................ 516
13.101 “Kannada” language: kannada.mld ........................................ 517
13.102 “Khalkha” language: khalkha.mld ......................................... 517
13.103 “Latin” language: latin.mld .................................................. 517
13.104 “Latin2” language: latin2.mld ............................................... 518
13.105 “Latin” language: latinc.mld ................................................ 518
13.106 “Latin2” language: latinc2.mld ............................................. 519
13.107 “Latvian” language: latvian.mld ........................................... 519
13.108 “Latvian2” language: latvian2.mld ........................................ 520
13.109 “Letton” language: letton.mld ............................................... 520
13.110 “Letton2” language: letton2.mld ........................................... 521
13.111 “Lithuanian” language: lithuanian.mld ................................... 521
13.112 “Lithuanian2” language: lithuanian2.mld ................................ 521
13.113 “Lowersorbian” language: lowersorbian.mld ............................ 522
13.114 “Lsorbian” language: lsorbian.mld ......................................... 522
13.115 “Magyar” language: magyar.mld ........................................... 523
13.116 “Magyar2” language: magyar2.mld ......................................... 523
13.117 “Magyar3” language: magyar3.mld ......................................... 524
13.118 “Malay” language: malay.mld ................................................ 524
13.119 “Malayalam-b” language: malayalam-b.mld .............................. 524
13.120 “Malayalam-keii” language: malayalam-kei1.mld ....................... 525
13.121 “Malayalam-keii2” language: malayalam-kei2.mld ..................... 525
13.122 “Malayalam-mr” language: malayalam-mr.mld ........................... 526
13.123 “Malayalam-omega” language: malayalam-omega.ml[d]o ............... 526
13.124 “Malayalam-rachana” language: malayalam-rachana.mld ............... 527
13.125 “Malayalam-rachana2” language: malayalam-rachana2.mld ............ 527
13.126 “Malayalam-rachana3” language: malayalam-rachana3.mld ............ 528
13.127 “Manju” language: manju.mld ............................................... 528
13.128 “Mexican” language: mexican.mld .......................................... 528
13.129 “Meyalu” language: meyalu.mld ............................................. 529
13.130 “Mongol” language: mongol.mld ............................................. 529
13.131 “Mongolb” language: mongolb.mld .......................................... 530
13.132 “Mongolian” language: mongolian.mld ..................................... 531
13.133 “Naustrian” language: naustrian.mld ...................................... 531
13.134 “Newzealand” language: newzealand.mld .................................. 531
13.135 “Ngerman” language: ngerman.mld ......................................... 531
13.136 “Ngermanb” language: ngermanb.mld ....................................... 532
13.137 “Ngermanb2” language: ngermanb2.mld ................................. 532
13.138 “Norsk” language: norsk.mld ........................................... 533
13.139 “Norskk2” language: norskk2.mld ...................................... 533
13.140 “Nynorsk” language: nynorsk.mld ..................................... 534
13.141 “Nynorsk2” language: nynorsk2.mld .................................. 534
13.142 “Occitan” language: occitan.mld ...................................... 535
13.143 “Occitan2” language: occitan2.mld ................................... 535
13.144 “Polish” language: polish.mld ......................................... 536
13.145 “Polish2” language: polish2.mld ....................................... 536
13.146 “Polski” language: polski.mld .......................................... 537
13.147 “Portuges” language: portuges.mld .................................... 537
13.148 “Portuguese” language: portuguese.mld ............................... 537
13.149 “Romanian” language: romanian.mld .................................. 538
13.150 “Romanian2” language: romanian2.mld ................................ 538
13.151 “Romanian3” language: romanian3.mld ................................ 539
13.152 “Russian” language: russian.mld ...................................... 539
13.153 “Russian2m” language: russian2m.mld ................................ 540
13.154 “Russian2o” language: russian2o.mld ................................ 541
13.155 “Russianb” language: russianb.mld ................................... 541
13.156 “Russianc” language: russianc.mld .................................... 542
13.157 “Russian-cca” language: russian-cca.ml[d|o] ....................... 543
13.158 “Russian-cca1” language: russian-cca1.ml[d|o] .................... 543
13.159 “Russian-lh” language: russian-lh.ml[d|o] .......................... 544
13.160 “Russian-lhcyralt” language: russian-lhcyralt.ml[d|o] .......... 544
13.161 “Russian-lhcyrko1” language: russian-lhcyrko1.ml[d|o] .......... 544
13.162 “Russian-lhcyrwin” language: russian-lhcyrwin.ml[d|o] .......... 545
13.163 “Samin” language: samin.mld ......................................... 545
13.164 “Scottish” language: scottish.mld .................................... 546
13.165 “Serbian” language: serbian.mld ...................................... 546
13.166 “Serbianc” language: serbianc.mld .................................... 547
13.167 “Slovak” language: slovak.mld ........................................ 547
13.168 “Slovene” language: slovene.mld ...................................... 548
13.169 “Spanish” language: spanish.mld ...................................... 548
13.170 “Spanish2” language: spanish2.mld .................................... 549
13.171 “Spanish3” language: spanish3.mld .................................... 549
13.172 “Spanish4” language: spanish4.mld .................................... 550
13.173 “Swahili” language: swahili.mld ....................................... 550
13.174 “Swedish” language: swedish.mld ...................................... 551
13.175 “Swedish2” language: swedish2.mld ................................... 551
13.176 “Thai” language: thai.ml[d|o] ......................................... 552
13.177 “Turkish” language: turkish.mld ....................................... 552
13.178 “Uighur” language: uighur.mld ........................................ 552
13.179 “Uighur2” language: uighur2.mld ...................................... 553
13.180 “Uighur3” language: uighur3.mld ...................................... 553
13.181 “UKenglish” language: UKenglish.mld ................................ 553
13.182 “Ukraineb” language: ukraineb.mld .................................. 553
13.183 “Ukrainian” language: ukrainian.mld ................................ 554
13.184 “Uppersorbian” language: uppersorbian.mld ......................... 554
13.185 “USenglish” language: USenglish.mld ................................ 555
13.186 “Usorbian” language: usorbian.mld ................................... 555
13.187 “Vietnam” language: vietnam.mld ...................................... 555
13.188 “Vietnamese” language: vietnamese.mld ................................ 556
13.189 “Welsh” language: welsh.mld .......................................... 556
13.1 Overview
This chapter shows the code of each .mld file. A .mld file is a *minitoc language definition* file, which defines the titles of the mini-tables for a given language. It contains often some comments about its origin, if you need further details.
For some languages, I have added a map (and a flag) of the country or area where the language is spoken, if it is not trivial. The origin of each map is given by an URL to the graphic file or to the WEB page where I found it. Note that the [294] and [229] Web sites are useful sources. Maps from [229] are under the Creative Commons License, see http://creativecommons.org/licenses/by-nc-sa/1.0/deed.en_GB. The site http://www.expatries.senat.fr/pays.html allows to look at the maps of many countries (but not of France!). The Perry-Castañeda Library Map Collection [395] (The University of Texas at Austin, http://www.lib.utexas.edu/maps) contains countless maps.
Many free maps were also found by a search in the vast Wikipedia (i.e., http://en.wikipedia.org, http://fr.wikipedia.org, http://de.wikipedia.org, http://simple.wikipedia.org, etc.). If you are curious and brave, you can also find many maps and documents about Eastern Europa and about Asia at http://www.hunmagyar.org; that site give many historical informations.
A .mld file is loaded either via a package option in the \usepackage command for the minitoc package (or a global option for the document), either via the command:
\mtcselectlanguage{\mtcselectlanguage{(language)}
\ptctitle Each .mld file must define the nine following commands (for the mini-tables of contents, mini-lists of figures and mini-lists of tables, at the part, chapter and section levels):
\ptctitle • \ptctitle • \mtctitle • \stctitle
\mlftitle • \plftitle • \mlftitle • \slftitle
\stctitle • \pltttitle • \mltttitle • \sltttitle
Many .mld files require special fonts adequate for the corresponding language; as this is a language-dependent issue, the user must set up the correct language and font context for each language, like using the babel package [54, 60, 61, 74], the CJK system [127, 297, 298], the H\texttt{a}T\texttt{e}X system [266, in korean], the Antomega system [272], the Arab\texttt{t}E\texttt{x} [276, 277], Bang\texttt{t}E\texttt{x} [362], Devan\texttt{a}g\texttt{a}r\texttt{i} for \texttt{T}\texttt{e}X [364], ethiop [44], Farsi\texttt{t}E\texttt{x} [162]\footnote{By Mohammad Ghoosi (email@example.com) and the Farsi\texttt{t}E\texttt{x} Project Group. See the Farsi\texttt{t}E\texttt{x} site at http://www.farsitex.org}, guarani [45], malayalam [4] et omal [5], Mon\texttt{t}E\texttt{x} [137, 140], or Arm\texttt{t}E\texttt{x} [142] packages. Note that it is often the \textit{english} name of the language which is used to name the corresponding .mld file.
But for some oriental languages\footnote{Mainly for chinese, farsi (iranian), hang\texttt{u}l (korean), hanja (korean), japanese, malayalam–omega, thai, and russian variants.}, the source of the titles use some \textit{exotic encodings}, difficult to manipulate in a .dtx file, the .mld file is then just a wrapper loading a .mlo file\footnote{The extension .mlo means \textit{minitoc language object}.}, not generated by the .dtx files in the current version of minitoc package. To go around this limitation, the \texttt{minitoc.ins} file uses \texttt{filecontents} environments to generate the .mlo files. The adequate input encoding must be set up by the user \textit{before} loading the .mld file via the \texttt{\mtcselectlanguage} command.
Since version #49, the minitoc package checks the presence of the \textit{language}.mld file (and of the \textit{language}.mlo file if necessary) for each language option of the package, before validating the option. If a .mld or .mlo file is missing, the corresponding language option is not enabled and a warning message is written in the \textit{document.log} file. But the presence of the \textit{english}.mld file is mandatory, because english is the default language. If some .mld or .mlo files are missing, the list of this files is given in the .log file. You should find these files on CTAN.
### 13.2 “Acadian” language: acadian.mld
The \textit{acadian} language\footnote{Spoken in Acadia and some parts of the south of the USA, like Louisiane.} is just french, so we load the \texttt{french.mld} file (see section 13.60 on page 497):
```latex
\ProvidesFile{acadian.mld}[2004/12/14]\mtcselectlanguage{french}%
```
### 13.3 “Acadien” language: acadien.mld
The “\textit{acadien}” language\footnote{Spoken in Acadia and some parts of the south of the USA, like Louisiane.} is just french (“\textit{acadien}” is the french term for “\textit{acadian}”), so we load the \texttt{french.mld} file (see section 13.60 on page 497):
13.4 “Afrikaan” language: afrikaan.mld
The titles for the “afrikaan” language\footnote{Spoken in South Africa and Namibia, it has dutch origins; compare with section 13.44 on page 489. See also \url{http://www.tlfq.ulaval.ca/axl/afrique/afrikaans.htm} in [294].} come from the dutch.dtx file (by Johannes L. Braams and Stoffel Lombard) in the babel package [55, 60, 61]:
```latex
\ProvidesFile{afrikaan.mld}[2006/01/13]
% Afrikaan(s) titles from dutch.dtx (babel) by Braams, Johannes-L.
\def\ptctitle{Inhoudsopgawe}
\def\plftitle{Lys van figure}
\def\pltttitle{Lys van tabelle}
\def\mtctitle{Inhoudsopgawe}
\def\mlftitle{Lys van figure}
\def\mltttitle{Lys van tabelle}
\def\stctitle{Inhoudsopgawe}
\def\slltitle{Lys van figure}
\def\slltitle{Lys van tabelle}
```
13.5 “Afrikaans” language: afrikaans.mld
The term “afrikaans” is a synonym of “afrikaan”, so we just load afrikaan.mld (see section 13.4):
```latex
\ProvidesFile{afrikaans.mld}[2004/12/14]
\mtcselectlanguage{afrikaan}
```
13.6 “Albanian” language: albanian.mld
The albanian language (\textit{shqip}) is spoken in Albania and some regions of Macedonia, Montenegro, Serbia and Kosovo. The titles for the “albanian” language are taken from the albanian.dtx file (with a contribution of Adi Zaimi) in the babel package [60, 61, 101]:
13.7 “American” language: american.mld
The “american” language is just like “english” (the languages themselves have some differences, like the hyphenation rules, some spellings and phonetics), so we just load english.mld (see section 13.45 on page 490):
\ProvidesFile{american.mld}[2004/12/14]\mtcselectlanguage{english}
13.8 “Arab” language: arab.mld
The titles for the “arab” language (al-‘Arabiyyah) are taken from the ArabTeX package [276, 277] (by Klaus Lagally), which should be used, with the associated fonts. The arabic language is spoken in: Algeria, Bahrain, Egypt, Iraq, Jordan, Kuwait, Lebanon, Libya, Mauritania, Morocco, Oman, Palestinian territories, Qatar, Saudi Arabia, Sudan, Syria, Tunisia, United Arab Emirates, Western Sahara, Yemen by a majority; it is also the liturgical language of Islam.
\ProvidesFile{arab.mld}[1999/03/16]
% Arabic titles. Needs arabic fonts (cf. documentation of arabtex)
\def\ptctitle{al-mu.htawayAtu}
\def\plttitle{qA’imaTu a.s-.suwari}
\def\plttitle{qA’imaTu al-^gadAwili}
\def\mtctitle{al-mu.htawayAtu}
\def\mlftitle{qA’imaTu a.s-.suwari}
\def\mltitle{qA’imaTu al-^gadAwili}
\def\stctitle{al-mu.htawayAtu}
13.9 “Arab2” language: arab2.mld
The titles for the “arab2” language are taken from the ArabTeX package [276, 277] (by Klaus Lagally), which should be used, with the associated fonts. It is a variant of the “arab” language.
13.10 “Arabi” language: arabi.mld
The titles for the “arabi” language are taken from the Arabi package [243] (by Youssef Jabri), which should be used, with the associated fonts.
13.11 “Arabic” language: arabic.mld
The “arabic” language is a synonym for “arab”, so we just load arab.mld (see section 13.8 on page 474):
\mtcselectlanguage{arabic}
\ProvidesFile{arabic.mld}[2005/02/10]\mtcselectlanguage{arab}%
\end{document}
13.12 “Armenian” language: armenian.mld
The titles for the “armenian” language (հայերեն) are taken from the ArmTeX package [142] (by Sergueï Dachian, Arnak Dalalyan and Vartan Akopian), which should be used, with the associated fonts. The armenian language is spoken in Armenia, in a part of Azerbaijan and in the armenian diaspora.
\mtcselectlanguage{armenian}
\ProvidesFile{armenian.mld}[1999/06/28]%
\% Armenian titles from ArmTeX. Serguei Dachian (firstname.lastname@example.org),
\% Arnak Dalalyan & Vartan Akopian
\def\ptctitle{Bovandakuthyun}%
\def\plftitle{Patkerneri cank}%
\def\plttitle{Aghyusakneri cank}%
\def\mtctitle{Bovandakuthyun}%
\def\mlftitle{Patkerneri cank}%
\def\mlttitle{Aghyusakneri cank}%
\def\stctitle{Bovandakuthyun}%
\def\slltitle{Patkerneri cank}%
\def\slltitle{Aghyusakneri cank}%
13.13 “Australian” language: australian.mld
The “australian” language is just like “english”, so we just load english.mld (see section 13.45 on page 490):
\mtcselectlanguage{australian}
\ProvidesFile{australian.mld}[2006/01/11]\mtcselectlanguage{english}%
\end{document}
13.14 “Austrian” language: austrian.mld
For the mini-table titles, the “austrian” language is like the “german” language, so we load german.mld (see section 13.67 on page 500):
\mtcselectlanguage{austrian}
\ProvidesFile{austrian.mld}[2004/12/14]\mtcselectlanguage{german}%
\end{document}
13.15 “Bahasa” language: bahasa.mld
The “bahasa” language is just like “bahasai”, so we just load bahasai.mld (see section 13.16):
\mtcselectlanguage{bahasa}
\ProvidesFile{bahasa.mld}[2006/01/11]\mtcselectlanguage{bahasai}%
\end{document}
13.16 “Bahasai” language: bahasai.mld
The titles of the mini-tables for the “bahasai” language\footnote{Bahasa is spoken in Indonesia and Malaysia, with different pronunciations and titles but the same writing. Bahasai is the Indonesian variant. See \url{http://www.tlfq.ulaval.ca/axl/asi/e/indonesie-1_langues.htm} in [294].} (bahasa indonésia / bahasa meyalu) are taken from the file bahasa.dtx (by Jörg Knappen and Terry Mart) in the babel package [60, 61, 82]. Specific fonts are needed. See also section 13.17 on the following page. The word “bahasa” means “language” in bahasa. For other names for this language, see sections 13.15 and 13.89 to 13.90 on page 511.
\mtcselectlanguage{bahasai}
\ProvidesFile{bahasai.mld}[2006/01/13]%
%% Bahasa Indonesia titles from bahasa.dtx in the babel package.
%% Knappen, Jörg & Mart, Terry
\def\ptctitle{Daftar Isi}%
\def\plftitle{Daftar Gambar}%
\def\pititle{Daftar Tabel}%
\def\mtctitle{Daftar Isi}%
\def\mlltitle{Daftar Gambar}%
\def\mlttitle{Daftar Tabel}%
\def\stctitle{Daftar Isi}%
\def\slltitle{Daftar Gambar}%
\def\slttitle{Daftar Tabel}%
\end{document}
13.17 “Bahasam” language: bahasam.mld
The titles of the mini-tables for the “bahasam” language (Bahasa Malaysia) are taken from the file bahasam.dtx (by Jörg Knappen, Terry Mart and Bob Margolis) in the babel package [60, 61, 83]. Specific fonts are needed. See also section 13.15 on the page before. For other names for this language, see sections 13.118 on page 524 and 13.129 on page 529.
\ProvidesFile{bahasam.mld}[2006/12/19]
% Bahasa Malaysia titles from bahasam.dtx in the babel package
% Knappen, Jörg & Mart, Terry & Margolis, Bob
\def\ptctitle{Kandungan}
\def\plftitle{Senarai Gambar}
\def\plttitle{Senarai Jadual}
\def\mtctitle{Kandungan}
\def\mlftitle{Senarai Gambar}
\def\mlltitle{Senarai Jadual}
\def\stctitle{Kandungan}
\def\slltitle{Senarai Gambar}
\def\sllttitle{Senarai Jadual}
13.18 “Bangla” language: bangla.mld
The titles for the “bangla” (bengali) language are taken from the BangTeX package [362] (by Palash Baran Pal); they need specific fonts (the bengali alphabet is derived from sanskrit).
\ProvidesFile{bangla.mld}[2006/03/31]
% Bangla titles from BangTeX. Needs specific fonts.
\def\ptctitle{suu\c{c}ipotRo}
\def\plftitle{cho\textasciitilde{b}ir ta\textasciitilde{l}ika}
\def\plttitle{cho\textasciitilde{k}er ta\textasciitilde{l}ika}
\def\mtctitle{suu\c{c}ij}
\def\mlftitle{cho\textasciitilde{b}ir ta\textasciitilde{l}ika}
\def\mlltitle{cho\textasciitilde{k}er ta\textasciitilde{l}ika}
\def\stctitle{suu\c{c}ij}
\def\slltitle{cho\textasciitilde{b}ir ta\textasciitilde{l}ika}
\def\sllttitle{cho\textasciitilde{k}er ta\textasciitilde{l}ika}
\footnote{Spoken in Indonesia and Malaysia, with different pronunciations and titles but the same writing. Bahasam is the malaysian variant.}
\footnote{Spoken in Bangladesh and some parts of India, like Occidental Bengal (19), Orissa (21), Assam (18), Bihar (10) and Tripura (16).}
13.19 “Basque” language: basque.mld
The titles for the “basque” language\(^9\) (euskara) are taken from the basque.dtx file in the babel package [60–62], by Juan M. Aguirregabiria and Julio Sánchez, with help from Zunbeltz Izaola Azkona. It seems that 8 bits fonts are preferable.
\begin{verbatim}
\ProvidesFile{basque.mld}[2006/01/13]
% Basque titles from basque.dtx (babel).
\% Aguirregabiria, Juan M. <wtpagagj at lg.ehu.es> WWW: http://tp.lc.ehu.es/jma.html
\% & Sanchez, Julio <jsanchez at gmv.es>,
\% and help from Izaola Azkona, Zunbeltz <wmbizazz at lg dot ehu>
\% Needs special fonts.
\def\ptctitle{Gaien Aurkibidea}%
\def\plttitle{Irudien Zerrenda}%
\def\pltttitle{Taulen Zerrenda}%
\def\mtctitle{Gaien Aurkibidea}%
\def\mllttitle{Irudien Zerrenda}%
\def\mlltttitle{Taulen Zerrenda}%
\def\stctitle{Gaien Aurkibidea}%
\def\slltitle{Irudien Zerrenda}%
\def\sllttitle{Taulen Zerrenda}%
\end{verbatim}
13.20 “Bengali” language: bengali.mld
\mtcselectlanguage The “bengali” language is a synonym for the “bangla” language, so we load the file bangla.mld (see section 13.18 on the preceding page):
\begin{verbatim}
\ProvidesFile{bengali.mld}[2007/07/23]\mtcselectlanguage{bangla}%
\end{verbatim}
13.21 “Bicig” language: bicig.mld
\bcg The titles for the “bicig” language\(^{10}\) are taken from the MonTeX package [137, 140]. This language requires specific fonts. See also sections 13.22 to 13.23 on the following page, and 13.130 on page 529.
---
\(^9\) Spoken in the basque country, in the north of Spain and south-west of France.
\(^{10}\) The bicig is a written form of the mongolian language. It is also known as Uighur or Bichig. See also section 13.178 on page 552.
13.22 “Bicig2” language: bicig2.mld
The titles for the “bicig2” language\textsuperscript{11} are taken from the \LaTeX{} package [137, 140]. This language requires specific fonts. See also sections 13.21 on the page before, and 13.23, and 13.130 on page 529.
13.23 “Bicig3” language: bicig3.mld
The titles for the “bicig3” language\textsuperscript{12} are taken from the \LaTeX{} package [137, 140]. This language requires specific fonts. See also sections 13.21 to 13.22 on pages 479–480 and 13.130 on page 529.
\textsuperscript{11} The bicig, or uighur, is a written form of the mongolian language, bicig2 is a variant. See also section 13.179 on page 553.
\textsuperscript{12} The bicig, or uighur, is a written form of the mongolian language, bicig3 is a variant. See also section 13.180 on page 553.
13.24 “Bithe” language: bithe.mld
The titles for the “bithe” language\textsuperscript{13} are taken from the \LaTeX{} package [137, 140]. This language requires specific fonts. See also sections 13.127 on page 528 and 13.130 on page 529. The Manju writing, or \textit{bithe} system is a close relative of the Mongolian system; the basical letter shapes are the same. Yet for Manju, a set of diacritics (\textit{dots and circles}) was designed to eliminate all the ambiguities of Mongolian.
13.25 “Brazil” language: brazil.mld
The titles for the “brazil” language (\textit{português brasileiro} or \textit{português do Brasil})\textsuperscript{14} are taken from the portuges.dtx file (for portugese titles by Jose Pedro Ramalhete) in the babel package [60, 61, 92].
\textsuperscript{13}The \textit{bithe} is a written form of the \textit{manju} variant of the mongolian language.
\textsuperscript{14}It is the main portuguese dialect spoken in Brazil. Note that these titles are \textit{different} in Brazil and in Portugal. Arnaldo Viegas de Lima contributed to brazilian translations. See section 13.148 on page 537.
13.26 “Brazilian” language: brazilian.mld
The “brazilian” language is just like “brazil”, so we just load brazil.mld (see section 13.25 on the page before):
```latex
\ProvidesFile{brazilian.mld}[2005/07/11]\mtcselectlanguage{brazil}
```
13.27 “Breton” language: breton.mld
The titles for the “breton” language (brezhoneg) are taken from the breton.dtx file (by Christian Rolland) in the babel package [60, 61, 93]:
```latex
\ProvidesFile{breton.mld}[2006/01/13]
\def\ptctitle{Taolen}
\def\pltttitle{Listenn ar Figurenno\textsuperscript{u}}
\def\mtctitle{Taolen}
\def\mlfttitle{Listenn ar Figurenno\textsuperscript{u}}
\def\mtttitle{Listenn an taolenno\textsuperscript{u}}
\def\stctitle{Taolen}
\def\slfttitle{Listenn ar Figurenno\textsuperscript{u}}
\def\sltttitle{Listenn an taolenno\textsuperscript{u}}
```
13.28 “British” language: british.mld
The “british” language is just like “english”, so we just load english.mld (see section 13.45 on page 490):
\mtcselectlanguage{english}
13.29 “Bulgarian” language: bulgarian.mld
The titles for the “bulgarian” language (български) are taken from the bulgarian.dtx (adapted from russian by Georgi N. Boshnakov) file in the babel package [60, 61, 67]; they require specific cyrillic fonts. See also section 13.30.
\def\ptctitle{%
{\CYR\CYRS\cyrhrdsn\cyrd\cyrhrdsn\cyrr\cyrzh\cyra\cyrn\cyri\cyre}}
\def\plftitle{%
{\CYR\CYRS\cyrp\cyri\cyrs\cyrhrdsn\cyrk \
\cyrn\cyra\ \cyrf\cyri\cyrg\cyru\cyrr\cyri\cyrt\cyre}}
\def\pltttitle{%
{\CYR\CYRS\cyrp\cyri\cyrs\cyrhrdsn\cyrk \
\cyrn\cyra\ \cyrt\cyra\cyrb\cyrl\cyri\cyrc\cyri\cyrt\cyre}}
\def\mtctitle{%
{\CYR\CYRS\cyrhrdsn\cyrd\cyrhrdsn\cyrr\cyrzh\cyra\cyrn\cyri\cyre}}
\def\mlftitle{%
{\CYR\CYRS\cyrp\cyri\cyrs\cyrhrdsn\cyrk \
\cyrn\cyra\ \cyrf\cyri\cyrg\cyru\cyrr\cyri\cyrt\cyre}}
\def\mltttitle{%
{\CYR\CYRS\cyrp\cyri\cyrs\cyrhrdsn\cyrk \
\cyrn\cyra\ \cyrt\cyra\cyrb\cyrl\cyri\cyrc\cyri\cyrt\cyre}}
\def\stctitle{%
{\CYR\CYRS\cyrhrdsn\cyrd\cyrhrdsn\cyrr\cyrzh\cyra\cyrn\cyri\cyre}}
\def\slltitle{%
{\CYR\CYRS\cyrp\cyri\cyrs\cyrhrdsn\cyrk \
\cyrn\cyra\ \cyrf\cyri\cyrg\cyru\cyrr\cyri\cyrt\cyre}}
\def\slltttitle{%
{\CYR\CYRS\cyrp\cyri\cyrs\cyrhrdsn\cyrk \
\cyrn\cyra\ \cyrt\cyra\cyrb\cyrl\cyri\cyrc\cyri\cyrt\cyre}}
13.30 “Bulgarianb” language: bulgarianb.mld
The titles for the “bulgarianb” (upper bulgarian) language are taken from the russianb.dtx file (by Olga G. Lapko, Vladimir Volovich, Werner Lemberg, and Irina A. Makhovaya) of the
The titles for the “buryat” language\textsuperscript{16} are taken from the \LaTeX{} package [137, 140]. This language requires specific fonts. See also section 13.130 on page 529.
\begin{verbatim}
\ProvidesFile{buryat.mld}[1999/03/16]%
%% Buryat titles. Needs special fonts.
\def\ptctitle{\mnr Gar{\sh}ag}%
\def\plttitle{\mnr Zuraga'i jagsaalt}%
\def\plttitle{\mnr X"usn"ag"at"a'i jagsaalt}%
\def\mtctitle{\mnr Gar{\sh}ag}%
\def\mlftitle{\mnr Zuraga'i jagsaalt}%
\def\mlttitle{\mnr X"usn"ag"at"a'i jagsaalt}%
\def\stctitle{\mnr Gar{\sh}ag}%
\def\slltitle{\mnr Zuraga'i jagsaalt}%
\def\slltitle{\mnr X"usn"ag"at"a'i jagsaalt}%
\end{verbatim}
\textsuperscript{16}Spoken in some regions of Mongolia and in the Buryatia republic, near Lake Baikal.
13.32 “Buryat2” language: buryat2.mld
The titles for the “buryat2” language (a variant for the “buryat” language, see section 13.31 on the preceding page) are taken from the MonTEX package [137, 140]. This language requires specific fonts. See also section 13.130 on page 529.
\mnr{buryat2}
\ProvidesFile{buryat2.mld}[1999/03/16]
% Buryat2 titles. Needs special fonts.
\def\ptctitle{\mnr{Aguulga}}
\def\plftitle{\mnr{Zuraga''i jagsaalt}}
\def\pltttitle{\mnr{X"usn"ag'at"a''i jagsaalt}}
\def\mtctitle{\mnr{Aguulga}}
\def\mlftitle{\mnr{Zuraga''i jagsaalt}}
\def\mltttitle{\mnr{X"usn"ag'at"a''i jagsaalt}}
\def\stctitle{\mnr{Aguulga}}
\def\slltitle{\mnr{Zuraga''i jagsaalt}}
\def\slltttitle{\mnr{X"usn"ag'at"a''i jagsaalt}}
13.33 “Canadian” language: canadian.mld
The “canadian” language (note the final “ian”) is just the english language spoken in Canada. We just load the file english.mld (see section 13.45 on page 490):
\mtcselectlanguage{english}
13.34 “Canadien” language: canadien.mld
The “canadien” language (note the final “ien”) is just the french language spoken in Canada. We just load the file french.mld (see section 13.60 on page 497):
\mtcselectlanguage{french}
13.35 “Castillian” language: castillian.mld
The “castillian” language is better known as “spanish”, but is spoken mainly in Castile, a part of central Spain. We just load the spanish.mld file (see section 13.169 on page 548):
\ProvidesFile{castillian.mld}[2004/12/14]\mtcselectlanguage{spanish}%
13.36 “Castillian” language: castillian.mld
“Castillian” is just the english name for “castillan”, so we just load the spanish.mld file (see section 13.169 on page 548):
\ProvidesFile{castillian.mld}[2005/07/01]\mtcselectlanguage{spanish}%
13.37 “Catalan” language: catalan.mld
The titles for the “catalan” language (català, valencià) are taken from the catalan.dtx file (adapted from spanish by Gonçal BADENES and Jörg KNAPPEN) in the babel package [60, 61, 64]:
\ProvidesFile{catalan.mld}[2006/01/13]%
% Catalan titles from catalan.dtx (babel) (Badenes, Gonçal)
\def\ptctitle{\textit{Index}}
\def\plftitle{\textit{Index de figures}}
\def\pltttitle{\textit{Index de taules}}
\def\mtctitle{\textit{Index}}
\def\mlftitle{Figures}
\def\mlttitle{Taules}
\def\stctitle{\textit{Index}}
\def\slftitle{Figures}
\def\slttitle{Taules}
\footnote{Spoken in Catalunya, the eastern part of Spain, around Barcelona, and in Roussillon, in France.}
13.38 “Chinese1” language: chinese1.ml[d|o]
There are several variants for the Chinese language. The “chinese1” language uses titles taken from the Bg5.cap file in the CJK system [127, 297, 298] (by Werner Lemberg). Special fonts are needed, of course. See also section 13.39. See [418] about the history of China and the Chinese language. The titles for the “chinese1” language contain characters that cannot be easily generated, hence we load chinese1.mlo.
\mtcloadmlo{chinese1}
% From file Bg5.cap of the CJK package for using Asian logographs with LaTeXe
% Created by Werner Lemberg <email@example.com>. Version 4.5.2 (28-Mar-2003)
% Chinese captions: character set: Big 5, encoding: Big 5
13.39 “Chinese2” language: chinese2.ml[d|o]
The “chinese2” language uses titles taken from the Bg5.cpx file in the CJK system [127, 297, 298] (by Werner Lemberg). Special fonts are needed, of course. See also section 13.38. The titles for the “chinese2” language contain characters that cannot be easily generated, hence we load chinese2.mlo.
\mtcloadmlo{chinese2}
% From file Bg5.cpx of the CJK package for using Asian logographs with LaTeXe
% Created by Werner Lemberg <firstname.lastname@example.org>. Version 4.5.2 (28-Mar-2003)
% Chinese captions: character set: Big 5, encoding: Big 5, preprocessed
13.40 “Croatian” language: croatian.mld
The titles for the “croatian” language (hrvatski) are taken from the file croatian.dtx file (by Alan Pač) in the babel package [60, 61, 89]:
\mtcloadmlo{croatian}
% Croatian titles from croatian.dtx (babel). Pai'\{c}, Alan.
\def\ptctitle{Sadr\v{v}aj}
\def\plftitle{Popis slika}
13.41 “Czech” language: czech.mld
The titles for the “czech” language (čeština, český jazyk) are taken from the file czech.dtx (contributions by Miloš V. Lokajíček) in the babel package [60, 61, 87]:
\ProvidesFile{czech.mld}[2007/12/04]
\% Czech titles from czech.dtx (babel). Lokajček, Miloš V.
\def\ptctitle{Obsah}%
\def\plttitle{Seznam obrázků}%
\def\mtctitle{Seznam tabulek}%
\def\mlttitle{Seznam obrázků}%
\def\stctitle{Obsah}%
\def\slltitle{Seznam obrázků}%
\def\slltitle{Seznam tabulek}%
13.42 “Danish” language: danish.mld
The titles for the “danish” language\footnote{The danish (dansk) language is spoken in Denmark, in the Faeroe Islands and in Greenland.} are taken from the danish.dtx file (by Henning Larsen) in the babel package [60, 61, 85]:
\ProvidesFile{danish.mld}[2007/12/18]
\% Danish titles from danish.dtx (babel). Larsen, Henning (email@example.com)
\def\ptctitle{Indhold}%
\def\plttitle{Figurer}%
\def\plttitle{Tabeller}%
\def\mtctitle{Indhold}%
\def\mlttitle{Figurer}%
\def\mlttitle{Tabeller}%
\def\stctitle{Indhold}%
13.43 “Devanagari” language: devanagari.mld
The titles for the “devanagari” language are taken from the devanagari.sty and captions.dn files (by Anshuman Pandey, C. V. Radhakrishnan, Zdeněk Wagner, John Smith, Kevin Carmody, Richard Mahoney and Dominik Wujastyk) in the Devanāgarī package [364] (Devanāgarī). See also section 13.85 on page 510.
Specific fonts are required. The home page of the package is http://devnag.sarovar.org.
See also [148] about the hindi language.
\rs «devanagari»
\ProvidesFile{devanagari.mld}[2006/08/25]
\% Devanagari (hindi) titles from devanagari.sty by
\% Pandey, Anshuman & Radhakrishnan, C.-V. & Wagner, Zden\v{e}k &
\% Smith, John & Carmody, Kevin & Mahoney, Richard & Wujastyk, Dominik
\def\ptctitle{\dn Evgy{\rs \vre}\8{s}cF}
\def\plttitle{\dn Ec/o{\qva} kF \8{s}cF}
\def\pltttitle{\dn tAElkAao\2 kF \8{s}cF}
\def\mlttitle{\dn Evgy{\rs \vre}\8{s}cF}
\def\mlftitle{\dn Ec/o{\qva} kF \8{s}cF}
\def\mltttitle{\dn tAElkAao\2 kF \8{s}cF}
\def\stctitle{\dn Evgy{\rs \vre}\8{s}cF}
\def\sltttitle{\dn Ec/o{\qva} kF \8{s}cF}
\def\sltttitle{\dn tAElkAao\2 kF \8{s}cF}
\end{devanagari}
13.44 “Dutch” language: dutch.mld
The titles for the “dutch” language\textsuperscript{19} are taken from the dutch.dtx file (by Johannes L. Braams) in the babel package [55, 60, 61]:
\begin{dutch}
\ProvidesFile{dutch.mld}[2007/12/18]
\% Dutch titles from dutch.dtx (babel) (Braams, Johannes-L.)
\def\ptctitle{Inhoudsopgave}
\def\plttitle{L"yst van figuren}
\def\pltttitle{L"yst van tabellen}
\end{dutch}
\textsuperscript{19}The dutch language (\textit{nederlands}) is spoken in the Netherlands and a part of Belgium.
13.45 “English” language: english.mld
The titles for the “english” language are taken from the english.dtx file (by Johannes L. Braams) in the babel package [56, 60, 61]. The presence of the english.mld file is mandatory, because english is the default language.
See also sections 13.7 on page 474, 13.13 on page 476, 13.28 on page 483, 13.33 on page 485, 13.134 on page 531, 13.181 on page 553, and 13.185 on page 555.
(*english)
ProvidesFile{english.mld}[2006/01/13]%
%% English titles from english.dtx (babel) (Braams, Johannes-L.)
\def\ptctitle{Table of Contents}%
\def\plftitle{List of Figures}%
\def\plttitle{List of Tables}%
\def\mtctitle{Contents}%
\def\mlftitle{Figures}%
\def\mlttitle{Tables}%
\def\stctitle{Contents}%
\def\slftitle{Figures}%
\def\slttitle{Tables}%
13.46 “English1” language: english1.mld
\ifnum\value{part}=1\relax
\else Table of Contents of Part-\Roman{part}\fi\%
13.47 “English2” language: english2.mld
The titles for the “english2” language are again taken from the english.dtx file (written by Johannes L. Braams) in the babel package [56, 60, 61], with adaptations at the part level.
\mtcEnglishIIpart
\ifcase
\value
\Roman
<english2>
\ProvidesFile{english2.mld}[2006/03/30]%
%% English titles from english.dtx (babel) Braams, Johannes-L.
%% ptctitle, plftitle and pttitle modified (JPFD)
\def\mtcEnglishIIpart{\ifcase\value{part}%
\or the First Part\or the Second Part\or the Third Part
\or the Fourth Part\or the Fifth Part\or the Sixth Part
\or the Seventh Part\or the Eighth Part\or the Ninth Part
\or the Tenth Part\or the Eleventh Part\or the Twelfth Part
\or the Thirteenth Part\or the Fourteenth Part \or the Fifteenth Part
\or the Sixteenth Part \or the Seventeenth Part \or the Eighteenth Part
\or the Nineteenth Part\or the Twentieth Part \else Part-\Roman{part}\fi}
\def\ptctitle{Contents of \mtcEnglishIIpart}
\def\plftitle{List of Figures in \mtcEnglishIIpart}
\def\ptitle{List of Tables in \mtcEnglishIIpart}
%%
\def\mtctitle{Contents}%
\def\mlftitle{Figures}%
\def\mltitle{Tables}%
\def\stctitle{Contents}%
\def\sftitle{Figures}%
\def\stitle{Tables}%
</english2>
13.48 “Esperant” language: esperant.mld
The titles for the “esperant” (esperanto) language are taken from the esperanto.dtx file (by Marti Ruiz-Altaba and Jörg Knappen) in the babel package [60, 61, 94]. The esperanto artificial language was created in the 1877–1885 years by Doctor Ludwig Lejzer Zamenhof\(^{20}\) (1859–1917) of Warsaw, Poland.
\begin{verbatim}
\ProvidesFile{esperant.mld}[2006/12/19]
% Esperanto titles from esperanto.dtx (babel) Ruiz-Altaba, Marti & Knappen, Jörg
\def\ptctitle{Enhavo}
\def\plftitle{Listo de figuroj}
\def\lttitle{Listo de tabeloj}
\def\mtctitle{Enhavo}
\def\mlftitle{Listo de figuroj}
\def\mlttitle{Listo de tabeloj}
\def\stctitle{Enhavo}
\def\slltitle{Listo de figuroj}
\def\slltitle{Listo de tabeloj}
\end{verbatim}
13.49 “Esperanto” language: esperanto.mld
\mtcselectlanguage The “esperanto” and “esperant” languages are synonyms, so we just load the esperant.mld file (see section 13.48):
\begin{verbatim}
\ProvidesFile{esperanto.mld}[2004/12/14]\mtcselectlanguage{esperant}
\end{verbatim}
13.50 “Estonian” language: estonian.mld
The titles for the “estonian” language\(^{21}\) are taken from the estonian.dtx file (by Enn Saar) in the babel package [60, 61, 95]:
\begin{verbatim}
\ProvidesFile{estonian.mld}[2006/01/13]
% Estonian titles from estonian.dtx (babel) Saar, Enn
\def\ptctitle{Sisukord}
\def\plftitle{Joonised}
\end{verbatim}
\(^{20}\)See http://en.wikipedia.org/wiki/L.L._Zamenhof, http://uea.org/ and http://www.esperanto-france.org/ for more information; his first names are sometimes spelled “Ludvic Lazarus” or “Louis-Lazare”, with small variations.
\(^{21}\)Estonian (eesti keel) is not a baltic language, but a language from the uralian family.
13.53 “Ethiopian2” language: ethiopian2.mld
The titles for the “ethiopian2” language (for Omega) are taken from the ethiop package [44] (by Berhanu Beyene, Manfred Kudlek, Olaf Kummer, and Jochen Metzinger). Specific fonts are needed. See also section 13.51 on the page before.
\ProvidesFile{ethiopian2.mld}[2006/01/30]
% Ethiopian titles with Omega. Needs special fonts
\def\ptctitle{^^^^12ed^^^12d8^^^1275}
\def\plttitle{^^^^12e^^^^1225^^^12d5^^^120e^^^^127d ^^^^121b^^^12cd^^^132b}
\def\pltttitle{^^^^12e^^^^1230^^^1295^^^1320^^^1228^^^12e5 ^^^^121b^^^12cd^^^132b}
\def\mtctitle{^^^^12ed^^^12d8^^^1275}
\def\mlftitle{^^^^12e^^^^1230^^^1295^^^1320^^^1228^^^12e5 ^^^^121b^^^12cd^^^132b}
\def\stctitle{^^^^12ed^^^12d8^^^1275}
\def\slltitle{^^^^12e^^^^1225^^^12d5^^^120e^^^^127d ^^^^121b^^^12cd^^^132b}
\def\sllttitle{^^^^12e^^^^1230^^^1295^^^1320^^^1228^^^12e5 ^^^^121b^^^12cd^^^132b}
13.54 “Farsi1” language: farsi1.ml[d|o]
There are several variants for the farsi language, spoken in Iran and Afghanistan. The “farsi1” language uses titles taken from the farsi.sty file in the FarsiTeX [162] system\footnote{By Mohammad Ghodsi (firstname.lastname@example.org) and the FarsiTeX Project Group. See the FarsiTeX site at http://www.farsitex.org}, by Mohammad Ghodsi, Behdad Esfahbod, Roozbeh Pournader, Hassan Abolhassani, and others. Special fonts are needed, of course. See also section 13.55 on the following page. The titles for the “farsi1” language contain characters that cannot be easily generated, hence we load farsi1.mlo.
\ProvidesFile{farsi1.mld}[2005/09/13]\mtcloadmlo{farsi1}
% From farsi.sty of the FarsiTeX project by Dr Mohammad Ghodsi, Roozbeh Pournader (email@example.com), Hassan Abolhassani, & others.
% http://www.farsitex.org
\end{farsi1}
13.55 “Farsi2” language: farsi2.ml[d|o]
There are several variants for the farsi language, spoken in Iran and Afghanistan. The “farsi2” language uses titles taken from the farsi.sty file in the FarsiTeX system [162] by Mohammad Ghodsi, Roozbeh Pournader, Behdad Esfahbod, Hassan Abolhassani, and others. Special fonts are needed, of course. See also section 13.54 on the page before.
\mtcloadmlo
The titles for the “farsi2” language contain characters that cannot be easily generated, hence we load farsi2.mlo.
8549 \farsi2
8550 \ProvidesFile{farsi2.mld}[2005/09/13]\mtcloadmlo{farsi2}%
8551 %% From farsi.sty (FarsiTeX project: http://www.farsitex.org). Dr Mohammad Ghodsi,
8552 %% Roozbeh Pournader (firstname.lastname@example.org), Hassan Abolhassani, & others.
8553 \farsi2
13.56 “Farsi3” language: farsi3.mld
There are several variants for the farsi language, spoken in Iran and Afghanistan. The “farsi3” language uses titles taken from the farsi.ldf file in the Arabi system[243], by Youssef Jabri. Special fonts are needed, of course.
8554 \farsi3
8555 \ProvidesFile{farsi3.mld}[2006/07/27]%
8556 %% From farsi.ldf of the Arabi system by Youssef Jabri.
8557 \def\ptctitle{\FR{\fa\ha\ra\seen\taa\space\meem\nun\dal\ra\jeem\alef\taa}}%
8558 \def\plttitle{\FR{\lam\ya\seen\taa\ \alef\sheen\kaf\alef\lam}}%
8559 \def\sltttitle{\FR{\lam\ya\seen\taa\ \jeem\dal\alef\waw\lam}}%
8560 \def\mtctitle{\FR{\fa\ha\ra\seen\taa\space\meem\nun\dal\ra\jeem\alef\taa}}%
8561 \def\mlttile{\FR{\lam\ya\seen\taa\ \alef\sheen\kaf\alef\lam}}%
8562 \def\mltttitle{\FR{\lam\ya\seen\taa\ \jeem\dal\alef\waw\lam}}%
8563 \def\stctitle{\FR{\fa\ha\ra\seen\taa\space\meem\nun\dal\ra\jeem\alef\taa}}%
8564 \def\slftitle{\FR{\lam\ya\seen\taa\ \alef\sheen\kaf\alef\lam}}%
8565 \def\sllttile{\FR{\lam\ya\seen\taa\ \jeem\dal\alef\waw\lam}}%
13.57 “Finnish” language: finnish.mld
The titles for the “finnish” language (suomi) are taken from the finnish.dtx file (by Mikko Kanerva and Keranen Reino) in the babel package [60, 61, 80]. See also section 13.58 on the following page.
23 By Mohammad Ghodsi (email@example.com) and the FarsiTeX Project Group. See the FarsiTeX site at http://www.farsitex.org
13.58 “Finnish2” language: finnish2.mld
The titles for the “finnish2” language are taken from a variant proposed by the finnish.dtx file (by Mikko Kanerva and Keranen Reino) in the babel package [60, 61, 80]. See also section 13.57 on the page before.
13.59 “Francais” language: francais.mld
The “francais” (français) language is a synonym for the “french” language, so we load the file french.mld (see section 13.60 on the following page):
13.60 “French” language: french.mld
The titles for the “french” language are taken from the frenchb.dtx file (by Daniel Flipo) in the babel package [60, 61, 75]. See also sections 13.2 to 13.3 on page 472, 13.34 on page 485, 13.59 on the page before, and 13.63 to 13.65 on pages 498–499.
\ProvidesFile{french.mld}[2006/03/21]
% French titles from frenchb.dtx (babel). Flipo, Daniel
\def\ptctitle{Table des matiéres}%
\def\plftitle{Liste des figures}%
\def\pltttitle{Liste des tableaux}%
\def\mtctitle{Sommaire}%
\def\mlftitle{Figures}%
\def\mltttitle{Tableaux}%
\def\stctitle{Sommaire}%
\def\sftitle{Figures}%
\def\slltitle{Tableaux}
13.61 “French1” language: french1.mld
\ifnum\value{part}=1\relax
Sommaire de la première partie\relax
\else
Sommaire de la partie-\Roman{part}\fi%
\def\plftitle{\ifnum\value{part}=1\relax
Liste des figures de la première partie\relax
\else
Liste des figures de la partie-\Roman{part}\fi}%
\def\pltttitle{\ifnum\value{part}=1\relax
Liste des tableaux de la première partie\relax
\else
Liste des tableaux de la partie-\Roman{part}\fi}%
\def\mtctitle{Sommaire}%
\def\mlftitle{Figures}%
\def\mltttitle{Tableaux}%
\def\stctitle{Sommaire}%
\def\sftitle{Figures}%
\def\slltitle{Tableaux}%
\end{document}
13.62 “French2” language: french2.mld
The titles for the “french2” language are taken from the frenchb.dtx file (by Daniel Flipo) in the babel package [60, 61, 75], with some adaptations for the part-level titles\textsuperscript{24}. See also section 9.5.8 on page 273, for the subtle distinction between “deuxième” and “seconde”. See the mtc-2nd.tex example file in section 4.2 on page 92.
\begin{verbatim}
\ProvidesFile{french2.mld}[2006/07/07]
%% French titles from frenchb.dtx (babel). Flipo, Daniel
%% ptctitle, plftitle and plttitle modified (JPFD)
\def\mtcFrenchIIpart{\ifcase\value{part}%
\or premi\`ere partie\or
\ifmtcssecondpart seconde\else deuxi\`eme\fi partie\or
troisi\`eme partie\or quatri\`eme partie\or cinqui\`eme partie\or
sixi\`eme partie\or septi\`eme partie\or huiti\`eme partie\or
neuvi\`eme partie\or dixi\`eme partie\or onzi\`eme partie\or
douzi\`eme partie\or treizi\`eme partie\or quatorzi\`eme partie\or
quinzi\`eme partie\or seizi\`eme partie\or dix-septi\`eme partie\or
dix-huiti\`eme partie\or dix-neuvi\`eme partie\or
vingti\`eme partie\else partie-\Roman{part}\fi}%
\def\ptctitle{\ifnum\value{part}<1\relax
Sommaire \else Sommaire de la \mtcFrenchIIpart\fi}%
\def\plftitle{\ifnum\value{part}<1\relax
Liste des figures\else
Liste des figures de la \mtcFrenchIIpart\fi}%
\def\plttitle{\ifnum\value{part}<1\relax
Liste des tableaux\else
Liste des tableaux de la \mtcFrenchIIpart\fi}%
\def\mtcTitle{Sommaire}%
\def\mlftitle{Figures}%
\def\mlttitle{Tableaux}%
\def\stctitle{Sommaire}%
\def\slftitle{Figures}%
\def\slttitle{Tableaux}%
\end{verbatim}
13.63 “Frenchb” language: frenchb.mld
The “frenchb” language is a synonym for the “french” language, so we load the french.mld file. See section 13.60 on the preceding page.
\begin{verbatim}
\ProvidesFile{frenchb.mld}[2003/02/11]\mtcselectlanguage{french}%
\end{verbatim}
\textsuperscript{24}This is an example of a .mld file needing some support from code in the minitoc package.
13.64 “Frenchle” language: frenchle.mld
The “frenchle” language is a synonym for the “french” language, so we load the french.mld file. See section 13.60 on page 497. See also [179].
8664 \ProvidesFile{frenchle.mld}[2003/02/20]\mtcselectlanguage{french}%
13.65 “Frenchpro” language: frenchpro.mld
The “frenchpro” language is a synonym for the “french” language, so we load the french.mld file. See section 13.60 on page 497. See also [180, 181].
8667 \ProvidesFile{frenchpro.mld}[2003/02/20]\mtcselectlanguage{french}%
13.66 “Galician” language: galician.mld
The titles for the “galician” language (galego)\footnote{Spoken in Galice, in the north-west part of Spain, around Santiago de Compostela.} are taken from the galician.dtx file, (by Manuel Carri\~na and Javier A. M\~ugica de Rivera) derived from the spanish.dtx file (by Javier Bezos) in the babel package [60, 61, 70, 71]:
8670 \ProvidesFile{galician.mld}[2007/12/18]%
8672 % Galician titles from galician.dtx (babel).
8673 % Carri\~na, Manuel (mcarri\~firstname.lastname@example.org)
8674 % Javier A. M\~ugica de Rivera (email@example.com)
8675 \expandafter\ifx\csname chapter\endcsname\relax
8676 \def\ptctitle{\textit{Indice}}\else \def\ptctitle{\textit{Indice xeral}}\fi%
8677 \def\plttitle{\textit{Indice de figur\~as}}%
8678 \def\plttitle{\textit{Indice de t\textbackslash aboas}}%
8679 \expandafter\ifx\csname chapter\endcsname\relax
8680 \def\mtctitle{\textit{Indice}}\else \def\mtctitle{\textit{Indice xeral}}\fi%
8681 \def\mlttitle{\textit{Indice de figur\~as}}%
8682 \def\mlttitle{\textit{Indice de t\textbackslash aboas}}%
8683 \expandafter\ifx\csname chapter\endcsname\relax
8684 \def\stctitle{\textit{Indice}}\else \def\stctitle{\textit{Indice xeral}}\fi%
8685 \def\slltitle{\textit{Indice de figur\~as}}%
8686 \def\slltitle{\textit{Indice de t\textbackslash aboas}}%
13.67 “German” language: german.mld
The titles for the “german” language (deutsch) are taken from the babel package [60, 61]. See also the section 13.14 on page 477.
\begin{verbatim}
\ProvidesFile{german.mld}[1999/03/16]
%% German titles
\def\ptctitle{Inhaltsangabe}
\def\plftitle{Figuren}
\def\pltttitle{Tabellen}
\def\mtctitle{Inhaltsangabe}
\def\mllftitle{Figuren}
\def\mllttitle{Tabellen}
\def\stctitle{Inhaltsangabe}
\def\sllftitle{Figuren}
\def\slltttitle{Tabellen}
\end{verbatim}
13.68 “Germanb” language: germanb.mld
The “germanb” language is a variant for the “german” language. The titles come from germanb.dtx (by Johannes L. Braams and Bernd Raichle) in the babel package [60, 61, 90]:
\begin{verbatim}
\ProvidesFile{germanb.mld}[2006/01/13]
%% German titles (variant) from germanb.dtx (babel). Braams, Johannes-L. & Raichle, Bernd
\def\ptctitle{Inhaltsverzeichnis}
\def\plftitle{Abbildungsverzeichnis}
\def\pltttitle{Tabellenverzeichnis}
\def\mtctitle{Inhaltsverzeichnis}
\def\mllftitle{Abbildungsverzeichnis}
\def\mlltttitle{Tabellenverzeichnis}
\def\stctitle{Inhalt}
\def\sllftitle{Abbildungen}
\def\slltttitle{Tabellen}
\end{verbatim}
13.69 “Germanb2” language: germanb2.mld
The “germanb2” language is a variant for the “german” language, with short titles. See also section 13.68 on the preceding page. The titles are taken from the file germanb.dtx (by Johannes L. Braams and Bernd Raichle) in the babel package [60, 61]:
\ProvidesFile{germanb2.mld}[2007/12/18]
\def\ptctitle{Inhalt}
\def\plttitle{Abbildungen}
\def\pltttitle{Tabellen}
\def\mtctitle{Inhalt}
\def\mftitle{Abbildungen}
\def\mfttitle{Tabellen}
\def\stctitle{Inhalt}
\def\sfttitle{Abbildungen}
\def\sfttitle{Tabellen}
13.70 “Greek” language: greek.mld
The titles for the “greek” language (modern greek, νέα ελληνικά) are taken from the greek.dtx file (by Apostolos Syropoulos) in the babel package [60, 61, 98, 427]. Greek fonts are required.
\ProvidesFile{greek.mld}[2007/12/18]
% Greek titles from greek.dtx (babel) by Syropoulos, Apostolos. Needs greek fonts.
\def\ptctitle{Perieq’omena}
\def\plttitle{Kat’alogos Sqhm’atwn}
\def\pltttitle{Kat’alogos Pin’akwn}
\def\mtctitle{Perieq’omena}
\def\mftitle{Kat’alogos Sqhm’atwn}
\def\mfttitle{Kat’alogos Pin’akwn}
\def\stctitle{Perieq’omena}
\def\sfttitle{Kat’alogos Sqhm’atwn}
\def\sfttitle{Kat’alogos Pin’akwn}
13.71 “Greek-mono” language: greek-mono.mld
The titles for the “greek-mono” language\textsuperscript{26} are taken from the omega-greek.ldf file (by Alexej M. Kryukov and Dmitry Ivanov) in the Antomega project [272]:
\begin{verbatim}
<greek-mono>
\ProvidesFile{greek-mono.mld}[2005/02/08]%
%% from omega-greek.ldf (Antomega project). Needs Omega.
%% Alexej M. Kryukov & Dmitry Ivanov
\def\ptctitle{\localgreek%
^^^^03a^^^^03b5^^^03c1^^^03b9^^^03b5^^^03c7^^^03cc^^^03bc%
^^^03b5^^^03bd^^^03b1}%
\def\plftitle{\localgreek%
^^^^03a^^^^03b1^^^03c4^^^03ac^^^03bb^^^03bf^^^03b3^^^03b7^^^03bc^^^03ac^^^03c4^^^03c9%
^^^03c2 ^^ ^03c3^^^03c7^^^03b3^^^03bc^^^03ac^^^03c4^^^03c9%
^^^03bd}%
\def\mftitle{\localgreek%
^^^^03a^^^^03b1^^^03c4^^^03ac^^^03bb^^^03bf^^^03b3^^^03b7^^^03bc^^^03ac^^^03c4^^^03c9%
^^^03bd}%
\def\mlftitle{\localgreek%
^^^^03a^^^^03b1^^^03c4^^^03ac^^^03bb^^^03bf^^^03b3^^^03b7^^^03bc^^^03ac^^^03c4^^^03c9%
^^^03bd}%
\def\stctitle{\localgreek%
^^^^03a^^^^03b1^^^03c4^^^03ac^^^03bb^^^03bf^^^03b3^^^03b7^^^03bc^^^03ac^^^03c4^^^03c9%
^^^03bd}%
\def\sftitle{\localgreek%
^^^^03a^^^^03b1^^^03c4^^^03ac^^^03bb^^^03bf^^^03b3^^^03b7^^^03bc^^^03ac^^^03c4^^^03c9%
^^^03bd}%
\end{verbatim}
13.72 “Greek-polydemo” language: greek-polydemo.mld
The titles for the “greek-polydemo” language\textsuperscript{27} are taken from the file omega-greek.ldf (by Alexej M. Kryukov and Dmitry Ivanov) in the Antomega project [272]:
\textsuperscript{26}Monotonic greek, from a recent (1982) but strongly contested – and contestable – reform of the greek language.
\textsuperscript{27}Polytonic demotic (popular) greek, for classical greek.
13.73 “Greek-polykatha” language: greek-polykatha.mld
The titles for the “greek-polykatha” language\textsuperscript{28} are taken from the omega-greek.ldf file (by Alexej M. Kryukov and Dmitry Ivanov) in the Antomega project [272]:
\textsuperscript{28}Polytonic greek, « kathaverousa » (purified) style, a form of the Greek language created during the early xix-th century by Adamantios Korais, to purify the language from the Byzantine and non-greek vocabulary. It has now been obsoleted by the demotic (popular) greek, but it has left a very noticeable trace in the modern Greek language.
13.74 “Guarani” language: guarani.mld
The “guarani” (guaraní) language is the main language spoken in Paraguay. Very often, a mixture of Guarani and Spanish, known as Jopará or Yopará, is spoken. The titles are taken from the guarani.ldf file by Javier Bezos [45]. A special input encoding (win-gn.def) is needed. These files are available on the CTAN archives.
\begin{verbatim}
(*guarani*)
ProvidesFile{guarani.mld}[2005/08/26]%
% Guarani titles from guarani.ldf by Javier Bezos. Input encoding win-gn.def needed.
\def\prctitle{\'Indice general}%
\def\plftitle{\'Indice de figuras}%
\def\plttitle{\'Indice de cuadros}%
\def\mtctitle{\'Indice general}%
\def\mflttitle{\'Indice de figuras}%
\def\mtttitle{\'Indice de cuadros}%
\def\stctitle{\'Indice general}%
\def\slttitle{\'Indice de figuras}%
\def\slltitle{\'Indice de cuadros}%
(/guarani)
\end{verbatim}
13.75 “Hangul1” language: hangull.ml[d|o]
The Korean language was originally written using the Chinese characters; it is now mainly written in Hangul, the Korean writing system, optionally incorporating Hanja to write Sino-Korean words [453]. See [214, page 150], [216] and [365].
The titles for the “hangull” language (korean in hangul script, first variant) are taken from the file hangul.cap of the CJK system [127, 297, 298] (by Werner LEMBERG). Special fonts are needed, of course.
See also sections 13.76 to 13.82 on pages 505–508.
\mtcloadmlo The titles for the “hangull” language contain characters that cannot be easily generated, hence we load hangull.mlo.
```
\ProvidesFile{hangull.mld}[2005/01/28]\mtcloadmlo{hangull}%
% From the file hangul.cap of the CJK package for using Asian logographs
% (Chinese/Japanese/Korean) with LaTeX2e. Created by Werner Lemberg <firstname.lastname@example.org>
% Version 4.5.2 (28-Mar-2003) Hangul captions
% character set: KS X 1001:1992 (=KS C 5601–1992), encoding: EUC (=Wansung)
```
13.76 “Hangul2” language: hangul2.ml[d|o]
The titles for the “hangul2” language (korean in hangul script, second variant) are taken from the file hangul.cpx of the CJK system [127, 297, 298] (by Werner LEMBERG). Special fonts are needed, of course.
See also sections 13.75 and 13.77 to 13.82 on pages 506–508.
\mtcloadmlo The titles for the “hangul2” language contain characters that cannot be easily generated, hence we load hangul2.mlo.
```
\ProvidesFile{hangul2.mld}[2005/01/28]\mtcloadmlo{hangul2}%
% From the file hangul.cpx of the CJK package for using Asian logographs
% (Chinese/Japanese/Korean) with LaTeX2e. Created by Werner Lemberg <email@example.com>
% Version 4.5.2 (28-Mar-2003), Hangul captions
% char. set: KS X 1001:1992 (=KS C 5601–1992), encoding: EUC (=Wansung), preprocessed
```
13.77 “Hangul3” language: hangul3.ml[d|o]
The titles for the “hangul3” language (korean in hangul script, third variant) are taken from the file hangul2.cap of the CJK system [127, 297, 298] (by Werner LEMBERG). Special fonts are needed, of course. See also sections 13.75 to 13.76 on the preceding page and 13.78 to 13.82 on pages 506–508.
\mtcloadmlo The titles for the “hangul3” language contain characters that cannot be easily generated, hence we load hangul3.mlo.
8870 \{+hangul3\}
8871 \ProvidesFile{hangul3.mld}[2005/01/28]\mtcloadmlo{hangul3}%
8872 %% From the file hangul2.cap of the CJK package for using Asian logographs
8873 %% (Chinese/Japanese/Korean) with LaTeX2e. Created by Werner Lemberg <firstname.lastname@example.org>
8874 %% Version 4.5.2 (28-Mar-2003) Hangul captions set 2
8875 %% character set: KS X 1001:1992 (=KS C 5601–1992), encoding: EUC (=Wansung)
8876 \{/hangul3\}
13.78 “Hangul4” language: hangul4.ml[d|o]
The titles for the “hangul4” language (korean in hangul script, fourth variant) are taken from the file hangul2.cpx of the CJK system [127, 297, 298] (by Werner LEMBERG). Special fonts are needed, of course. See also sections 13.75 to 13.77 on pages 505–506, and 13.79 to 13.82 on pages 507–508.
\mtcloadmlo The titles for the “hangul4” language contain characters that cannot be easily generated, hence we load hangul4.mlo.
8877 \{+hangul4\}
8878 \ProvidesFile{hangul4.mld}[2005/01/28]\mtcloadmlo{hangul4}%
8879 %% From the file hangul2.cpx of the CJK package for using Asian logographs
8880 %% (Chinese/Japanese/Korean) with LaTeX2e. Created by Werner Lemberg <email@example.com>
8881 %% Version 4.5.2 (28-Mar-2003) Hangul captions set 2,
8882 %% character set: KS X 1001:1992 (=KS C 5601–1992),
8883 %% encoding: EUC (=Wansung), preprocessed
8884 \{/hangul4\}
13.79 “Hangul-u8” language: hangul-u8.m1[d|o]
The titles for the “hangul-u8” language (korean in hangul script, for Lambda A) are taken from the file u8hangul.tex of the H\TeX system [266, in korean] by Un Koaunghi. Special fonts are needed, of course. Input encoding is UTF-8.
See also sections 13.75 to 13.78 on pages 505–506, and 13.80 to 13.82 on pages 507–508. See [214, page 150], [216] and [365].
\mtcloadmlo The titles for the “hangul-u8” language contain characters that cannot be easily generated, hence we load hangul-u8.mlo.
\begin{verbatim}
\ProvidesFile{hangul-u8.mld}[2006/02/21]\mtcloadmlo{hangul-u8}%
%% Hangul captions for Lambda. From the file u8hangul.tex
%% of the HLaTeX package by Koaunghi Un (firstname.lastname@example.org)
\end{verbatim}
13.80 “Hanja1” language: hanja1.mld.m1[d|o]
The titles for the “hanja1” language (korean in the old script hanja, first variant) are taken from the file hanja.cpx of the CJK system [127, 297, 298] (by Werner Lemberg). Special fonts are needed, of course.
See also sections 13.75 to 13.79 on pages 505–507, and 13.81 to 13.82 on the next page.
\mtcloadmlo The titles for the “hanja1” language contain characters that cannot be easily generated, hence we load hanja1.mlo.
\begin{verbatim}
\ProvidesFile{hanja1.mld}[2005/01/28]\mtcloadmlo{hanja1}%
%% From the file hanja.cpx of the CJK package for using Asian logographs
%% (Chinese/Japanese/Korean) with LaTeXe. Hanja captions.
%% Created by Werner Lemberg <email@example.com>, Version 4.5.2 (28-Mar-2003)
%% Character set: KS X 1001:1992 (=KS C 5601-1992),
%% encoding: EUC (=Wansung), preprocessed
\end{verbatim}
13.81 “Hanja2” language: hanja2.ml[d|o]
The titles for the “hanja2” language (Korean in the old script hanja, second variant) are taken from the file hanja.cap of the CJK system [127, 297, 298] (by Werner LEMBERG). Special fonts are needed, of course. See also sections 13.75 to 13.80 on pages 505–507, and 13.82.
\mtcloadmlo The titles for the “hanja2” language contain characters that cannot be easily generated, hence we load hanja2.mlo.
8898 (*hanja2)
8899 \ProvidesFile{hanja2.mld}[2005/01/28]\mtcloadmlo{hanja2}%
8900 %% From the file hanja.cap of the CJK package for using Asian logographs
8901 %% (Chinese/Japanese/Korean) with LaTeXe. Hanja captions.
8902 %% Created by Werner Lemberg <firstname.lastname@example.org>.
8903 %% character set: KS X 1001:1992 (=KS C 5601–1992),
8904 %% encoding: EUC (=Wansung). Version 4.1.3 (20-Jun-1997)
8905 (/hanja2)
13.82 “Hanja-u8” language: hanja-u8.ml[d|o]
The titles for the “hanja-u8” language (korean in hanja script, for Lambda Λ) are taken from the file u8hanja.tex of the HTEX system [266, in korean] by Un KOAUNGH. Special fonts are needed, of course. Input encoding is UTF-8. See also sections 13.75 to 13.81 on pages 505–508. See [214, page 150], [216] and [365].
\mtcloadmlo The titles for the “hanja-u8” language contain characters that cannot be easily generated, hence we load hanja-u8.mlo.
8906 (*hanja-u8)
8907 \ProvidesFile{hanja-u8.mld}[2006/02/21]\mtcloadmlo{hanja-u8}%
8908 %% Hanja captions for Lambda. From the file hanja-u8.tex of the HLaTeX package
8909 %% by Koaunghi Un (email@example.com)
8910 (/hanja-u8)
13.83 “Hebrew” language: hebrew.mld
The titles for the “hebrew” language (ivrit) are taken from the ArabTeX package [276, 277] (by Klaus LAGALLY), with the associated fonts. See also section 13.84 on the next page. See the hebrew alphabet (alefbet): http://www.jewfaq.org/graphics/hebrew.gif.
13.84 “Hebrew2” language: hebrew2.mld
The titles for the “hebrew2” language are taken from the file hebrew.dtx (by Boris Lavva and Rama Porrat) in the babel package [60, 61, 86], which should be used, with the associated fonts and encodings. See also section 13.83 on the preceding page.
\ProvidesFile{hebrew2.mld}[2006/01/11]
% From hebrew.dtx in the Babel package. Boris Lavva (firstname.lastname@example.org)
% Need hebrew fonts.
\def\ptctitle{\@ensure@R{\hebtav\hebvav\hebkaf\hebfinalnun \
\hebayin\hebnun\hebyod\hebmun\hebyod\hebfinalmem}}
\def\plftitle{\@ensure@R{\hebresh\hebshin\hebyod\hebmem\hebtav \
\hebalef\hebyod\hebvav\hebresh\hebyod\hebfinalmem}}
\def\pititle{\@ensure@R{\hebresh\hebshin\hebyod\hebmem\hebtav \
\hebet\hebbet\heblamed\hebalef\hebvav\hebtav}}
\def\mtctitle{\@ensure@R{\hebtav\hebvav\hebkaf\hebfinalnun \
\hebayin\hebnun\hebyod\hebmun\hebyod\hebfinalmem}}
\def\mlftitle{\@ensure@R{\hebresh\hebshin\hebyod\hebmem\hebtav \
\hebalef\hebyod\hebvav\hebresh\hebyod\hebfinalmem}}
\def\stctitle{\@ensure@R{\hebtav\hebvav\hebkaf\hebfinalnun \
\hebayin\hebnun\hebyod\hebmun\hebyod\hebfinalmem}}
\def\slltitle{\@ensure@R{\hebresh\hebshin\hebyod\hebmem\hebtav \
\hebet\hebbet\heblamed\hebalef\hebvav\hebtav}}
13.85 “Hindi” language: hindi.mld
The “hindi” language is just like “devanagari”, so we just load devanagari.mld (see section 13.43 on page 489):
\mtcselectlanguage{hindi}
\ProvidesFile{hindi.mld}[2006/08/24]\mtcselectlanguage{devanagari}%
\end{hindi}
13.86 “Hindi-modern” language: hindi-modern.mld
The titles for the “hindi-modern” language are taken from the captions.dn file (by Anshuman Pandey, C. V. Radhakrishnan, Zdeněk Wagner, John Smith, Kevin Carmody, Richard Mahoney and Dominik Wujastyk) in the Devanāgarī package [364] (Devanāgarī) after conversion. See also section 13.43 on page 489. Specific fonts are required. The home page of the package is http://devnag.sarover.org.
\dn
\qva
\re
\rs
\def\ptctitle{\dn Evgy{\rs \vre}\8{s}cF}%
\def\plttitle{\dn Ec/o{\qva} kF \8{s}cF}%
\def\plttitle{\dn tAElkAao\2 kF \8{s}cF}%
\def\mtctitle{\dn Evgy{\rs \vre}\8{s}cF}%
\def\mlftitle{\dn Ec/o{\qva} kF \8{s}cF}%
\def\mlftitle{\dn tAElkAao\2 kF \8{s}cF}%
\def\stctitle{\dn Evgy{\rs \vre}\8{s}cF}%
\def\slltitle{\dn Ec/o{\qva} kF \8{s}cF}%
\def\slltitle{\dn tAElkAao\2 kF \8{s}cF}%
13.87 “Hungarian” language: hungarian.mld
The “hungarian” language is a synonym of the “magyar” language, so we load magyar.mld. See section 13.115 on page 523.
13.88 “Icelandic” language: icelandic.mld
The titles for the “icelandic” language (íslenska) are taken from the icelandic.dtx file (by Einar Árnason) in the babel package [60, 61, 63]. See also [236].
\ProvidesFile{icelandic.mld}[2007/12/18]
From icelandic.dtx (babel). Needs inputenc with 8-bits encoding. Árnason, Einar
\def\ptctitle{Efnisyfirlit}
\def\plftitle{T'\o fluskr'\a}
\def\mtctitle{Efnisyfirlit}
\def\mlftitle{Myndaskr'\a}
\def\mltitle{T'\o fluskr'\a}
\def\stctitle{Efnisyfirlit}
\def\slltitle{Myndaskr'\a}
\def\slltitle{T'\o fluskr'\a}
13.89 “Indon” language: indon.mld
The “indon” language is just like “bahasai”, so we just load bahasai.mld (see section 13.16 on page 477):
\ProvidesFile{indon.mld}[2006/01/13]\mtcselectlanguage{bahasai}
13.90 “Indonesian” language: indonesian.mld
The “indonesian” language is just like “bahasai”, so we just load bahasai.mld (see section 13.16 on page 477):
\ProvidesFile{indonesian.mld}[2006/01/13]\mtcselectlanguage{bahasai}
13.91 “Interlingua” language: interlingua.mld
The titles for the “interlingua” language are taken from the interlingua.dtx file (by Peter Kleiweg) in the babel package [60, 61, 81]. Interlingua is an auxiliary language, built from the common vocabulary of Spanish/Portuguese, English, Italian and French, with some normalisation of spelling. The grammar is very easy, more similar to English’s than to neolatin languages\(^{29}\). See also:
- http://en.wikipedia.org/wiki/Interlingua, http://fr.wikipedia.org/wiki/Interlingua,
- Union Interlinguiste de France: http://www.interlingua.com.fr/
- interlingua-english dictionnary: http://www.interlingua.com/ied/
- interlingua grammar (in french): http://filip.ouvaton.org/ia/gram/entra1.html
- somes sites in interlingua: http://www.dmoz.org/World/Interlingua
- other sites about interlingua: http://www.cle.unicamp.br/wcp3/interlingua.htm
\begin{verbatim}
\ProvidesFile{interlingua.mld}[2007/12/18]
%% Interlingua titles from interlingua.dtx (babel). Kleiweg, Peter
\def\ptctitle{Contento}
\def\plttitle{Lista de figuras}
\def\plttitle{Lista de tabellas}
\def\mtctitle{Contento}
\def\mlftitle{Figuras}
\def\mlttitle{Tabellas}
\def\stctitle{Contento}
\def\slltitle{Figuras}
\def\slltitle{Tabellas}
\end{verbatim}
13.92 “Irish” language: irish.mld
The titles for the “irish” language (gaeilge) come from the irish.dtx file (by Johannes L. Braaams, Marion Gunn and Fraser Grant) in the babel package [57, 60, 61]:
\begin{verbatim}
\ProvidesFile{irish.mld}[2006/02/28]
%% From irish.dtx (babel). Braaams, Johannes-L. & Gunn, Marion & Grant, Fraser
\def\ptctitle{Cl\textit{ar} \textit{Abhair}}
\def\plttitle{L\textit{ear}\textit{aid}\textit{i}}
\def\plttitle{T\textit{abla}\textit{i}}
\end{verbatim}
\(^{29}\)The site http://www.interlingua.com is mostly written in interlingua (as is http://interlingua.altervista.org), in case you want to read some sample of it.
13.93 “Italian” language: italian.mld
The titles for the “italian” language (italiano) come from the file italian.dtx (by Maurizio Codogno and Claudio Beccari) in the babel package [60, 61, 73]. See also section 13.94.
13.94 “Italian2” language: italian2.mld
The titles for the “italian2” language are the same as for the “italian” language, except at the part level (“Contenuto”). See also section 13.93.
13.95 “Japanese” language: `japanese.ml[d|o]`
There are several variants for the Japanese titles. The titles for a first variant of the “japanese” language have been found (by a Google search) on the Web site of Professor Toshiki Kumazawa\textsuperscript{30}.
But see also other variants in sections 13.96 to 13.100 on pages 514–516.
\mtcloadmlo The titles for the “japanese” language contain characters that cannot be easily generated, hence we load `japanese.mlo`.
\mtcloadmlo The titles for the “japanese2” language contain characters that cannot be easily generated, hence we load `japanese2.mlo`.
\textsuperscript{30}\url{http://www.biwako.shiga-u.ac.jp/sensei/kumazawa/tex/minitoc.html}
13.97 “Japanese3” language: japanese3.mld[o]
The titles for the “japanese3” language (japanese, third variant) are taken from file JIS.cpx of the CJK system [127, 297, 298] (by Werner LEMBERG).
Special fonts are needed, of course. See also sections 13.95 to 13.96 on the page before, and 13.98s+mld+japanese6. The titles for the “japanese3” language contain characters that cannot be easily generated, hence we load japanese3.mlo.
\mtcloadmlo The titles for the “japanese3” language contain characters that cannot be easily generated, hence we load japanese3.mlo.
\mtcloadmlo The titles for the “japanese4” language contain characters that cannot be easily generated, hence we load japanese4.mlo.
13.99 “Japanese5” language: japanese5.mlo[d|o]
The titles for the “japanese5” (japanese, fifth variant) language are taken from file SJIS.cpx of the CJK system [127, 297, 298] (by Werner Lemberg). Special fonts are needed, of course. See also sections 13.95 to 13.98 on pages 514–515, and 13.100. The titles for the “japanese5” language contain characters that cannot be easily generated, hence we load japanese5.mlo.
\mtcloadmlo The titles for the “japanese5” language contain characters that cannot be easily generated, hence we load japanese5.mlo.
9066 \{sjapanese5\}
9067 \ProvidesFile{japanese5.mlo}[2006/01/13]\mtcloadmlo{japanese5}%
9068 %% From the file SJIS.cpx of the CJK package
9069 %% for using Asian logographs (Chinese/Japanese/Korean) with LaTeX2e.
9070 %% Created by Werner Lemberg <email@example.com>. Version 4.5.2 (28-Mar-2003)
9071 %% Character set: JIS X 0208:1997 (or JIS X 0208-1990), encoding: SJIS, preprocessed
9072 \{/japanese5\}
13.100 “Japanese6” language: japanese6.mlo[d|o]
The titles for the “japanese6” (japanese, sixth variant) language have been found (by a Google search) on the Web site of Professor Toshiki Kumazawa\textsuperscript{31}. See also sections 13.95 to 13.99 on pages 514–516.
\mtcloadmlo The titles for the “japanese6” language contain characters that cannot be easily generated, hence we load japanese6.mlo.
9073 \{sjapanese6\}
9074 \ProvidesFile{japanese6.mlo}[2006/10/31]\mtcloadmlo{japanese6}%
9075 %% Japanese6 titles. Needs japanese fonts (CJK) and special input encoding.
9076 %% From Kumazawa Toshiki <firstname.lastname@example.org>
9077 % http://www.biwako.shiga-u.ac.jp/sensei/kumazawa/tex/minitoc.html
9078 \{/japanese6\}
13.101 “Kannada” language: kannada.mld
The Kannada (“kannada”) (or Kannara) language is a dravidian language spoken in the Karnataka state (main town: Bangalore) of India. Titles are taken in the kanlel.sty package file from the KannadaTeX project [485]\textsuperscript{32} by C. S. Yogananda and K. K. Subramaniam. Specific fonts are required. See the alphabet here: http://www.omniglot.com/writing/kannada.htm.
\textsuperscript{31}http://www.biwako.shiga-u.ac.jp/sensei/kumazawa/tex/minitoc.html
\textsuperscript{32}http://Sarovar.org/projects/kannadatex
13.102 “Khalkha” language: khalkha.mld
“khalkha” is a synonym for “xalx”, so we just load xalx.mld (see sections 13.190 to 13.192 on pages 557–558):
\mtcselectlanguage{xalx}
13.103 “Latin” language: latin.mld
The titles for the “latin” language (medieval) are taken from the latin.dtx file (by Claudio Beccari, Raffaella Tabacco, and Krzysztof Konrad Żelechowski) in the babel package [60, 61, 65]. See also section 13.104 on the next page. The latin language is still used by the Catholic Church and the Vatican for archives and some texts.
\mtcselectlanguage{latin}
13.104 “Latin2” language: latin2.mld
The titles for the “latin2” language (latin, medieval, abbreviated variant) are taken from the latin.dtx (by Claudio Beccari, Raffaella Tabacco, and Krzysztof Konrad Żelechowski) file in the babel package [60, 61, 65], but abbreviated. See also section 13.103 on the preceding page.
\ProvidesFile{latin2.mld}[2007/04/06]
\% Latin (medieval) titles (abbreviated) from latin.dtx (babel)
\% Beccari, Claudio & Tabacco, Raffalla & {\.Zelechowski}, Krzysztof Konrad
\def\ptctitle{Index}
\def\plftitle{Conspectus descriptionum}
\def\pltttitle{Conspectus tabularum}
\def\mtctitle{Index}
\def\mlftitle{Descriptiones}
\def\mltttitle{Tabul\ae}
\def\stctitle{Index}
\def\slftitle{Descriptiones}
\def\sltttitle{Tabul\ae}
13.105 “Latinc” language: latinc.mld
The titles for the “latinc” language (classical latin) are taken from the latin.dtx file (by Claudio Beccari and Krzysztof Konrad Żelechowski) in the babel package [60, 61, 65]. See also section 13.106 on the next page.
\ProvidesFile{latinc.mld}[2007/04/13]
\% Latin (classical) titles from latin.dtx (babel)
\% Beccari, Claudio & {\.Zelechowski}, Krzysztof Konrad
\def\ptctitle{Index}
\def\plftitle{Conspectvs descriptionvm}
\def\pltttitle{Conspectvs tabvlarvm}
\def\mtctitle{Index}
\def\mlftitle{Conspectvs descriptionvm}
\def\mltttitle{Conspectvs tabvlarvm}
\def\stctitle{Index}
\def\slftitle{Conspectvs descriptionvm}
\def\sltttitle{Conspectvs tabvlarvm}
13.106 “Latinc2” language: latinc2.mld
The titles for the “latinc2” language (classical latin, abbreviated variant) are taken from the latin.dtx (by Claudio Beccari and Krzysztof Konrad Żelechowski) file in the babel package [60, 61, 65], but abbreviated. See also section 13.105 on the preceding page.
\ProvidesFile{latinc2.mld}[2007/04/06]
% Latin (classical) titles (abbreviated) from latin.dtx (babel)
% Beccari, Claudio & {\.Zelechowski}, Krzysztof Konrad
\def\ptctitle{Index}
\def\plftitle{Conspectvs descriptionvm}
\def\pltttitle{Conspectvs tabvlarvm}
\def\mtctitle{Index}
\def\mlftitle{Descriptiones}
\def\mlttitle{Tabvlae}
\def\stctitle{Index}
\def\sftitle{Descriptiones}
\def\sftitle{Tabvlae}
13.107 “Latvian” language: latvian.mld
The titles for the “latvian” language\textsuperscript{33} (\textit{latviešu valoda}) come from the latvian.ldf file (by Alexej M. Kryukov and Dmitry Ivanov) in the Antomega project [272]. See also section 13.109 on the next page.
\ProvidesFile{latvian.mld}[2005/02/08]
% From latvian.ldf (Antomega project).
% Needs Omega. Alexej M. Kryukov & Dmitry Ivanov
\def\ptctitle{\locallatvian{Satur\ss}}
\def\plftitle{\locallatvian{Att\^{\^^^0113}lu saraksts}}
\def\pltttitle{\locallatvian{Tabulu saraksts}}
\def\mtctitle{\locallatvian{Satur\ss}}
\def\mlftitle{\locallatvian{Att\^{\^^^0113}lu saraksts}}
\def\mlttitle{\locallatvian{Tabulu saraksts}}
\def\stctitle{\locallatvian{Satur\ss}}
\def\sftitle{\locallatvian{Att\^{\^^^0113}lu saraksts}}
\def\sftitle{\locallatvian{Tabulu saraksts}}
\textsuperscript{33}Note that “latvian” is the original name for “letton”.
13.108 “Latvian2” language: latvian2.mld
The titles for the “latvian2” language come from the latvian.ldf file (by Andris Lasis and Ivars Drikis) at http://home.lanet.lv/~drikis/TeX/2e/latvian.ldf. See also section 13.107 on the preceding page.
\ProvidesFile{latvian2.mld}[2007/06/05]
% Andris Lasis (email@example.com) Ivars Drikis (firstname.lastname@example.org)
% http://home.lanet.lv/~drikis/TeX/2e/latvian.ldf
\def\ptctitle{Saturs}%
\def\plttitle{Att\=elu r\=ad\={\i}t\=ajs}%
\def\lttitle{Tabulu r\=ad\={\i}t\=ajs}%
\def\mtctitle{Saturs}%
\def\mlftitle{Att\=elu r\=ad\={\i}t\=ajs}%
\def\mlttitle{Tabulu r\=ad\={\i}t\=ajs}%
\def\stctitle{Saturs}%
\def\slttitle{Att\=elu r\=ad\={\i}t\=ajs}%
\def\slttitle{Tabulu r\=ad\={\i}t\=ajs}%
13.109 “Letton” language: letton.mld
\mtcselectlanguage{latvian}
The “letton” language is a synonym for the “latvian” language, so we just load latvian.mld. See section 13.107 on the page before.
\ProvidesFile{letton.mld}[2005/02/08]\mtcselectlanguage{latvian}
13.110 “Letton2” language: letton2.mld
\mtcselectlanguage{latvian2}
The “letton2” language is a synonym for the “latvian2” language, so we just load latvian2.mld. See section 13.108 on the preceding page.
13.111 “Lithuanian” language: lithuanian.mld
The titles for the “lithuanian” language (lietuvių kalba) are taken from the lithuanian.ldf file\textsuperscript{34} (by Sigitas Tolušis) for the babel package [60, 61]. See also section 13.112.
\begin{verbatim}
\ProvidesFile{lithuanian.mld}[2007/12/04]
% Lithuanian titles from lithuanian.ldf
% in http://www.vtex.lt/tex/download/zip/babel.zip
% by Tolušis, Sigitas (email@example.com)
\def\ptctitle{Turinys}
\def\plttitle{Paveikslėlis: \protect\k{u}s\protect\k{a}ra\protect\v{sas}}
\def\lttitle{Lentelė\protect\.es}
\def\mtctitle{Turinys}
\def\mlftitle{Paveikslėlis: \protect\k{u}s\protect\k{a}ra\protect\v{sas}
\def\mltitle{Lentelė\protect\.es}
\def\stctitle{Turinys}
\def\sftitle{Paveikslėlis: \protect\k{u}s\protect\k{a}ra\protect\v{sas}
\def\sftitle{Lentelė\protect\.es}
\end{verbatim}
13.112 “Lithuanian2” language: lithuanian2.mld
The titles for the “lithuanian2” language (variant) are taken from the lithuanian.ldf file, found in \url{http://www.vtex.lt/tex/littex/littex-20070713.tar.gz}. (by Sigitas Tolušis) for the babel package [60, 61]. See also section 13.111. The L\TeX encoding and the Latin Modern fonts are needed.
\begin{verbatim}
\ProvidesFile{lithuanian2.mld}[2007/12/04]
% Lithuanian titles (variant) from lithuanian.ldf
% in http://www.vtex.lt/tex/littex/littex-20060928.tar.gz
% by Tolušis, Sigitas (firstname.lastname@example.org)
\def\ptctitle{Turinys}
\def\plttitle{Ilustracijų \k{u}s\k{a}ra\v{sas}
\def\lttitle{Lentelių \k{u}s\k{a}ra\v{s}
\def\mtctitle{Turinys}
\def\mlftitle{Ilustracijų \k{u}s\k{a}ra\v{sas}
\def\mltitle{Lentelių \k{u}s\k{a}ra\v{s}
\def\stctitle{Turinys}
\def\sftitle{Ilustracijų \k{u}s\k{a}ra\v{sas}
\def\sftitle{Lentelių \k{u}s\k{a}ra\v{s}
\end{verbatim}
\textsuperscript{34}Found in \url{http://www.vtex.lt/tex/download/zip/babel.zip}.
13.113 “Lowersorbian” language: lowersorbian.mld
The titles for the “lowersorbian” language\textsuperscript{35} (\textit{dolnoserbski, dolnoservšćina}) are taken from the \texttt{lsorbian.dtx} file (by Eduard Werner) in the babel package [60, 61, 99]. See also section 13.184 on page 554. A shorter language name is \texttt{lsorbian} (see section 13.114).
\begin{verbatim}
% Lower sorbian titles from lsorbian.dtx (babel) by Werner, Eduard
\def\ptctitle{Wop\simje'se}
\def\plttitle{Zapis wobrazow}
\def\pltttitle{Zapis tabulkow}
\def\mtctitle{Wop\simje'se}
\def\mlftitle{Zapis wobrazow}
\def\mlftitle{Zapis tabulkow}
\def\stctitle{Wop\simje'se}
\def\slttitle{Zapis wobrazow}
\def\slttitle{Zapis tabulkow}
\end{verbatim}
13.114 “Lsorbian” language: lsorbian.mld
The “lsorbian” language is a synonym for “lowersorbian”, so we just need to load \texttt{lowersorbian.mld}. See section 13.113.
\begin{verbatim}
% Magyar titles from magyar.dtx (babel). Biró, Árpád & Bérces, József
\end{verbatim}
\textsuperscript{35}Lower sorbian. Sorbian, or wendisch, is a member of the west slavic subgroup of indo-european languages spoken in Lower Lusatia in the german länder of Saxony and Brandenburg. The Sorbs are descendents of the Wends, the german name for the slavic tribes who occupied the area between the Elbe and Saale rivers in the west and the Odra (Oder) river in the east during the medieval period (vi-th century).
13.116 “Magyar2” language: magyar2.mld
The titles for the “magyar2” language are taken from a variant proposed in the magyar.dtx file of the babel package [60, 61] (by József Bérces, Árpád Bíró, and Attila Koppányi). See also sections 13.115 and 13.117 on the following page.
\def\ptctitle{Tartalom}%
\def\plftitle{\'Abr\textbackslash ak}%
\def\pltttitle{T\textbackslash abl\textbackslash azatok}%
\def\mtctitle{Tartalom}%
\def\mlftitle{\'Abr\textbackslash ak}%
\def\mltttitle{T\textbackslash abl\textbackslash azatok}%
\def\stctitle{Tartalom}%
\def\slltitle{\'Abr\textbackslash ak}%
\def\slltitle{T\textbackslash abl\textbackslash azatok}%
13.117 “Magyar3” language: magyar3.mld
The titles for the “magyar 3” language (third variant of magyar) are taken from the magyar.dtx file (by József Bérces, Árpád Bíró, and Attila Koppányi) in the babel package [60, 61, 66]. See also sections 13.115 to 13.116 on the page before.
\def\ptctitle{Tartalomjegyz\textbackslash ek}%
\def\plftitle{\'Abr\textbackslash ak_jegyz\textbackslash eke}%
\footnote{The situation of the magyar language in the babel package is not clear; some experimental versions exist.}
13.118 “Malay” language: malay.mld
The “malay” language is just like “bahasam”, so we just load bahasam.mld (see section 13.17 on page 478):
\mtcselectlanguage{bahasam}
13.119 “Malayalam-b” language: malayalam-b.mld
The titles for the “malayalam-b” language are taken from the malayalam package [4] by A.J. Alex. The Malayalam language is spoken from the western coast of Malabar to the extreme southern India, mainly in the Kerala state. It is one of the dravidian languages strongly bound to the Tamil language. The alphabet and the script are dated from the 8th or 9th centuries. This language option requires specific fonts (depending on the option of the malayalam package). It should be used with the following options of the malayalam package\footnote{There is a great variety of fonts for malayalam; hence I have attempted to limit the number of .mld files.}: aathira, ambili, anahka, ashtamudi, aswathi, ayilyambold, bhanu, bhavana, chippi, gauri, gopika, indulekha, ISMashtamudi, ISMkarthika, ISMkaumudi, ISMrevathi, jaya, karthika, kaumudi, kottakkal, makam, malavika mridula, payippad, periyar, ravivarma, revathi, sabari, sarada, sruthy, and triruvathira. See also sections 13.120 to 13.126 on pages 525–528.
\mtcselectlanguage{malayalam-b}
13.120 “Malayalam-keli” language: malayalam-keli.mld
The titles for the “malayalam-keli” language, with the “Keli” fonts, are taken from the malayalam package [4] by A.J. Alex. This language requires specific fonts. See also sections 13.119 on the page before and 13.121 to 13.126 on pages 525–528.
% Malayalam: Keli fonts
\def\ptctitle{\X{<68>}\X{<197>}\X{<83>}\X{<161>}\X{<119>}
\def\plttitle{\X{<78>\X{<110>}\X{<123>\X{<88>}\X{<167>}\X{<196>}
\def\mtctitle{\X{<68>}\X{<197>}\X{<83>}\X{<161>}\X{<119>}
\def\mlltitle{\X{<78>\X{<110>}\X{<123>\X{<88>}\X{<167>}\X{<196>}
\def\stctitle{\X{<68>}\X{<197>}\X{<83>}\X{<161>}\X{<119>}
\def\slltitle{\X{<78>\X{<110>}\X{<123>\X{<88>}\X{<167>}\X{<196>}
\def\slltitle{\X{<116>\X{<83>}\X{<95>\X{<110>}\X{<102>\X{<112>}\X{<73>}\X{<196>}}
13.121 “Malayalam-keli2” language: malayalam-keli2.mld
The titles for the “malayalam-keli2” language are taken from the malayalam package [4] by A.J. Alex. This language requires specific fonts (keli second variant). See also sections 13.119 to 13.120 on pages 524–525 and 13.122 to 13.126 on pages 526–528.
% Keli fonts (mk1)
\def\ptctitle{\X{<68>}\X{<197>}\X{<83>}\X{<161>}\X{<119>}
\def\plttitle{\X{<78>\X{<111>}\X{<125>\X{<88>}\X{<186>}\X{<179>}
\def\mtctitle{\X{<68>}\X{<197>}\X{<83>}\X{<161>}\X{<119>}
\def\mlltitle{\X{<78>\X{<111>}\X{<125>\X{<88>}\X{<186>}\X{<179>}
\def\stctitle{\X{<68>}\X{<197>}\X{<83>}\X{<161>}\X{<119>}
\def\slltitle{\X{<78>\X{<111>}\X{<125>\X{<88>}\X{<186>}\X{<179>}}
\def\slltitle{\X{<116>\X{<83>}\X{<95>\X{<110>}\X{<102>\X{<112>}\X{<73>}\X{<196>}}
13.122 “Malayalam-mr” language: malayalam-mr.mld
The titles for the “malayalam-mr” language are taken from the malayalam package [4] by A.J. Alex. This language requires specific fonts (traditional rachana). See also sections 13.119 to 13.121 on pages 524–525 and 13.123 to 13.126 on pages 526–528.
\ProvidesFile{malayalam-mr.mld}[2007/12/04]
% mr fonts (rachana: mr1, ..., mr6)
\def\ptctitle{\X{<68>}\X{<201>}\X{<83>}\X{<183>}\X{<119>}
\def\plttitle{\X{<78>}\X{<111>}\X{<125>\X{<88>}\X{<186>}\X{<179>}
\def\pltttitle{\X{<117>\X{<83>}\X{<95>\X{<111>}\X{<106>\X{<113>}\X{<73>}\X{<179>}
\def\mtctitle{\X{<68>}\X{<201>}\X{<83>}\X{<183>}\X{<119>}
\def\mlftitle{\X{<78>}\X{<111>}\X{<125>\X{<88>}\X{<186>}\X{<179>}
\def\mlttitle{\X{<117>\X{<83>}\X{<95>\X{<111>}\X{<106>\X{<113>}\X{<73>}\X{<179>}
\def\stctitle{\X{<68>}\X{<201>}\X{<83>}\X{<183>}\X{<119>}
\def\slltitle{\X{<78>}\X{<111>}\X{<125>\X{<88>}\X{<186>}\X{<179>}
\def\slltitle{\X{<117>\X{<83>}\X{<95>\X{<111>}\X{<106>\X{<113>}\X{<73>}\X{<179>}}
13.123 “Malayalam-omega” language:
malayalam-omega.ml [d|o]
This is the Malayalam language implementation “malayalam-omega” based on Lambda (Λ) (the version of LATEX for Omega) via the omal package [5] (by A.J. Alex) of the Malayalam-Omega project\footnote{http://Sarovar.org/projects/malayalam}. As the titles contain characters in a special encoding, we must load a .mlo file. A lot of fonts are available via options of the omal package. See also sections 13.119 to 13.122 on pages 524–526 and 13.124 to 13.126 on pages 527–528.
\ProvidesFile{malayalam-omega.mld}[2007/12/04]\mtcloadmlo{malayalam-omega}%
% from omal.sty (Alex A.J. email@example.com)
13.124 “Malayalam-rachana” language:
malayalam-rachana.mld
The titles for the “malayalam-rachana” language, with the traditional “Rachana” fonts (old lipi), are taken from the malayalam package [4] by A.J. Alex. This language requires specific fonts. See also sections 13.119 to 13.123 on pages 524–526 and 13.125 to 13.126 on pages 527–528.
13.125 “Malayalam-rachana2” language: malayalam-rachana2.mld
The titles for the “malayalam-rachana2” language, with the reformed “Rachana” fonts (new lipi), are taken from the malayalam package [4] by A.J. Alex. This language requires specific fonts. See also sections 13.119 to 13.124 on pages 524–527 and 13.126 on the following page.
13.126 “Malayalam-rachana3” language: malayalam-rachana3.mld
The titles for the “malayalam-rachana3” language are taken from the malayalam package [4] by A.J. Alex. This language requires specific fonts (rachana). See also sections 13.119 to 13.125 on pages 524–527.
13.127 “Manju” language: manju.mld
The “manju” language is a synonym for “bithe”, so we just load bithe.mld (see section 13.24 on page 481):
(*manju*)
\ProvidesFile{manju.mld}[2005/11/16]\mtcselectlanguage{bithe}%
(/malayalam-rachana3)
13.128 “Mexican” language: mexican.mld
The titles for the “mexican” language (español mexicano) are taken from the mexican.ldf file (by Luis Rivera) in http://mirror.ctan.org/language/spanish/nonstandard/mx/. Mexican is a spanish (castillian) dialect. The title of the parttoc is shorter for articles. See also section 13.172 on page 550.
(*mexican*)
\ProvidesFile{mexican.mld}[2008/04/03]%
%% Spanish titles (from mexican.ldf) Rivera, Luis (firstname.lastname@example.org)
\expandafter\ifx\csname chapter\endcsname\relax
\def\ptctitle{\'Indice} \else \def\ptctitle{\'Indice general} \fi % <----
\def\plttitle{\'Indice de figuras}%
\def\plttitle{\'Indice de tablas}%
\def\mtctitle{\'Indice}%
\def\mlftitle{\'Indice de figuras}%
\def\mlftitle{\'Indice de tablas}%
\def\stctitle{\'Indice}%
\def\slftitle{\'Indice de figuras}%
\def\slftitle{\'Indice de tablas}%
(/mexican)
13.129 “Meyalu” language: meyalu.mld
The “meyalu” language is just like “bahasam”, so we just load bahasam.mld (see section 13.17 on page 478):
\mtcselectlanguage{meyalu}
\ProvidesFile{meyalu.mld}[2006/01/13]\mtcselectlanguage{bahasam}%
13.130 “Mongol” language: mongol.mld
The titles for the “mongol” language are taken from the MonTeX package [137, 140] (by Oliver Corff and Dorjpalam Doku). This language requires specific fonts. See also sections 13.21 to 13.24 on pages 479–481, 13.31 to 13.32 on pages 484–485, and 13.190 to 13.192 on pages 557–558.
\mnr
\ProvidesFile{mongol.mld}[1999/03/16]
%% Mongol (xalx) titles. Needs mongol fonts
\def\ptctitle{\mnr Garqiq}
\def\plftitle{\mnr Zurgi"in jagsaalt}
\def\pltttitle{\mnr X"usn"agti"in jagsaalt}
\def\mtctitle{\mnr Garqiq}
\def\mlftitle{\mnr Zurgi"in jagsaalt}
\def\mltttitle{\mnr X"usn"agti"in jagsaalt}
\def\stctitle{\mnr Garqiq}
\def\slltitle{\mnr Zurgi"in jagsaalt}
\def\slltttitle{\mnr X"usn"agti"in jagsaalt}
13.131 “Mongolb” language: mongolb.mld
This is an other variant for the mongolian titles, taken from the mongolian.dtx file [26] (by Dorjgotov Batmunkh) for the babel package [60, 61] (hence the final “b” in “mongolb”).
\cyr
The titles for the “mongolb” language use cyrillic characters and the X2 and T2 encodings and are derived from the russianb.dtx file (by Olga G. Lapko, Vladimir Volovich and Werner Lemberg).
13.132 “Mongolian” language: mongolian.mld
\mtcselectlanguage{mongolb}
This is an other name for the “mongolb” language, because the babel package [60, 61] uses the name “mongolian”. We just load mongolb.mld. See section 13.131 on the preceding page.
\mtcselectlanguage{mongolb}
13.133 “Naustrian” language: naustrian.mld
The “naustrian” language is a synonym of the “ngermanb” language (a revised version of the germanb variant of the german language), so we just load the ngermanb.mld file. See also section 13.136 on the next page.
\mtcselectlanguage{naustrian}
\ProvidesFile{naustrian.mld}[2004/12/14]\mtcselectlanguage{ngermanb}%
\end{mtcselectlanguage}
13.134 “Newzealand” language: newzealand.mld
The “newzealand” language is just like “english”, so we just load english.mld (section 13.45 on page 490):
\mtcselectlanguage{newzealand}
\ProvidesFile{newzealand.mld}[2006/01/11]\mtcselectlanguage{english}%
\end{mtcselectlanguage}
13.135 “Ngerman” language: ngerman.mld
The “ngerman” language is a synonym of the “ngermanb” language \footnote{A revised version of the germanb variant of the german language.}, so we just load the ngermanb.mld file. See also section 13.136 on the next page.
\mtcselectlanguage{ngerman}
\ProvidesFile{ngerman.mld}[2004/12/14]\mtcselectlanguage{ngermanb}%
\end{mtcselectlanguage}
13.136 “Ngermanb” language: ngermanb.mld
The titles for the “ngermanb” language \footnote{A variant of the german language, with revised spelling.} are taken from the file ngermanb.dtx file (by Bernd Raichle and Walter Schmidt) in the babel package [60, 61, 91]. See also sections 13.133 on the preceding page, and 13.135 on the page before.
13.137 “Ngermanb2” language: ngermanb2.mld
The titles for the “ngermanb2” language (revised spelling and short titles) are taken from the ngermanb.dtx file (by Bernd Raichle and Walter Schmidt) in the babel package [60, 61, 91], and abbreviated. See also section 13.136.
13.138 “Norsk” language: norsk.mld
The titles for the “norsk” language (or bokmål, “language of the kingdom”) are taken from the norsk.dtx file (by Johannes L. Braams, Håvard Helstrup, Alv Kjetil Holme, Per Steinar Iversen, Terje Engeset Petterst and Rune Kleveland) in the babel package [58, 60, 61], with help from Dag Langmyhr. See also section 13.140 on the next page.
13.139 “Norsk2” language: norsk2.mld
The titles for the “norsk2” language (or *bokmål*, “language of the kingdom”) are taken from the babel package [58, 60, 61], with help from Dag Langmyhr, and abbreviated.
(*norsk2)
\ProvidesFile{norsk2.mld}[2005/09/27]
% Short norsk titles. Thanks to Dag Langmyhr (email@example.com)
\def\ptctitle{Innhold}
\def\plftitle{Figurliste}
\def\plttitle{Tabelliste}
\def\mtctitle{Innhold}
\def\mlftitle{Figurliste}
\def\mlttitle{Tabelliste}
\def\stctitle{Innhold}
\def\slltitle{Figurliste}
\def\sllttitle{Tabelliste}
13.140 “Nynorsk” language: nynorsk.mld
The titles for the “nynorsk” language\footnote{Created around 1800 by Ivar Åsén to make a real independent and national norwegian language, in reaction to danish, from the various dialects spoken in the country. But nynorsk has never gained much popularity outside rural regions.} are taken from the norsk.dtx file (by Johannes L. Braams, Håvard Helstrup, Alv Kjetil Holme, Per Steinar Iversen, Terje Engeset Petterst and Rune Kleveland) in the babel package [58, 60, 61], with help from Dag Langmyhr. See also section 13.138 on the preceding page.
(*nynorsk)
\ProvidesFile{nynorsk.mld}[2006/01/13]
% Nynorsk titles from norsk.dtx (babel). Braams, Johannes-L. & Helstrup, Haavard
% & Holme, Alv Kjetil & Iversen, Per Steinar & Petterst, Terje Engeset
13.141 “Nynorsk2” language: nynorsk2.mld
The titles for the “nynorsk2” language are variants of the titles of the “nynorsk” language. See also section 13.140.
(*nynorsk2)
ProvidesFile{nynorsk.mld}[1999/03/16]%
%% Nynorsk titles. Thanks to Dag Langmyhr (firstname.lastname@example.org)
\def\mttitle{Innhald}%
\def\mlftitle{Figurliste}%
\def\mlttitle{Tabelliste}%
\def\ptctitle{Innhald}%
\def\plftitle{Figurliste}%
\def\plttitle{Tabelliste}%
\def\stctitle{Innhald}%
\def\slltitle{Figurliste}%
\def\sllttitle{Tabelliste}%
13.142 “Occitan” language: occitan.mld
The occitan language\(^{42}\) is still spoken in the south of France, from Limoges (Lètmòges), Bordeaux (Bordèu) and Toulouse (Tolosa\(^{43}\)) to Marseille (Marselha) and Nice (Niça), with many local variants. This bilingual street sign in Toulouse (Tolosa), like many such signs found in historical parts of the city, is maintained primarily for its antique charm; it is typical of what little remains of the “lenga d’oc” in southern French cities. See also http://www.orbilat.com/Maps/Occitan/Occitan.gif. See also [122].
\(^{42}\)I used the site http://www.panoccitan.org/diccionari.aspx for the translations.
\(^{43}\)Per Tolosa toijorn mai!
13.143 “Occitan2” language: occitan2.mld
The `occitan2` language provides an example of variants for the occitan titles.
```latex
\ProvidesFile{occitan2.mld}[2008/04/03]
% Occitan titles (variants)
\def\ptctitle{Taula dels ensenhadors}
\def\plttitle{Lista de las figuras}
\def\mtctitle{Taula dels ensenhadors}
\def\mlftitle{Lista de las figuras}
\def\stctitle{Taula dels ensenhadors}
\def\slltitle{Lista de las figuras}
```
13.144 “Polish” language: polish.mld
The titles for the “polish” language (\textit{język polski}) are taken from the `polish.dtx` file (by Elmar Schalück and Michael Janich) in the babel package \cite{60, 61, 96}. See also sections 13.145 to 13.146 on pages 536–537.
```latex
\ProvidesFile{polish.mld}[2007/12/18]
% Polish titles from polish.dtx (babel). Schalück, Elmar & Janich, Michael
\def\ptctitle{Spis tre' scil}
\def\plttitle{Spis rysunk'ow}
\def\mtctitle{Spis tre' scil}
\def\mlftitle{Spis rysunk'ow}
```
13.145 “Polish2” language: polish2.mld
The titles for the “polish2” language\textsuperscript{44} are taken from the \texttt{omega-polish.ldf} (by Alexej M. Kryukov and Dmitry Ivanov) in the Antomega project [272]. See also sections 13.144 and 13.146 on the next page.
13.146 “Polski” language: polski.mld
The titles for the “polski” language (variant for polish) are taken from the \texttt{polski.dtx} file (by Mariusz Olko and Marcin Woliński) in the polski package [357, 463]. See also sections 13.144 to 13.145 on the preceding page.
\textsuperscript{44}“Polish2” is a variant of “polish”.
13.147 “Portuges” language: portuges.mld
The name “portuges” is another spelling for “portuguese” (see section 13.148), so we just load portuguese.mld:
\ProvidesFile{portuges.mld}[2005/06/07]\mtcselectlanguage{portuguese}
13.148 “Portuguese” language: portuguese.mld
The titles for the “portuguese” language (português) are taken from the portuges.dtx file (by Jose Pedro Ramalhete) in the babel package [60, 61, 92]. The portuguese language is spoken in Portugal (with the islands of Azores and Madeira), in Brazil, and in former portuguese colonies like Angola, Guinea-Bissau, Mozambique, Cape Verde Islands, São Tomé and Príncipe Islands, East Timor, and some old trading posts like Macao and Goa. See also section 13.25 on page 481, because the titles are different in Brazil, even if the language is also portuguese.
\ProvidesFile{portuguese.mld}[2006/01/13]
% Portuguese titles from portuges.dtx (babel).
% Ramalhete, Jose Pedro
\def\ptctitle{Conteúdo}
\def\plftitle{Lista de Figuras}
\def\pltttitle{Lista de Tabelas}
\def\mtctitle{Conteúdo}
\def\mlftitle{Lista de Figuras}
\def\mltttitle{Lista de Tabelas}
\def\stctitle{Conteúdo}
\def\slftitle{Lista de Figuras}
\def\sltttitle{Lista de Tabelas}
13.149 “Romanian” language: romanian.mld
The titles for the “romanian” language (română) come from the romanian.dtx file (by Umstatter Horst and Robert Juhasz) in the babel package [60, 61, 78]. See also sections 13.150 to 13.151 on pages 538–539.
\ProvidesFile{romanian.mld}[2006/01/13]
%% Romanian titles from romanian.dtx (babel).
\def\ptctitle{Cuprins}
\def\plftitle{Listă de figuri}
\def\pltttitle{Listă de tabele}
\def\mtctitle{Cuprins}
\def\mlftitle{Listă de figuri}
\def\mltttitle{Listă de tabele}
13.150 “Romanian2” language: romanian2.mld
The titles for the “romanian2” language come from the romanian.dtx file (by Adrian Rezuș and Bernd Raichle) in the RomanianTeX package [397]. See also sections 13.149 and 13.151 on the following page. Alas, RomanianTeX is not compatible with the babel package [60, 61].
\ProvidesFile{romanian2.mld}[2006/08/03]
%% Titles in RomanianTeX (romanian.dtx). Adrian Rezus (email@example.com), Bernd Raichle (firstname.lastname@example.org)
\def\ptctitle{Cuprins}
\def\plftitle{Lista de figuri}
\def\pltttitle{Lista de tabele}
\def\mtctitle{Cuprins}
\def\mlftitle{Lista de figuri}
\def\mltttitle{Lista de tabele}
\def\stctitle{Cuprins}
\def\siftitle{Lista de figuri}
\def\sittitle{Lista de tabele}
13.151 “Romanian3” language: romanian3.mld
The titles for the “romanian3” language come from the romanian.dtx file (by Adrian Rezuș and Bernd Raichle) in the RomanianTeX package [397]. See also sections 13.149 to 13.150 on the page before. Alas, RomanianTeX is not compatible with the babel package [60, 61].
\ProvidesFile{romanian3.mld}[2006/08/03]
\% Romanian titles from RomanianTeX (romanian.dtx) variant.
\% Adrian Rezuș (email@example.com)
\% Bernd Raichle (firstname.lastname@example.org)
\def\ptctitle{Tabla de materii}
\def\plttitle{Indice de figuri}
\def\sltttitle{Tabele}
\def\mtctitle{Tabla de materii}
\def\mltttitle{Indice de figuri}
\def\mlltttitle{Tabele}
\def\stctitle{Tabla de materii}
\def\slltttitle{Indice de figuri}
\def\slltttitle{Tabele}
13.152 “Russian” language: russian.mld
The titles for the “russian” language (ruskiy yazyk) are taken from the babel package [60, 61]. Specific cyrillic fonts are required.
\ProvidesFile{russian.mld}[1999/03/16]
\% Russian titles
\def\ptctitle{Oglavlenie}
\def\plttitle{Pere{\cz}en{\mz} risunkov}
\def\pltttitle{Pere{\cz}en{\mz} tablic}
\def\mtctitle{Oglavlenie}
\def\mltttitle{Pere{\cz}en{\mz} risunkov}
\def\mlltttitle{Pere{\cz}en{\mz} tablic}
\def\stctitle{Oglavlenie}
\def\slltttitle{Pere{\cz}en{\mz} risunkov}
\def\slltttitle{Pere{\cz}en{\mz} tablic}
13.153 “Russian2m” language: russian2m.mld
The titles for the “russian2m” language (“russian2m” is a modern variant of “russian”) are taken from the russian2m.ldf file (by Alexej M. Kryukov and Dmitry Ivanov) in the Antomega project [272]. Specific cyrillic fonts are required. See also section 13.152 on the preceding page.
\ProvidesFile{russian2m.mld}[2005/02/08]
% from russian2m.ldf (Antomega project, russian modern)
% Needs Omega and cyrillic fonts. Alexej M. Kryukov & Dmitry Ivanov
\def\ptctitle{\localrussian%
{^^^^041e^^^^043a^^^043b^^^0430^^^0432^^^043b^^^0435^^^043d^^^0438^^^0435}}
\def\plttitle{\localrussian%
{^^^^0421^^^043f^^^0438^^^0441^^^043e^^^043a ^^0438^^^043b%
^^^043b^^^044e^^^0441^^^0442^^^0440^^^0430^^^0446^^^0438^^^0439}}
\def\pltttitle{\localrussian%
{^^^^0421^^^043f^^^0438^^^0441^^^043e^^^043a ^^0442^^^0430%
^^^0431^^^043b^^^0438^^^0446}}
\def\mtctitle{\localrussian%
{^^^^041e^^^^043a^^^043b^^^0430^^^0432^^^043b^^^0435^^^043d^^^0438^^^0435}}
\def\mlftitle{\localrussian%
{^^^^0421^^^043f^^^0438^^^0441^^^043e^^^043a ^^0438^^^043b%
^^^043b^^^044e^^^0441^^^0442^^^0440^^^0430^^^0446^^^0438^^^0439}}
\def\mlftitle{\localrussian%
{^^^^0421^^^043f^^^0438^^^0441^^^043e^^^043a ^^0442^^^0430%
^^^0431^^^043b^^^0438^^^0446}}
\def\stctitle{\localrussian%
{^^^^041e^^^^043a^^^043b^^^0430^^^0432^^^043b^^^0435^^^043d^^^0438^^^0435}}
\def\slltitle{\localrussian%
{^^^^0421^^^043f^^^0438^^^0441^^^043e^^^043a ^^0438^^^043b%
^^^043b^^^044e^^^0441^^^0442^^^0440^^^0430^^^0446^^^0438^^^0439}}
\def\slltitle{\localrussian%
{^^^^0421^^^043f^^^0438^^^0441^^^043e^^^043a ^^0442^^^0430%
^^^0431^^^043b^^^0438^^^0446}}
13.154 “Russian2o” language: russian2o.mld
The titles for the “russian2o” language (“russian2o” is an old variant of “russian”) are taken from the omega-russian.ldf file (by Alexej M. Kryukov and Dmitry Ivanov) in the Antomega project [272]. Specific cyrillic fonts are required. See also section 13.152 on page 539.
\ProvidesFile{russian2o.mld}[2005/02/08]
% from russian2o.mld (Antomega project - russian old)
13.155 “Russianb” language: russianb.mld
The titles for the “russianb” language (“russianb” is a variant of “russian”) are taken from the russianb.dtx file (by Olga G. Lapko, Vladimir Volovich, Werner Lemberg, and Irina A. Makhovaya) in the babel package [60, 61, 84, 286]. Specific cyrillic fonts are required. See also section 13.152 on page 539. The parttoc title varies depending on the presence of chapters defined or not by the document class.
\ProvidesFile{russianb.mld}[2006/02/15]
% Russian (russianb) titles from russianb.dtx (babel)
% Lapko, Olga & Volovitch, Vladimir & Lemberg, Werner
\expandafter\ifx\csname chapter\endcsname\relax
\def\ptctitle{%
{\cyr\CYRS\cyro\cyrd\cyre\cyrr\cyrzh\cyra\cyrn\cyri\cyre}%
\else\def\ptctitle{%
{\cyr \CYRO\CYRg\CYRl\CYRA\CYRv\CYRl\CYRe\CYRn\CYRi\CYRe}}%
\fi
\def\plttitle{%
{\cyr \CYRS\CYRp\CYRi\CYRs\CYRO\CYRk\space
\CYRi\CYRl\CYRl\CYRyu\CYRs\CYRt\CYRr\CYRr\CYRa\CYRc\CYRi\CYRishrt}}%
\def\pltttitle{%
{\cyr \CYRS\CYRp\CYRi\CYRs\CYRO\CYRk\space
\CYRi\CYRl\CYRl\CYRyu\CYRs\CYRt\CYRr\CYRr\CYRa\CYRc\CYRi\CYRishrt}}%
13.156 “Russianc” language: russianc.mld
The titles for the “russianc” language (“russianc” is a variant of “russian”, used in the part of Mongolia under russian influence) are taken from the file russian.def in the \LaTeX\ package [137, 140]. Specific cyrillic fonts are required. See also section 13.152 on page 539.
\ProvidesFile{russianc.mld}[1999/03/16]
% Russian titles (Mongolia). Needs cyrillic fonts.
\def\ptctitle{\xalx{Oglawlenie}}
\def\plftitle{\xalx{Spisok risunkow}}
\def\pltttitle{\xalx{Spisok tablic}}
%
\def\mtctitle{\xalx{Soderjanie}}
\def\mlftitle{\xalx{Spisok risunkow}}
\def\mltttitle{\xalx{Spisok tablic}}
\def\stctitle{\xalx{Soderjanie}}
\def\sllftitle{\xalx{Spisok risunkow}}
\def\slltttitle{\xalx{Spisok tablic}}
13.157 “Russian-cca” language: russian-cca.ml[d|o]
They are several variants for the russian titles with the cmcyralt fonts. The titles for a first variant of the “russian-cca” are taken from the russian.sty (by Victor Boyko and Vadim Maslov) file in the cmcyralt package [53].
The titles for the “russian-cca” language contain characters that cannot be easily generated, hence we load russian-cca.mlo.
\ProvidesFile{russian-cca.mld}[2006/03/08]
\mtcloadmlo{russian-cca}
Russian-cca titles. From russian.sty in the cmcyralt package
Vadim Maslov (email@example.com) & Victor Boyko (firstname.lastname@example.org)
Needs cmcyralt fonts and special input encoding.
13.158 “Russian-cca1” language: russian-cca1.ml[d|o]
They are several variants for the russian titles with the cmcyralt fonts. The titles for the “russian-cca1” language are taken from the cmcyralt.sty file (by Vadim Maslov, Alexander Harin and Vadim V. Zhytnikov) in the cmcyralt package[222].
The titles for the “russian-cca1” language contain characters that cannot be easily generated, hence we load russian-cca1.mlo.
\ProvidesFile{russian-cca1.mld}[2006/03/08]
\mtcloadmlo{russian-cca1}
Russian-cca1 titles. From cmcyralt.sty in the cmcyralt package
with cmcyr fonts in alt encoding.
Vadim Maslov (email@example.com) & Alexander Harin (firstname.lastname@example.org)
& Vadim V. Zhytnikov (email@example.com)
13.159 “Russian-lh” language: russian-lh.ml[d|o]
The russian titles for the LH fonts (“russian-lh” language) are taken from the russian.sty file (by Sergei O. Naumov) in the LH package [342].
The titles for the “russian-lh” language contain characters that cannot be easily generated, hence we load russian-lh.mlo.
\ProvidesFile{russian-lh.mld}[2006/03/08]
\mtcloadmlo{russian-lh}
Russian-lh titles from russian.sty in the LH package
LH fonts in special encoding. By Sergei O. Naumov (firstname.lastname@example.org)
13.160 “Russian-lhcyralt” language:
russian-lhcyralt.ml[d|o]
The Russian titles for the LHCYRALT fonts (“russian-lhcyralt” language) are taken from the lhcyralt.sty file (by Vadim V. ZHYTNIKOV) in the lhcyr package [487].
\mtcloadmlo The titles for the “russian-lhcyralt” language contain characters that cannot be easily generated, hence we load russian-lhcyralt.mlo. The input encoding is ALT (code page CP866).
9791 (*russian-lhcyralt)
9792 \ProvidesFile{russian-lhcyralt.mld}[2006/03/10]\mtcloadmlo{russian-lhcyralt}%
9793 %% Russian-lhcyralt titles from lhcyralt.sty in the LHCYR package
9794 %% LHCYRALT fonts in special encoding ALT (CP866).
9795 %% Vadim V. Zhytnikov (email@example.com)
9796 (/russian-lhcyralt)
13.161 “Russian-lhcyrkoi” language:
russian-lhcyrkoi.ml[d|o]
The Russian titles for the LHCYRKOI fonts (“russian-lhcyrkoi” language) are taken from the lhcyrkoi.sty file (by Vadim V. ZHYTNIKOV) in the lhcyr package [487].
\mtcloadmlo The titles for the “russian-lhcyrkoi” language contain characters that cannot be easily generated, hence we load russian-lhcyrkoi.mlo. The input encoding is KOI-8.
9797 (*russian-lhcyrkoi)
9798 \ProvidesFile{russian-lhcyrkoi.mld}[2006/03/13]\mtcloadmlo{russian-lhcyrkoi}%
9799 %% Russian-lhcyrkoi titles from lhcyrkoi.sty in the LHCYR package
9800 %% LHCYRKOI fonts in special encoding KOI-8. Vadim V. Zhytnikov (firstname.lastname@example.org)
9801 (/russian-lhcyrkoi)
13.162 “Russian-lhcyrwin” language:
russian-lhcyrwin.ml[d|o]
The Russian titles for the LHCYRWIN fonts (“russian-lhcyrwin” language) are taken from the lhcyrwin.sty file (by Vadim V. ZHYTNIKOV) in the lhcyr package [487].
\mtcloadmlo The titles for the “russian-lhcyrwin” language contain characters that cannot be easily generated, hence we load russian-lhcyrwin.mlo. The input encoding is CP1251.
13.163 “Samin” language: samin.mld
The titles for the “samin” language come from the samin.dtx file (by Regnor Jernsletten) in the babel package [60, 61, 79]. Specific fonts are required. Note that several Sámi dialects/languages are spoken in Finland, Norway, Sweden, and on the Kola Peninsula (Russia). The alphabets differ, so there will eventually be a need for more .dtx files for, e.g., Lule and South Sámi. Hence the (artificial) name samin.dtx (and not sami.dtx or the like) in the North Sámi case\footnote{Adapted from the samin.dtx file.}. These dialects and languages are part of the Finnic group. See also http://en.wikipedia.org/wiki/Sápmi_(area).
13.164 “Scottish” language: scottish.mld
The titles for the “scottish” language (gaelic scottish, gàidhlig) come from the scottish.dtx file (by Fraser Grant) in the babel language [60, 61, 76]:
\ProvidesFile{scottish.mld}[2007/12/18]%
\def\ptctitle{Cl\textbackslash ar-obrach}%
\def\plttitle{Liosta Chl\textbackslash ar}%
\def\mtctitle{Cl\textbackslash ar-obrach}%
\def\mlftitle{Liosta Dhealbh}%
\ProvidesFile{samin.mld}[2006/01/13]%
\def\ptctitle{Sisdoallu}%
\def\plttitle{Govvosat}%
\def\mtctitle{Sisdoallu}%
\def\mlftitle{Govvosat}%
\def\mlttitle{Tabeallat}%
\def\stctitle{Sisdoallu}%
\def\slltitle{Govvosat}%
\def\slltitle{Tabeallat}%
\ProvidesFile{russian-lhcyrwin.mld}[2006/03/13]\mtcloadmlo{russian-lhcyrwin}%
\% Russian titles from lhcyrwin.sty in the LHCYR package
\% LHCYRWIN fonts in encoding CP1251. Vadim V. Zhytnikov (email@example.com)
13.165 “Serbian” language: serbian.mld
The titles for the “serbian” (serbocroatian) (\textit{srpski jezik, srpskohrvatski jezik}) language are taken from the \texttt{serbian.dtx} file (by Dejan Muhamedagić and Jankovic Slobodan) in the babel package [60, 61, 88]. Serbocroatian is spoken by Serbs, Croats and Chernogors, but only Serbs and Chernogors use the cyrillic alphabet (a variant). See also section 13.166 on the following page.
\begin{verbatim}
\ProvidesFile{serbian.mld}[2006/01/13]
% Serbian titles in serbian.dtx (babel). Muhamedagić, Dejan & Slobodan, Jankovic
\def\ptctitle{Sadržaj}
\def\plttitle{Slike}
\def\tabtitle{Tabele}
\def\mtctitle{Sadržaj}
\def\mlftitle{Slike}
\def\mltitle{Tabele}
\def\stctitle{Sadržaj}
\def\slltitle{Slike}
\def\slltitle{Tabele}
\end{verbatim}
13.166 “Serbianc” language: serbianc.mld
The titles for the “serbianc” language have been gently provided by Marko Ćehaja and Frank Küster. Cyrillic fonts are required. Serbocroatian is spoken by Serbs, Croats and Chernogors, but only Serbs and Chernogors use the cyrillic alphabet (a variant). See also section 13.165 on the page before.
\footnote{The “serbianc” language is written with cyrillic characters.}
13.167 “Slovak” language: slovak.mld
The titles for the “slovak” language (slovenčina, slovenký jazyk) are taken from the slovak.dtx file (Jana Chlebíková and Tobias Schlemmer) in the babel package [60, 61, 72].
13.168 “Slovene” language: slovene.mld
The slovene language (slovenščina, slovenski jezik) is spoken in Slovenia, but somewhat also in Italy (Frioul), in Austria (Carinthia and Styria), in Hungary (Szlovénviéck and Porabje), in West Germany and Sweden. The titles for the “slovene” language come from the slovene.dtx file (by Danilo Zavrtanik and Leon Žlajpah) in the babel package [60, 61, 102].
13.169 “Spanish” language: spanish.mld
The titles for the “spanish” (español, castellano) language are taken from the spanish.dtx file (by Javier Bezos, initially by Julio Sánchez) in the babel package [48, 60, 61]. Note that the “spanish” language is in fact “castillan” (see section 13.35 on page 486). But note also that other languages are spoken in Spain: “basque” (section 13.19 on page 479), “catalan” (section 13.37 on page 486), and “galician” (section 13.66 on page 499). Note that “spanish2” is a version of “spanish” with shorter titles (see section 13.170 on the following page). And “spanish3” (see section 13.171 on the next page) is a version for the Antomega [272] project; some titles are different. And “spanish4” is a variant of “spanish” where \ptctitle is shorter for articles (section 13.172 on page 550).
(*spanish)
ProvidesFile{spanish.mld}[2008/04/03]
% Spanish titles from spanish.dtx (babel) by Bezos, Javier & CervanTeX
\expandafter\ifx\csname chapter\endcsname\relax
\def\ptctitle{\'Indice}\else\def\ptctitle{\'Indice general}\fi
\def\plttitle{\'Indice de figuras}
\def\plttitle{\'Indice de tablas}%
%
\def\mtctitle{\'Indice}%
\def\mlftitle{\'Indice de figuras}%
\def\mlftitle{\'Indice de tablas}%
\def\stctitle{\'Indice}%
\def\sftitle{\'Indice de figuras}%
\def\sftitle{\'Indice de tablas}%
/spanish
13.170 “Spanish2” language: spanish2.mld
The titles for the “spanish2” language are taken from the spanish.dtx file in the babel package [48, 60, 61], but made shorter for chapter and section levels. See section 13.169 on the page before.
\begin{verbatim}
(*spanish2)
\ProvidesFile{spanish2.mld}[2008/04/03]%
\def\ptctitle{\textit{Indice general}}%
\def\plftitle{\textit{Indice de figuras}}%
\def\pltttitle{\textit{Indice de tablas}}%
\def\mtctitle{Contenido}%
\def\mlftitle{Figuras}%
\def\mltttitle{Tablas}%
\def\stctitle{Contenido}%
\def\slltitle{Figuras}%
\def\slltttitle{Tablas}%
\end{verbatim}
13.171 “Spanish3” language: spanish3.mld
\begin{verbatim}
(*spanish3)
\ProvidesFile{spanish3.mld}[2005/09/06]%
%% Spanish titles from omega-spanish.ldf of the Antomega project.
\def\ptctitle{\localspanish{Indice general}}%
\def\plftitle{\localspanish{Indice de figuras}}%
\def\pltttitle{\localspanish{Indice de cuadros}}%
\def\mtctitle{\localspanish{Indice general}}%
\def\mlftitle{\localspanish{Indice de figuras}}%
\def\mltttitle{\localspanish{Indice de cuadros}}%
\def\stctitle{\localspanish{Indice general}}%
\def\slltitle{\localspanish{Indice de figuras}}%
\def\slltttitle{\localspanish{Indice de cuadros}}%
\end{verbatim}
13.172 “Spanish4” language: spanish4.mld
The titles for the “spanish4” language are taken from the spanish.dtx file (by Javier Bezos) from the CervanTeX package [47]. The title of the parttoc is shorter for articles. See also section 13.169 on page 548.
13.173 “Swahili” language: swahili.mld
The titles for the “swahili” language (kiswahili) are taken from the obsolete swahili.tex file\textsuperscript{47}, with adaptations and corrections given on the comp.text.tex news group (messages 57662, 57713, and 57717) by Giancarlo Bassi and Enrico Gregorio. Swahili is the main Bantu language and is spoken in East Africa: Tanzania, Kenya, Uganda, Rwanda, Burundi, Zanzibar and in the area of the Great Lakes in the Democratic Republic of Congo (Congo-Kinshasa, formerly Zaire) and in the Republic of Congo (Congo-Brazzaville), in the north of Mozambique and the south of Somalia\textsuperscript{48}. See [135, page 991].
\begin{verbatim}
(*swahili)
\ProvidesFile{swahili.mld}[2007/07/02]
%% Swahili titles from swahili.tex in articles: 57662,57713,57717
%% in comp.text.tex by Giancarlo Bassi <firstname.lastname@example.org>
%% & Enrico Gregorio <email@example.com>
\def\ptctitle{Yaliyomo}%
\def\plftitle{Picha zilizomo}%
\def\pltttitle{Orodha ya Mfano}%
\def\mtctitle{Yaliyomo}%
\def\mlftitle{Picha zilizomo}%
\def\mltttitle{Orodha ya Mfano}%
\def\stctitle{Yaliyomo}%
\def\slltitle{Picha zilizomo}%
\def\slltttitle{Orodha ya Mfano}%
(/swahili)
\end{verbatim}
\textsuperscript{47}http://mirror.ctan.org/obsolete/macros/latex209/contrib/ml/swahili.tex
\textsuperscript{48}See http://www.tlfq.ulaval.ca/AXL/monde/swahili.htm, http://www.tlfq.ulaval.ca/axl/afrique/czaire.htm in [294], http://www.gicom.com/hassan/swahili_history.html, and http://www.omniglot.com/writing/swahili.htm.
13.174 “Swedish” language: swedish.mld
The titles for the “swedish” (svenska) language come from the swedish.dtx file (by Sten Hellman and Erik Östhols, with a correction by Jan Michael Rynning) in the babel package [60, 61, 77]. The swedish language is spoken in Sweden and in some regions of Finland like the Åland Islands. See also section 13.175.
\ProvidesFile{swedish.mld}[2006/01/13]
\def\ptctitle{Inneh\csname aa\endcsname l}
\def\plttitle{Figurer}
\def\lttitle{Tabeller}
\def\mtctitle{Inneh\csname aa\endcsname l}
\def\mlftitle{Figurer}
\def\mlttitle{Tabeller}
\def\stctitle{Inneh\csname aa\endcsname l}
\def\slltitle{Figurer}
\def\sllttitle{Tabeller}
\end{swedish}
13.175 “Swedish2” language: swedish2.mld
The titles for the “swedish2” language (variant for swedish) are taken from the rapport.doc file (by Sven Mattisson) in the SLATEX package [318]. See also section 13.174.
\ProvidesFile{swedish2.mld}[2006/04/04]
\def\ptctitle{Inneh\csname aa\endcsname l}
\def\plttitle{Figurf,"orteckning}
\def\lttitle{Tabellf,"orteckning}
\def\mtctitle{Inneh\csname aa\endcsname l}
\def\mlftitle{Figurf,"orteckning}
\def\mlttitle{Tabellf,"orteckning}
\def\stctitle{Inneh\csname aa\endcsname l}
\def\slltitle{Figurf,"orteckning}
\def\sllttitle{Tabellf,"orteckning}
\end{swedish2}
13.176 “Thai” language: thai.ml[d|o]
The titles for the “thai” language come from the `thaicjk.ldf` file (by Werner Lemberg) and use fonts of the CJK system [127, 297, 298]. The thailatex package [320] (by Surapant Meknavin, Theppitak Karoonboonyanan, Chanop Silpa-Anan and Veerathanbutr Poonlap) provides the same titles in its `thai.ldf` file.
\mtcloadmlo
The titles for the “thai” language contain characters that cannot be easily generated, hence we load `thai.mlo`. See also [255].
```latex
\ProvidesFile{thai.mld}[2005/01/28]\mtcloadmlo{thai}%
%% From thaicjk.ldf CJK 4.5.2 Thai support for the babel system
%% by Werner Lemberg <firstname.lastname@example.org>
```
### 13.177 “Turkish” language: turkish.mld
The Turkish language (\textit{türkçe}) is spoken mainly in Turkey and in Cyprus. The titles for the “turkish” language are taken from the `turkish.dtx` file (by Mustafa Burc, Pierre A. MacKay and Turgut Uyar) in the babel package [60, 61, 68].
```latex
\ProvidesFile{turkish.mld}[2007/12/18]%
%% Turkish titles from turkish.dtx (babel). Burc, Mustafa
\def\ptctitle{\I\c cindekiler}%
\def\plttitle{\c Sekil Listesi}%
\def\plttitle{Tablo Listesi}%
\def\mtctitle{\I\c cindekiler}%
\def\mlftitle{\c Sekil Listesi}%
\def\mlftitle{Tablo Listesi}%
\def\stctitle{\I\c cindekiler}%
\def\slltitle{\c Sekil Listesi}%
\def\slltitle{Tablo Listesi}%
```
### 13.178 “Uighur” language: uighur.mld
\mtcselectlanguage
The “uighur” and “bicig” languages are synonyms, so we just load the `bicig.mld` file (see section 13.21 on page 479):
13.179 “Uighur2” language: uighur2.mld
\mtcselectlanguage{uighur2}
\ProvidesFile{uighur2.mld}[2006/05/31]\mtcselectlanguage{bicig2}
\end{document}
13.180 “Uighur3” language: uighur3.mld
\mtcselectlanguage{uighur3}
\ProvidesFile{uighur3.mld}[2006/05/31]\mtcselectlanguage{bicig3}
\end{document}
13.181 “UKenglish” language: UKenglish.mld
\mtcselectlanguage{UKenglish}
\ProvidesFile{UKenglish.mld}[2005/07/11]\mtcselectlanguage{english}
\end{document}
13.182 “Ukraineb” language: ukraineb.mld
\mtcselectlanguage{ukraineb}
The “ukraineb” language is a synonym for “ukrainian”, so we just load ukrainian.mld. See section 13.183 on the following page.
13.183 “Ukrainian” language: ukrainian.mld
The titles for the “ukrainian” language (ukrayins’ka mova) come from the ukraineb.dtx file (by Olga G. Lapko, Andrij M. Shvaika, Vladimir Volovich, and Werner Lemberg) in the babel package [60, 61, 97]. Cyrillic fonts are required. Another language name is ukraineb (see section 13.182 on the page before).
13.184 “Uppersorbian” language: uppersorbian.mld
The titles for the “uppersorbian” language\textsuperscript{49} (hornjoserbsce, hornjoserbšćiba) are taken from the usorbian.dtx file (by Eduard Werner) in the babel package [60, 61, 100].
\textsuperscript{49}Upper sorbian. Sorbian, or wendisch, is a member of the west slavic subgroup of indo-european languages spoken in Upper Lusatia in the german länder of Saxony and Brandenburg. The Sorbs are descendents of the Wends, the german name for the slavic tribes who occupied the area between the Elbe and Saale rivers in the west and the Odra (Oder) river in the east during the medieval period (vi-th century).
also section 13.113 on page 522. A shorter language name is usorbian (see section 13.186 on the next page).
\begin{verbatim}
\ProvidesFile{upperisorbian.mld}[2006/02/38]%
%% Upper sorbian titles from usorbian.dtx (babel). Needs cyrillic fonts. Werner, Eduard
\def\ptctitle{Wobsah}%
\def\plttitle{Zapis wobrazow}%
\def\pltttitle{Zapis tabulkow}%
\def\mtctitle{Wobsah}%
\def\mlftitle{Zapis wobrazow}%
\def\mlfttitle{Zapis tabulkow}%
\def\stctitle{Wobsah}%
\def\sllttitle{Zapis wobrazow}%
\def\slltttitle{Zapis tabulkow}%
\end{verbatim}
13.185 “USenglish” language: USenglish.mld
\mtcselectlanguage{USenglish} The “USenglish” language (“US” is for “United States (of America)”) is just like “english”\footnote{It should be true for the mini-table titles; the languages themselves have some differences, like the hyphenation rules, see \url{http://en.wikipedia.org/wiki/American_English}.}, so we just load english.mld (see section 13.45 on page 490):
\begin{verbatim}
\ProvidesFile{USenglish.mld}[2005/07/11]\mtcselectlanguage{english}%
\end{verbatim}
13.186 “Usorbian” language: usorbian.mld
\mtcselectlanguage{usorbian} The “usorbian” language is a synonym for “upperisorbian”, so we just have to load upperisorbian.mld. See section 13.184 on the page before.
\begin{verbatim}
\ProvidesFile{usorbian.mld}[2007/12/04]\mtcselectlanguage{upperisorbian}%
\end{verbatim}
13.187 “Vietnam” language: vietnam.mld
The titles for the “vietnam” language (\textit{tiếng việt}) are taken from the vietnam package [299] (by Werner LEMBERG and Thế Thành HÀN). Vietnamese fonts are required; see [206, 208].
The Vietnamese language is spoken in Vietnam and in the Vietnamese diaspora. See also section 13.188 on the following page.
\ProvidesFile{vietnam.mld}[1999/03/16] % Vietnamese titles
\def\ptctitle{\danh s'ach h'inh v'\e}
\def\plttitle{\danh s'ach b'h\ang}
\def\mtctitle{\danh l\d}
\def\mlftitle{\danh s'ach h'inh v'\e}
\def\mlttitle{\danh s'ach b'h\ang}
\def\stctitle{\danh l\d}
\def\slltitle{\danh s'ach b'\ang}
\end{document}
13.188 “Vietnamese” language: vietnamese.mld
The “Vietnamese” language is just a synonym for the “Vietnam” language. So we just load vietnam.mld. Vietnamese fonts are required. See also section 13.187 on the page before.
\ProvidesFile{vietnamese.mld}[2004/12/14]\mtcselectlanguage{vietnam}%
13.189 “Welsh” language: welsh.mld
The titles for the “Welsh” language (cymraeg) come from the welsh.dtx file (by Johannes L. Braams) in the babel package [59–61]:
\ProvidesFile{welsh.mld}[1999/12/06] %
% Welsh titles from welsh.dtx (babel), by Braams, Johannes-L.
\def\ptctitle{Cynnyws}
\def\plttitle{Rhestr Ddarluniau}
\def\plttitle{Rhestr Dablau}
\def\mtctitle{Cynnyws}
\def\mlftitle{Rhestr Ddarluniau}
\def\mlttitle{Rhestr Dablau}
\def\stctitle{Cynnyws}
\def\slltitle{Rhestr Ddarluniau}
\def\slltitle{Rhestr Dablau}
13.190 “Xalx” language: xalx.mld
The titles for the “xalx” language are taken from the \LaTeX\ package [137, 140] (by Oliver Corff and Dorjpalam Dorj). Xalx (Khalkha) is the name of the Mongolian nationality residing in Mongolia proper.
Their dialect forms the basis of Mongolian written with Cyrillic letters. See also sections 13.102 on page 517 and 13.191 to 13.192 on pages 557–558.
13.191 “Xalx2” language: xalx2.mld
The titles for the “xalx2” language are taken from the \LaTeX\ package [137, 140] (by Oliver Corff and Dorjpalam Dorj). This is a variant for the “xalx” language (see section 13.190).
13.192 “Xalx3” language: xalx3.mld
The titles for the “xalx3” language are taken from the \LaTeX\ package [137, 140] (by Oliver Corff and Dorjpalam Doru). This is an other variant for the “xalx” language (see section 13.190 on the preceding page).
\ProvidesFile{xalx3.mld}[2006/03/31]
%% Mongol (xalx3) titles
\def\ptctitle{\xalx{Soderjanie}}
\def\plttitle{\xalx{Spisok risunkow}}
\def\vtctitle{\xalx{Spisok tablic}}
\def\mlttitle{\xalx{Spisok risunkow}}
\def\mtlttitle{\xalx{Spisok tablic}}
\def\stctitle{\xalx{Soderjanie}}
\def\slltitle{\xalx{Spisok risunkow}}
\def\sllttitle{\xalx{Spisok tablic}}
Part III
Complements
| Contents of the Third Part | Page |
|---------------------------|------|
| Bibliography | 561 |
| Changes history | 597 |
| Acknowledgments | 634 |
This bibliography contains many URLs; you must be aware that some of them might be inaccessible because they are obsolete, or because their site is down or encounters some unexpected problem. Note also that the response of some sites may be slow (several seconds). For instance, the entries [257–259], from the http://www.geocities.com/kijoo2000/ site, are very difficult to contact.
The URLs beginning with “https:” to the TUGboat site may have a restricted access to the TUG members during one year after publication. Being a member of TUG is useful and cheap!
Some URLs may contain an extension not supported by your Web browser; in such cases, you should try to access to the document manually. An example is [29], whose extension is .ps.gz.
Some URLs are too long for some tools; when possible, I shortened the URL to display only the contents the directory, as for [209], or by using an URL to the catalogue entry (as for [243] and [272]); when not possible, you should try to access to the document manually.
[1] Paul W. Abrahams, Karl Berry, and Kathryn A. Hargreaves. *TeX for the Impatient*, September 2003. mailto:email@example.com. Available from: http://mirror.ctan.org/info/impatient/book.pdf.
[2] Paul W. Abrahams, Karl Berry, and Kathryn A. Hargreaves. *TeX pour l’Impatient*, September 2004. French translation of [1] by Marc Chaudemanche, mailto:firstname.lastname@example.org. Available from: http://mirror.ctan.org/info/impatient/fr/book.pdf.
[3] Stéphane Aicardi. *Codages de caractères ASCII, latin-1, UTF-8, etc.*, March 2006. Journés Mathrice, Nantes. Available from: http://www.mathrice.org/rencontres/mars.2006/codages.pdf.
[4] A.J. Alex. *Typesetting Malayalam Using \LaTeXe*, November 2007. email@example.com and mailto:firstname.lastname@example.org. Available from: http://mirror.ctan.org/language/malayalam/doc/mm-usr.pdf.
[5] A.J. Alex. *Typesetting Malayalam Using Ω/Ν*, November 2007.
mailto:email@example.com. Available from:
http://mirror.ctan.org/help/Catalogue/entries/malayalam-omega.html. 44, 205, 472, 526
[6] Mark Alford. *How to create Japanese language documents under GNU/Linux using LaTeX* [online], January 2007. Available from:
http://www.physics.wustl.edu/~alford/tex/japanese_latex.html.
mailto:firstname.lastname@example.org, Department of Physics at Washington University in St. Louis.
[7] Viviane Alleton. *L’écriture chinoise: le défi de la modernité*. In *Bibliothèque Idées*. Albin Michel, March 2008.
[8] American Mathematical Society. *Instructions for Preparation of Papers and Monographs: AMS-TEX*. Providence, Rhode Island, 1999. See instr-1.pdf. Available from: http://mirror.ctan.org/macros/latex/required/amslatex/classes/. 88, 208
[9] Jacques André and Jean-Côme Carpentier. *Lexique anglo-français du Companion*. Cahiers GUTenberg, 49:19–45, October 2007.
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[478] Peter R. Wilson. *Parallel typesetting for critical editions: the ledpar package*, April 2005. mailto:email@example.com. Available from: http://mirror.ctan.org/macros/latex/contrib/ledmac/ledpar.pdf.
[479] Peter R. Wilson. *The Memoir Class*, September 2005. mailto:firstname.lastname@example.org. Available from: http://mirror.ctan.org/macros/latex/contrib/memoir/memman.pdf. 64, 65, 72, 88, 223, 251, 253, 279, 288, 418
[480] Peter R. Wilson. *The romannum package*, May 2005. mailto:email@example.com. Available from: http://mirror.ctan.org/macros/latex/contrib/romannum/romannum.pdf. 54, 76, 88, 235, 254, 276
[481] Peter R. Wilson. *The memoir standard class*. The PracTeX Journal, 3, August 2006. mailto:firstname.lastname@example.org. Available from: http://tug.org/pracjourn/2006-3/wilson/wilson.pdf. 64, 65, 72, 88, 223, 251, 253, 279, 288, 418
[482] Peter R. Wilson. *The Memoir Class (Addendum)*, December 2007. mailto:email@example.com. Available from: http://mirror.ctan.org/macros/latex/contrib/memoir/memmanadd.pdf. 64, 65, 72, 88, 223, 251, 253, 279, 288, 418
[483] Peter R. Wilson and Donald Arseneau. *The ifmtarg package*, March 2000. mailto:firstname.lastname@example.org, mailto:email@example.com. Available from: http://mirror.ctan.org/macros/latex/contrib/misc/ifmtarg.sty. 219, 279
[484] Joseph A. Wright. *Quick floats in LaTeX*, June 2007. mailto:firstname.lastname@example.org. Available from: http://mirror.ctan.org/macros/latex/contrib/trivfloat/trivfloat.pdf. 54, 88, 164, 239, 257, 270, 278, 629
[485] C. S. Yogananda and K. K. Subramaniam. *KannadaTeX* [online], April 2004. Available from: http://sarovar.org/projects/kannadatex/. mailto:email@example.com, mailto:firstname.lastname@example.org, mailto:email@example.com. 220, 517
[486] Charlie S. Zender. *LaTeX Cheat Sheet*, March 2007. mailto:firstname.lastname@example.org, Department of Earth Science, University of California, Irvine, CA 92697-3100. Available from: http://dust.ess.uci.edu/doc/ltx/ltx.pdf.
[487] Vadim V. Zhvynikov and Vadim Maslov. *The LHCYR collection* [online], December 1998. Available from: http://mirror.ctan.org/macros/latex/contrib/lhcyr/. mailto:email@example.com, mailto:firstname.lastname@example.org. 544, 545
Changes history
★ version 00
• 1990/10/01
◦ Original version, by Nigel Ward.
• 1991/11/01
◦ Revised to reuse \chapter, \section, \subsection commands transparently, generate toc-file-name automatically, assorted other cleanup (by Dan Jurafsky).
★ version 01
• 1993/06/01
◦ New design, to avoid allocating a newwrite, or file descriptor, for each chapter (a deadly sin!) (Jean-Pierre F. Drucbert).
◦ Added \chapterend to terminate the scope of a minitoc. (If you forgot putting \chapterend at the end of each chapter, an entry for the next chapter will appear in each minitoc.) (Thanks to Yufan Hu).
◦ Replaced the \minipage environment by a verse environment, to allow a minitoc being split across pages.
◦ All the layout of the minitoc is in the command, so if somebody wants to redefine that layout, he has just to rewrite it (and only it).
◦ You can inhibit the minitoc for the next chapter by preceding it with \minitocno. (\minitocyes is useless for the user, because it is implicit after the \chapter* pseudo-chapters).
◦ Problems: you must have \chapterend to terminate each chapter with a minitoc. How about avoiding this constraint?
◦ The depth of the minitoc is user-adjustable with the counter \minitocdepth (similar to \tocdepth for the table of contents).
◦ At least three passes (3) of \LaTeX{} are necessary to get correct minitocs (the first pass creates the .mtc(X) files, the second uses them (but they may contain wrong page numbers) and recreates them, the third should be ok).
◦ Works with \chapter[xxx]{yyy} and floating bodies. Works with two columns (but the minitoc is composed in one column; how to make it to spread over the two columns?).
◦ Some mods added to work with xr (external references). xr version 5 is much more tolerant.
version 02
- 1993/07/05
- Added compatibility with hangcaption (the package hangcaption (if present) must be loaded before the minitoc package). Beware to options modifying \@caption.
version 03
- 1993/07/09
- Version 3 not released (buggy).
version 04
- 1993/07/09
- Added \if@realch to avoid contents lines from pseudo-chapters to go into the toc.
- The package mtcoff allows you to use a LaTeX document with minitoc commands and to make them transparent: just replace the minitoc package by mtcoff.
version 05
- 1993/07/13
- Added a selection mechanism to not write spurious things in the minitocs.
version 06
- 1993/07/15
- Fixed problems about chapters in the toc, removed obsolete \caption stuff (filters are much better) added compatibility with toch (toch makes a table of chapters; if used, must be loaded before minitoc; in fact, it is the ancestor of the shorttoc [155] package).
version 07
- 1993/07/22
- (major differences) Completely rewritten, using tricks from xr (the version 5, by David P. Carlisle). The info for minitocs is directly stolen from the .toc file. \chapterend and \minitocno are suppressed, \minitoc, \dominitoc and \faketableofcontents added.
version 08
- 1993/07/29
- Spacing adjustments.
version 09
- 1993/08/04
- Added mods for MS-DOS (search for MS-DOS, uncomment; search for UNIX, comment out). MS-DOS allows only 3 characters for extensions in file names (what a pity!).
version 10
- 1993/08/05
- Works now with appendices. Detects now the obsolete versions of `latex.tex` (`\@inputcheck` or `\reset@font` not defined).
version 11
- 1993/08/18
- Added `\mtcSfont`, font for section entries, `\mtcSSfont` for subsection entries, `\mtcSSSfont` for subsubsection entries, `\mtcPfont` for paragraph entries, `\mtcSPfont` for subparagraph entries.
version 12
- 1993/12/16
- Use `\kern` in place of `\vspace*`, and added penalties (`\nopagebreak`) to avoid a page break just before last `\mtc@rule`.
- Also added a `samepage` environment.
- Removed old commented out lines from previous versions.
version 13
- 1993/12/17
- Added `\minilof` and `\minilot` stuff. For MS-DOS, uncomment the definition of `\SHORTEXT`.
version 14
- 1994/01/03
- Corrected space under `minitoc/lof/lot` and added a `\raggedright` setting to avoid “underfull” warnings.
- Corrected some spacing problems (avoiding ~ s). `\mtifont` is changed from `\normalsize\bf` to `\large\bf`.
- Some modifications suggested by Donald Arseneau (thanks): `\@newread` becomes `\newread`, not outer version of `\newread`; `\empty` replaced by `\relax` in the spare definition of `\reset@font`.
- Removed the setting of `\clubpenalty` and `\widowpenalty` to 10000 (done by `\samepage`), and `\noindent`.
- Simplified processing of optional argument in `minitoc`, `minilof` and `minilot`.
version 15
- 1994/01/27
- Added \parttoc, \partlof and \partlot for books, \secttoc, \sectlof and \sectlot for articles, with some commands and parameters parallel to those for mini-tables.
- 1994/01/27
- Added \parttoc, \partlof and \partlot for books, \secttoc, \sectlof and \sectlot for articles, with some commands and parameters parallel to those for mini-tables.
version 16
- 1994/02/02
- Bug fixes (typos).
version 17
- 1994/06/23
- 'n' (null) synonym of 'e' (empty) in the optional argument of \minitoc, \dominitoc, and siblings.
- Compatibility with "LATEX 2E". Thanks to Denis B. Roegel (who found the problem) and Frank Mittelbach (who gave the hints to solve).
version 18
- 1994/06/26
- Make minitoc really compatible with LATEX 2E.
- Introduce the language files as options. Many thanks to Michel Goossens (via Frank Mittelbach) who was inspired by the code of the babel package (by Johannes L. Braams).
version 19
- 1994/08/16
- Added stuff for numbering of chapters (parts, sections) not starting at 1. \firstchapteris etc. commands added.
- \mtcrule, \nomtcrule etc. commands added.
- Corrected a bug in \c@mti.
- Corrected mtcswedish.sty (Jan Michael Rynning).
- Corrected appendix in articles.
version 20
- 1994/08/25
- Corrected spacing before and after minitocs and siblings.
- Added the \mtcpagenumbers and \nomtcpagenumbers commands (and siblings) to make minitocs with/without page numbers. Default: with page numbers.
Corrected (difficult bug) appendix in articles.
Corrected vertical spacing.
Corrected a problem with chapters numbered with uppercase roman numbers.
version 21
- 1994/09/07
- Corrected typos in minitoc and minitoc.tex.
version 22
- 1994/10/10
- Corrected typos in minitoc.
version 23
- 1994/11/08
- Added a missing line in \sectlof.
- Works with document classes resetting chapter (or section) number at each part (thanks to Denis B. Roegel).
- Added the notion of “absolute numbering” for the mini-tables.
- Removed stuff for \firstchapteris and co. These commands are obsolete.
- Removed appendix stuff.
version 24
- 1994/12/21
- The \protect commands have been removed from the .toc, .lot and .lot files, so some internal macros have been corrected to be compatible with the LaTeX 2\textsubscript{e} release of December 1994. Thanks to Denis B. Roegel who did the work.
version 25
- 1996/09/13
- Updated mtcnorsk.sty and added mtcnynorsk.sty on a suggestion from Dag Langmyhr.
version 26
- 1996/11/14
- Language specific files are now named language.m1d (replacing names of the form mtclanguage.sty) because they are not packages and it makes shorter names.
- Added breton, estonian, germanb, greek, irish, russianb, scottish, lower and upper sorbian; renamed “esperanto” by “esperant” like in the babel package.
version 27
- 1996/12/20
- Corrections for starred sectioning commands.
- `english.mld` loaded as default language.
- Added `vietnam.mld` and `arab.mld`.
- Renamed `minitocoff` into `mtcoff` to keep the name short.
version 28
- 1997/10/29
- Added the afrikaan(s), brazil, and ethiopia(n) languages.
- Added autoconfiguration of extensions.
- Added the `shortext` package option.
- Added `coffee` stuff.
- Added `\addstarred` stuff (for starred chapter stuff).
- Fixed bug in parttoc.
- 1998/06/15
- A typo corrected by Donald Arseneau:
```latex
\let@dottedtocline\@undottedtocline{}
```
should probably be
```latex
\let\@dottedtocline\@undottedtocline{}
```
(a backslash was missing after `\let`). Thanks to him.
- Added the bahasa language.
- 1998/12/03
- Added the `tight` and `loose` package options.
version 29
- 1999/03/16
- Added the bicig, buryat, mongol and russianc languages.
- 1999/06/28
- Added the armenian language (from ArmTeX [142]).
- 1999/07/23
- Added the `dotted/undotted` package options (default: `dotted`).
- 1999/07/29
- Added `lithuanian.mld`.
version 30
- 1999/12/06
- Added the basque, ngermanb, serbian, ukraineb, and welsh languages.
- Corrected a bug in `\sltname` definition (`mlt` should be `slt`).
version 31
- 2000/04/04
- Added compatibility with the \hyperref package, thanks to Heiko Oberdiek, who has also simplified some code and fixed the infamous \chapter* bug.
version 32
- 2000/08/08
- Added very (too) numerous new commands for the mini-table features: \beforeparttoc, \beforepartlof, \beforepartlot, \afterparttoc, \afterpartlof, \afterpartlot, \thispageparttocstyle, \thispagepartlofstyle, and \thispagepartlotstyle.
- Documentation improved by Stefan Ulrich.
- \nomtcrule corrected.
version 33
- 2000/12/07
- Added new adjustment commands: \mtcaddchapter, \mtcaddsection, and \mtcaddpart. These commands add stuff in the .toc, .lof and .lot files for the \chapter* (\section* and \part*) problem. From a suggestion by Karl F. Everitt.
- 2000/12/08
- Corrected a feature in \mtcaddchapter and co. with a blank optional argument.
version 34
- 2000/12/13
- Added in the documentation a section for use with the tocbibind package.
- Added .mld files for alternate names of languages: so, american.mld just loads english.mld, which contains the real definitions.
version 35
- 2001/01/09
- Added macros to test if a file is “empty” (i.e., empty, blank or inexistent) or “non empty” (i.e., useful). I used some code from Stephan P. von Bechtolsheim.
- Added the checkfiles/nocheckfiles package options.
- Replaced \The@chapter by \The@mtc.
- 2001/02/26
- Added bulgarian.mld, hebrew.mld, icelandic.mld, latin.mld, and samin.mld.
- 2001/03/09
- Added \mtcselectlanguage.
- 2001/06/01
- Fixed the estonian package option (missing).
- 2001/07/04
- Added the interlingua language.
version 36
- 2002/02/11
- Corrected an interaction with \tableofcontents which creates a \chapter* or a \section*, perturbing mtc/stc counters (problem signalled by Frank MITTELBACH).
- 2002/02/18
- Corrected a spacing problem with empty titles (problem signalled by Frank MITTELBACH).
- Workaround for the \partttoc-\chapter* problem.
- 2002/02/19
- Added \mtcskip and \mtcskipamount.
- 2002/02/27
- Fixed test for empty files.
- 2002/03/13
- Added the bangla language.
- 2002/03/15
- Reduced depth of \mtc@strutbox.
version 37
- 2003/01/24
- Version #37 dropped.
version 38
- 2003/01/24
- pt becomes \@pt and @pt becomes \z@.
- \hrule and \vrule replaced by \rule (LATEX).
- Added \mtc@zrule for zero-dims rules.
- Added the frenchb language (synonym of french).
- 2003/01/30
- Changed the test for empty titles.
- Added the flsection and flsectionb package options.
- 2003/01/31
- The tight and loose package options are applied to \partttoc (Thomas LEONHARDT).
- 2003/02/07
- Package options flsection and flsectionb removed and replaced by the insection package option (like flsectionb).
- 2003/02/11
- Corrected numbering of SLF, SLT.
- 2003/02/20
- Added frenchle and frenchpro language options (synonyms of french).
Corrected secttocs, at least.
- 2003/03/18
- Corrected some vertical spacings and struts (I added some mods by Frank Mittelbach, many thanks to him.). A lot of cleaning remains to do, but the release seems to be needed now.
* version 39
- 2003/04/09
- Modern font commands for compatibility with the memoir class.
- \nomtpagenumbers and memoir class.
- 2003/06/08
- Added \@fileswfalse and \mtc@hook@beforeinputfile for the notoccite package (requested by Donald Arseneau); added the notoccite package option (loads the notoccite package).
- 2004/09/08
- Added language options and .mld files for dialects: canadian (english), acadian, acadien, canadien (french), naustrian, ngerman (ngermanb).
- Added comments in .mld files using special fonts.
- Documentation: added a paragraph about making a TOC for appendices, eventually not listed in the main TOC.
- 2004/09/17
- Corrections in the documentation; corrections about rules.
* version 40
- 2004/12/09
- Added the japanese and castillan languages.
- Removed the test on the presence of the multicol package in minitoc.tex, because multicol is a required package.
- Added a figure in minitoc.tex about the need of three compilations.
- Added some infos in minitoc.bug.
- Added a paragraph about a problem with the appendix package.
- 2004/12/13
- Updated minitoc-fr.bib and minitoc.bib.
- 2004/12/14
- Added the hints package option. This option is still experimental; your advice is welcome.
- 2004/12/20
- Added minitoc-fr.pdf (french documentation in PDF format).
version 41
- 2005/01/05
- Corrections in documentation.
- Message added if some sectioning commands are not available.
- Replaced \typeout commands in \minitoc by the \PackageInfo or \PackageWarning commands; with the line number when useful (\@gobble if no line number). Hence, the package is less verbose (\PackageInfo writes only in the document.log file, not on the terminal).
- 2005/01/06
- Added the \mtcsetfont (Benjamin Bayart) and \mtcsettitlefont commands, with a much simpler syntax.
- 2005/01/10
- Added bibliography.
- 2005/01/11
- AMS classes: amsart and amsproc are incompatible with minitoc, amsbook needs precautions.
- 2005/01/12
- Added \mtcsetformat.
- 2005/01/18
- Added \mtcsettitle.
- Added a hint for recommending the injection package option.
- 2005/01/19
- Added a hint about the presence of \dominitoc and co.
- Added a hint about consistency of \dominitoc/\minitoc and co.
- Improved documentation about hints.
- 2005/01/20
- Added a hint about using short extensions with more than 99 parts or 99 chapters or 99 sections.
- 2005/01/25
- \ptifont: \Huge\bfseries becomes \LARGE\bfseries.
- 2005/01/26
- Added \mtcsetpagenumbers.
- 2005/01/28
- Added many new language files: serbianc.mld, chinese1.mld, chinese2.mld, hangull.mld, hangul2.mld, hangul3.mld, hangul4.mld, hanja1.mld, hanja2.mld, japanese2.mld, japanese3.mld, japanese4.mld, japanese5.mld, thai.mld.
- 2005/02/02
- Added \mtcsetrules.
- 2005/02/03
Changes history
- Added \plfrule, \noplfrule, \mlfrule, \nomlfrule, \slfrule, \noslfrule, \pltrule, \nopltrule, \mltrule, \nomltrule, \sltrule, \nosltrule.
- 2005/02/04
- Added the \mtchideinmaintoc environment.
- 2005/02/08
- Added latvian.mld, letton.mld, greek-mono.mld, greek-polydemo.mld, greek-polykatha.mld, polish2.mld, russian2m.mld, and russian2o.mld as new language files.
- 2005/02/09
- Added the \mtchideinmainlof and \mtchideinmainlot environments.
- 2005/02/10
- Added tests on the \mtchideinmain* environments.
- 2005/02/14
- Added \mtcfixindex.
※ version 42
- 2005/02/14
- Version 42 not released.
- Replaced “language” by “langue” in the french documentation.
- 2005/02/15
- Fixed a minor typo.
- 2005/02/16
- Upgraded \mtcfixindex.
- 2005/02/21
- Added \mtcsettitle, forgotten to be inserted in v41.
★ version 43
- 2005/02/21
- Version 43: consolidation of v40, v41 and v42.
- 2005/02/24
- Fixed a big bug in \mtcsetformat.
- Fixed a bug in mtcoff.sty about \mtcfixindex.
- 2005/03/02
- Fixed the \mtcset... macros.
- Moved history to the end of package code.
- Added the INSTALL file and a chapter about installation.
- 2005/03/07
- Fixed a typo (Benjamin BAYART).
- Completed the hint about consistency of \dominitoc/\minitoc and co.
• 2005/03/08
○ Added a hint about consistency of \minitoc and \tableofcontents.
• 2005/03/09
○ Added comments about fonts.
• 2005/03/10
○ Corrections in documentation.
• 2005/03/11
○ Added \mtcsetfeature.
• 2005/03/14
○ Added bulgarianb.mld (upper bulgarian).
• 2005/03/15
○ Added *[\baselineskip] after the \\ after the top rule of each part level mini-table.
• 2005/03/16
○ Corrections in the arguments of \mtcsetfeature.
• 2005/03/18
○ Removed \markboth for minitocs (\ldots) and secttocss (\ldots).
• 2005/03/21
○ Added spanish2.mld.
• 2005/03/22
○ Added a hint for the abstract package.
• 2005/04/07
○ Corrected the stc@verse environment.
○ Added finnish2.mld, latin2.mld, and magyar2.mld.
• 2005/04/08
○ Renamed portuges.mld as portugues.mld.
• 2005/04/12
○ Correction in \mtcskip.
○ First version in .dtx format.
• 2005/04/14
○ Removed \ypart, \ychapter, \ysection, and stuff; unused.
• 2005/05/11
○ Corrected a typo in \@dosectlot.
○ Added \mtcfixglossary.
○ Print the documentation with “oneside” to have all marginal notes on left.
Added the (extended to 54 floats) code of morefloats (Don Hosek) to allow
more marginpars and floats.
○ Added minitoc.ist to format the index correctly.
• 2005/05/26
Fixed rules in parttoc, partlof and partlots.
- 2005/05/30
- Fixed chapter-level entries in parttoc, when page numbers must be removed.
- Added a hint about the sectsty package (must be loaded before minitoc).
- 2005/06/01
- Added a hint about attempts to insert empty mini-tables.
- Added a hint about the use of obsolete commands.
- The mini-lists of figures or tables should not be printed empty even if tocdepth < 1.
- 2005/06/02
- Added the notion of depth for mini-tables of figures/tables.
- Added \mtcsetdepth.
- The hints option is the default and no more considered as experimental.
- 2005/06/03
- Added an error message in \mtcsetdepth if the counter is not available.
- 2005/06/06
- Added portuges.mld, which loads portugues.mld.
- 2005/06/07
- Added three variants for the malayalam language: malayalam-keli.mld, malayalam-rachana.mld, and malayalam-rachana2.mld.
- 2005/06/14
- Added method for bilingual documentation.
- 2005/06/15
- Added minitoc-fr.ist to format correctly the index in french.
- 2005/06/16
- Changed “Liste des Tables” by “Liste des Tableaux” in french.mld, and in the french documentation, to stick to the choices of the babel package.
- 2005/06/17
- The file minitoc-fr.dtx is now generated by minitoc.ins.
- 2005/06/21
- Added “OUI”, “NON”, “oui”, “non”, “O”, and “o” as true/false keywords.
- Compacted the code about detection of short/long extensions.
- 2005/06/22
- Added “VRAI”, “FAUX”, “vrai”, “faux”, “V”, and “v” as true/false keywords.
- 2005/06/23
- Correctly set the \iffTR flag to have the names of months in the right language in the bibliography.
- 2005/06/29
Set the flag \mtcoffwarn@true in mtcoff if a command \mtcadd... is found.
- 2005/07/01
- Added castillian.mld.
- Renamed portugues.mld as portuguese.mld.
- 2005/07/11
- Added brazilian.mld, british.mld, UKenglish.mld, and USenglish.mld.
- 2005/07/12
- Suppressed “General:” in the changes history.
- 2005/07/13
- Replaced some \PackageWarning commands by \PackageInfo.
- 2005/07/18
- Restoring the correspondence of each language option with a .mld file.
- 2005/07/20
- Improving the \mtchideinmainlof and \mtchideinmainlot environments.
- 2005/07/21
- Removing unused some flags \if@mtc@setpagenumbers@act@ and \if@mtc@setrules@act@.
- Added the \decrementptc, \decrementmtc, and \decrementstc commands.
- 2005/07/22
- Corrected a bug in mtcoff.
- Improved some messages in mtcoff.
- Added a test on the version of the placeins package.
- 2005/08/23
- Added a note about \FloatBarrier.
- 2005/08/24
- Added a note about an alignment problem in the minitocs. Updated minitoc.bug.
- Made two versions of the \mtchideinmainlof and \mtchideinmainlot environments, depending on the presence of the corresponding depth counter.
- The memoir class is incompatible if too recent.
- 2005/08/25
- Added a comment about the position of the \do... preparation commands.
- Corrections in the \mtchideinmainlof and \mtchideinmainlot environments.
- 2005/08/26
- Added guarani.mld.
- 2005/08/29
- Added \incrementptc, \incrementmtc, and \incrementstc.
Added an optional argument to \adjustptc, \adjustmtc, and \adjuststc.
- Added the k-tight and k-loose package options.
- 2005/09/02
- Added a patch for the recent version of the memoir class.
- 2005/09/06
- Added spanish3.mld.
- 2005/09/08
- Use \mtcselectlanguage in language options and in “secondary” .mld files.
- 2005/09/09
- Added \mtcloadmlo to be used in some .mld files to load a .mlo file.
- 2005/09/12
- Added a test to forbid direct calls of \mtcloadmlo by the user.
- 2005/09/13
- Added farsi1.mld, farsi1.mlo, farsi2.mld, and farsi2.mlo.
- Added a note about the rubber tool.
- 2005/09/15
- Added mtcglo.ist to format the glossary.
- 2005/09/16
- Removed the page numbers in the glossary. Done in the *mk scripts.
* version 44
- 2005/09/26
- Changes history (glossary) typeset in RaggedRight.
- 2005/09/27
- Added germanb2.mld, ngermanb2.mld, norsk2.mld, and nynorsk2.mld.
- 2005/09/28
- New method for history: embedded lists on 3 levels.
- Removed mtcglo.ist.
- 2005/09/29
- Cleaned the *mk scripts.
- Added the listfiles package option.
- 2005/09/30
- Corrected typos.
- Added the name of the .maf file in the message of the listfiles package option.
- Improved the cleaning in the *mk scripts, using a .maf file.
- 2005/10/03
- Load the patch for the memoir class only if necessary; do not load it if memoir is dated after 2005/09/25.
Added a remark in the FAQ chapter (and \texttt{minitoc.bug}) about precautions to take with the starred sectionning commands.
- 2005/10/04
- Added the \texttt{nolistfiles} package option.
- Added a hint about the \texttt{caption}, \texttt{caption2}, \texttt{ccaption}, and \texttt{mcaption} packages (they must be loaded before \texttt{minitoc}).
- 2005/10/05
- Fixed typos in the documentation.
- Fixed some marginal notes in the commented code.
- 2005/10/06
- Minor corrections in the documentation.
- Use the \texttt{xargs} Unix command in the \texttt{*mk} scripts to remove the auxiliary files.
- 2005/10/07
- Minor corrections in the documentation.
- Added a short intro to the “Frequently Asked Questions” chapter and to \texttt{minitoc.bug}.
- 2005/11/02
- Minor corrections in the documentation.
- 2005/11/04
- Minor corrections in the documentation.
- 2005/11/07
- Begin adding the “Jargon” chapter.
- 2005/11/08
- Added the french \LaTeX\ Companion [332].
- 2005/11/09
- Continuing the “Jargon” chapter.
- Adding \texttt{minitoc.pre} in \texttt{minitoc.l}.
- Adding a note about the need of running \texttt{imk} before \texttt{emk} or \texttt{fmk}.
- 2005/11/10
- Fixed typos in the documentation.
- Added a note about a problem with minitoc, hyperref and memoir.
- Continuing the “Jargon” chapter.
- 2005/11/14
- Fixed typos in the documentation.
- Continuing the “Jargon” chapter.
- Improve the notes about the \texttt{memoir} class.
- 2005/11/15
- Continuing the “Jargon” chapter.
- Improve the notes about the \texttt{memoir} class.
- Added \texttt{\plfSfont}, \texttt{\pltSfont}, \texttt{\mlfSfont}, \texttt{\mltSfont}, \texttt{\slfSfont}, and \texttt{\sltSfont} for subfigures and subtables entries in the mini-tables.
• 2005/11/16
○ Continuing the “Jargon” chapter.
○ Fixed a bug about fonts for subfigures and subtables entries in the minitables.
○ Added bicig2.mld, bithe.mld, manju.mld, xalx.mld, and khalkha.mld.
• 2005/11/17
○ Continuing the “Jargon” chapter.
○ Added testing via internal quarks commands in \mtcsetfont.
• 2005/11/18
○ Continuing the “Jargon” chapter.
○ Fixed typos in the documentation.
• 2005/11/21
○ Continuing the “Jargon” chapter.
• 2005/11/22
○ Continuing the “Jargon” chapter.
• 2005/11/23
○ Continuing the “Jargon” chapter.
○ Updating the bibliography.
• 2005/11/24
○ Continuing the “Jargon” chapter.
• 2005/11/25
○ Continuing the “Jargon” chapter.
○ Changed “table” into “tableau” in the french doc, where necessary.
○ Updating the bibliography.
• 2005/11/28
○ Continuing the “Jargon” chapter.
○ Fixed typos in the documentation.
• 2005/11/29
○ Continuing the “Jargon” chapter.
○ Fixed typos in the documentation.
○ Fixed typos in the bibliography.
○ Updating the bibliography.
• 2005/11/30
○ Continuing the “Jargon” chapter.
○ Avoid some warnings “Token not allowed” from pdftex.
• 2005/12/01
○ Continuing the “Jargon” chapter.
• 2005/12/02
○ Continuing the “Jargon” chapter.
○ Reordering a long sequence of citations.
Added “mailto:” in the mailing URLs.
- 2005/12/05
- Fixed typos in the documentation.
- Continuing the “Jargon” chapter.
- Added a hint about the varsects package (must be loaded before minitoc).
- 2005/12/06
- Continuing the “Jargon” chapter.
- Correcting an hyperlink in the bibliography (for the xr package).
- Attempting to avoid broken URLs, using quote, footnotes and \par.
- 2005/12/07
- Continuing the “Jargon” chapter.
- Updating the bibliography.
- Corrections of layout (some headers, a table).
- In the warning message of the hint about a number of mini-tables greater than 99 (if short extensions), give the effective number.
- Reduce the width of some info, warning or error messages.
- 2005/12/08
- Corrections of layout (some headers).
- 2005/12/09
- Corrections of french quotes.
- Added some PDF options.
- Continuing the “Jargon” chapter.
- Corrected an URL to the AMS in the bibliography.
- 2005/12/19
- Made some messages shorter (mainly by removing stars).
- 2005/12/21
- Correction of typos.
- Added some labels.
- Added a chapter with the (explained) messages. Not yet sorted.
- The documentation needs 4 LaTeX runs.
- 2005/12/22
- Made some messages shorter.
- Corrections in the list of messages.
- Updating the bibliography.
- 2005/12/23
- Improving the placement of floats on pages of floats: to the top.
- 2006/01/03
- Corrections in the documentation (thanks to Markus Gleiszner).
- Added addsec.tex
- 2006/01/04
Corrected the flag \ifundottedmtc.
Correction to make addsec.tex work.
- 2006/01/05
- Added "*" as keyword for the first argument of \mtcsetpagenumbers and \mtcsetrules (asked by Markus GLEISNER).
- Removed "\MessageBreak" from the index.
- 2006/01/06
- Continuing the "Jargon" chapter.
- Corrected the bibliography entry about BangTEX.
- Updated the bibliography.
- Used the afterpage package [115] in the documentation to fix a float positionning problem.
- 2006/01/09
- Corrections in the documentation.
- Fixing a float positionning problem.
- 2006/01/10
- Corrections in the documentation.
- Continuing the "Jargon" chapter.
- Updated the bibliography.
- Added the bahasam language.
- Added the albanian language.
- Added the hebrew2 language.
- 2006/01/11
- Updated the bibliography.
- Updated the documentation for the albanian, bahasa, bahasam, and hebrew2 languages.
- Updated french.mld (removing abusive uppercase letters).
- Corrected the italian.mld file. Added the italian2 language.
- Added the australian and newzealand languages (english).
- Renamed the bahasa language as bahasai; bahasa is synonym of bahasai.
- Added the malay and meyalu languages, synonyms of bahasam.
- Added the indon and indonesian languages, synonyms of bahasai.
- 2006/01/12
- Updated the bibliography.
- Updated the acknowledgements.
- Added references to the new bibliographic entries.
- 2006/01/13
- Fixed an instability in page breaks in the documentation of japanese3.mld.
- Added comments in some .mld files.
- Added magyar3.mld.
- Updated lithuanian.mld.
• 2006/01/16
○ Correction in \mtcaddsection.
• 2006/01/17
○ Correction in \mtcfixindex and \mtcfixglossary.
○ Updated the bibliography.
○ Limitation of the initial depth of displayed bookmarks.
• 2006/01/18
○ Added some comments in point 34 of the FAQ (and in minitoc.bug) about the initialization of fonts.
○ Added romanian2.mld and romanian3.mld.
○ Updated the bibliography.
• 2006/01/19
○ Updated the bibliography.
○ Load some packages before hyperref.
○ Added spanish4.mld.
• 2006/01/23
○ Corrected the table about default titles.
○ Corrected the keywords for \mtcsetfont.
○ Added lowersorbian.mld, uppersorbian.mld, and ukrainian.mld.
• 2006/01/24
○ Updated documentation for lowersorbian.mld, uppersorbian.mld, and ukrainian.mld.
• 2006/01/25
○ Corrections in the documentation.
○ Updated the bibliography.
• 2006/01/26
○ Added a hint about the KOMA-Script classes [343, 344, 399], and an entry in the FAQ chapter (and in minitoc.bug).
• 2006/01/27
○ Updated the bibliography.
○ Added a note in documentation of serbian.mld and serbianc.mld.
• 2006/01/30
○ Added ethiopian2.mld (for Omega).
• 2006/01/31
○ Simplifications in the “Messages” chapter.
○ Corrections in the “Jargon” chapter.
• 2006/02/01
○ Corrections in the documentation.
○ Added the “Postface” chapter.
• 2006/02/02
Changes history
- Corrections in the “Postface” chapter.
- Updated the bibliography.
- 2006/02/06
- Corrections in the documentation.
- Updated the bibliography.
- Added package \texttt{dblaccent} [328] for the “The pdf\TeX{} Program” entry in the bibliography. Its author’s first name needs a double accent (Thế Thành Hàn); je l’ai aussi utilisé pour composer d’autres mots vietnamiens.
- 2006/02/07
- Corrections in the documentation.
- Updated the bibliography.
- 2006/02/09
- Corrections in the documentation.
- 2006/02/10
- Corrections in the documentation.
- Updated the bibliography.
- 2006/02/13
- Added \texttt{malayalam-omega.mld} and \texttt{malayalam-omega.mlo}.
- Updated the bibliography.
- 2006/02/14
- Added \texttt{kannada.mld}.
- Updated the bibliography.
- 2006/02/15
- Corrections in \texttt{russianb.mld} and \texttt{spanish.mld}.
- Corrections in the documentation and the bibliography.
- Place \texttt{\mtcfixglossary} before \texttt{\mtcfixindex}.
- 2006/02/16
- Added a citation from Donald Arseneau.
- Updated the bibliography.
- Updated the acknowledgments.
- 2006/02/17
- Updated the bibliography.
- Updated the jargon.
- 2006/02/20
- Added \texttt{u8hangul.mld}, \texttt{u8hangul.mlo}, \texttt{u8hanja.mld}, and \texttt{u8hanja.mlo}.
- 2006/02/21
- Renamed languages \texttt{u8hangul} and \texttt{u8hanja} into \texttt{hangul-u8.ml[d|o]} and \texttt{hanja-u8.ml[d|o]}.
- Updated the bibliography.
- 2006/02/22
• 2006/02/23
○ Added a hint about repeated preparation commands.
○ Moved up the declaration of some flags relative to the \hints option.
○ Added \mtcprepare.
• 2006/02/24
○ Updated the bibliography.
• 2006/02/27
○ Corrections in the documentation.
○ Added minitoc.pre to class 6.
• 2006/02/28
○ Corrections in the documentation.
○ Corrected the position of tables in the “Jargon” chapter.
○ Corrected irish.mld, lsorbian.mld and usorbian.mld.
○ Added polski.mld.
• 2006/03/01
○ Hints about the jura class and the alpharum package, incompatible with minitoc.
• 2006/03/02
○ Use bibliographic styles with an URL field, built with the help of urlbst [196].
• 2006/03/06
○ Update the bibliography.
• 2006/03/08
○ Corrections in magyar.mld, magyar2.mld, and magyar3.mld.
○ Added russian-cca.mld, russian-cca1.mld, and russian-lh.mld, with their .mlo files.
• 2006/03/09
○ Update the bibliography.
• 2006/03/10
○ Update the bibliography.
○ Added russian-lhcyralt.mld, russian-lhcyrkoi.mld, and russian-lhcyrwin.mld, with their .mlo files.
• 2006/03/13
○ Corrections in the documentation.
• 2006/03/14
○ Added the mtcmess package.
• 2006/03/16
○ The messages are now numbered.
○ Update the bibliography.
• 2006/03/20
Changes history
- Corrections in the documentation.
- 2006/03/21
- Update the bibliography.
- 2006/03/22
- Update the jargon.
- 2006/03/28
- Corrections in the documentation.
- Update the jargon.
- 2006/03/29
- Added FAQ 37 about .mld files and babel.
- Added french1.mld and french2.mld.
- Update the jargon.
- 2006/03/30
- Added english1.mld and english2.mld.
* version 45
- 2006/03/31
- Suppression of the PostScript versions of the documentation.
- Added arab2.mld, bicig3.mld, buryat2.mld, xalx2.mld, and xalx3.mld.
- 2006/04/03
- Corrections in the documentation.
- 2006/04/04
- Added swedish2.mld.
- The inssection package option loads also the flatter package.
- 2006/04/05
- Corrections in the documentation.
- Added lamed.eps and lamed.pdf as images for the Lamed logo (built from lamed.tex).
- Reordering of the chapters in the user’s manual (part I).
- 2006/04/06
- Use sectsty to better format section titles.
- 2006/04/07
- Corrections in the documentation.
- Added \ifmtcsecondpart to check if the document has exactly 2 parts.
- 2006/04/10
- Corrections in the documentation.
- 2006/04/11
- Corrections in the documentation.
- 2006/04/12
• 2006/04/13
○ Corrections in the documentation.
• 2006/04/27
○ In the \insection package option, load the \flafter package before the \placeins package.
○ Added a figure about the float barriers.
• 2006/05/02
○ Added notes in FAQ 20, about the use with the appendix package.
○ Added comments about the \insection option.
○ Update the bibliography.
○ Begin correction of the \mtchideinmaintoc environment.
• 2006/05/03
○ Added notes about the \mtchideinmainlof and \mtchideinmainlot environments.
○ Added \hide1.tex and \hide2.tex.
○ Added a hint about the \fncychap package (must be loaded before minitoc).
○ Added a hint about the \quotchap package (must be loaded before minitoc).
○ Update the bibliography.
• 2006/05/04
○ Update the bibliography.
○ Added a hint about the \romannum package (must be loaded before minitoc).
○ Added a hint about the \sfheaders package (must be loaded before minitoc).
○ Added a hint about the \alnumsec package (must be loaded before minitoc).
○ Corrections in the documentation.
• 2006/05/05
○ Corrections in the documentation.
• 2006/05/24
○ Corrections in the documentation.
○ Renamed \hide.tex to \hide1.tex.
○ Update the bibliography.
• 2006/05/30
○ Corrections in the documentation.
○ Use \MakeUpperCase in \markboth for page styles.
• 2006/05/31
○ Update the bibliography.
Added a hint about the `captcont` package (must be loaded *before* `minitoc`).
Corrections in the documentation.
Added `uighur.mld`, `uighur2.mld`, and `uighur3.mld` (as synonyms for the bicig variants).
- 2006/06/01
- Corrections in the documentation.
- Added description of MonTeX in the jargon.
- Added a comment about the `imk` script in INSTALL and the “Installation” chapter.
- Added an entry about “package” in the jargon.
- Added the `mtc-apx.tex` example file.
- Added FAQ 44 and the `\mtcgapbeforeheads` and `\mtcgapafterheads` commands.
- 2006/06/02
- Corrections in the documentation.
- Update the bibliography.
- Added the `gaps.tex` example file.
- 2006/06/05
- Corrections in the documentation.
- Update the bibliography.
- 2006/06/06
- Corrections in the documentation.
- Update the bibliography.
- 2006/06/08
- Corrections in the documentation.
- Spacing correction in `french2.mld`.
**version 46**
- 2006/06/09
- Corrections in the documentation and the bibliography.
- 2006/06/21
- Update the bibliography.
- Comment about the `thailatex` package.
- 2006/06/22
- Generate some example files with `minitoc.dtx/minitoc.ins`.
- Added chapter “Example files”.
- 2006/06/23
- Renamed chapter “Example files” as “Examples of documents”.
- Use the `lipsum` package [212] in some of the examples of documents.
- Update the bibliography.
- 2006/06/27
Update the examples of documents.
Added the second.tex example file.
- 2006/06/29
- Added the amem.tex, mem.tex and mem1.tex example files.
- 2006/06/30
- Added the fo1.tex, fo2.tex and scr.tex example files.
- 2006/07/03
- Added the subf.tex example file.
- Corrections about the depth of minilofs, minilots and siblings.
- 2006/07/04
- Added the tsfc.tex and tbi.tex example files.
- Corrections in the bibliography.
- 2006/07/07
- Corrections of typos.
- Corrections in the bibliography.
- Added the 2c.tex and mtc-bo.tex example files.
- Correction in french2.mld.
- 2006/07/10
- Correction in minilots and minilofs (and siblings) about depth.
- Added the hop.tex and cri.tex example files.
- Update the bibliography.
- 2006/07/11
- Added the livre.tex, ch0.tex, tlc.tex and mu.tex example files.
- Update the bibliography.
- 2006/07/12
- Update the jargon.
- 2006/07/13
- Corrections in the documentation.
- The not released versions are flagged by \textasteriskcentered in place of \textasteriskcentered.
- 2006/07/17
- The “About this document” section becomes a starred first chapter.
- 2006/07/18
- Added the hir.tex and hia.tex example files.
- 2006/07/19
- Update the bibliography.
- Corrections in add.tex and addsec.tex for the index.
- Added the xmk script to typeset the examples into PDF documents.
- Updated the scripts to treat the examples.
- 2006/07/20
- Do not forget \jobname.mtc0 in the list of files.
- In the scripts, the backup directory (OLD) is now /tmp/\texttt{whoami}/OLD.
- In the scripts, the repartition directories (CL[0–9]) are now /tmp/\texttt{whoami}/CL[0–9].
version 47
- 2006/07/26
- Corrections in the documentation and the bibliography.
- Update the bibliography.
- 2006/07/27
- Added arabic.mld and farsi3.mld (from the Aab system [243]).
- Update the bibliography.
- 2006/07/28
- Update the jargon.
- 2006/07/31
- Fixed \l@xsection.
- Fixed some spacings in mini-tables.
- 2006/08/01
- Added a \kernafter... vertical kern between each minitable and its bottom rule.
- Added point 45 of the FAQ.
- 2006/08/03
- Minor correction in warning message F0008.
- Update the bibliography.
- Fixed a bug in romanian2.mld and romanian3.mld.
- Shortened the result of some example documents by using the report class in place of the book class (hence using one side printing).
version 48
- 2006/08/04
- Fixed typos.
- 2006/08/22
- Update the bibliography.
- No preamble in add.bib.
- 2006/08/23
- Corrections in the TOC formatting.
- Increasing \textwidth.
- Correction of the preamble problem in add.bib and all generated files.
- 2006/08/24
- Remove comments about spurious lines in preamble of generated files.
- Added devanagari.mld and hindi.mld.
- 2006/08/25
- Update the bibliography.
- Added hindi-modern.mld.
- Corrected the \name macro (for the documentation).
• 2006/08/28
○ Corrections in the bibliography.
○ Correction (conversion) in hindi-modern.mld.
• 2006/08/29
○ Added error E0036 if english.mld is not found to set the default titles.
• 2006/08/31
○ Update the bibliography.
○ Modified the plainurl.bst to have family names of authors and editors in small caps and years in old style digits. Titles are in emphasis. The frplain1.bst style is also updated.
• 2006/09/01
○ Update the bibliography.
○ The bibliographic styles plainurl.bst and frplain1.bst are renamed en-mtc.bst and fr-mtc.bst.
• 2006/09/05
○ Update the bibliography.
○ Renamed add.bib to mtc-add.bib.
○ Renamed add.tex to mtc-add.tex.
○ Renamed addsec.tex to mtc-ads.tex.
○ Renamed 2c.tex to mtc-2c.tex.
○ The listfiles package option is now active by default.
• 2006/09/07
○ Renamed app-mem.tex to mtc-amm.tex.
○ Renamed apx.tex to mtc-apx.tex.
○ Renamed bo.tex to mtc-bo.tex.
○ Renamed ch0.tex to mtc-ch0.tex.
○ Renamed cri.tex to mtc-cri.tex.
○ Renamed f01.tex to mtc-f01.tex.
○ Renamed f02.tex to mtc-f02.tex.
○ Renamed gaps.tex to mtc-gap.tex.
○ Renamed hia.tex to mtc-hia.tex.
○ Renamed hir.tex to mtc-hir.tex.
○ Renamed hide1.tex to mtc-hil.tex.
○ Renamed hide2.tex to mtc-hi2.tex.
○ Renamed hop.tex to mtc-hop.tex.
○ Renamed livre.tex to mtc-liv.tex.
○ Renamed mem.tex to mtc-mem.tex.
○ Renamed mem1.tex to mtc-mm1.tex.
○ Renamed mini-art.tex to mtc-art.tex.
○ Renamed minitoc-ex.tex to mtc-bk.tex.
○ Renamed mu.tex to mtc-mu.tex.
○ Renamed scr.tex to mtc-scr.tex.
Renamed `second.tex` to `mtc-2nd.tex`.
Renamed `subf.tex` to `mtc-sbf.tex`.
Renamed `tbi.tex` to `mtc-tbi.tex`.
Renamed `tlc.tex` to `mtc-tlc.tex`.
Renamed `tsfc.tex` to `mtc-tsf.tex`.
- 2006/09/08
- Updated the bibliography (added the Pentaglot).
- Corrected the format of two tables about NFSS.
- Example documents in alphabetical order in their chapter.
- 2006/09/11
- Updated the bibliography.
- 2006/09/12
- Added a figure about systems derived from \TeX\ and \LaTeX.
- 2006/09/13
- Added the `mtc-syn.tex` example document file.
**version 49**
- 2006/09/14
- Slightly modified the layout of the list of files ("Installation" chapter).
- Simplifications in the scripts.
- Updated the bibliography.
- 2006/09/18
- Updated the bibliography.
- Added point 46 in the FAQ and example file `mtc-tlo.tex`.
- 2006/09/26
- Updated the bibliography.
- Corrections in the bibliography and the bibliographic styles.
- 2006/09/29
- Better error messages about undefined preparation and insertion commands.
- Updated the bibliography.
- Added "+" and "-" as synonyms for "on" and "off", respectively.
- 2006/10/20
- Corrections in the bibliography.
- Fixed typos.
- Updated the bibliography.
- Added a table of some encodings.
- 2006/10/31
- Suppressed the "Summary" entry in the summary, but added it in the Table of Contents.
- Improving some tables.
- Added the `japanese6.mld` and `japanese6.mlo` files.
Updated the bibliography.
- 2006/11/03
- Corrections in the bibliography.
- Corrections in formatting a citation from Donald Arseneau.
- Combine four figures in one (with sub-figures).
- Added (in the memento) a table of the classes and packages which are incompatible or need precautions with minitoc.
- Added a hint about the hangcaption package (must be loaded before minitoc).
- 2006/11/06
- Completed the list of the standard classes.
- 2006/11/09
- Added a validation of the language options with the presence of the .mld and .mlo files.
- Added notes about the mandatory presence of the english.mld file.
- 2006/11/13
- The validation of the language options writes only informative messages in the document.log file and, if necessary, gives only one warning message.
* version 50
- 2006/11/17
- Removed old examples of documents: mtc-adds.tex, mtc-amem.tex, mtc-book.tex, mtc-gaps.tex, mtc-mem1.tex, mtc-subf.tex, and mtc-tsfc.tex.
- Updated the bibliography.
- Added the tmk script and a table describing a TDS structure for minitoc.
- Added an item about the TDS in the jargon.
- Updated the INSTALL file and the “Installation” chapter.
- 2006/11/29
- Added the warning message W0094 with the list of the missing minitoc languages files (.mld and .mlo).
- Corrections in the bibliography.
- Updated the INSTALL file and the “Installation” chapter.
- Changed the names of the scratch directories in some scripts.
- Updated the bibliography.
- Added the file minitoc.tds.zip (a ZIP archive of a TDS-compliant hierarchy of all files of the package) to the distribution.
* version 51
- 2006/12/18
- Improving the index: packages and classes, scripts, tools, names, examples, extensions, options, language options.
• 2006/12/20
○ Improving the index: names.
○ Updated some .mld files with names of the authors of titles.
• 2007/01/09
○ Miscellaneous corrections.
○ The names of some internal macros are shortened to fit into the margin.
○ Added a \ProvidesFile command to the example files.
○ Indexing the environments (not perfect).
○ Indexing the files.
○ Renamed the file “catalog” into “CATALOG”.
○ Indexing the counters and depth counters.
○ The example files are in their own directory in the (proposed) TDS hierarchy.
★ version 52
• 2007/01/11
○ Correction of index ordering.
○ Default option in boldface in the index.
○ Adding some informations about authors for language specific titles.
○ Updated the bibliography.
• 2007/01/12
○ Added fake sections in the “Examples of documents” chapter.
○ Removed the preparation of the documentation in PostScript format.
• 2007/01/15
○ Added the cmk script to convert the documentation from PDF format into PostScript format.
○ Removed duplex2v.pro.
• 2007/01/17
○ Indexing the referenced commands.
• 2007/01/18
○ Corrected the name Thé Thành Hàn (first name before last name, the english way).
○ Corrected some other names.
• 2007/01/19
○ Added mongolb.mld and mongolb.mlo.
○ Removed mongolb.mlo (new cyrillic encodings T2 and X2 in mongolb.mld).
○ Added the example file mtc-3co.tex.
○ Trying to use a recent version of the cite [16] package (2003/11/04, 4.01) to allow sorting, but still clashes with hyperref.
• 2007/01/26
○ Balancing the columns in the index.
• 2007/01/29
Correction of the indexing of the environments.
- 2007/01/31
- Improving the index layout.
- Updated galician.mld.
- 2007/02/05
- Added mongolian.mld which loads mongolb.mld.
- 2007/02/09
- Indexing the names of authors.
- Updated the bibliography.
- 2007/02/12
- Updated the acknowledgements.
* version 53
- 2007/02/13
- Added the example file mtc-fko.tex.
- Corrected \kernafterminitoc and siblings.
- 2007/02/19
- Updated the bibliography.
- Bibliographic references for packages and classes in the index.
- 2007/03/02
- Added a header to the index, to explain notations.
- Updated the bibliography.
- Changed the style of page and line numbers in the index.
- Updated kannada.mld.
- Dangerous bend symbols are now in the right margin.
- 2007/03/06
- Improved the presentation of example files.
- Using the natbib package [145, 146] to sort the sequences of citations.
- 2007/03/09
- Correction in table 7.5 on page 247.
- Renamed minitoc-texmf.zip into minitoc-tds.zip.
- 2007/03/19
- Use the sort&compress option of the natbib package [145, 146] to compress the sequences of citations; the hypernat package must also be loaded (after natbib and hyperref).
- Updated the bibliography.
- 2007/03/22
- Added changing the title of the parttoc for appendices in mtc-apx.tex.
version 54
- 2007/03/27
- Added the “open” and “close” features.
- Indexing the features.
- Added the \mtc-ocf.tex example file.
- 2007/04/06
- Added the “\mtcfixnomenclature” command.
- Added the \mtc-nom.tex example file.
- Updated the bibliography.
- Corrected the last argument of \mtcsetfeature and siblings, using \mtc@toks.
- Some mini-tables are set on two columns in the manual.
- Indexing the messages. Messages noted in the right margin.
- Corrected a bug in \mtcoff.
- Added latinc.mld and latinc2.mld for classical latin.
- 2007/04/12
- Added internal hyperlinks for messages.
- Load the hypcap package for hyperlinks in the documentation.
- 2007/06/06
- Added \mtcoffset and co. for an horizontal offset of a mini-table.
- Added \mtcsetoffset for an horizontal offset of a mini-table type.
- Added the \mtc-ofs.tex example file.
- Added flagging of macros in example files.
- The 2007 section in the “Postface” chapter was garbled.
- More internal links in the documentation.
- Updated the bibliography.
- Added a clickable table of all messages.
- Improved column breaks in the index.
- Added a local minitoc in the “Jargon” chapter.
- Added lithuanian2.mld.
- Added latvian2.mld and letton2.mld.
- Grouped .mld/.mlo pairs in tables 7.1 to 7.2 on pages 243–244.
version 55
- 2007/06/12
- Added a hint (warning W0097) about the flowfram [433, 434] package (incompatible).
- Added a hint (I0053) about the float [302], floatrow [285], trivfloat [484], and rotfloat [420] packages.
- 2007/06/22
- Regrouping some marginal notes about messages; improving their positions.
- Improve page breaks in the documentation.
Updated the bibliography.
Corrected a bug about minitocs in appendices for the memoir class.
- 2007/06/29
- Changed the color of hyperlinks.
- Revised the format of the headers.
- Corrected some \mtcset... commands to use \edef to correctly evaluate \mtc@toks.
★ version 56
- 2007/07/02
- Added swahili.mld.
- 2007/08/03
- Page headers modified in documentation.
- Added stuff (files) for figures (maps) for many language areas.
- Removed the .eps files.
- Added the bengali language synonym of bangla.
- Split the list of files into two tables (tables 7.1 to 7.2 on pages 243–244).
- 2007/12/04
- Many minor typo fixes.
- Darker colors for hyperlinks.
- Updated and corrected the bibliography.
- Corrected a typo in the ptc@verse environment (thanks to François Pétiard).
- Corrections of typos in the mtchideinmainlof and mtchideinmainlot environments (thanks to Andrew Bowden).
- Replaced the .mtc1 extension by .mtc0 in the auto-configuration test (to avoid erasing the (\jobname.mtc1 file).
- Corrected a problem with \nofiles (Andreas Deininger).
- The acknowledgements are moved to the “Complements” part.
- Added a hint (warning W0099) about the titlesec [46] package.
- Complete indexing of the messages.
- Updated lithuanian2.mld.
- Using the chngpage package [467] to increase the width of the pages of the bibliography.
- Renamed \if@longextensions@ as \if@mtc@longext@.
- Updated czech.mld.
- Removed \l@section.
- Graphic files are indexed separately.
- Updated galician.mld.
- Added a specific directory for image files in the TDS hierarchy.
- Updated lsorbian.mld, ukraineb.mld, and usorbian.mld.
- Added malayalam-b.mld, malayalam-keli2.mld, malayalam-mr.mld, and malayalam-rachana3.mld.
- Updated malayalam-omega.mlo.
Suppressed parasite entries from the index.
version 57
- 2007/12/11
- Updated the bibliography.
- 2007/12/18
- Corrections in examples of documents.
- Added `occitan.mld`.
- Updated `croatian.mld`, `danish.mld`, `dutch.mld`, `galician.mld`, `germanb2.mld`, `greek.mld`, `icelandic.mld`, `interlingua.mld`, `polish.mld`, `scottish.mld`, and `turkish.mld`.
- 2008/01/15
- Corrected `polski.mld`.
- Updated the bibliography.
- Added table 6.10 on page 231.
- Added maps of Manchuria.
- 2008/04/03
- Better captions for maps. Added maps for Italy, Karnataka, Germany, Mongols and China.
- Added `occitan2.mld` and `mexican.mld`.
- Added a map of czech dialects.
- Added maps of danish dialects.
- Added a map of the dutch language.
- Added a map of french dialects.
- Added a map of galician dialects.
- Added maps of german dialects.
- Added maps of hindi dialects.
- Added maps of portugese dialects.
- Added a map of the turkish language.
- Added a map of the vietnamese language.
- Added a map of the armenian diaspora.
- Added a map of the sami dialects.
- Added a map of the nationalities in ex-Yugoslavia.
- Added a map of countries where spanish is an official language.
- Added a map of the sorbian area.
- Added an entry for the Wikipedia in the jargon.
- Added a map of the minorities in Poland.
- Added a map of the bengali diaspora.
- Splitted the TDS hierarchy into three tables 7.3 to 7.5 on pages 244–247.
- Added maps of the basque dialects.
- Added maps of the latvian dialects.
- Added a map for the swahili language.
- Added the turkish alphabet.
The page numbers in the index are now hyperlinks (thanks to François PÉTIARD).
Colors added in figure 1.1 on page 31.
Added maps of the languages in Europe.
Added maps of Kosovo.
Added a map of the languages in Africa.
Corrected an error of message number.
Added maps for Russia.
Added a map of the districts of Slovakia.
Added maps about Islam.
Added a figure about hánzì characters.
Added a figure about chinese characters usage in the world.
Added a figure about chinese dialects.
Added maps about writing systems.
Added a map of the regions where Finnish is spoken.
Shortened the “Installation” chapter.
Updated from the babel package version v3.8j of 2008/03/16.
Files lamed.pdf and lamed.tex replaced by lamed3.png.
Added maps of the indigenous languages of México.
version 58
- 2008/06/26
- Renamed minitoc-tds.zip into minitoc.tds.zip.
- Added a simplified linguistic map of Europe.
- Added a map of polish dialects.
- Added a figure about the russian alphabet.
- Added a map about the russian alphabet.
- Added a figure about the serbian alphabets.
- Added a map of the provinces of Vietnam.
- Used \vrefrange to compress ranges of internal cross-references.
- Added a map of albanian dialects.
- Added a map of Norway.
- Added flags for many countries. Added a light gray frame around the flags.
- Added a figure about lusophonia.
- Added a figure about germanophonia.
- Added a figure about hispanophonia.
- Added a figure about italophonia.
- Added a minitoc in the index to make it easier to consult.
- Added figures about francophones countries.
- Added a figure about swahili-speaking countries.
- Added a figure about arabic-speaking countries.
- Added a figure about russian-speaking countries.
- Added a figure about english-speaking countries.
Added flags \ifinparttoc, \ifinpartlof, \ifinpartlot, \ifinminitoc,
\ifinminilof, \ifinminilot, \ifinsecttoc, \ifinsectlof, and
\ifinsectlot.
Added example document mtc-vti.tex, section 4.36 on page 148.
Added a figure about dutch-speaking countries.
Renamed fminitoc.dtx and consorts as minitoc-fr.dtx and consorts.
version 59: corrupted PDF files.
version 60
- 2008/07/16
- Minor correction in figure.
- Updated the bibliography.
- Added missing flag files (thanks to Morten Høgholm).
- Replaced many .pdf image files (most of them are flag files) by the original
.png file because they were corrupted during the conversion by ImageMagick
(xpdf didn't see the problem but Acrobat Reader refuses to show the file);
many thanks to Heiko Oberdiek and Staszek Wawrykiewicz.
- Back to standard colors and default hyperref color options.
version 61
- 2015/07/13
- Jean-Pierre F. Drucbert passed away in 2009. So this package is now looking
for a maintainer.
- Reduce size of documentation, by eliminating flags and other images, from
25+mb to less than 2mb.
- Remove the CATALOG file, as it was redundant and stale.
- Use mirror.ctan.org for CTAN references.
- Done by Nils Ole Tippenhauer (nils_tippenhauer at sutd.edu.sg) and
Karl Berry (karl at freefriends.org). They are not prospective future
maintainers.
- No functional changes.
version 62
- 2018/07/12
- sources moved to github https://github.com/minitoc/minitoc
- Correction to \ifundefined usage that generates errors in current latex
(and didn't work previously)
- Repository set up by David carlisle but permanent maintainers still required
Acknowledgments
I ought to thank the following peoples\textsuperscript{53}, for their help, their questions, their interventions in the news groups\textsuperscript{54}, and/or for their packages, classes, documents, and tools:
Hassan Abolhassani, Paul W. Abrahams, Nabil Abu El-Ata, Tommaso Addabbo,
Juan M. Aguirregabiria, Stéphane Aicardi, Vartan Akopian, A.J. Alex, Élisabeth Allès,
Mark Alford, Viviane Alleton, Jacques André, Jérôme Andrieux, Ralf Angeli,
Walter Appel, Achod André Aradian, Patrick Andries, Einar Arnason, Tim Arnold,
Jouko Arponen, Donald Arseneau, Helmer Aslasken, David Aspinall, Ivar Åssén,
Philipp Bachmann, Gongal Badenes, Guillaume Balavoine, Jason Baldridge,
Mariin Balgarensky, Leonor Barroca, Giancarlo Bassi, Pierre Basso, Dorjgotov Batmunkh,
Jean-Yves Baudais, David Bausum, Benjamin Bayart, Thierry Bayet, Claudio Beccari,
Beebe Nelson H. F., Emmanuel Beffara, Benoît Belet, Rachid Belmouhoub,
Madeleine Benoît-Guyot, József Bérces, Alexander Berdnikov, Jens Berger, Tobias Berndt,
Karl Berry, Berhanu Beyene, Javier Bezos, Giuseppe Biolotta, Olivier Binisti, Árpád Bíró,
Justin K. Bisanwa, Denis Bitouzé, Dr. Barbara Blankenship, Laurent Bloch,
Aurélie Boissière, Patrick Boman, Onofre Bonvila, Georgi N. Boshnakov, Patrice Bougette,
Daniel Bourbonnais, Andrew Bowden, Victor Boyko, Johannes L. Braams, Felix Braun,
Jim Breen, Peter Breitenlohner, Roland Breton, Catherine Bricout, William Bright,
Gyöngyi Budosó, Mimi Burbank, Mustafa Burg, Patrick Burgel, Alexey Burykin,
Jean-Pierre Cabestan, Philippe Cadène, Olivier Cardi, Samuele Carcagno, David Carella,
David P. Carlisle, Kevin Carmody, Manuel Carriba, Régis Caspar, Waldemar Celes,
Raymond Chabbert†, Winston Chang, Jean-Côme Charpentier, Jean-Pascal Chauvet,
Pehong Chen, Céline Chevalier, Jana Chlebíková, Otfried Cheong, Jin-Hwan Cho,
Pai H. Chou, Pierre Chuvin, Yves Citoleux, Marian Clegg, Steven Douglas Cochran,
Maurizio Codogno, Bernard Combie, David B. Cook, Emmanuel Cornet, Oliver Corff,
Prakash Countcham, Olivier Dabène, Sergueï Dachian, Adrian Daerr, Arnak Dalalyan,
Patrick W. Daly, Peter T. Daniels, Holger Danielsson, Alice Davison,
Luiz Henrique de Figueiro, Arnaldo Viegas de Lima, Sébastien Demoustier,
Andreas Deininger, Éric Depardieu, Ben De Rydt, Bernard Desgraupes, Cécile Desprairies,
Sébastien Desreux, Christine Detig, Antoni R. Diller, Gérard Dorel, Dorjpalam Dorj,
Ivars Driksis, Matthew S. Dryer, Denys Duchier, Lyndon Dudding, Marko Õehaja,
Ta Quang Dung, Patrick Egan, Victor Euikhout, Brian Elmegaard, Danie Els,
Behdad Esfahbod, Thomas Esser, Gilhooley Etienne, Karl F. Everitt, Mike Fabian,
\textsuperscript{53} And I apologize to all whose I forgot.
\textsuperscript{54} Mainly. \texttt{fr.comp.text.tex} (in french) and \texttt{comp.text.tex} (in english), but also \texttt{de.comp.text.tex} (in german, but I do not read it well: send me also a mail in french or in english).
Robin Fairbairns, Christian Faulhammer, Simon Fear, Jürgen Fenn, Michael J. Ferguson, Jeff Fessler, Ulrike Fischer, Joshua-A. Fishman, Jean-Julien Fleck, Daniel Flipo, Peter L. Flom, Peter Flynn, Jim Fox, Louis Frédéric, Danny M. Furniss, Tetsuo Furukawa, Federico Garcia, Diego García Morate, Hubert Gasslein, Bernard Gaullé†, Maarten Gelderman, Chuck Genschte, Jacques Gernet, Mohammad Ghodsi, Helen Gilhooly, Henri Giordan Aleksas Stanislovas Girdenis, François Giron, Markus Gleiszner, Josiane Gonthier, Vitali Gontsharuk, Michel Goossens, Raymond G. Gordon, Jr., Mathieu Goutelle, Bruce K. Grant, Fraser Grant, George Grätzer, Norman Gray, George D. Greenwade, Enrico Gregorio, Loïc Grenon, Charles Grether, Barbara F. Grimes, Olga A. Grineva, Sébastien Grot, Micael Guignard, Marion Gunn, Guntermann Klaus, Eitan M. Gurari, Thomas Hafner, Hans Hagen, Reinhard F. Hahn, Boumediene Hamzi, Thé Thành Hàn, Thorsten Hansen, Patrick Happel, Yannis Haralambous, Kathryn A. Hargreaves, Alexander Harin, Russel L. Harris, Michael A. Harrison, Stephen Hartke, Danny Heap, Jim Hefferon, André Heider, Thorsten Hein, Sten Hellman, Håvard Helstrup, Yvon Henel, Hartmut Henkel, Thomas Henlich, Stephan Hennig, Florence Henry, Stephen Herborn, Jörg Hesoll, Pr. Thomas J. Hinnenbush, David Hoadley, Taco Hoekwater, Alan Hoenig, Joe Hogg, Morten Hogholm, Alv Kjetil Holme, Klaus Höpfn, Umstatter Horst, Don Hosek, Yufan Hu, Jean-Michel Hufflen, Dave W. Huseby, Helene Hyna, Roberto Ierusalimschy, Hiroya Ikeda, Dmitry Ivanov, Per Steinar Iversen, Victor Ivrii, Tetsuo Iwakuma, Zumbeltz Izola Azkona, Youssef Jabri, Pawel Jackowski, Roland Jacques, Christophe Jacquet, Bernd Jaehne, Radwan Jalam, Michael Janich, Frank Jensen, Alan Jeffrey, Regnor Jernsletten, Zhuhan Jiang, Loïc Joly, David M. Jones, Christophe Jorssen, Robert Juhasz, Jean-Joseph Julaud, Stefan Junge, Dan Jurafsky, Akira Kakuto, Mikko Kanerva, Theppitak Karoonboonyanan, David Kastrup, Rohan Keryell, Jonathan Kew, Axel Kielhorn, Ki-Joo Kim, Bil Kleb, Peter Kleiweg, Rune Kleveland, Ingo Klöckl, Jörg Knappen, Donald E. Knuth, Markus Kohm, Helmut Kopka, Attila Koppanyi, Adamantios Korais, Vincent Krakoviack, Kai Kratt, Thankmar Kronzucker, Siep Kroonenberg, Alexej M. Kryukov, Manfred Kudlek, Markus G. Kuhn, Florian Kulzer, Toshiki Kumazawa, Olaf Kummer, Frank Küster, Stéphane Laborde, Thomas Lachand-Robert, Klaus Lagally, Leslie Lamport, Fabio Lanari, Robert Lange, Dag Langmyhr, Olga G. Lapko, Henning Larsen, Jean-Marc Lasgouttes, Andris Lasis, Christian Laucou, Jean-Philippe Lauffenburger, Arnaud Launay, Claire Lauvernet, Boris Lavva, André Lebacq, Olivier Lecarme, Jacques Leclerc, Iksop Lee, Fabrice Le Goff, Jeanne Legrand, Philipp Lehman, Werner Lemberg, Thomas Leonhardt, Erwan Le Pennec, Stéphane Lepolozec, Julien Le Thuaut, René Létoile, Adam Lewenberg, Knut Lickert, Ulf A. Lindgren, Anselm Lingnau, Bernice Sacks Lipkin, Pierre Lobel, Miloš V. Lokajíček, Stoffel Lombard, Maurizio Loreti, Tristan Lorino, Tim Love, Vincent Lozano, Daniel H. Luecking, Ken Lunde, Anders Lyhne, Jean-François Macé, Pierre A. MacKay, Lars Madsen, Richard Mahoney, Irina A. Makhovaya, Pierre Malecki, Pascal Marchand, Bob Margolis, Cécile Marin, Nicolas Markey, Marcus Marr, Françoise Marre-Fournier, Alan Marshall, Terry Mart, Eric Martini, Vadim Maslov, Henri Massias, Stephen Matthews, Andreas Matthias, Sven Mattisson, Krystyna Mazoyer, Rowland McDonnell, Ben McKay, Surapant Meknawin, Sébastien Mengin, Jochen Metzinger, Yanick Michou, Frank Mittelbach, Young Joon Moon, Ross Moore, Jens-Uwe Morawski, Florence Morgiensztern, Lapo Filippo Mori, Michael A. Morrison, Javier A. Múgica de Rivera, Dejan Muhamedagić, Andrei Nacu, National Geographic Society, National Institute of the Korean, Sergei O. Naumov, Lee Netherton, Frank Neukam, Cuong Nguyen, Julien Nicolas, Elke Niedermair, Michael Niedermair, Rolf Niepraschk, Josselin Noirel, Tim Null, Heiko Oberdiek,
Tobias Oetiker, Haruhito Okamura, Mariusz Olko, Tanguy Ortoło, Erik Östhols, Jörg Ott, Alan Paić, Scott Pakin, Palash Baran Pal, Anshuman Pandey, Minje Byeng-sen Park, Hubert Partl, Oren Patashnik, Jonathan Pechta, Kasper Peeters, Manuel Pégourié-Gonnard, Matthias Pelger, Philippe Pelletier, François Pétiard, Terje Engeset Petterst, Sébastien Peyrouse, Paul Pichaireau, Éric Picheral, Bruno Piguet, Karel Píška, John Plaice, Yves Plassereau, Ariane Poissonnier, Maria Polinsky, Philippe Pons, Monique Pontault, Veerathanabutr Poonlap, Fabrice Popineau, Nico Poppelier, Rama Porrat, Camille-Aimé Possamai, Roozbeh Pournader, Hümar Preusse, Glanville Price, C. V. Radhakrishnan, Sebastian Rahtz, Bernd Raichele, Claude Raimond, Jose Pedro Ramalhete, S. Robert Ramsey, Paul Rascoe, Keranen Reino, Arthur Reutenauer, Adrian Rezuș, Alexandre de Rhodes†, François Richaudreau, Luís Rivera, Yuri Robbers, A. J. “Tony” Roberts, Will Robertson, Denis B. Roegel, Christian Rolland, Rasmus Pank Roulund, Chris A. Rowley, Marti Ruiz-Altaba, Jan Michael Rynning, Young Ryu, Enn Saar, David Samsoen, Julio Sánchez, Larry Sanger, Morgan Sangeux, Thierry Sanjuan, Eddie Saudrais, Elmar Schalück, Bernd Schandl, Elisabeth Schlegl, Tobias Schlemmer, Walter Schmidt, Thomas A. Schmitz, Uwe Schneider, Rainer Schöpf, Joachim Schroed, Martin Schröder, Ulrich Schwartz, Elizabeth Scurfield, Michael Shell, Jungshik Shin, Bai Shouyi†, Ali Shoukri, Andrij M. Shvaika, Chanop Silpa-Anan, Sindhu Singh, Anna Sitnikova-Rioland, Petra Schlager, Kristian Slimak, Jankovic Slobodan, John Smith, Robin S. Socha, Nick Sofroniou, Axel Sommerfeldt, Lianyi Song, Yves Soulet, Gérard Sournia, Pierre-François Souyri, Arjen Steiner, D. P. Story, Éric Streit, Ralf Stubner, K. K. Subramaniam, Cyrille Süss, Robert S. Sutor, Chris Swoyer, Apostolos Syropoulos, Raffaella Tabacco, Nicola L. C. Talbot, Daniel Taupin†, Philip Taylor, Michel Tétu, Yves Ternon, Manfred Thibaud, Christina Thiele, Harold Thimbleby, Kresten Krab Thorup, Aurélien Thureau, Karsten Tinnefeld, Josef Tkadlec, Ton ’t Lam, Sigitas Tolušis, Cezare Tomczak, Laurent Tordella, Mark Trettin, Antonis Tsolomitis, Ahto Truu, Stefan Ulrich, Hideo Umeki, Un Koaunghi, Turgut Uyar, Jari Vaario, Christian Valantin, Piet van Oostrum, Thomas van Oudenhove de Saint Géry, Timothy Van Zandt, Vincent Vaquin, Suki K. Venkatesan, Didier Verna, Sylvain Vesco, Boris Veytsman, Alexandre Vial, Carl F. Voegelin, Florence M. Voegelin, Martin Vogel, Vladimir Volovich, Stephan P. von Bechtolsheim, Herbert Voss, Zdeněk Wagner, David Walden, Jimmy Wales, Nigel Ward, John Warnock, Douglas Waud Stašzek Wawrykiewicz, Stephan B. Webanck, Eduard Werner, Daphne West, Ferenc Wetli, Graham Williams, Peter R. Wilson, Jeroen Wijnhout, Alexandre Wolf, Marcin Woźniński, Elisabeth Wolkowski, Mark Wooding, Joseph A. Wright, Tim Wright, Dominik Wujastyk, Damien Wyart, C. S. Yogananda, Adi Zaimi, Ludwig Lejzer Zamenhof†, Danilo Zavrtanik, Krzysztof Konrad Żelechowski, Charlie S. Zender, Federico Zenith, Vadim V. Zhytnikov, Uwe Ziegenhagen, and Leon Žilajpah.
|
The Origin and Formation of the Circumstellar Disk
Masahiro N. Machida$^1$ and Tomoaki Matsumoto$^2$
ABSTRACT
The formation and evolution of the circumstellar disk in the collapsing molecular cloud is investigated from the prestellar stage resolving both the molecular cloud core and the protostar itself. In the collapsing cloud core, the first (adiabatic) core appears prior to the protostar formation. Reflecting the thermodynamics of the collapsing gas, the first core is much more massive than the protostar. When the molecular cloud has no angular momentum, the first core falls onto the protostar and disappears several years after the protostar formation. On the other hand, when the molecular cloud has an angular momentum, the first core does not disappear even after the protostar formation, and directly evolves into the circumstellar disk with a Keplerian rotation. There are two paths for the formation of the circumstellar disk. When the initial cloud has a considerably small rotational energy, two nested disks appear just after the protostar formation. During the early main accretion phase, the inner disk increases its size and merges with the outer disk (i.e. first core) to form a single circumstellar disk with a Keplerian rotation. On the other hand, when the molecular cloud has a rotational energy comparable to observations, a single Keplerian disk that corresponds to the first core already exists prior to the protostar formation. In such a cloud, the first core density gradually increases, maintaining the Keplerian rotation and forms the protostar inside it. Thus, the protostar is born in the Keplerian disk. In other words, a massive disk already exists before the protostar formation. In each case, the protostar at its formation is already surrounded by a massive circumstellar disk. The circumstellar disk is about 10-100 times more massive than the protostar in the main accretion disk. Such disks are favourable sites for the formation of binary companions and gas-giant planets.
Subject headings: accretion, accretion disks: ISM: clouds—stars: formation—stars: low-mass, brown dwarfs: planetary systems: protoplanetary disks
$^1$National Astronomical Observatory of Japan, Mitaka, Tokyo 181-8588, Japan; email@example.com
$^2$Faculty of Humanity and Environment, Hosei University, Fujimi, Chiyoda-ku, Tokyo 102-8160, Japan; firstname.lastname@example.org
1. Introduction
A star is born with a circumstellar disk in the molecular cloud core. Molecular clouds have an angular momentum (Arquilla & Goldsmith 1986; Goodman et al. 1993; Caselli et al. 2002) that can form a disk in the star-formation process. Thus, disk formation is a natural consequence of the conservation of angular momentum in the collapsing cloud core. Observations have also supported the existence of a circumstellar disk around young stellar objects. The circumstellar disks have been identified by spectral energy distributions, and are resolved in their scattered light (see review of Watson et al. 2007). Thus, there is no room for doubt about the emergence and presence of circumstellar disks in the star-formation process.
The circumstellar disk plays important roles in star and planet formation. The planets are formed in the circumstellar (or protoplanetary) disks. Recent theoretical studies state that planets are formed according to the gravitational instability scenario with massive disks and according to the core accretion scenario with less massive disks (Durisen et al. 2007). Thus, the mass of the circumstellar disk determines the planet-formation mode and properties of planets. In addition, the protostellar outflows are driven by the circumstellar disk (Pudritz et al. 2007). It is considered that these flows are closely related to the angular momentum transfer, and they determine the star-formation efficiency (Matzner & McKee 2000). Therefore, it is necessary to investigate the formation and properties of the circumstellar disk to understand both star and planet formation. Nevertheless, so far, the formation process of the circumstellar disk in the collapsing cloud core has rarely been investigated.
In a classical star-formation scenario, it is envisaged that the circumstellar disk begins to form after the protostar formation and increases its size with time. This picture is evoked by the idea that a small part of the natal cloud having the lowest angular momentum first collapses and forms the protostar, while the remainder of the cloud, which has larger angular momentum collapses later, and forms the circumstellar disk. However, in this picture, the thermal evolution of collapsing (or infalling) gas is not taken into account. Recent star formation scenarios including thermal evolution, have shown that the transient object that is called the first core appears prior to the protostar formation (Masunaga & Inutsuka 2000). In the collapsing cloud core, the gas collapses isothermally for $n \lesssim 10^{10} \text{ cm}^{-3}$, while it collapses adiabatically for $n \gtrsim 10^{10} \text{ cm}^{-3}$ and forms the first (adiabatic) core at $n \simeq 10^{10} - 10^{12} \text{ cm}^{-3}$. Although the first core is in a nearly hydrostatic equilibrium state, its central density gradually increases because the first core increases its mass by the gas accretion (Masunaga et al. 1998). When the central density exceeds $n \gtrsim 10^{16} \text{ cm}^{-3}$ (or temperature $T \gtrsim 2000 \text{ K}$), the molecular hydrogen begins to dissociate and the central region rapidly collapses again (the so-called second collapse). Finally, the collapsing gas becomes adiabatic
again and the protostar forms at $n \gtrsim 10^{20} \text{ cm}^{-3}$ (Larson 1969; Masunaga & Inutsuka 2000). Because the second collapse occurs only in a small part of the first core, the first core does not disappear just after the protostar formation. In a spherically symmetric calculation, the first core falls onto the central protostar and disappears several years after the protostar formation (Masunaga & Inutsuka 2000). However, the rotational effect is not included in the spherically symmetric calculation. In reality, because the first core is supported by not only the thermal pressure but also the rotation, it does not disappear in such a short duration without effective angular momentum transfer (Saigo & Tomisaka 2006).
Recently, Machida et al. (2010) and Bate (2010) pointed out that the first core is the origin of the circumstellar disk (see also Bate 1998), indicating that the disk appears before the protostar formation and is more massive than the protostar at the protostar formation epoch (Inutsuka et al. 2010). Such massive disks tend to exhibit the gravitational instability that contributes to the angular momentum transfer through the nonaxisymmetric gravitational torque, and binary or planet formation through fragmentation. To investigate the formation and evolution of the circumstellar disk in the collapsing cloud core, we need a three-dimensional simulation that covers both the circumstellar disk and its natal cloud with adequate spatial resolution. However, because such a calculation requires a considerably higher spatial resolution, only a few studies have investigated the formation of the circumstellar disk from the prestellar stage. In many other calculations, the evolution of circumstellar disks after the main accretion phase was investigated with artificial settings in which the disk properties are artificially modeled (see review of Durisen et al. 2007). However, the evolution of the circumstellar disk even after the main accretion phase should be investigated from the prestellar stage to give adequate initial condition. Otherwise, artificial initial settings may determine the final fate of the circumstellar disk.
Walch et al. (2009a,b) and Machida et al. (2010) calculated the formation of the circumstellar disk from the prestellar stage (i.e. from the starless molecular cloud core stage) up to the main accretion stage in an unmagnetized cloud. However, they did not resolve the protostar itself to perform a long-term calculation of the circumstellar disk. Bate (1998) investigated the protostar formation with a sufficient spatial resolution up to the protostar formation. The cloud evolution in both phases (before and after the protostar formation) resolving the protostellar radius in an unmagnetized cloud was only calculated by Bate (2010). However, that study did not explore the evolution of the circumstellar disk just after the protostar formation.
In summary, so far, the evolution of the circumstellar disk in the proximity of the protostar just after the protostar formation has not been investigated with a multidimensional simulation resolving the protostar (or protostellar size). If the first core that is formed before the protostar formation falls onto the protostar and disappears for a short duration, the circumstellar disk gradually forms after the protostar formation, as envisaged in the classical picture. Instead, as pointed out by Bate (2010) and Machida et al. (2010), if the first core remains longer, it becomes the circumstellar disk that is considerably more massive than the protostar. In this study, we calculate the cloud evolution from the prestellar stage up to the period after the protostar formation resolving the protostellar radius of $< 0.01 \text{ AU}$ and investigate the formation process of the circumstellar disk in the proximity of the protostar. The structure of this paper is as follows. The framework of our models and the numerical method are given in §2. The numerical results are presented in §3. We discuss the further evolution of the disk in §4, and summarize our results in §5.
## 2. Model Settings
To study the evolution of rotating gas clouds and the formation of circumstellar disks, we solve the equations of hydrodynamics including self-gravity:
\[
\frac{\partial \rho}{\partial t} + \nabla \cdot (\rho \mathbf{v}) = 0,
\]
(1)
\[
\rho \frac{\partial \mathbf{v}}{\partial t} + \rho (\mathbf{v} \cdot \nabla) \mathbf{v} = -\nabla P - \rho \nabla \phi,
\]
(2)
\[
\nabla^2 \phi = 4\pi G \rho,
\]
(3)
where $\rho$, $\mathbf{v}$, $P$, and $\phi$ denote the density, velocity, pressure and gravitational potential, respectively. To mimic the temperature evolution calculated by Masunaga & Inutsuka (2000), we adopt the piece-wise polytropic equation (see, eq [5] of Machida et al. 2007). In reality, the thermal evolution in the collapsing cloud may have to be investigated with radiation hydrodynamics code. However, Bate (2010) investigated the evolution of the collapsing cloud using radiation smoothed particle hydrodynamics code, and commented that the cloud evolution with radiation hydrodynamics is almost identical to the evolution obtained from the calculation with the barotropic equation of state before the protostar formation (see also, Tomida et al. 2010). In this study, we investigate the cloud evolution with the barotropic equation of state up to the epoch just after the protostar formation. We think that, in this period, the cloud evolution and formation of the circumstellar disk can be safely investigated by using the barotropic approximation. This treatment reduces CPU time and makes it possible to study cloud evolution with sufficiently high spatial resolution.
As the initial state, we take a spherical cloud with critical Bonnor–Ebert (BE) density profile, in which a uniform density is adopted outside the sphere ($r > R_c$). For the BE density profile, we adopt the central density of $n_c = 10^6 \text{ cm}^{-3}$ and isothermal temperature
of $T = 10\,\text{K}$. For these parameters, the critical BE radius is $R_c = 4.8 \times 10^3\,\text{AU}$. To promote the contraction, we increase the density by a factor of $f=1.68$, where $f$ is the density enhancement factor that represents the stability of the initial cloud. With $f = 1.68$, the initial cloud has (negative) gravitational energy twice that of thermal energy. The mass within $r < R_c$ is $M = 0.8\,M_\odot$. Initially, the cloud rotates rigidly with an angular velocity $\Omega_0$ around the $z$-axis. We parameterized the ratio of the rotational to the gravitational energy ($\beta_0 \equiv E_r/E_g$) inside the initial cloud. We calculated four different models with different $\beta_0$. Model names, initial angular velocities $\Omega_0$, and $\beta_0$ are summarized in Table 1.
The time step for the calculation becomes increasingly short as the cloud collapses (or the central density increases). When the time step becomes extremely short, we cannot calculate the evolution of the cloud and circumstellar disk for long durations. To avoid this, we adopt a sink at the centre of the cloud after the protostar formation. To model the protostar, we adopt a sink around the center of the computational domain when the number density $n$ exceeds $> 3 \times 10^{21}\,\text{cm}^{-3}$ at the cloud centre. In the region $r < r_{\text{sink}} = 2\,R_\odot$, the gas having a number density of $n > 3 \times 10^{21}\,\text{cm}^{-3}$ is removed from the computational domain and added to the protostar as gravity in each timestep (for details, see Machida et al. 2009, 2010). Masunaga & Inutsuka (2000) showed that the protostar forms at $n \sim 10^{20} - 10^{21}\,\text{cm}^{-3}$ with a radius of $\sim 2\,R_\odot$ in the collapsing cloud. This treatment of the sink makes it possible to calculate the evolution of the collapsing cloud and circumstellar disk for a longer duration. However, in our calculations, the central density never exceeds $n > 3 \times 10^{21}\,\text{cm}^{-3}$ except for the model with $\beta_0 = 0$ (i.e., non-rotating model). Thus, we calculated the cloud evolution up to the end of the calculation without a sink for the model with $\beta_0 \neq 0$, while with a sink for model with $\beta_0 = 0$. In each model, we stop the calculation about 4 yr after the protostar formation.
To calculate over a large spatial scale, the nested grid method is adopted (Machida et al. 2005a, 2006a). Each level of a rectangular grid has the same number of cells, $128 \times 128 \times 16$. The calculation is first performed with five grid levels ($l = 1 - 5$). The box size of the coarsest grid $l = 1$ is chosen to be $2^5 R_c$. Thus, a grid of $l = 1$ has a box size of $1.5 \times 10^5\,\text{AU}$. A new finer grid is generated before the Jeans condition is violated. The maximum level of grids is restricted to $l_{\text{max}} \leq 21$. The $l = 21$ grid has a box size of $0.14\,\text{AU}$ and a cell width of $1.1 \times 10^{-3}\,\text{AU}$. With this method, we cover eight orders of magnitude in spatial scale. In other words, we can spatially cover both the molecular cloud core and protostar itself.
3. Results
The disk-formation process depends on the rotation rate of the initial cloud, because the cloud rotation makes the circumstellar disk in the star-formation process. In this study, we calculated the formation of the protostar and circumstellar disk in the molecular cloud core for four different models in which the rotational energy of the initial cloud is parameterized in the range of $0 < \beta_0 < 10^{-3}$. The observations have shown that the molecular clouds have rotational energy in the range of $10^{-4} \lesssim \beta_0 \lesssim 0.07$ with an average of $\beta_0 = 0.02$ (Goodman et al. 1993; Caselli et al. 2002). Recent numerical studies showed that the cloud with rapid rotation $\beta_0 \gtrsim 10^{-2}$ tends to show fragmentation or binary formation before the protostar formation (Matsumoto & Hanawa 2003). However, it is difficult to investigate the formation process of the circumstellar disk in a binary system. Thus, in this study, we limited the rotational parameter in the range of $\beta_0 \leq 10^{-3}$ to focus on the circumstellar disk around the single protostar. In this section, first, we show the cloud evolution for the model with a relatively slow rotation rate ($\beta_0 \leq 10^{-4}$). Then, the evolution of a relatively rapidly rotating cloud ($\beta_0 = 10^{-3}$) is described. The evolution of the cloud with larger rotational energy ($\beta_0 > 10^{-3}$) is discussed in §4.2.
3.1. Evolution of Cloud with a Relatively Slow Rotation
Figures 1 and 2 show the density distribution and velocity vectors on the $z = 0$ (Fig. 1) and $y = 0$ (Fig. 2) planes for a model with $\beta_0 = 10^{-4}$ (model 2) with different spatial scales $t_c = 1.2083$ yr after the protostar formation. In these figures, Figures 1a and 2a cover the entire region of the molecular cloud core with a box size of $\sim 8000$ AU, while Figures 1f and 2f cover the protostar and a part of the disk with a box size of $\sim 0.3$ AU. For this model, the protostar forms in the collapsing cloud $t = 5.064 \times 10^4$ yr after the calculation begins (i.e. after the initial cloud begins to collapse). In this paper, we define $t_c$ as the elapsed time after the protostar formation where the protostar formation epoch ($t_c = 0$) is defined as the epoch when the central density reaches $n_c = 10^{20}$ cm$^{-3}$ in the collapsing cloud core. In addition, we define $t$ as the elapsed time after the calculation begins (or the initial cloud begins to collapse).
Figures 1a and 2a show that a molecular cloud with a size of $\sim 8000$ AU maintains a spherical structure even after the protostar formation, because the gas begins to collapse in the small area of the centre of the cloud and the outer envelope maintains its nearly initial structure, as shown in Larson (1969). As seen in Figures 1b and 2b, the gas collapses spherically towards the centre of the cloud in a large scale of $\gg 1$ AU, because the rotation hardly affects the dynamical evolution of the cloud at such a scale (Machida et al. 2005a).
In the collapsing cloud, the gas becomes optically thick against the dust cooling and the first core surrounded by the shock appears when the number density exceeds $n \gtrsim 10^{10} \text{ cm}^{-3}$ (Masunaga & Inutsuka 2000). When the cloud has an angular momentum, the first core has a disk-like structure. The disk-like structure surrounded by the shock in Figures 1c and 2c corresponds to the first core. Figures 1b-d show that the gas falls radially towards the first core outside the first core, while the gas rotates rapidly inside the first core. This is because, inside the first core, the gas collapses very slowly in the radial direction and the rotation dominates the radial motion after the gas becomes adiabatic (i.e., after the first core formation).
Inside the first core, there is another structure with a radius of $\sim 0.4 \text{ AU}$ surrounded by the disk-like shock, as seen in panels d and e of Figures 1 and 2. This disk-like object is formed inside the first core after the protostar formation. In this paper, we call this object (i.e., the disk around the protostar) the inner disk. In addition, the protostar with a radius of $\sim 0.02 \text{ AU}$ exists with a nearly spherical structure inside the inner disk, as seen in Figures 1f and 2f. Thus, after the protostar formation, three different structures appear inside the collapsing molecular cloud core: two nested disks (disk-like first core and inner disk) and protostar.
After the first core formation, further rapid collapse is induced in a small central part of the first core owing to the dissociation of molecule hydrogen when the number density exceeds $n \gtrsim 10^{16} \text{ cm}^{-3}$ (Larson 1969; Masunaga & Inutsuka 2000). In such a collapsing region, the gas becomes adiabatic again after the dissociation of molecule hydrogen is completed and a protostar with a shock (or the second adiabatic core) appears in the region of $n \gtrsim 10^{20} \text{ cm}^{-3}$. In this model, then, the inner disk appears around the protostar after the protostar formation, because the first core has an angular momentum and the rotation of the infalling gas from the first core cannot be neglected as it approaches the protostar. Therefore, the disk structure is formed inside the first core because of the rotation. Note that the first core appears in the collapsing cloud even without rotation, because the first core is supported by not only the rotation but also thermal pressure, while no inner disk appears without rotation. Figures 1 and 2 clearly show two nested disks inside the molecular cloud core outside the protostar.
The nested disks can also be seen in Figure 3, in which the first core and inner disk are plotted by the orange and red iso-density surfaces, respectively. This figure clearly shows that the thin inner disk is surrounded by the thick torus-like disk (i.e., the first core). In the figure, the velocity vectors on the equatorial plane are projected onto the bottom wall surface. The direction of the velocity vector is suddenly changed at the surface of the first core; the gas falls radially towards the centre of the cloud outside the first core, while it falls slowly with rapid rotation inside the first core. In addition, inside the inner disk (red iso-density
surface), the azimuthal greatly velocity dominates the radial velocity (i.e. $v_\phi \gg v_r$). Thus, on the equatorial plane, the gas inside the inner disk is rotating rapidly without infalling towards the protostar.
Figure 4 shows the time sequence of the first core and inner disk after the protostar formation, in which each panel has a same box size of $\sim 3$ AU. In the figure, the outer shock surface corresponding to the first core is plotted by the broken red line, while the inner shock surface corresponding to the inner disk is plotted by the broken blue line. The first core has an ellipsoidal structure at the protostar formation epoch (Fig. 4a). Then, after the inner disk appears around the protostar (or after the protostar formation), the first core thins in the region just outside the inner disk. In Figure 4b, we can see the sharp drop of density distribution in the vertical direction in the range of $|x| < 0.5$ AU. The thermal energy decreases in the centre of the first core, where the equation of state is changed from $\gamma = 1.4$ to $\gamma = 1.1$ because of the dissociation of molecular hydrogen. Thus, the gas inside the first core (or in the central region of the first core) falls vertically onto the protostar or the inner disk, because the vertical direction is mainly supported by the thermal pressure gradient force not by the centrifugal force. After the protostar formation, the inner disk increases its size, while the first core slightly decreases its size, as seen in Figures 4b-c. This is because the region inside the first core gradually collapses to accrete onto the inner disk. In addition, the first core increases its mass by the gas accretion and shrinks its size (Saigo & Tomisaka 2006). Finally, two shocks (or two disks) composed of the shrinking first core and expanding inner disk merge to form a single disk (or single shock) $t_c = 3.4$ yr after the protostar formation, as shown in Figure 4d. After the merger, the single disk increases its size with time.
To confirm this merger, the radial distribution of the density ($a$), radial velocity ($b$), azimuthal and Kepler velocities ($c$) and ratio of the radial velocity to the azimuthal velocity ($d$) are plotted in Figure 5, in which each quantity is azimuthally averaged. At the protostar formation epoch ($t_c = 0$ yr; black line), the density profile shows only a single shock at $r \sim 1.7$ AU (Fig. 5a). At the shock surface that corresponds to the surface of the first core, the radial velocity suddenly increases to approach zero (Fig. 5b). Inside the first core ($r < 1.7$ AU), the radial velocity gradually decreases again in the range of $0.02$ AU $\lesssim r \lesssim 1.7$ AU, while it increases in the range of $r \lesssim 0.02$ AU. Because the protostar ($n \gtrsim 10^{20}$ cm$^{-3}$) has a size of $\sim 0.01$ AU, the infall (or negative radial) velocity approaches zero near the protostellar surface. The azimuthal velocity suddenly increases at the surface of the first core (Fig. 5c). Figure 5d shows that the radial velocity greatly dominates the azimuthal velocity outside the first core, while the azimuthal velocity dominates the radial velocity inside the first core. This indicates that the first core is rotating rapidly and collapses slowly.
The blue and red lines in Figure 5a show two nested shocks in the range of $0.1 \text{ AU} \lesssim r \lesssim 2 \text{ AU}$: the outer shock corresponding to the first core is located at $r \sim 1 - 2 \text{ AU}$, while the inner shock corresponding to the inner disk is located at $r \sim 0.1 - 0.5 \text{ AU}$. The figure indicates that the inner shock is outwardly expanding, while the outer shock is inwardly shrinking. In Figure 5b, we can clearly see two shocks for red and blue lines, in which the radial velocity is considerably small except for the very proximity of the protostar ($r < 0.01 \text{ AU}$) inside the inner shock (or the inner disk). Figure 5c shows that, inside the first core, the azimuthal velocity gradually increases with time and has a nearly Keplerian velocity inside the inner disk. In addition, Figure 5d shows that the azimuthal velocity is over 10 times larger than the radial velocity inside the first core. Thus, at these epochs, the gas orbits around the protostar with a nearly Keplerian velocity inside the first core.
Two nested structures (i.e. the first core and the inner disk) merge to form a single disk $t_c = 3.396 \text{ yr}$ after the protostar formation (green line in Fig. 5a). The green lines in Figure 5c indicate that the merged disk is supported by rotation and has a size of $\sim 1 \text{ AU}$. After the merger, the disk increases its mass and size with time. This disk corresponds to the circumstellar disk. At the end of the calculation ($t_c = 3.5 \text{ yr}$), the circumstellar disk has a mass of $0.025 M_\odot$ with a size of $1.1 \text{ AU}$, while the protostar has a mass of $3.5 \times 10^{-3} M_\odot$ with a size of $0.01 \text{ AU}$. Thus, the circumstellar disk is approximately seven times more massive than the protostar.
### 3.2. Evolution of Cloud with Extremely Slow Rotation and No Rotation
We also calculated the evolution of the circumstellar disk in the molecular cloud with a further lowering of the rotational energy of $\beta_0 = 10^{-5}$. However, the formation process of the circumstellar disk is almost the same as that of the model with $\beta_0 = 10^{-4}$. Also, in this model, two nested disks appear just after the protostar formation, and finally they merged to form a single circumstellar disk. The circumstellar disk has a mass of $0.016 M_\odot$ with a size of $0.3 \text{ AU}$, while the protostar has a mass of $4.2 \times 10^{-3} M_\odot$ with a size of $0.01 \text{ AU}$ at the end of the calculation ($t_c = 3.7 \text{ yr}$).
On the other hand, when the initial cloud has no angular momentum, only a single core appears outside the protostar. The time sequence for evolution of the collapsing cloud after the protostar formation for the model without rotation ($\beta_0 = 0$, model 4) is shown in Figure 6. The azimuthally averaged distributions of the density and velocity for three different epochs corresponding to each panel in Figure 6 are plotted in Figure 7. Also, in this model, the first core appears in the collapsing cloud before the protostar formation. Figure 6a indicates that the first core exists without disappearing at the protostar formation.
epoch. In Figure 7, at the protostar formation epoch ($t_c = 0$, black line), there are two shock surfaces: the outer shock corresponding to the first core is located at $r \sim 1$ AU, while the inner shock corresponding to the protostar is located at $r \sim 0.01$ AU. Masunaga & Inutsuka (2000) showed that the first core falls onto the protostar and disappears for a short duration after the protostar formation. Figure 6 indicates that, after the protostar formation, the first core shrinks with time and finally disappears in $t_c \sim 1.3$ yr. Figure 7 shows that the shock surface corresponding to the first core moves inwardly and merges with the protostar. Thus, no circumstellar disk appears for the model without rotation. We also confirmed that, after the first core disappears, the density distribution in the infalling envelope is proportional to $\rho \propto r^{-1.5}$ in the range of $0.01$ AU < $r$ < $10$ AU, while it is proportional to $\rho \propto r^{-2}$ in the range of $r > 10$ AU. This distribution resembles the singular isothermal self-similar solution (Shu 1977).
### 3.3. Evolution of Cloud with a Relatively Rapid Rotation
As shown in §3.1, when the initial cloud has a considerably slow rotation ($\beta_0 = 10^{-4}$), two nested disks (the first core and the inner disk) co-exist for a short duration after the protostar formation, in which the inner disk is enclosed by the outer first core. On the other hand, when the cloud has a rapid rotation, we cannot distinguish the first core and the inner disk in the star formation process. In other words, only a single rotating disk (or rotating first core) appears before and after the protostar formation. To investigate the formation of the circumstellar disk for the cloud with a relatively rapid rotation, the cloud evolution for the model with $\beta_0 = 10^{-3}$ (model 1) is presented in this subsection.
The density and velocity distributions 16.7 yr (i.e., $t_c = -16.7$ yr) before the protostar formation for model 1 ($\beta_0 = 10^{-3}$) are shown in Figure 8. The figure shows that the first core has a size of $\sim 8$ AU and has already become sufficiently thin before the protostar formation. The velocity vectors in this figure indicate that the gas is rapidly rotating inside the first core. Figure 9 shows the density and velocity distribution for model 1 $t_c = 1.475$ yr after the protostar formation with various spatial scales. The entire region of the first core is covered in Figure 9a, while the protostar embedded in the first core is seen in Figure 9d. At this epoch ($t_c = 1.475$ yr), the first core and protostar have sizes of $\sim 8$ AU and $\sim 0.01$ AU, respectively. The arrows in Figures 9a-d indicate that the gas is rapidly rotating inside the first core outside the protostar. Although the spiral structure appears inside the first core as seen in each upper panel of Figures 9b and c, no clear shock corresponding to the inner disk as seen in Figures 1 and 2 appears in this figure. As shown in Figure 9d, the gas falls onto the protostar rapidly in the vertical direction and very slowly in the horizontal direction. In
addition, the disk-like first core sags downwards in the proximity of the protostar, as seen in lower panels of Figures 9c and d. In Figure 10, the density and velocity distributions before (upper panel) and after (lower panel) the protostar formation are plotted in three dimensions. The figure shows that the first core has a sufficiently thin disk-like structure before the protostar formation. In addition, just after the protostar formation, the protostar is already enclosed by the thin disk. In the bottom wall, we can also see the spiral structure that is developed by the excess angular momentum of the disk (or the first core).
In Figure 11, the azimuthally averaged density (a), radial velocity (b), azimuthal and Keplerian velocities (c) and ratio of the radial to the azimuthal velocity (d) are plotted against the radius for three different epochs [the epoch before (black) and after (red) the protostar formation and just before the protostar formation epoch (blue)]. In Figure 11a, the shock at $\sim 8$ AU corresponds to the surface of the first core and remains almost in the same position by the end of the calculation. Inside the first core ($\lesssim 8$ AU), the gas density increases smoothly towards the centre of the cloud before the protostar formation (black and blue lines), while it increases with waves after the protostar formation (red line). This is because the spiral structure develops inside the first core after the protostar formation, as seen in Figure 9. Figure 11b shows that the radial velocity suddenly increases to approach zero at the surface of the first core ($\sim 8$ AU) in each epoch. Just after the first core formation (black line), the radial velocity becomes $v_r \sim 0$ inside the first core, indicating that the gas collapses very slowly towards the centre of the cloud. As the central density increases, the second collapse is induced and the gas collapses rapidly again, as seen in the blue line of Figure 11b. After the protostar formation, the radial velocity inside the first core oscillates around $v_r = 0$, because the spiral structure appearing after the protostar formation contributes to the angular momentum transfer. Thus, inside the disk (or the first core), a fraction of gas can fall onto the protostar, while the remaining gas moves outward with an excess angular momentum. However, as seen in Figure 11d, because the azimuthal velocity greatly dominates the radial velocity inside the first core, the radial motion is not much noticeable inside the first core.
Figure 11c shows that, in each epoch, the azimuthal velocity traces a near-Keplerian velocity inside the first core. Thus, the first core already has the Keplerian rotation from its formation. Then, the first core gradually increases its central density maintaining the Keplerian rotation, and the protostar appears in the Keplerian rotating disk (or the Keplerian rotating first core). Therefore, as seen in the red line of Figure 11c, the protostar already has a Keplerian rotating disk at its formation. In other words, the protostar is born in the Keplerian rotating disk that formed long before the protostar formation. As described in §3.1, also in model 2 ($\beta_0 = 10^{-4}$), the protostar is formed inside the disk-like structure (or the disk-like first core). However, the first core does not reach the Keplerian rotation before
the protostar formation (see, Fig. 5c). Thus, the Keplerian rotating disk (i.e. the inner disk) appears inside the first core after the protostar formation and merges with the first core to form a single Keplerian rotating disk several years after the protostar formation. This difference is caused by the initial rotational rate of the molecular cloud core. Because model 1 has a larger rotational energy than model 2, the first core has a Keplerian rotation from its formation and becomes the circumstellar disk directly after the protostar formation.
At the end of the calculation ($t_c = 1.5$ yr), for model 1, the circumstellar disk has a mass of $0.062 M_\odot$ with a size of 8.5 AU, while the protostar has a mass of $2.4 \times 10^{-3} M_\odot$ with a size of 0.01 AU. Thus, the circumstellar disk is about 25 times more massive than the protostar. The larger ratio of the mass of circumstellar disk to that of the protostar for this model is also attributed to the larger initial rotation rate.
4. Discussion
4.1. Further Evolution of the Circumstellar Disk
The formation of the circumstellar disk in the collapsing cloud was investigated in previous studies (e.g., Yorke et al. 1993; Bate 1998; Walch et al. 2009a,b; Machida et al. 2010); however, the protostar itself and the region in the proximity of the protostar ($r \ll 1$ AU) were not resolved in such studies. Thus, the formation and evolution of the circumstellar disk near the protostar just after the protostar formation have not been understood. In other words, such studies did not focus on the actual formation process of the circumstellar disk, because the circumstellar disk is smoothly connected to the protostar that has a size of $\sim 0.01$ AU. In this study, we investigated the formation of the circumstellar disk having Keplerian rotation from the prestellar molecular cloud core stage through the protostar formation resolving the protostar itself, and confirmed that the first core that is formed before the protostar formation is the origin of the circumstellar disk, as expected in Machida et al. (2010). This indicates that we need to resolve at least the first core to investigate the formation and evolution of the circumstellar disk in the collapsing gas cloud.
When the molecular cloud core has no angular momentum, the gas inside the first core gradually accretes onto the protostar and the first core disappears in several years after the protostar formation, as shown in Masunaga & Inutsuka (2000). On the other hand, the first core does not disappear and evolves into the circumstellar disk after the protostar formation when the molecular cloud core has an angular momentum.
The protostellar mass $M_{\text{ps}}$, the mass of the circumstellar disk $M_{\text{disk}}$, and circumstellar disk radius $r_{\text{disk}}$ at the end of the calculation for each model are listed in Table 1. As noted in
the table, the mass of the circumstellar disk is much more massive than that of the protostar by the end of the calculation (or several years after the protostar formation). The first core that is the origin of the circumstellar disk has a mass of $\sim 0.01 - 0.1 \, M_\odot$ at its formation, while the protostar has a mass of $\sim 10^{-3} \, M_\odot$ at its formation. The mass of each object (the first core and protostar) is determined by the Jeans mass at its formation. The Jeans mass continues to decrease as the cloud collapses (see, Fig.2 of Inutsuka et al. 2010), and the first core forms at earlier epoch than the protostar. Thus, the first core is about $10 - 100$ times more massive than the protostar. Then, even in the early main accretion phase after the protostar formation, the mass of the circumstellar disk that is directly evolved from the first core is much more massive than that of the protostar.
As shown in §3.1, the first core evolves into the circumstellar disk in the main accretion phase even when the molecular cloud core has a considerably smaller angular momentum of $\beta_0 \simeq 10^{-4} - 10^{-5}$ whose value is comparable or smaller than the lower limit of observations $\beta_0 \sim 10^{-4}$ (Goodman et al. 1993; Caselli et al. 2002). This indicates that, in general, a massive Keplerian disk rapidly (or suddenly) appears just after (or before) the star formation. In the main accretion phase subsequent to the gas-collapsing phase, both the circumstellar disk and the protostar increase their mass by gas accretion. In this study, we could not investigate further evolution of the circumstellar disk in the main accretion phase, because we calculated its formation and evolution with a sufficiently high-spatial resolution that has a considerably short timestep. On the other hand, Machida et al. (2010) calculated the formation and evolution of the circumstellar disk with a relatively coarser spatial resolution at the expense of the structure in the proximity of the protostar, and showed that the circumstellar disk is more massive or comparable to the protostar by the end of the main accretion phase. It is expected that such a massive disk tends to show fragmentation and subsequent formation of the binary companions or planet-size objects in the circumstellar disk. Even when no fragmentation occurs in the main accretion phase, such a massive disk is a favourable site for planet formation after the main accretion phase, because gas-giant planets can be formed by gravitational instability (Durisen et al. 2007). However, we require a huge amount of CPU time to investigate the further evolution of the disk after the main accretion phase from the molecular cloud core stage.
### 4.2. Fragmentation in the Early Collapsing Phase
In this study, to suppress fragmentation and binary formation, we adopted a relatively small initial rotational energy ($\beta_0 \leq 10^{-3}$) that is smaller than the average of the observations $\beta_0 \sim 0.02$ (Goodman et al. 1993; Caselli et al. 2002). Recent numerical simulations have
shown that fragmentation or binary formation occurs just after the first core formation when the initial cloud has a relatively larger rotational energy of $\beta_0 > 10^{-3}$ (Matsumoto & Hanawa 2003, see also Bodenheimer et al. 2000; Goodwin et al. 2007). Thus, the mass and size of the fragments are comparable to those of the first core ($r \sim 1 - 10$ AU, $M \sim 0.1 - 0.01 M_\odot$), because the first core fragments to form a few clumps. In addition, although the angular momentum is redistributed into the orbital and spin angular momenta after fragmentation, each fragment still has sufficient angular momentum to form the Keplerian-rotating disk inside it, as shown in Machida et al. (2005b). Therefore, it is expected that the circumstellar disk forms in each fragment passing through the same evolitional path as the non-fragmentation model, and the circumstellar disk in each fragment has a similar size and mass to the non-fragmentation models. Note that the disk-formation process may differ from non-fragmentation models when fragmentation occurs inside the first core (or in the higher-density region), because the properties of the fragment are different from those of the first core. However, also note that, Bate (1998) showed that fragmentation rarely occurs in such a high-density region ($n \gg 10^{10} \text{ cm}^{-3}$) in the collapsing cloud core.
We can expect that, in each fragment, the circumstellar disk with Keplerian rotation appears after the protostar formation, and such a disk is more massive than (or comparable to) the protostar in the early main accretion phase, as shown in §3. However, as the circumstellar disks grow, the disks in each fragment may interact. Thus, we do not know whether the circumstellar disk in each fragment traces the same evolitional path for non-fragmentation model in the main accretion and subsequent phases. To investigate the evolution of the circumstellar disk in the binary or multiple systems, further long-term calculations that cover binary or multiple systems are necessary.
### 4.3. Effects of Magnetic Field
In this study, we adopted unmagnetized cloud cores as the initial state. However, the magnetic field plays a significant role in the star-formation process. For example, fragmentation or binary formation is suppressed by the magnetic braking (Machida et al. 2008; Hennebelle & Teyssier 2008), and the protostellar outflows are driven by the magnetic effect (Machida et al. 2007; Hennebelle & Fromang 2008).
In the collapsing cloud core, however, the magnetic field in the high-density gas region ($n \gtrsim 10^{12} \text{ cm}^{-3}$) dissipates by the Ohmic dissipation (Nakano et al. 2002). Thus, a very weak field exists inside the first core (or the region around the protostar, see Machida et al. 2007). In this study, we only calculated the evolution of the circumstellar disk for a short duration, in which the circumstellar disk has a density of $n \gtrsim 10^{12} \text{ cm}^{-3}$, as seen in Figures 1, 2 and 9. Therefore, in the early main accretion phase on which this study focuses, the magnetic field may hardly affect the evolution and formation of the circumstellar disk, because the disk formation occurs in the high-density gas region where the magnetic field is decoupled from neutral gas.
The circumstellar disk increases its size and mass by the end of the main accretion phase as shown in Machida et al. (2010), in which the evolution of the circumstellar disk in the unmagnetized cloud was investigated. However, when the cloud is strongly magnetized, the magnetic field may suppress further evolution of the disk. Recently, Mellon & Li (2009) and Duffin & Pudritz (2009) proposed that a larger size disk exceeding $\sim 10$ AU may not be formed in a strongly magnetized cloud core, because the angular momentum of the infalling gas is effectively transferred by magnetic braking. As the circumstellar disk grows by gas accretion, the low-density gas region ($n \ll 10^{12} \text{ cm}^{-3}$) appears, where the magnetic field can be coupled with neutral gas and the angular momentum is transferred by magnetic braking. In addition, in the magnetized collapsing cloud, the circumstellar disk (or first core) can drive the protostellar outflow that also outwardly transfers the angular momentum from the parent cloud, and may suppress the larger disk formation (Tomisaka 2002; Machida et al. 2004; Machida et al. 2006, 2009). However, in the later gas-accretion phase, the gas with larger specific angular momentum falls onto the circumstellar disk, because the outer envelope has a larger angular momentum and the gas of the outer envelope falls onto the centre of the cloud later. Such infalling gas with larger specific angular momentum may be able to contribute to the larger size disk formation, over the magnetic braking catastrophe. To investigate the actual size of the circumstellar disk, we need to calculate the disk evolution for the further long term in the magnetized cloud core.
5. Summary
In this study, we calculated the evolution of the collapsing gas cloud from the molecular cloud core until the circumstellar disk with Keplerian rotation appears resolving both molecular cloud core and protostar itself, and found that the circumstellar disk originated from the first core and is much more massive than the protostar in the early main accretion phase. In summary, the massive Keplerian disk already exists just after the protostar formation. This result is different from the classical picture of the circumstellar disk formation, in which the circumstellar disk gradually grows its size and mass after the protostar formation.
The formation of the circumstellar disk from the prestellar core stage is summarized in Figure 12, in which three different epochs for first core formation, protostar formation and main accretion phases are schematically described for three different modes of the protostar
and circumstellar disk formation (i.e. for the cloud with rapid $[a]$, slow rotation $[b]$ and no rotation $[c]$). The figure shows that the first core appears before the protostar formation. The first core shrinks and disappears in several years after the star formation when the molecular cloud has no angular momentum (Fig. 12$c$). On the other hand, when the molecular cloud has an angular momentum, the first core has a disk-like structure at its formation and remains without disappearing even after the protostar formation.
When the cloud has a relatively rapid rotation (Fig. 12$a$), the first core already has a Keplerian rotation from its formation. Then, the first core gradually increases its central density, and the protostar appears when the number density exceeds $n \gtrsim 10^{20} \text{ cm}^{-3}$. Thus, at the protostar-formation epoch, the protostar is already surrounded by the Keplerian rotating disk, which is about 100 times more massive than the protostar. In summary, the Keplerian disk formation precedes the protostar formation. In other words, the protostar is born inside the Keplerian rotating disk.
When the molecular cloud has a relatively slow rotation rate (Fig. 12$b$), the first core is partially supported by the centrifugal force, and mainly by thermal-pressure-gradient force. Thus, at the first-core-formation epoch, although the first core has an oblate structure, it rotates slowly with a sub-Keplerian velocity. In this case, after the protostar formation, two nested cores (or two nested disks) appear as seen in Figure 12$b$. The outer disk corresponds to the remnant of the first core, while the inner disk corresponds to the Keplerian disk formed in the proximity of the protostar. In the main accretion phase, the gas of the first core gradually falls onto the protostar. Because the sizes of the first core ($\sim 1 \text{ AU}$) and the protostar ($\sim 0.01 \text{ AU}$) are considerably different, the infalling gas increases its rotational velocity as it shrinks in the radial direction according to the angular momentum conservation law. As a result, the Keplerian disk (i.e. the inner disk) appears around the protostar. Then, the inner disk increases its size, while the first core gradually shrinks. Finally, two nested disks merge to form a single disk that has a Keplerian velocity and corresponds to the circumstellar disk. At the epoch of the merger, the size and mass of the merged disk are almost the same as those of first core at its formation. Note that the first core shrinks before merger, while it still has a size of $\sim 1 \text{ AU}$ (Fig.5). Thus, also in a cloud with considerably small rotational energy, the massive Keplerian disk already exists just after the protostar formation.
In this study, we showed that a massive disk already exists before the protostar formation, and the protostar is enclosed by the massive Keplerian circumstellar disk from the moment of its birth. Although we only calculated the evolution of the circumstellar disk several years after the protostar formation, we can expect that the circumstellar disk increases its size by gas accretion, as in the classical picture of circumstellar disk formation. In
addition, our result indicates that the massive disk ($> 0.1 - 0.01 M_\odot$) with a size of $> 1$ AU already exists in the very early phase of the star formation (or before the star formation). We expect that such a disk can be detected using future instruments such as ALMA.
We have greatly benefited from discussions with K. Omukai. Numerical computations were carried out on NEC SX-9 at Center for Computational Astrophysics, CfCA, of National Astronomical Observatory of Japan, and NEC SX-8 at the Yukawa Institute Computer Facility. This work was supported by the Grants-in-Aid from MEXT (20540238, 21740136).
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Table 1: Model parameters and calculation results
| Model | $\beta_0$ | $\Omega_0$ [s$^{-1}$] | $M_{\text{ps}}$ [$M_\odot$] | $M_{\text{disk}}$ [$M_\odot$] | $r_{\text{disk}}$ [AU] |
|-------|-----------|------------------------|-----------------------------|-------------------------------|---------------------|
| 1 | $10^{-3}$ | $6.5 \times 10^{-14}$ | $2.4 \times 10^{-3}$ | 0.062 | 8.5 |
| 2 | $10^{-4}$ | $2.1 \times 10^{-14}$ | $3.5 \times 10^{-3}$ | 0.025 | 1.1 |
| 3 | $10^{-5}$ | $6.5 \times 10^{-15}$ | $4.2 \times 10^{-3}$ | 0.016 | 0.3 |
| 4 | 0 | 0 | $3.4 \times 10^{-3}$ | 0 | 0 |
This preprint was prepared with the AAS LaTeX macros v5.2.
Fig. 1.— The density distribution (colour and contours) and velocity vectors (arrows) on the equatorial plane at the epoch just after the protostar formation ($t = 5.064 \times 10^4$ yr, $t_c = 1.2083$ yr) for model 2 ($\beta_0 = 10^{-4}$) at various spatial scales. Each object (molecular cloud core, first core, circumstellar disk and protostar) is identified by an arrow.
Fig. 2.— Same as Fig. 1 but on the $y = 0$ plane.
Fig. 3.— First core (orange isodensity surface) and inner disk (*red isodensity surface*) for model 2 ($\beta_0 = 10^{-4}$) at $t_c = 1.664$ yr after the protostar formation are plotted in three dimensions. The density distribution on the $x = 0$, $y = 0$ and $z = 0$ plane is projected onto each wall surface. The velocity vectors on the $z = 0$ plane are also projected onto the bottom wall surface.
Fig. 4.— Time sequence for model 2 ($\beta_0 = 10^{-4}$). The density distribution (colour and contours) and velocity vectors (arrows) on the $y = 0$ plane are plotted for various epochs. In each panel, the inner shock that corresponds to the circumstellar disk is plotted by a blue dotted line, while the outer shock that corresponds to the remnant first core is plotted by a red dotted line.
Fig. 5.— Radial distribution of (a) the density, (b) radial velocity, (c) azimuthal velocity and (d) the ratio of radial velocity to azimuthal velocity for model 2 ($\beta_0 = 10^{-4}$) with different epochs. The lower-left inset in panel (a) is a close-up view in the range of $0.02 \text{ AU} < r < 0.2 \text{ AU}$. The dotted line in panel (c) is the Kepler velocity at each epoch.
Fig. 6.— Time sequence for model 4 ($\beta_0 = 0$) after the protostar formation. The density distribution (*colour and contours*) and velocity vectors (*arrows*) on the equatorial plane are plotted in each panel. The elapsed time $t_c$ after the protostar formation is described in each panel.
Fig. 7.— Distribution of density (upper panel) and radial velocity (lower panel) for model 4 ($\beta_0 = 0$).
Fig. 8.— Density distribution (colour and contours) and velocity vectors (arrows) on the $z = 0$ (upper panel) and $y = 0$ (lower panel) planes for model 1 ($\beta_0 = 10^{-3}$) before the protostar formation.
Fig. 9.— Density distribution (colour and contours) and velocity vectors (arrows) on $z = 0$ (each upper panel) and $y = 0$ (each lower panel) plane at $t_c = 1.474 \text{ yr}$ for model 1 ($\beta_0 = 10^{-3}$) with different spatial scales.
Fig. 10.— Density distribution (isodensity surface) around the centre of the cloud before (upper panel) and after (lower panel) the protostar formation. The density distribution on the $x = 0$, $y = 0$ and $z = 0$ plane is projected onto each wall surface. The velocity vectors on the $z = 0$ plane are also projected onto the bottom wall surface.
Fig. 11.— Radial distribution of (a) density, (b) radial velocity, (c) azimuthal velocity and (d) the ratio of radial velocity to azimuthal velocity for model 1 ($\beta_0 = 10^{-3}$) with different epochs.
Fig. 12.— Schematic view of the circumstellar disk formation in the collapsing cloud core, showing three different evolitional sequences for the cloud with (a) rapid rotation, (b) slow rotation, and (c) no rotation.
|
Population-based prediction of subject-specific prostate deformation for MR-to-ultrasound image registration
Yipeng Hu\textsuperscript{a,}\textsuperscript{*}, Eli Gibson\textsuperscript{a,b}, Hashim Uddin Ahmed\textsuperscript{c}, Caroline M. Moore\textsuperscript{c}, Mark Emberton\textsuperscript{c}, Dean C. Barratt\textsuperscript{a}
\textsuperscript{a} Centre for Medical Image Computing, University College London, London, UK
\textsuperscript{b} Diagnostic Image Analysis group, Radboud University Medical Centre, Nijmegen, The Netherlands
\textsuperscript{c} Division of Surgery and Interventional Science, University College London, London, UK
\textbf{Article history:}
Received 25 March 2015
Revised 21 October 2015
Accepted 30 October 2015
Available online xxx
\textbf{Keywords:}
Statistical shape modelling
Organ motion
Tissue deformation
Kernel regression
Image registration
\textbf{Abstract}
Statistical shape models of soft-tissue organ motion provide a useful means of imposing physical constraints on the displacements allowed during non-rigid image registration, and can be especially useful when registering sparse and/or noisy image data. In this paper, we describe a method for generating a subject-specific statistical shape model that captures prostate deformation for a new subject given independent population data on organ shape and deformation obtained from magnetic resonance (MR) images and biomechanical modelling of tissue deformation due to transrectal ultrasound–(TRUS–) probe pressure. The characteristics of the models generated using this method are compared with corresponding models based on training data generated directly from subject-specific biomechanical simulations using a leave-one-out cross validation. The accuracy of registering MR and TRUS images of the prostate using the new prostate models was then estimated and compared with published results obtained in our earlier research. No statistically significant difference was found between the specificity and generalisation ability of prostate shape models generated using the two approaches. Furthermore, no statistically significant difference was found between the landmark-based target registration errors (TREs) following registration using different models, with a median (95th percentile) TRE of 2.40 (6.19) mm versus 2.42 (7.15) mm using models generated with the new method versus a model built directly from patient-specific biomechanical simulation data, respectively ($N = 800$; 8 patient datasets; 100 registrations per patient). We conclude that the proposed method provides a computationally efficient and clinically practical alternative to existing complex methods for modelling and predicting subject-specific prostate deformation, such as biomechanical simulations, \textit{for new subjects}. The method may also prove useful for generating shape models for other organs, for example, where only limited shape training data from dynamic imaging is available.
© 2015 The Authors. Published by Elsevier B.V.
This is an open access article under the CC BY license (\url{http://creativecommons.org/licenses/by/4.0/}).
\section*{1. Introduction}
Statistical shape models (SSMs) of soft-tissue organ motion provide a useful means of imposing physical constraints on the displacements allowed during non-rigid image registration, which is especially useful when registering sparse and/or noisy image data (Huang et al., 2015; Jain et al., 2010; Xu et al., 2008). We have used this approach successfully in previous work to compensate for prostate deformation due to transrectal ultrasound–(TRUS–) probe pressure when registering MR and 3D TRUS images of the prostate in the context of MRI-tumour-targeted biopsy and minimally-invasive surgical interventions (Hu et al., 2012, 2011). A growing body of research has investigated a number of alternative solutions to the problem of non-rigid MR-TRUS registration of the prostate, including (semi-) manual approaches (Kuru et al., 2012; Xu et al., 2008), intensity-based approaches (Mitra et al., 2012; Sun et al., 2013) and surface (feature)-based approaches (Nagayanan et al., 2013; Sparks et al., 2013; van de Ven et al., 2013), which are currently employed in commercial image guidance systems (Marks et al., 2013).
In our approach, a 3D finite element model (FEM) of the prostate is constructed from a segmented T2-weighted MRI scan and biomechanical simulations of possible TRUS-probe-induced gland deformations are used to generate \textit{subject-specific} shape training data for an SSM that represents the likely variation in prostate shape that could occur during a TRUS-guided procedure. The resulting SSM adopts physically realistic shapes and because the model is highly...
constrained, it can be fitted robustly to sparse and noisy organ surface data (in this case extracted from a 3D TRUS image). Once fitted, the SSM predicts the displacement of all internal points, thus providing a full 3D displacement field within the organ of interest that can be applied to deform the original MR image and, in particular, determine the location of MR-visible lesions within the TRUS volume that are then targeted during biopsy or treatment. Information on the size, shape and location of a target lesion/tumour, as well as additional information, such as the location of vulnerable structures or surgical margins, both of which are important for treatment applications, can be embedded very naturally within such models by labelling the elements within the FEM.
The approach outlined above provides a versatile means of capturing patient-specific data on organ motion, pathology, and anatomy, and data for surgical planning for a wide range of image-guided surgery applications. Physical and statistical models have been combined previously, for example, for simulating spatial image deformations to generate ground-truth data for validating segmentation algorithms (Harnarneh et al., 2008) and for image registration (Wang and Staib, 2000). In the context of our approach, the limitations of using an FEM directly to predict tissue motion are overcome by applying a statistical approach to handle uncertainty in boundary conditions (for example, due to different TRUS probe positions and orientations) and unknown tissue material properties. The need to estimate these parameters in advance is therefore avoided. Instead, multiple biomechanical simulations are performed, each with different combinations of parameter values drawn from physically plausible range. However, simulating subject-specific organ motion using biomechanical models is inherently inefficient, requiring both software, hardware (such as graphical processing units (GPUs)), and expertise. It is also technically demanding and the need to perform many thousands of simulations for each individual subject becomes computationally expensive, and generating an SSM can take hours in practice even if the degree of manual interaction required can be minimised relatively straightforwardly through the implementation of an automated pipeline process. Furthermore, although there has been considerable methodological progress to ensure the numerical stability of FEM methods, it is widely recognised that such methods can fail to converge under some circumstances, for example due to a poorly configured geometric mesh. Consequently, although integrating such technology into existing clinical workflows is not unsurmountable, there remain a number of significant practical challenges. For this reason, more convenient, computationally efficient, and numerically stable methods for generating subject-specific SSMs of organ deformation – or training data for building them – are highly desirable from the point of view of facilitating clinical adoption.
To date, the popular method described by Cootes et al. (1995) for generating low-dimensional linear SSMs by applying principal component analysis (PCA) to shape or intensity training data has been used mainly to generate models that describe only the shape variation across a population e.g. (Onofrey et al., 2013; Perperidis et al., 2005; Thompson et al., 2008). PCA and other statistical techniques have also been applied to generate subject-specific 4D statistical models for organs undergoing respiratory motion (McClelland et al., 2013) or cardiac motion. Examples include models of the lungs (He et al., 2010; King et al., 2012), the liver (Preiswerk et al., 2014), and the heart (Perperidis et al., 2005). Given the considerable effort required to build a model of organ motion for an individual subject, a number of researchers have investigated so-called population-based or cross-population models (McClelland et al., 2013; Preiswerk et al., 2014). These enable subject-specific organ motion to be predicted using learnt information from an independent training set. It is possible to build a population-based SSM by combining training data that is subject to both inter- and intra-subject organ shape variation, but such models are likely to perform less effectively or efficiently compared with a subject-specific SSM for approximating subject-specific shape/motion. In particular, such models usually require additional constraints, such as that provided by an elastic model (Wang and Staib, 2000), to prevent unrealistic or ‘over-generalised’ instantiation of the model because of shape variation learnt from other subjects.
Multilinear analysis (Vasilescu and Terzopoulos, 2003) has been proposed as a method for dynamic modelling of the heart (Zhu et al., 2008) and cardiac valve (Grbic et al., 2012) motion. Importantly, this approach enables shape variations due to both geometric differences between the organs of different subjects (due to anatomical variation) and physiological (or externally-induced) organ motion to be represented within a single statistical model. However, like many related methods in the literature, this method requires knowledge of pre-subject motion correspondence; in other words, organ shapes for different subjects must be correlated via an independent signal, such as an ECG. This is very difficult to establish for organs other than the heart and lungs where a physiological signal related to motion is not available or is very difficult to measure. Furthermore, the cardiac models described in Grbic et al. (2012), Zhu et al. (2008) have demonstrated only the ability to predict organ shape at relatively few timepoints given the dynamic data available over the remainder of the cardiac cycle. Klinder et al. (2010) developed a statistical model of motion based on a training set of 4D CT images for 10 patients and used multivariate linear regression to predict lung using the tracked diaphragm motion. In the remainder of this paper, we distinguish between motion (or temporal) correspondence and point correspondence, where motion correspondence refers to linking different shapes of a deforming organ by means of a common timepoint or physiological event.
In summary, an alternative organ motion modelling method is proposed that is particularly suited to applications such as modelling prostate deformation where a surrogate motion signal (such as a respiratory or cardiac signal) does not exist to establish temporal correspondence between different subjects; the proposed method enables a subject-specific SSM that describes shape variation due to motion to be built without knowing the motion correspondence between subject subspaces. It also requires only limited subject-specific geometric data – for example, a reference shape based on the segmentation of a single (static) MR image – to predict the organ motion for a new (i.e. unseen) subject. The method is also potentially very useful when subject-specific shape training data is too expensive or practically difficult to obtain on each new subject. In this case, the proposed population-based model provides a means of predicting subject-specific motion with the only requirement being a single reference shape that specifies one instance of the shape of the subject’s organ. We demonstrate the application of this method for non-rigid registration of MR and TRUS images of the prostate. For convenience, in the remainder of this paper, models that represent physical organ motion are termed statistical motion models (SMMs) (Ehrhardt et al., 2013; Rueckert et al., 2011) to distinguish them from the more general SSM and statistical deformation models (SDMs) where PCA is performed on an image deformation field (Onofrey et al., 2013; Perperidis et al., 2005; Rueckert et al., 2003). SMMs may therefore be considered to be a subset of SSMs.
2. Methods
2.1. Overview
The underlying concept of the proposed method is that variations in organ shape due to motion can be expressed with respect to a ‘mixed-subject’ – i.e. population-based – SSM that is built using training data from multiple subjects and multiple shapes for each subject. The resulting SSM captures shape variation both between and within individuals. Kernel regression analysis provides a powerful method for expressing the multivariate subject-specific probability density function (SSPDF), which represents the distribution of shape
parameters (also known as component scores or weights) related to intra-subject organ motion, as a function of the parameters of a pre-chosen reference shape. Once this relationship has been established, the SSPDF that describes the expected organ motion for a new (i.e. unseen) subject can be estimated from new reference shape data for that particular subject. The resulting SSPDF can then be used to construct a subject-specific SMM for the new subject.
A schematic overview of the method used to build a subject-specific SMM is shown in Fig. 1. The steps involved are as follows:
1. Build a mixed-subject SSM using all available training data;
2. Obtain the shape parameters for each training dataset with respect to the mixed-subject SSM (e.g. by projection for the case of a linear model);
3. Estimate the SSPDF for each set of shape parameters corresponding to the different training shapes for each subject. The SSPDF may itself be expressed in parametric form and represented by a number of distribution parameters (e.g. the mean and variance of a Gaussian distribution);
4. Identify a reference shape for each subject. For example, the reference shape may describe an organ in its ‘resting’, or undeformed state, or in general at a time corresponding to a particular physiological event. The reference shape is then represented by its shape parameters;
5. Perform kernel regression analysis between the parameters that characterise each SSPDF and the shape parameters that specify the reference shape;
6. Given a reference shape for a new (unseen) subject, calculate the SSPDF for that new subject using regression analysis;
7. Finally, construct a subject-specific SMM for the new subject by using the predicted SSPDF.
The resulting subject-specific SMM is an alternative to a subject-specific SMM built directly from training data available for this subject (including image-based and simulated training data). Therefore, the subject-specific SMM estimated using this method can be compared directly with one generated using the conventional method.
In the following sections, an illustration of implementing these steps is provided using the example of building a subject-specific SMM of the prostate that captures deformation caused by the placement of a TRUS probe in the rectum.
### 2.2. Construction of a mixed-subject statistical shape model
Fig. 2 shows a schematic of the shapes of the prostates of $I$ subjects, each represented by triangulated mesh. The shape of each mesh has been simulated using FEM to predict the new deformed shape resulting from the physical deformation of a reference shape. Without assuming an equal number of shapes per subject, varying the pose of the TRUS probe and the diameter of the water-filled balloon surrounding the probe in each simulation results in $J_i$ ($i = 1, 2, \ldots, I$) predicted deformed shapes. As described in Hu et al. (2012, 2011), other unknown parameters, such as tissue elastic properties, may also be included as variables in the simulations to reflect uncertainty.
in these properties. For each subject, the first shape, denoted by $j = 0$, is the reference shape and the remaining $j$ ($j = 1, 2, \ldots, J$) shapes are deformed instances of the reference shape. In this example, the *reference shape* represents the prostate in the “resting state”, obtained by segmenting a T2-weighted MR image that was acquired without an endorectal coil (or any other rectal insertion) in place [Hu et al., 2012].
Group-wise surface registration of the meshes can be performed so that: (i) point correspondence between each deformed shape and the reference shape is established for each subject, and (ii) the point correspondence between the reference shapes of different subjects is established. Where FE simulations are performed to synthesise the training dataset, the point correspondence between each deformed shape is known implicitly. Details of the algorithm used in this study to determine cross-patient point correspondence are given in Section 2.7. Once the correspondences are established, the training shapes can be iteratively rigid-aligned to the mean shape. This ensures that intra- and inter-subject variances, such as shapes and sizes, are both preserved.
The mixed-subject SSM can be constructed by applying PCA to $G = l + \sum_{g=1}^{G} j_g$ training shape vectors, $\mathbf{s}_g = [x_{g1}, y_{g1}, z_{g1} : x_{g2}, y_{g2}, z_{g2} : \ldots : x_{gN}, y_{gN}, z_{gN}]^T$, $g = 1, 2, \ldots, G$, which each contain the 3D coordinates of $N$ points that describe the $g$th shape. The shape vectors may define either a 3D surface or a volume, for example, represented by the nodes (vertices) of an FE mesh. Taking advantage of dimensionality reduction by excluding components that explain less variance in the training data, the resulting shape model is approximated by the linear equation using $L \leq G$ principal components [Cootes et al., 1995]:
$$\mathbf{s}_g = \hat{\mathbf{s}} + \sum_{l=1}^{L} b_{gl} \mathbf{e}_l = \hat{\mathbf{s}} + [\mathbf{e}_1, \mathbf{e}_2, \ldots, \mathbf{e}_L] [b_{g1}, b_{g2}, \ldots, b_{gL}]^T$$
$$= \hat{\mathbf{s}} + \mathbf{Eb}_g$$
(1)
where $\hat{\mathbf{s}}$ is the mean shape vector; $\mathbf{e}_l$ is the eigenvector of the covariance matrix of the (mean-subtracted) training shape vectors corresponding to the $l$th largest eigenvalue, $\sigma_l^2$; and $b_{gl}$ is a scalar shape parameter; the vector $\mathbf{b}_g$ contains the shape parameters that collectively describe the $g$th organ shape. Eq. (1) models mixed-subject individual and motion variations learned from all the training data. An SSM generated in this way is referred to herein as a *mixed-subject SSM*.
### 2.3. Subject-specific PDF calculation
The subject-specific probability density for the $i$th subject is denoted by $P(B_i : B_i \in \Omega_i)$, where $B_i$ is a multivariate random variable of the vector shape parameters and $\Omega_i \in \mathbb{R}^L$ denotes the $i$th subject subspace. Rearranging (1) we have:
$$\mathbf{b}_{ij} = \mathbf{E}'(\mathbf{s}_{ij} - \hat{\mathbf{s}})$$
(2)
In (2) $\mathbf{b}_{ij}$ contains the shape parameters of the training data by projecting the coordinates $\mathbf{s}_{ij}$ for the $j$th shape belonging to the $i$th subject. Both $\mathbf{s}_{ij}$ and $\mathbf{s}_g$ are training shape vectors with different subscripts that denote differently grouped data.
$P(B_i)$ may be simplified by the independence approximation\(^1\) wherein this multivariate probability density is approximated as a factorised joint probability density, i.e., $P(B_i) \cong \prod_{l=1}^{L} P(B_{il})$, where $B_i = [B_{il}]_{l=1,2,\ldots,L}$. This has the effect of excluding information on correlation between shape parameters. Expressing the probability in this way enables us to draw an informative plot of the distribution in terms of individual distributions of the scalar random variable $B_{il}$ for the $l$th shape parameter (corresponding to the $l$th principal component). An example is shown in Fig. 3. The scalar shape parameters $b_{ijl}$, $j = 1, 2, \ldots, J$, are $J$ samples of the random variable, $B_{il}$.
Similarly, the probability density of all the training data that builds the mixed-subject SSM is denoted by $P(B_S : B_S \in \Omega_S)$, where the reference space $\Omega_S$ is the union of all the subject subspaces. This can be factorised in the same way such that $P(B_S) = \prod_{l=1}^{L} P(B_{Sl})$. Fig. 4 shows some examples of these factorised probability densities using the histograms of the samples $\{\mathbf{b}_{ij}\}$ from the prostate shape data.
By inspection of the plots in Fig. 4, the following two observations can be made immediately: First, $P(B_{ij})$ is different between subjects and is different from $P(B_{Sj})$ corresponding to the mixed-subject
---
\(^1\) The multivariate Gaussian assumption and the independence approximation have been discussed extensively in the literature (e.g. see Silver, 2002). We report a maximum correlation of 0.38 for all of the individual subjects, with no significant correlation observed, based on data in this study. It is noteworthy that a more complicated, non-Gaussian distribution, such as a non-unimodal mixture model, or a full covariance matrix, may be considered when necessary (e.g. to describe certain pathological shape variations). The impact of the independence assumption is dependent on the application and here is limited by the cross-correlation and motion registration accuracy. In practice, this approximation reduce the degrees of freedom of the covariance matrix but maintains the modelling generalisation ability as demonstrated in the cross validation (see Section 3).
SSM. This provides a potential means to decompose the whole mixed-subject space into motion- and subject subspaces by modelling the SSPDFs. Second, all of the sample distributions have a consistently bell-like shape with different widths and centre positions. Following the independence approximation, the SSPDF may be parameterised by a multivariate Gaussian PDF\(^1\) \(N(B_i; \mu_i, \text{diag}(\sigma^2_i))\), where the distribution parameters, \(\mu_i\) and \(\text{diag}(\sigma^2_i)\), represent the mean vector and the \(L \times L\) diagonal covariance matrix, in which the diagonal entries are the component variance vector \(\sigma^2_i = [\sigma^2_{ij}]_{i=1,2,\ldots,L}\) respectively. This PDF is considered as a parametric example of the SSPDF for \(i\)th subject, and is entirely characterised by the distribution parameters \(\mu_i\) and \(\sigma^2_i\).
### 2.4. Parameter estimation using kernel regression analysis
The distribution parameters may be estimated given a set of samples, \(\{\mathbf{b}_j, j = 1, 2, \ldots, J\}\). The corresponding maximum likelihood estimators are then given by:
\[
\hat{\mu}_i = \frac{1}{J_i} \sum_{j=1}^{J_i} \mathbf{b}_{ij}
\]
(3)
and
\[
\hat{\sigma}^2_i = \frac{1}{J_i - 1} \sum_{j=1}^{J_i} (\mathbf{b}_{ij} - \hat{\mu}_i)^2
\]
(4)
Without loss of generality, we now assume that a (nonlinear) relationship exists between the distribution parameter \(\theta_i = [\hat{\mu}^T_i, \hat{\sigma}^2_i]^T\) of the SSPDF \(P(B_i; \theta_i)\) and the shape parameters of reference shape \(\mathbf{b}_0\) for \(i\)th subject so that the distribution parameter \(\theta_i\), and therefore the SSPDF \(P(B_i)\), may be predicted solely from the shape parameters of the unseen reference shape for a new subject data. In the current study, the distribution parameter is expressed as a linear function of kernels as follows:
\[
\theta_m(\mathbf{b}) = \beta_{m0} + \sum_{i=1}^{l} \beta_{mi} K(\mathbf{b}, \mathbf{b}_0) + \epsilon_m
\]
with the constraint \(\sum_{i=1}^{l} |\beta_{mi}|^2 \leq c\)
In Eq. (5), \(K(\mathbf{x}, \mathbf{x}') = \exp(-||\mathbf{x} - \mathbf{x}'||^2/2h^2)\) is a Gaussian kernel function with kernel parameter \(h\), which is determined by a cross validation method described in the Section 2.6. The choice of the kernel function form is briefly discussed in Section 4; \(c\) is a positive scalar constant; \(\epsilon\) is a random noise term with its statistical expectation \(E[\epsilon] = 0\); \(m\) is the index of each scalar distribution parameter such that \(\theta_i = [\theta_{im}]_{m=1,2,\ldots,2l}\); and \(\hat{\beta}_m = [\hat{\beta}_{mi}]_{m=0,1,\ldots,l}\) is a vector regression parameter. The optimal regression parameter may be estimated by using a linear least squares technique to minimise the regularised residual sum-of-squares as follows (Hastie et al., 2009): First, a regularised estimator \(\hat{\beta}_m = [\hat{\beta}_{mi}]_{m=1,2,\ldots,l}\) is given by:
\[
\hat{\beta}_m = (\Phi^T_m \Phi_m + \lambda I)^{-1} \Phi^T_m \theta,
\]
(6)
where the design matrix takes the following form:
\[
\Phi_m = \begin{bmatrix}
K(\mathbf{b}_{10}, \mathbf{b}_{10}) - \tilde{\varphi}_1 & \cdots & K(\mathbf{b}_{10}, \mathbf{b}_{10}) - \tilde{\varphi}_l \\
\vdots & \ddots & \vdots \\
K(\mathbf{b}_{l0}, \mathbf{b}_{l0}) - \tilde{\varphi}_1 & \cdots & K(\mathbf{b}_{l0}, \mathbf{b}_{l0}) - \tilde{\varphi}_l
\end{bmatrix}
\]
(7)
\(\tilde{\varphi}_k = \frac{1}{l} \sum_{i=1}^{l} K(\mathbf{b}_{i0}, \mathbf{b}_{i0})\), \(I\) is the identity matrix, and \(\lambda\) is the ridge weighting parameter. In practice, the regularisation parameter \(\lambda\) is set to a small constant to avoid over-fitting while maintaining acceptable residuals; \(\lambda = 10^{-4}\) was used in all the experiments presented in this study. The offset coefficient is then given by:
\[
\hat{\beta}_{m0} = \frac{1}{l} \sum_{i=1}^{l} \theta_{mi} - \sum_{k=1}^{l} \hat{\beta}_{mk} \tilde{\varphi}_k
\]
(8)
### 2.5. Prediction of a subject-specific SMM
Given reference shape data for a new subject, the shape parameters \(\mathbf{s}_{\text{new},0}\) for the new subject can be estimated by first non-rigidly registering to the mean shape of the group-wise registration (see details in Section 2.7), and then projecting onto the principal components of the mixed-subject SSM after removing the rigid component. Thus,
\[
\mathbf{s}_{\text{new},0} = E^T (\mathbf{s}_{\text{new},0} - \bar{\mathbf{s}})
\]
(9)
where \(\mathbf{s}_{\text{new},0}\) is the rigidly-aligned, undeformed shape. Each distribution parameter of a new SSPDF can then be computed by taking the conditional expectation of Eq. (5), as follows:
\[
\theta_m(\mathbf{b}_{\text{new},0}) = E[\Theta|\mathbf{b}_{\text{new},0}] = \beta_{m0} + \sum_{i=1}^{I} \beta_{mi} K(\mathbf{b}_{\text{new},0}, \mathbf{b}_i)
\] (10)
where coefficients $\beta_{m\text{new}}$ are given by Eqs. (6) and (8). The SSPDF $P(\mathbf{b}_{\text{new}}, \mathbf{E}_{\text{new}} \in \Omega_{\text{new}})$ for the new subject can now be predicted using the predicted distribution parameters, $\mathcal{N}(\hat{\mathbf{s}}_{\text{new}}, \hat{\mathbf{\mu}}_{\text{new}} \cdot \text{diag}(\hat{\sigma}_{\text{new}}^2))$.
Once $P(\mathbf{b}_{\text{new}})$ has been estimated, the linear model may be obtained directly by “centering” the predicted diagonal covariance matrix, so that the predicted subject-specific SMM takes the form:
\[
\mathbf{s}_{\text{predict}} = \mathbf{s} + \mathbf{E}\mu_{\text{new}} + \mathbf{E}\mathbf{b}_{\text{new}}
\] (11)
where the new component variance becomes $\sigma_{\text{new}}^2$, $\mathbf{s} + \mathbf{E}\mu_{\text{new}}$ is equivalent to the mean of the predicted subject-specific SMM and $\mathbf{b}_{\text{new}}$ represents the new shape parameters.
### 2.6. Optimal kernel parameter
For each regression kernel parameter, expressed as $h = 10^x$, an optimal value is computed by minimising the cross validation error, defined as the root-mean-square of the regression residuals, as in Eq. (5). The regression error is computed for each data in a leave-one-out scheme by comparing the difference between the ground-truth distribution parameters, computed from the training data via Eqs. (3) and (4), and the predicted distribution parameters, computed from the test data via Eqs. (6), (8) and (10). In this study, a golden search strategy was used to then find the optimal value of $x$ within the predefined interval $1 \leq x \leq 8$, with the cross validation error serving as the objective function to minimise.
### 2.7. Point correspondence
One of the advantages of the proposed modelling technique is that it does not require the establishment of motion correspondence between the subject subspaces for different subjects (also described in Section 1) since only the probability densities are modelled to describe the subject motions, motion data can be grouped in an arbitrary order in the training dataset, which overcomes a number of practical difficulties. However, point correspondence still needs to be established between subject subspaces and may be estimated using, for example, a group-wise surface registration scheme (Heimann and Meinzer, 2009).
In this study, inter-subject registration of the training shapes required to build the mixed-subject SMM was performed using an iterative group-wise registration scheme based on the landmark-guided coherent point drift (LGCPD) method (see Hu et al., 2010a for more details), with anatomical apex and base points of the prostate gland serving as two known correspondent points to assist the registration in finding the point correspondence between organ surfaces. In this scheme, the mean shape of the registered segmentations was updated iteratively until convergence. Typically, this took less than five iterations. Because each deformation change was generated by using an FEM simulation to predict a physical deformation of the reference shape, with the final deformed shape represented by a 3D FE mesh, the 3D point correspondence between different deformed shapes for each subject is known from matching the corresponding nodes (vertices) in the reference and deformed meshes. Finally, a single pairwise registration using the same method was performed to find point correspondence between a new reference shape for an unseen subject and the mean shape found following the group-wise registration.
### 2.8. Validation methodology
#### 2.8.1. Data acquisition
To test the method introduced in the previous sections for a real-world application, a subject-specific SMM of an unseen prostate gland was built and compared with an SMM generated directly using biomechanical modelling using the methods described in detail in Hu et al. (2012). The mixed-subject SMM was built using 100 FEM simulations of TRUS-probe-induced gland deformation for each of 36 patients, leading to 3636 training shapes in total. For each simulation, different probe/balloon positions and orientations, different balloon diameters, and different elastic material properties were applied (see Hu et al., 2012 for further details). For each of the 36 patients, the reference geometry of the prostate was defined as the shape resulting from a manual segmentation of the associated T2-weighted MR scan, performed by one expert clinical observer (an experienced radiologist or a urologist with an additional verification of the segmented contours by an experienced radiologist).
#### 2.8.2. Cross validation
A leave-one-out, cross-validation framework was used to assess the generalisation ability and specificity (defined in Hu et al., 2010b; Styner et al., 2003) of the following three linear models: (a) a subject-specific SMM, generated using the population-based model proposed in this paper, (b) a subject-specific SMM based on biomechanical simulation training data and, for comparison, (c) a mixed-subject SMM built using a training dataset that represents both inter- and intra-subject organ shape variation (this model is by definition not subject-specific). Figs. 5 and 6 illustrate the leave-one-out validation method used for a chosen test subject. The three linear models are constructed independently. The root-mean-square (RMS)-distance-based generalisation ability and specificity could be computed for each test subject. The cross-validation method described below includes an overall assessment of the modelling ability. Low RMS distances indicate a strong model generalisation ability and specificity.
The generalisation ability of a linear model quantifies its ability to describe unseen data, which relates closely to the application of interest in this paper, namely, capturing organ motion to provide prior information for registering non-rigidly to unseen (TRUS image) data. It was measured by a separate, embedded leave-one-out scheme (Hu et al., 2010b). The generalisation ability was defined as the RMS Euclidean distance between the mesh nodes of an unseen test data and the corresponding nodes of the instantiated model fitted to the test data (i.e. the fitted model). In this study, the unseen test data (as denoted in boxed prostate shape with a lighter shading in Fig. 5) was the data left out from the 100 biomechanical simulations of the test subject in the embedded leave-one-out scheme; the biomechanically-based SMM was built independently using the remaining 99 simulations, as illustrated in Fig. 5. The RMS-distance-based generalisation ability is given by:
\[
\text{RMS}_{\text{gen}} = \sqrt{\frac{1}{N} (\mathbf{s}_{\text{test}} - \mathbf{s}_{\text{fitted}})^T (\mathbf{s}_{\text{test}} - \mathbf{s}_{\text{fitted}})
\] (12)
where $N$ is the number of the mesh nodes of each model, $\mathbf{s}_{\text{test}}$ and $\mathbf{s}_{\text{fitted}}$ are the shape vectors (as defined in Section 2.2) of a test data and the instantiated model, respectively. The generalisation abilities were computed for the three linear models in the main ‘subject-level’ leave-one-out scheme.
It is also important to note that, to avoid bias, a different leave-one-out scheme was used to validate the linear models versus the estimation of the optimal kernel parameter described in Section 2.6. In the validation experiments, each of the 36 model-predicted subject-specific SMMs was tested using a mixed-subject SMM generated from the remaining 35 training datasets. Among these, 34 subjects were used as training data to compute the regression error for the remaining datasets in order to determine the optimal kernel parameter for the regression.
The specificity of each linear model was also computed using the same cross-validation framework, which is similar to that adopted in Hu et al. (2010b). This measure indicates the degree to which the deformations of a linear model are constrained, which is relevant
because it is desirable for the model to be robust to corrupted data, for instance, due to image artefacts or noise. Furthermore, the model should be able to predict missing data. For the purposes of this study, as illustrated in Fig. 6, this measure was defined as the RMS distance between each of a number of randomly sampled model shape instances, specified by $s_{\text{instance}}$, and the nearest shape found in the training data (i.e. 100 biomechanical simulations), specified by $s_{\text{nearest}}$, as follows:
$$\text{RMS}_{\text{spc}} = \sqrt{\frac{1}{N} (s_{\text{instance}} - s_{\text{nearest}})^T (s_{\text{instance}} - s_{\text{nearest}})}$$
(13)
where $N$ is number of solid mesh nodes in the model. For each test subject, one thousand deformed prostate glands for each linear model were generated by randomly sampling $\mathbf{b}$ from $P(B_{\text{new}})$, $P(B_1)$ and $P(B_2)$, respectively. The prostate shape instances generated using each linear model form a set that defines the model space, and the distance to the nearest training data from the random instance measures the specificity of the linear model.
For comparison, the generalisation ability and specificity of a set of “$k$-nearest” SSMs were computed for only the $k$ nearest training subjects are used, based on the RMS distances between the reference shape of the available training subject and that of the test subject. Therefore, when $k > 1$ the $k$-nearest SSM is a mixed-subject SSM, whereas a single-subject SMM is constructed when $k = 1$.
### 2.8.3. SMM-based registration validation
Although the main contribution of this paper is the presentation of an alternative technique for generating a subject-specific SMM using synthesised training data, it is also important to assess the ability of such models to recover actual patient organ motion as part of a non-rigid image registration algorithm. To satisfy this, the accuracy of registering a deformable, model-predicted subject-specific SMM, which is based on MR-derived prostate geometry data, to 3D TRUS images was investigated by quantifying the target registration error (TRE) in the alignment manually-identified, independent anatomical landmarks for 8 patient datasets following registration.
using the method described in our previous published work (Hu et al., 2012). The data for these 8 patients was independent of the training data used to build the predictive model. This TRE provides an independent measure of the registration performance that can be compared directly with registrations that make use of SMMs built using the results of biomechanical simulations of prostate motion for each patient.
3. Results
Fig. 7 shows example histograms (plotted as dotted lines) representing $P(B_{ij})$ for the data used in this study, and the regression-estimated subject-specific probability density curves (plotted as solid lines) for first four principal components for three patients. The goodness-of-fit between the corresponding curves was evaluated using the $\chi^2$ test.\footnote{Unless otherwise indicated, significance levels of all the statistical tests used in this study were set to $\alpha = 0.05$.} The result – an average $p > 0.78$ – indicates excellent agreement and provides justification for the effectiveness of the kernel regression analysis and the choice of the Gaussian form to model the PDFs in this study.
Fig. 8 shows examples of random shape instances generated using the biomechanically-based SMM (used here as the ground-truth), the model-predicted subject-specific SMM of a prostate for the same subject, and the mixed-subject SSM (which captures the general shape...
variation over the training population of 36 patient prostates). By comparing the general form of the shapes generated using the three methods (see Fig. 8), it is visually evident that the subject-specific SMM generates shapes look more physically realistic than those generated by the mixed-subject SSM, and are closer in appearance to those obtained from the ground-truth biomechanically-based SMM. (It should be noted that because the shape instances shown in Fig. 8 are based on random sampling, they are purely illustrative of the form of shapes generated by each SMM, and therefore should be compared group-wise, between rows, and not down each column.)
In Figs. 9, 10 and 11 the median RMS value of the generalisation ability of the model-predicted-, biomechanically-based subject-specific SMM and the mixed-subject SSM for each test subject are plotted, respectively. Inspection of these plots reveals that the two subject-specific SMMs provide lower RMS errors compared with the mixed-subject SSM. Using a confidence level of 0.05, paired Kolgomorov–Smirnov tests confirm that: (a) mixed-subject SSM has significantly lower generalisation ability than both the model-predicted- and the biomechanically-based SMM ($p < 0.0001$ in both cases); and (b) the difference in generalisation ability between the model-predicted- and biomechanically-based SMMs is not significantly larger than 0.1 mm ($p < 0.0001$). Therefore, we conclude that the proposed model-predicted SMM has comparable generalisation ability to unseen data to that of the biomechanically-based SMM, while both outperform the mixed-subject SSM in terms of this measure.
The median values of the specificities of the three linear models are plotted in Figs. 12–14. Comparing these results reveals that the subject-specific SMMs provide significantly smaller (therefore better) model specificities. The same statistical test concludes that the difference in specificity between the mixed-subject SSM and either of the other two subject-specific SMMs is significantly larger than 10 mm, with $p < 0.0001$. However, the difference between the two subject-specific SMMs is not greater than 1 mm ($p = 0.0005$). These results
indicate that, compared to the subject-specific SMMs, the ability of the mixed-subject SSM to generate accurate subject-specific data is poor. Furthermore, compared to the biomechanically-based SMM, the proposed model-predicted SMM provides equivalent modelling ability in terms of generating subject-specific instances.
Median values of generalisation ability and specificity of the $k$-nearest-SSMs are plotted in Figs. 15 and 16, both calculated using pooled test subjects from the cross validation scheme. Inspecting these results reveals that the generalisation ability increases (RMS distance error decreases) as $k$ increases. The best generalisation ability ($=3.76$ mm median RMS distance) was achieved when $k = 35$. This distance is close to that of the mixed-subject SSM reported in Fig. 11 and can be improved significantly ($p < 0.0001$) by adopting a model-predicted SMM (Median RMS distance = 0.57 mm; Fig. 9). The specificity, on the other hand, decreases as more training subjects are included: the smallest median RMS distance (4.06 mm) was obtained using only the closest training subject, i.e. $k = 1$, and is significantly worse ($p < 0.0001$) than that calculated for the model-predicted SMM (Median RMS distance = 2.90 mm; Fig. 12).
From the results above, it follows that the generalisation ability of a $k$-nearest-SSM is likely to improve as more training data become available. However, this clearly imposes a practical limitation on this approach and increasing the number of training shapes has the undesirable effect of increasing the model specificity, meaning that shapes instantiated by the model become less physically plausible (as indicated in Fig. 8).
The TRE results using the proposed method for generating subject-specific SMMs are summarised in Table 1, along with published TRE data obtained by registering biomechanically-based subject-specific SMMs (Hu et al., 2012). With a confidence level set to 0.05, a paired Kolmogorov–Smirnov test indicates that there is no significant difference between the TREs obtained using the two methods ($p = 0.14$). This suggests that the proposed method for generating subject-specific SMMs provides an alternative to conventional
modelling techniques that require subject-specific training data without compromising registration accuracy.
4. Discussion
This paper describes a new framework for modelling subject-specific organ motion in which learnt statistics from a training population are used to predict subject-specific training data for an unseen subject rather than requiring those data to be provided directly either from subject-specific dynamic image data or from subject-specific computer simulations, both of which can often place a significant burden on technical and healthcare resources. In particular, the proposed method allows subject-specific organ motion to be modelled implicitly without knowledge of the explicit motion correspondence between different subjects (which for respiratory organ motion for example, might be provided by an independent respiratory signal or surrogate respiratory signal). The proposed motion modelling method was compared with biomechanical modelling as an alternative, direct means of generating subject-specific synthetic training data. One advantage of using biomechanical simulations is that the correspondences between successive shapes of the organ of a particular subject are known implicitly, since these are computed relative to a common reference shape. In general, however, point correspondence may be established via any of a number of point registration methods described in the literature (Heimann and Meinzer, 2009).
Further work is necessary to validate the technique against image-derived organ shape data for a wider variety of applications, but a key potential advantage of the method over alternative approaches is that only limited subject-specific data on motion-related organ shape change are required. This makes the method both computationally efficient and highly suited to applications where more comprehensive data on organ motion, such as a 4D image with a high temporal resolution, are difficult or impossible to acquire. In situations when dynamic imaging of organ motion is feasible, but has significant practical constraints, such as limited temporal resolution or limited access to the required imaging facilities, the proposed method can in principle work with only a small number of training shape instances and therefore may be usefully applied. Moreover, the requirement for a single reference shape per subject overcomes practical constraints that are commonly encountered in the clinical setting where a segmentation from a (static) diagnostic or planning image is often the only, or at least most readily accessible, data available.
In the example used in this study, subject-specific prostate SMMs were built to describe the motion of the prostate gland alone, but the method could also be extended to model multi-organ motion. Furthermore, the proposed framework may be adapted easily to use a different kernel function, i.e. $K$ in Eq. (5), a different regression technique and/or another PDF, such as a mixture model for cases where a multi-modal distribution is observed. The simple Gaussian function form $K$ takes in Eq. (5) is proposed mainly for its efficiency in local weighting and prevalence in wider statistical learning applications. This choice is proven adequate in this case based on the cross validation results presented in Section 3, but another kernel function might be equally valid. Although these adaptations would not necessarily result in a direct linear model represented by Eq. (11), random samples of the subject-specific organ shape can be drawn from the learnt SSPDF; for example, using a Monte Carlo approach, which are then used to build a linear SMM using a standard PCA-based or other model construction method.
Reference shapes were included when building the mixed-subject SSM so that these predictors can be expressed using the same SSM. However, this may introduce a small bias into the model. To investigate this further, we calculated reconstruction errors in RMS distance using the mixed-subject SSMs with- and without the reference shape data. These were $0.28 \pm 0.065$ mm and $0.28 \pm 0.065$ mm, respectively; no statistical significant difference can be concluded with $p = 0.58$ and a confidence interval on the mean difference of $[-0.0028, 0.0016]$, based on a pooled two sample t-test. We therefore conclude that the impact of including the reference shape was negligible. Any other linear form of parameterisation of these predictors should have equivalent performance in the subsequent regression analysis. In theory, other nonlinear parameters representing the difference between the subject-specific shape and other procedural measurements (e.g. gland size) and temporal information, can readily be incorporated in the proposed learning framework. These may help predict the subject-specific SMM but this hypothesis would need further investigation beyond the scope of the present study.
A secondary noteworthy aspect of the work is the use of the group- and pair-wise LGCPD algorithms to non-rigidly register training shapes (see Section 2.7). Fig. 17 shows an example of a pair-wise registration of prostate surfaces. This algorithm provides a faster and more robust extension to the general-purpose CPD algorithm, originally proposed by Myronenko and Song (2010).
The value of $L$ in Eq. (1) may be chosen so that the reference SSM covers of a certain percentage of the cumulative variance (e.g. at least 99%, yielding $L = 31$ in this study) in the training data. An interesting observation is that the proposed method may be useful for determining an optimal value of $L$ as the components ordered with decreasing variance may contain too much noise to be reasonably modelled by a Gaussian distribution or captured by kernel regression. However, further investigation of this point is beyond the scope of this paper and remains to be investigated in future work.
Importantly, in the application of modelling prostate motion to enable non-rigid registration of MR to TRUS images, the proposed method reduces the time required to build a subject-specific SMM substantially, compared with using subject-specific biomechanical simulations to provide model training data. The time taken to generate a subject-specific SMM in this study was on average less than 20 seconds in total (~18 s for the single LGCPD registration and <2 s for regression evaluation) compared with at least a few hours required for GPU-based FEM simulations (Hu et al., 2012, 2011). This means that model generation is no longer only practical as a pre-operative step within an image-guided surgery workflow, but could feasibly be performed immediately prior to or even during a procedure, which may have significant practical advantages in terms of convenience in the clinical setting. In addition, the proposed model generation method does not require the resources demanded by FE simulation, which is difficult to automate to a level that they can be performed by clinicians without significant technical support or at least in-depth training. Moreover, potential issues regarding numerical instability...
and lack of convergence are avoided, and high-quality FE simulations need only be limited to generating training data, which in principle only needs to be done once to create a single generative model from which subject-specific SMMs are built.
Acknowledgments
This research was supported by the National Institute for Health Research Biomedical Research Centre (NIHR BRC) at UCL/UCL (Project Grant Ref. 96), the Royal Academy of Engineering and Engineering and Physical Sciences Research Council (EPSRC) via a Research Fellowship held by Dr. Dean Barratt, and the UK Department of Health and the Wellcome Trust through the Health Innovation Challenge (HIC) Fund (http://www.hicfund.org.uk/; Link to Wellcome Trust website).
This publication presents independent research supported by the HIC Fund (grant no. HIC-F-74-310), a parallel funding partnership between the Department of Health and the Wellcome Trust. The views expressed in this publication are those of the author(s) and not necessarily those of the Department of Health or the Wellcome Trust. The research was undertaken at UCL/UCL who received a proportion of funding from the Department of Health’s NIHR Biomedical Research Centres funding scheme. The views expressed are those of the author(s) and not necessarily those of the NHS, the NIHR or the Department of Health.
Eli Gibson is a Canadian Institutes of Health Research Postdoctoral Fellow, and is also supported by the UK Medical Research Council.
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Challenges in the use of sortase and other peptide ligases for site-specific protein modification
Holly E. Morgan, W. Bruce Turnbull* and Michael E. Webb*
Site-specific protein modification is a widely-used biochemical tool. However, there are many challenges associated with the development of protein modification techniques, in particular, achieving site-specificity, reaction efficiency and versatility. The engineering of peptide ligases and their substrates has been used to address these challenges. This review will focus on sortase, peptidyl asparaginyl ligases (PALs) and variants of subtilisin; detailing how their inherent specificity has been utilised for site-specific protein modification. The review will explore how the engineering of these enzymes and substrates has led to increased reaction efficiency mainly due to enhanced catalytic activity and reduction of reversibility. It will also describe how engineering peptide ligases to broaden their substrate scope is opening up new opportunities to expand the biochemical toolkit, particularly through the development of techniques to conjugate multiple substrates site-specifically onto a protein using orthogonal peptide ligases.
1 Introduction
Site-specific protein modification is widely used for a range of applications including the production of biopharmaceutical products and the investigation of protein function in living systems. Since traditional chemical protein modification methods use reactions of naturally-occurring amino acid functional groups found in the protein, achieving site-specificity is difficult. Incorporation of non-natural amino acids with bioorthogonal groups into a protein can address this problem, but this can involve extensive modification of the protein expression conditions to generate the modified substrate protein. Exploitation of enzymes which modify proteins is therefore an attractive option; their main advantages are their inherent specificity and usually mild reaction conditions. There are a wide range of such enzymes and reactive protein domains including, for example formylglycine generating enzyme, SpyTag and SNAPTag in which defined sequences and domains can be post-translationally modified however peptide ligases are unique in their ability to catalyse the formation of peptide bonds, allowing the natural protein backbone to be preserved. The recognition sequences are typically small and this makes them particularly attractive for protein engineering purposes. The capabilities of peptide ligases to form defined complexes in high yields means that are now increasingly used to generate complex engineered proteins in vitro, including antibody drug-conjugates, site-specifically modified histones and proteins with defined ubiquitinylation states; and as tools in vivo to selectively modify particular proteins in the cell, on the cell surface and in plasma.
This review will explore the key examples of peptide ligases used for protein modification, focusing mainly on sortase, the leading enzyme in the field. The peptidyl asparaginyl ligases Butelase-1, OaaEPI, WyPAL2 and peptide-ligating variants of subtilisin will also be discussed (Scheme 2). The challenges associated with this approach to protein modification will be highlighted, and how engineering of peptide ligases and their substrates has been used to address these challenges. The three principal challenges in developing new methods are ensuring specificity, efficiency and versatility: that modification is site-specific and generates well-defined conjugates; that it is time and reagent efficient; and that it is versatile (Scheme 1). We will first discuss each class of enzyme from the perspective of engineering enhanced catalytic activity. The review will then...
focus on examples of substrate engineering that aim to reduce the reversibility of the ligation reaction, and thus drive conversion of substrates to products. Studies that have broadened substrate specificity will then be presented, before the final section of the review illustrates how these advances have created new opportunities in the field of protein modification; in particular, the use of orthogonal peptide ligases to conjugate multiple substrates site-specifically onto a protein.
2 Peptide ligases and enzyme engineering to enhance catalytic activity
Peptide ligases catalyse the formation of an amide bond, usually at the N- or C-terminus of a peptide or protein substrate. The reaction mechanism typically proceeds via cleavage of a recognition sequence at the C-terminus of a peptide/protein by a cysteine residue to form a peptide/protein acyl-enzyme intermediate (Scheme 2A). Nucleophilic attack on the acyl intermediate by an N-terminal amine (aminolysis) in the second substrate releases the enzyme and results in the formation of a peptide bond. Whilst limited examples of such peptide ligases exist in nature, proteases which catalyse the hydrolysis of peptide bonds are much more abundant. While the mechanism of serine and cysteine proteases also involves an acyl–enzyme intermediate formed by the catalytic nucleophile, aminolysis is inefficient and the intermediate is instead hydrolysed. Efforts have therefore been made to engineer proteases into ligases by altering the catalytic mechanism in order to increase the ratio of aminolysis to hydrolysis.\(^5\) The development of enzymatic protein modification techniques has been driven by this kind of enzyme engineering, with the objective of improving the catalytic efficiency of established ligases as well as altering the behaviour of such proteases. As described below, this has led both to enhanced reaction rates and a concomitant reduction in the amount of catalyst required, both of which are desirable qualities in a protein modification technique.
2.1 Sortase
Sortases are a class of transpeptidase enzymes that covalently attach an array of proteins to the surface of Gram-positive bacteria.\(^{10}\) Sortases can be divided into six distinct families (A–F) on the basis of structure and substrate dependence.\(^{11–13}\) The sortase A family is best characterised, and members of this family are present in almost all Gram-positive bacteria.\(^{14}\) This class of sortase enzymes performs a housekeeping role in the bacterial cell, anchoring a large number of functionally-distinct proteins to the cell wall. The sortase that has been studied most extensively is *Staphylococcus aureus* Sortase A (SaSrtA), which acts upon proteins with a C-terminal LPXTG recognition motif (Schemes 2B and C; where X denotes any amino acid).\(^{12,15}\) Upon binding of the recognition motif in the catalytic site, the sulfhydryl group of Cys184, as part of a catalytic triad with...
His120 and Arg197, attacks the backbone carbonyl of the threonine residue in the LPXTG, cleaving the threonine-glycine bond and forming a thioester intermediate (Scheme 2B). This intermediate is then attacked by the N-terminal amine of a pentaglycine motif in peptidoglycan, releasing the enzyme and covalently linking the protein to the cell wall.\textsuperscript{12,14,16-19} The catalytic activity of SaSrtA is facilitated by the binding of calcium ions into a binding pocket located near the active site.\textsuperscript{20} The resulting structural change in the active site supports favourable interactions with the LPXTG motif.\textsuperscript{14} This dependence on calcium is specific to SaSrtA. The residues involved in binding Ca\textsuperscript{2+} are not conserved in other Gram-positive bacterial sortase A enzymes such as those from \textit{Bacillus anthracis} SrtA (BaSrtA) and \textit{Streptococcus pyogenes} (SpSrtA).\textsuperscript{21,22}
The activity of sortase has been extensively exploited to perform protein/peptide protein modification. This strategy requires purified SaSrtA, a donor substrate containing the C-terminal LPX\textsubscript{1}TG\textsubscript{2} recognition motif and an acceptor molecule with a sterically-unhindered N-terminal glycine residue). While the recognition sequences for sortases are typically given in the literature in the form LPXTG and are used in this review for clarity, in general, the required recognition motif is LPX\textsubscript{1}TG\textsubscript{2} (Scheme 2C) where X\textsubscript{2} is either a C-terminal amide or another amino residue; protein or peptides where the glycine nucleophile has a free carboxylic acid group are not substrates for sortases. In the authors’ experience, this additional requirement is frequently overlooked by those using sortases for the first time. For C-terminal protein modification, an LPXTG recognition motif is required at the C-terminus of the protein and the substrate to be ligated must contain an N-terminal glycine residue. The accessibility and flexibility of both the N- and C-terminal region impacts the efficiency of the reaction.\textsuperscript{23-25} One downside to C-terminal labelling is that the LPXTG sequence must be engineered into the protein. Applications of this method are also limited for modification of cell surface proteins which most commonly have intracellular C-terminal regions and extracellular N-terminal regions, and thus cannot be labelled via this method.\textsuperscript{26} Alternatively, N-terminal protein labelling involves ligation of a labelling substrate with a C-terminal LPXTG motif to a protein with an N-terminal glycine.\textsuperscript{25} It requires minimal engineering of the protein, only requiring a single N-terminal glycine in a sterically
unhindered position. Many commercial expression plasmids have N-terminal protease recognition sequences that, when cleaved, result in a protein that already possesses an N-terminal glycine.\textsuperscript{27,28} There is also potential for internal labelling of a protein by introducing a flexible loop into the protein.\textsuperscript{23} Guimaraes \textit{et al.} demonstrated a method where a loop, containing the LPXTG recognition motif followed by a specific protease cleavage site, was introduced between two cysteine residues which formed a disulfide bond in the protein. The flexibility of the loop was increased by nicking the loop with a protease, allowing the sortase-mediated reaction to occur as it would for a C-terminal labelling reaction. If the loop is flexible and accessible, proteolysis may not be required.
Over the years, sortase-mediated ligation has proven itself to be a key protein conjugation technique. It has been used for a variety of applications including protein–protein fusion,\textsuperscript{29,30} protein cyclisation,\textsuperscript{31–33} immobilisation of proteins onto artificial surfaces\textsuperscript{4,5,34} and introducing novel functionality, such as fluorescent tags,\textsuperscript{36} peptides,\textsuperscript{37} lipids\textsuperscript{38} and toxins\textsuperscript{39} into proteins site-specifically. However, it does possess some limitations and a significant amount of work has been carried out to increase the catalytic efficiency, eliminate the dependence on calcium ions, increase the rate of transpeptidation and reduce the rate of hydrolysis and reaction reversal. Many of these challenges have been addressed through enzyme engineering.
### 2.1.1 Expression and purification of sortase
Ton-That \textit{et al.}\textsuperscript{17,40} originally produced recombinant SaSrtA enzymes (SrtAA59 and SrtAA25) by removing the N-terminal membrane-anchoring segment of the protein and replacing it with a His\textsubscript{6} tag. This enabled the expression of a soluble enzyme and purification by nickel affinity chromatography and was instrumental for the widespread use of sortase for protein modification. In addition to aiding purification of sortase after expression, purification tags are also useful for removing sortase from a labelling reaction. This is advantageous as it can prevent hydrolysis, reversal of the labelling reaction and facilitates immobilisation in flow channels. Other purification tags, such as chitin binding domain and maltose binding protein have also been reported and applied.\textsuperscript{38,41}
Sortase A has been cloned and is available from plasmid repositories with e.g. C-terminal His-tags, enabling its ready adoption.\textsuperscript{19,42,43} In our own experience, sortases of all types are readily overexpressed in high yield and show high stability compared to most other recombinant proteins; their supply is therefore not a limiting factor.
### 2.1.2 Enhancement of catalytic activity
Wild-type SaSrtA catalyses ligation reactions relatively poorly, ($k_{\text{cat}}/K_M$$_{\text{LPETG}} = 200$ M$^{-1}$ s$^{-1}$). In practical terms this means that large amounts of catalyst and prolonged reaction times are required for complete reaction. Therefore, in 2011, Chen \textit{et al.}\textsuperscript{44} developed a directed evolution technique integrating yeast display, enzyme-catalysed small molecule–protein conjugation and fluorescence-activated cell sorting (FACS) to evolve SaSrtA for improved catalytic activity. They initially focused on decreasing the high $K_M$ for the LPXTG substrate (7.6 mM). WT SaSrtA was subjected to mutagenic PCR before subcloning into a yeast display vector. The resulting modified proteins (library size $\sim 8 \times 10^7$) were displayed on the yeast cell surface as fusion proteins with the cell surface mating factor Aga2p. This protein forms a disulphide-linked dimer with the protein Aga1p. In order to enable screening this protein was first modified using Stf-mediated linkage of either CoA-LPETGG or GGGK(CoA) substrates to a 12-residue S6 recognition peptide added to its N-terminus (Fig. 1A). Yeast cells containing active sortase could therefore catalyse the coupling of these Aga1p-linked substrates to complementary biotinylated substrates in solution in a pseudo-intramolecular reaction, linking the biotin handle to the yeast surface enabling selection of active mutants. To drive selection of mutants with higher affinity, the concentration of Biotinyl-LPETGG in solution was reduced through several rounds of selection including a second round of mutagenesis. Sequencing of the evolved sortase genes in the final round revealed the predominance of P94S or P94R, D160N, D165A, and K196T mutations. Combination of all four mutations yielded an enzyme with a 140-fold increase in $k_{\text{cat}}/K_M$(_LPETG) compared to WT SrtA. Further mutagenesis and two rounds of directed evolution yielded a pentamutant [P94R/D160N/D165A/K190E/K196T] termed evolved sortase A (eSrtA or Srt5M see Table 1 and Fig. 2). eSrtA has a 120-fold higher $k_{\text{cat}}/K_M$(_LPETG) compared to WT SrtA, as well as a 20-fold lower $K_M$ for the polyglycine second substrate and was shown to be substantially more effective than the WT SrtA at labelling LPETG-tagged proteins on the surface of live mammalian cells.
Table 1 A subset of reported sortase variants derived from wild-type and evolved sources including sortases with enhanced catalytic activity (e.g. eSrtA), Ca-independence e.g. SrtA(7M), altered substrate specificity e.g. eSrtA(45-9) and SrtA(j), and enhanced thermal stability
| Sortase | Recognition sequence | Ref. | Notes |
|---------|----------------------|------|-------|
| **Wild-type sortases** | | | |
| SaSrtA *(Staphylococcus aureus)* | LPXTG | Ton-That *et al.* | Anchors protein to the cell wall in vivo, Poor kinetics in vitro Calcium dependent |
| SrtB* | NPQTN | Mazmanian *et al.* | Found in the iron-responsive determinant locus (involved in iron acquisition, important in bacterial pathogenesis). Anchors IsdC to the cell surface |
| SrtC* | QVPTG | McCafferty & Melvin | Polymerisation of pilin proteins |
| SrtD* | LPNTA | Marrafini & Schneewind | Responsible for targeting BasH and BasI in sporulating bacilli |
| SpSrtA | LPXTG/LPXTA (X = A, C, S) | Race *et al.* | Calcium independent |
| BaSrtA | LPXTG | Weiner *et al.* | Calcium independent |
| SavSrtE | LAXTG/LPXTG | Das *et al.* | Calcium independent |
| CdSrtA | LPLTG | McConnell *et al.* | Generates an isopeptide bonds to Lys in WxxxVxYPK motif in pilin |
| **Sortases with enhanced catalytic activity** | | | |
| eSrtA (SrtA(5M)) P94R/D160N/D165A/K190E/K196T | LPXTG, LPXEG (X = A, C, S) LAETG | Chen *et al.* | Evolved from SaSrtA Improved kinetics |
| SrtA(5M/Y187L/E189R) SrtA(5M/D124G | LPXTG | Chen *et al.* | Evolved from SaSrtA and SrtA(5M) Improved reaction for N- and C-terminal labelling respectively |
| E105K/E108A/Q mutant | LPXTG | Hirakawa *et al.* | Evolved from SaSrtA Calcium-independent |
| SrtA(7M) P94R/E105K/E108Q/D160N/D165A/K190E/K196T | LPXTG | Wuethrich *et al.* | Evolved from SaSrtA Improved kinetics, calcium independent |
| **Sortases with altered specificity** | | | |
| SrtLS SaSrtA B6/B7 loop exchanged for SrtSrtB B6/B7 loop | NPQTN | Bentley *et al.* | Evolved from SaSrtA Only catalyses acylation, not transpeptidation |
| F40-sortase T164Q/V168M/L169H/D170L/E171A/G172E F1.21 sortase V161Y/K162W/P163A/T164N/D165E/V166R/G167Y/V168F/L169H/D170V/E171L | XPCTG (X = A, D, S), APATG APXTG/FPXTG | Piotukh *et al.* | Evolved from SaSrtA |
| eSrtA(2A-9) S102C/A104E/U105D/K138P/K152I/N160K/K162H/T164N/K173E/I182V/T196S eSrtA(45-9) N98D/S102C/A104W/A118T/F122A/K134R/F142L/I182V/E199F SrtA(j) T76L/S102C/E105D/N107E/S118U/I123L/D124I/N127H/G134R/K138L/G139D/M141I/K145T/K152R/M155I/R159C/K162R/Q172H/K173E/K177R/V182A/V189Y/T196S/R197S/K206R | LPXEG (X = A, C, S) LAETG | Dorr *et al.* | Evolved from SrtA(5M) |
| SpSrtA M3 E199H/V206I/E215A | LPXTG, | Zou *et al.* | Recognises N-terminal GG, AA, SS and CC substrates Evolved from SpSrtA |
| **Sortases with increased stability** | | | |
| SaSrtA rM4 P94S/D160N/D165A/K196T | LPXTG | Zou *et al.* | Evolved from SaSrtA higher activity than WT at ambient temperature but lower thermal stability, resistant to DMSO |
| SaSrtA CyM6 P94S/D160N/D165A/K196T R159N and K162P Head to tail cyclisation | LPXTG | Zou *et al.* | Evolved from SaSrtA (through rM4) Improved thermostability and resistance to chemical denaturation |
Further improvements in efficiency over eSrtA have been obtained using a FRET screening approach.\textsuperscript{46} In this case, as well as an error-prone PCR-based approach on the whole enzyme, site-saturated mutagenesis at a set of rationally selected sites on WTsrtA or eSrtA was employed. The libraries were screened using a sortase ligation-dependent FRET pair of eGFP-LPETG and GGG-cpVenus. In particular, the 5M/Y187L/E189R variant was found to be highly effective for C-terminal antibody modifications and the 5M/D124G variant was superior for N-terminal antibody modification (Table 1).
Another strategy for sortase evolution, SortEvolve, was reported by Zou \textit{et al.}\textsuperscript{47} This approach, which uses a high-throughput screening platform in microtitre plate format, was validated by the same range of mutations. In this case, sortase mutants mediate fusion of the lucase CueO with a C-terminal LPETGGRR tag to GGG-eGFP-LCL. The degree of ligation was then assayed by LCI-mediated immobilisation of the fusion product to polypropylene plates and assay of lucase concentration using 2,2′-azino-bis(3-ethylbenzothiazoline-6-sulfonic acid (ABTS)). To validate this system, three site-saturated mutagenesis (SSM) SaSrtA libraries were generated at three positions (P94, D160, and D165). Each SSM-library was screened independently in one 96-well microtitre plate. The previously reported P94S, D160N, and D165A mutants were identified. Further recombinant Sa-SrtA variant P94T/D160L/D165Q was characterised with 22-fold improvement in catalytic efficiency compared with the wild-type protein.
More recently, Li \textit{et al.}\textsuperscript{48} have investigated the behaviour of intermediate sortase variants in which only a subset of these mutations are included and highlighted that some of these appear to be optimal for a different range of applications. It was determined that each variant has advantages appropriate for specific applications when considering rate of reaction, extent of hydrolysis, purification restraints, temperature, and additives \textit{e.g.}, detergent requirements.
\subsection*{2.1.3 Calcium dependence}
The second limitation of SaSrtA is the requirement for calcium to stabilise the active site.\textsuperscript{20} The Ca\textsuperscript{2+} dependency of SaSrtA limits its application for protein modification as it is difficult to use under low Ca\textsuperscript{2+} concentrations, such as in living cells, and in the presence of Ca\textsuperscript{2+} binding substances, such as buffers containing phosphate, carbonate or chelators like EDTA.\textsuperscript{31} One solution to this problem is to use naturally calcium-independent sortases such as demonstrated by Strijbis \textit{et al.}\textsuperscript{49} who used calcium-independent SpSrtA to modify proteins inside \textit{S. cerevisiae} and in mammalian HEK-293T cells. However, the specific activity of SpSrtA is much lower than SaSrtA. Another solution was found through the development of a calcium independent SaSrtA variant. In WT SaSrtA, calcium ions bind to the calcium binding pocket by forming interactions with residues Glu105, Glu108 and Glu171 in the β3–β4 loop.\textsuperscript{20} This allows the unstructured and flexible β6–β7 loop to adopt a closed conformation in which Val166, Val168 and Leu169 can bind the LPXTG motif in the active site.\textsuperscript{14}
An alternative approach was reported by Hirakawa \textit{et al.}\textsuperscript{50} who used a structure-guided alignment of SaSrtA with the calcium-independent enzymes SpSrtA and BaSrtA in order to develop SaSrtA variants with Ca\textsuperscript{2+}-independent catalytic activity. This indicated that Glu105 and Glu108, are not conserved in SpSrtA or BaSrtA. In SpSrtA, Glu105 corresponds to Lys126 which forms a salt bridge with Asp196 (Glu171 in SaSrtA) which may stabilise the closed conformation of the β6/β7 loop instead of calcium ions. In SaSrtA, Glu105, Glu108 and Glu171 coordinate to Ca\textsuperscript{2+}.\textsuperscript{51} Hirakawa therefore hypothesised that substitution of Glu108 with an uncharged amino acid, together with substitution of Glu105 with Lys, would moderate the negative charge concentrated in the calcium binding site and overcome the calcium dependency of SaSrtA. Consequently, both double mutants E105K/E108A and E105K/E108Q were shown to enhance protein ligation in the absence of calcium, without drastically affecting substrate specificity (see Fig. 2). Overall, however the calcium-independent activity of these proteins was ~65% lower than the calcium-dependent activity of the WT SaSrtA.
The Ploegh group combined the eSrtA pentamutant with the second of these calcium-independent variants to create the
heptamutant SrtA(7M). This has a 40-fold higher $k_{\text{cat}}/K_M$ LPETG compared with the double mutant (E105K/E108A). Thus, as a result of these mutations, a catalytically efficient, calcium-independent sortase enzyme was evolved (see Fig. 2 and Table 1). Despite obvious advantages with the use of the pentamutant and heptamutant, these enzymes are not optimal for all applications as they are prone to higher levels of hydrolysis if not carefully monitored. Different variants are suitable for different applications, as made evident by Li et al., who have subsequently evaluated the use of SaSrtA variants 3M, 4M and 5M for a range of ligation reactions.
### 2.1.4 Increasing catalytic efficiency
Huang et al. and Frankel et al. (Scheme 3) have both studied the kinetics of each step of the sortase-catalysed reaction – both found that at the optimal pH, the transpeptidation reaction is limited by initial acylation of the enzyme (binding of the recognition motif to the sortase catalytic region), whereas hydrolysis of the acyl-enzyme intermediate is the rate-limiting step in the hydrolysis reaction. Kinetic studies have revealed that the $k_{\text{hyd}}$ for hydrolysis is much slower than aminolysis (the transpeptidation reaction). Partitioning of the thioacyl intermediate towards hydrolysis rather than aminolysis is more likely to take place when the concentration of the oligoglycine substrate is low or at pH below the pK$_a$ of the N-terminal amine (~pH 8). An optimum in the overall rate was observed at around this pH by Wu et al., consistent with this observation. However, the product of transpeptidation can reform the thioacyl intermediate and, over time, the irreversible hydrolysis product can therefore be formed. The rate-limiting nature of thioacyl intermediate formation means that long reaction times are generally required. While enzymes with enhanced catalytic activity, e.g., SrtA(7M), have decreased the reaction times and the concentrations of sortase and substrate required, these are accompanied by an increase in the rate of hydrolysis which particularly needs to be controlled for C-terminal labelling. Optimisation of such reactions is generally needed to ensure that hydrolysis does not occur upon over-long incubation. Several different enzyme-based strategies have been adopted to increase the efficiency of these labelling reactions including proximity-based labelling and flow-based approaches. Two different groups have reported the covalent fusion of sortase to one or other substrate to enhance reaction rate. Amer et al. created a fusion between sortase and SUMO (small ubiquitin-like modifier protein) as a solubility tag with an N-terminal pentaglycine motif. Reaction of this fusion tag with an isotopically labelled substrate containing an LPXTG motif led to enhanced reaction relative to the intermolecular reaction of the separate components. This approach has the disadvantage that the sortase remains covalently linked to the protein after the reaction. Alternatively, a traceless proximity-based approach using SpyTag/SpyCatcher has been used to link the sortase to the LPXTG substrate motif. In this case, the target protein, has an additional C-terminal SpyTag sequence (a 13 aa peptide) after the LPETG sortase recognition motif. A resin-immobilised SpyCatcher-SaSrtA fusion protein was then used to capture the protein-SpyTag fusion via formation of an irreversible isopeptide bond to the SpyCatcher domain. This brings the protein into close proximity with SaSrtA and the ligation reaction can then be initiated via the addition of calcium ions and peptide with an N-terminal GGG. This ligation reaction leads to cleavage of the labelled protein from the resin (however hydrolysis is still a possibility in this system). Witte et al. used a contrasting immobilised approach by immobilising sortase on resin, flowing over the LPETG-containing reactant to generate the immobilised reactant before incubation of the immobilised thioacyl intermediate with the nucleophilic acyl donor. By removing the original glycinyl leaving group from the system prior to addition of the second substrate, an equilibrium mixture of the LPETG-containing reactant and product is avoided.
### 2.1.5 Increased stability
SaSrtA is inactivated at elevated temperatures and in the presence of denaturing agents, which limits its application in immobilised enzyme applications where the catalyst will be reused repeatedly and in peptide ligations. Zou et al. used loop engineering and head-to-tail backbone cyclization to increase the stability of the enzyme SaSrtA. Initial work was based on a DMSO-resistant mutant SaSrtA rM4 (Table 1), which has a 45-fold improved LPETG recognition and a 3-fold gain in $k_{\text{cat}}$ (140-fold increase in catalytic efficiency) compared to WT at ambient temperature but low thermal stability. Protein fragment ligation of P$_{450}$ BM3 monoxygenase was used to assay sortase activity in a high-throughput screening approach. Two key variants in the flexible β6/β7 loop, rM4-K162P and rM4-R159N, were identified which displayed 3.5-fold and 3.0-fold increased activity,
respectively. These increases may be attributed to enhanced hydrophobic interactions towards the LPETG substrate. Additionally, a 3.1-fold increased thermal stability was also seen in rM4-K162P, mostly likely due the proline ring limiting the conformational mobility of SaSrtA. Consequently, the R159N and K162P mutants were combined to produce SaSrtA M6, which showed a further 8-fold increase in activity and a 5-fold increase in thermal stability compared to rM4. Finally, SpSrtA was used to catalyse head-to-tail backbone cyclisation to produce a cyclic hexamunt, CyM6. This construct retained 99% of activity and had a 7.5 °C increase in thermal stability relative to rM4, significantly enhancing storage stability compared to WT. This form of the enzyme showed significant increase in activity (3- to 9-fold) in the presence of moderate concentration of denaturants (20% (v/v), DMSO, 2.5 M urea or 1 M GdnHCl) and increased thermal stability under these conditions. All three enzymes in this study rM4, M6 and CyM6 can catalyse peptide ligation at 60 °C, in presence of 1 M GdnHCl, or 2.5 M urea unlike WT SaSrtA.
### 2.2 Peptidyl asparaginyl ligases
The second major class of peptide ligases, peptidyl asparaginyl ligases (PALs) (Scheme 2D), are closely related to asparaginyl endopeptidases (AEP). Like sortase these are cysteine proteases but have a significantly shorter recognition motif. Both PALs and AEPs bind a tripeptide recognition motif, P$_1$–P$_{V}$–P$_2$ (where P$_1$ is asparagine or aspartic acid, P$_{V}$ is a small residue and P$_2$ is generally a hydrophobic/alphatic amino acid e.g. NGL). In general AEPs act purely as proteases; under acidic conditions, AEPs hydrolyse the Asx–P$_1$ bond. However, as the pH is increased, while AEPs lose the ability to bind aspartyl-containing substrates due to the loss of hydrogen-bonding to a key residue in the S$_1$ pocket of the enzyme, the asparaginyl-containing substrates are not affected by a change in pH. At these higher pHS, amine nucleophiles can act as acyl acceptors and for some AEPs, a ligation reaction can occur with an asparaginyl-containing substrate, however the ratio of ligation to hydrolysis is dependent on the AEP and sequence of the substrate and, most AEPs are predominantly proteases and not synthetically useful.
PALs, which are exclusively found in plants, are characterised by their ability to catalyse Asx–P$_1$ bond formation in near-neutral conditions. These enzymes are best exemplified by Butelase-1 and OaAEP1 whose endogenous activities are the production of cyclic peptides. PALs cleave the Asx–P$_1$ bond to form a thioester intermediate which is then attacked by an N-terminal nucleophilic acceptor (X$_2$X$_3$) to form a new peptide bond with the P$_1$ residue (Scheme 2D). The specificity for the N-terminal substrate is often even looser than the C-terminal tripeptide recognition motif allowing a wide variety of sequences in the product peptide. Hemu et al. proposed that the difference in activity between AEPs and PALs is due to the amino-acid composition of the substrate binding grooves flanking the S$_1$ pocket of the enzymes, particularly the ‘gatekeeper’ residue (termed the ligase-activity determinant 1 region, LAD1) and residues found in LAD2 that are centred around the S$_2$ and S$_Y$ pockets. Combining structural analysis and mutagenesis studies, it was determined that, for an efficient PAL, the first position in LAD1 is preferably bulky and aromatic (Trp/Tyr) and the second position (the gatekeeper) is hydrophobic (Val/Ile/Cys/Ala). Conversely, a Gly at the gatekeeper position favours proteolysis as is observed in the AEPs. For LAD2, small hydrophobic dipeptides (e.g., GlyAla/AlaAla/AlaPro) are favoured in PALs as they retain the leaving group, blocking access to the thioester bond until another peptide acts as a nucleophile. In the case of AEPs, a bulky residue such as Tyr at the first position may destabilize the acyl–enzyme intermediate by facilitating the departure of the cleaved peptide group and exposing the acyl–enzyme thioester to water. Using this insights they were able to re-engineer a protease from *Viola candidaensis* (VeAEP) into an effective peptide cyclase using a single point mutation of this Tyr residue to an alanine in the LAD2 region.
#### 2.2.1 Butelase-1
Butelase-1 was the first PAL to be identified and exploited. It was originally purified from seedpods of the plant *Clitoria ternatea* where it is involved in the biosynthesis of cyclotides. Butelase-1 natively catalyses head to tail cyclisation of peptides through recognition of a C-terminal Asx–His–Val motif (Scheme 2E). The enzyme cleaves the His–Val dipeptide and attaches the Asx residue to the N-terminal X$_1$X$_2$ sequence of the peptide, where X$_1$ can be any amino acid, except Pro, and X$_2$ is favoured to be a bulky hydrophobic amino acid such as Ile, Leu, Val and, to some extent, Cys. This leads to the cyclisation product with a new Asx–Xaa peptide bond. In this kind of application, butelase-1 has been utilised for the head-to-tail cyclisation of large circular bacteriocins. The enzyme can also be manipulated for use in ligation of proteins/peptides. For this reaction, peptide/protein 1 must carry the C-terminal Asx–His–Val recognition sequence and must not contain a Ile/Leu/Val/Cys residue at the X$_2$ position at its N-terminus. On the other hand, peptide/protein 2 must contain the Ile/Leu/Val/Cys residue at the X$_2$ position. This specificity means that butelase-1 can be readily used for protein modification. For example, a peptide containing a C-terminal NHV motif can be coupled with a protein with an N-terminal GI dipeptide. The ligation product will have a NGI sequence and not be a substrate for butelase-1. Conversely, for C-terminal protein modification, a NHV motif is required at the C-terminus of the protein which may need to be introduced into the protein. For example, Tam et al. carried out labelling of a HER2-specific DARPin (designed ankyrin repeat protein), having a C-terminal NHV motif, with a fluorescent peptide containing an N-terminal RIGK motif for bioimaging as well as to ligate cytolytic peptides to generate candidate therapeutic drug conjugates.
A distinct advantage of Butelase-1 is that it is the fastest known ligase with a very high catalytic efficiency. A typical butelase-mediated reaction requires 100– to 1000-fold less enzyme than a reaction carried out with sortase A. It also has a shorter recognition sequence than sortase (Asx–His–Val) and broader tolerance for the first N-terminal residue for intermolecular peptide and protein ligation, however it is limited by
the identity of the second residue. The first applications of butelase-1 were chiefly limited by its availability, since it could only be obtained by extraction from plant tissue. Nguyen et al.\textsuperscript{76} first attempted to recombinantly express the enzyme in \textit{E. coli} in 2014, however it was only expressed in an insoluble form. Only very recently have James et al.\textsuperscript{87} successfully expressed recombinant butelase-1 in \textit{E. coli}. The enzyme was produced as an inactive zymogen, which is the native form of AEPs and PALs, and matured by autoactivation at low pH in a protocol mimicking the natural process in the plants. The recombinant protein possessed a His\textsubscript{6} tag at its N-terminus followed by a GS linker and the fully encoded butelase-1 (minus the 20-residue endoplasmic reticulum signal peptide). After purification of the N-terminally His-tagged zymogen, dialysis at pH 4.0 led to cleavage of the C-terminal propeptide which blocks the active site as well as the N-terminal propeptide. As part of the same study, the crystal structure of the purified zymogen was solved which will potentially allow engineering of butelase-1 to avoid the need for an activation step in the future. In contrast to this multi-step protocol from \textit{E. coli}, butelase-1 could be successfully produced following overexpression in the yeast \textit{Pichia pastoris}.\textsuperscript{88} In this case, export into the ER of the yeast cells also enhanced the formation of disulfide bonds between the five cysteine residues present in butelase-1 enabling folding of the active enzyme. The availability of recombinant butelase-1 will open many more opportunities for protein engineering in the near future.
Due to the earlier lack of a recombinant expression system that limited supplies, most studies of butelase-1 activity have demonstrated its application following immobilisation. For example, Hemu et al.\textsuperscript{89} immobilised butelase-1 using three different attachment methods: non-covalent affinity capture using both concanavalin A-agarose beads that recognise butelase-1 glycans and NeutrAvidin beads binding to the biotinylated enzyme, as well as covalent attachment via direct coupling of amines to NHS ester-functionalised agarose beads. The immobilised butelase-1 was reusable for >100 runs with undiminished activity, lowering the consumption of enzyme. Immobilisation also enhanced the stability and prolonged the shelf life of the enzyme compared to the soluble form by reducing aggregation and autolysis into less active forms. In particular, the immobilisation increased the effective concentration of the enzyme, accelerating catalytic activity of ligation reactions such as cyclisation and cyclo-oligomerisation under one-pot conditions or in a continuous flow-reactor.
### 2.2.2 OaAEP1
A second PAL, OaAEP1 from \textit{Oldenlandia affinis}, which shares 66% sequence identity with Butelase-1 is also a catalytically efficient ligase that can be used for protein modification. It is reported to be 90 times slower than butelase-1, but has been fully characterised and was first recombinantly expressed in bacteria as a zymogen that required further processing at low pH to generate its active form.\textsuperscript{79,90} A single site-directed mutant (C247A) is sufficient to increase the activity of OaAEP1 160-fold\textsuperscript{40} and the catalytic domain of this mutant has been successfully produced as a His-tagged ubiquitin fusion protein by Tang \textit{et al.}\textsuperscript{91} which does not require activation. The C247A mutation also relaxes the specificity at the P\textsubscript{i} position, which has been attributed to the presence of the smaller side chain, and OaAEP1 C247A can cleave the peptide bond between asparagine and all 20 amino acids except proline.\textsuperscript{90} The specificity at the P\textsubscript{2} position appears to be for large hydrophobic residues such as Phe, Ile, Leu, Met and Trp and it only poorly hydrolyses sequences containing Val (Scheme 2E).\textsuperscript{90,91} Residues G and L at P\textsubscript{i} and P\textsubscript{2} are one of the most effective combinations. In this case, the enzyme recognises a C-terminal NGL motif, resulting in the formation of a protein–enzyme thioester intermediate. Nucleophilic attack with an N-terminal GL-containing substrate results in a NGL-containing ligation product.\textsuperscript{80,91} OaAEP1 C247A has been used for both N- and C-terminal site-specific protein modification.\textsuperscript{91} For example, OaAEP1 was used by Deng \textit{et al.}\textsuperscript{92} to build protein polymers using head-to-tail protein–protein ligation and Harmand \textit{et al.}\textsuperscript{93} used it to modify the surface of red blood cells with nanobodies.
### 2.2.3 VyPAL2
VyPAL2, from \textit{Viola yedoensis}, was recently identified as a third highly active PAL.\textsuperscript{81} The proenzyme was expressed in insect cells and autoactivated at acidic pH to yield the active enzyme. Substrate specificity studies, \textit{via} cyclisation of peptides containing C-terminal Asn–P\textsubscript{i}–P\textsubscript{2}, revealed that small amino acids, particularly Gly and Ser, are favoured at P\textsubscript{i} but not Pro (Scheme 2E). The P\textsubscript{2} position favours the presence of hydrophobic or aromatic residues, such as Leu/Ile/Phe. Kinetic studies showed cyclisation of a model peptide could be achieved with a catalytic efficiency of 274 000 M\textsuperscript{-1} s\textsuperscript{-1}, only 3.5-fold less than butelase-1 (972 000 M\textsuperscript{-1} s\textsuperscript{-1}). VyPAL2 has ligase activity at near-neutral pH and displays minimal hydrolysis activity even at low pH, making it an attractive ligase for protein labelling. As described for butelase-1 above, VyPAL2 was also subject to immobilisation in the same study by Hemu \textit{et al.}\textsuperscript{89} Immobilised VyPAL2 also showed increased activity, reusability and stability compared to its soluble counterpart. The use of this enzyme in ligation reactions is described in greater detail in Section 5.3.
### 2.3 Subtiligase, stabiligase and peptiligase
Subtiligase is an engineered ligase produced \textit{via} modification of the serine protease subtilisin BPN’ from \textit{Bacillus amyloliquefaciens} via two site-directed mutations (Scheme 2F).\textsuperscript{94} Mutation of Ser221 to cysteine from the catalytic triad to form thiolsubtilisin had previously been shown to enable catalysis of peptide formation from peptide ester substrates due to the formation of a thioester intermediate which is resistant to hydrolysis.\textsuperscript{95} Subtiligase was generated \textit{via} a second P225A mutation which reduces the steric crowding in the active site (a result of the first mutation).\textsuperscript{94} This enzyme reacts two orders of magnitude faster with peptide ester substrates than thiolsubtilisin. Reaction of the thioacyl intermediate is selective for N-terminal $\alpha$-amines over lysine $\varepsilon$-amines. A second subtilisin variant with the nucleophilic serine replaced by selenocysteine, termed selenol-subtilisin, has also been reported.\textsuperscript{96} While the selenoester intermediate formed means this is 20 times more efficient than
thiolysubtilisin at catalysing aminolysis, it is much more susceptible to oxidative inactivation than subtiligase.
The substrate specificity of the acyl-donating side of subtiligase is assumed to be retained from subtilisin BPN', which has been extensively studied structurally and biochemically.\textsuperscript{97–105} However, acyl acceptor preference screening has been carried out specifically for subtiligase.\textsuperscript{106,107} In particular, an approach called proteomic identification of ligation sites (PILS) has been applied for identifying N-terminal substrate specificity.\textsuperscript{107} Using peptides derived from proteolysis of \textit{E. coli} cell lysates it is possible to rapidly profile the ligation efficiency for $>25\,000$ different potential substrates which can then be identified by isolation and sequencing of ligated peptides \textit{via} LC-MS/MS. This allowed rapid determination of the preferred substrate specificity (Scheme 2G). The P$_Y$ position preferentially binds small amino acids, Met or basic residues, and the P$_Z$ position is preferentially aromatic, large, and hydrophobic. Mutation of subtiligase was also used to map residues in the enzyme which lead to this specificity revealing that Tyr217 and Phe189 are the primary determinants of P$_Y$ and P$_Z$ specificity, respectively.
Subtiligase has been utilised in many applications including peptide cyclisation,\textsuperscript{106} the synthesis of thioesters\textsuperscript{108} and the synthesis/semi-synthesis of large proteins.\textsuperscript{109} For example, Wells \textit{et al.}\textsuperscript{106} used the enzyme to perform total synthesis of Ribonuclease A from six peptide fragments. Due to the chemoselectivity of subtiligase for the protein N-terminus, the enzyme can be utilised for site-specific protein modification.\textsuperscript{106} The first example of this was the modification of human growth hormone where the N-terminal structural and sequence requirements for efficient ligation were explored. In this case, it was discovered that introducing an extended N-terminal sequence to the protein resulted in higher modification yields as is often the case for other peptide ligases. Other advantages of the enzyme are that it can be recombinantly expressed in high yields and only requires a sub-stoichiometric amount of enzyme. The principle disadvantages of subtiligase are, however, that the enzyme only works on peptide ester substrates as acyl donors and that a large excess of acyl acceptor/donor is required to suppress the hydrolytic reaction. Near quantitative ligation of peptide substrates could be obtained using a 10-fold excess of some acyl acceptors, suggesting that this approach had promise for peptide assembly but that further optimisation was required.\textsuperscript{94}
### 2.3.1 Increased stability
Several different reports of engineering to enhance the behaviour of subtiligase have been published. In some cases, the stability of the catalyst was thought to limit its activity on certain substrates.\textsuperscript{106} Five stabilising mutations (M50F, N76D, N109S, K213R, and N218S), previously identified in subtilisin to enhance stability to heat, basic conditions and organic solvents were introduced into subtiligase. This new variant, termed stabiligase, is capable of activity under the conditions required to label proteins previously shown to be resistant to subtiligase modification, thus expanding the applicability of subtiligase-mediated protein modification. The improvement in activity of subtiligase as a result of the P225A mutation\textsuperscript{94} has inspired further mutation studies to enhance activities. \textit{In vitro} screening of a large library of subtiligase mutants, each with four to five mutations near the active site, led to the identification of two new double mutants (M124L/S125A and M124L/L126V) with ligation rates greater than two-fold improved compared to the original subtiligase.\textsuperscript{110} Many of the other identified variants contained conserved residues known to improve the thermodynamic or oxidative stability of subtilisin \textit{e.g.} N218S dramatically stabilises subtilisin to heat denaturation. The \textit{in vitro} screening approach also showed that the original P225A mutation was largely preserved in highly active mutants with glycine being the only other residue tolerated at this position.
Both subtilisin and subtiligase are calcium-dependent due to the presence of a calcium-binding domain required for efficient folding of the proteolytic domain. Deletion of this domain from subtiligase and addition of a set of 18 stabilising mutations previously identified for subtilisin\textsuperscript{111} yielded a calcium-independent variant of subtilisin, peptiligase. This enzyme can be easily expressed in \textit{Bacillus subtilis} and has high catalytic efficiency.\textsuperscript{112} Peptiligase catalyses peptide bond formation between C-terminal carboxamidomethylester fragments and N-terminal acyl-acceptor nucleophiles. In this case, the peptiligase-mediated reaction is very selective for peptide ligation over the hydrolysis given conversions of 60–80% using only 1.5 equivalents of acyl acceptor. Peptiligase was also used to synthesise head-to-tail macrocyclic peptides, producing a 21-mer macrocycle with a yield of 82%. The enzyme was also shown to be functional in the presence of organic solvents and denaturants. Synthetic peptide libraries have subsequently been used to map the specificity of the acyl-acceptor side of peptiligase.\textsuperscript{113} Unlike subtiligase, peptiligase accepts only the small amino acids Ser, Gly and Ala at the P$_Y$ position, dictated due to interactions with Met213 and Leu208 in the enzyme (analogous to Met222 and Tyr217 in subtiligase) while a hydrophobic residue is still required at the P$_Z$ position. While effective for peptide couplings, the overall substrate concentrations typically used (10 mM) in reports of subtiligase-mediated reactions are typically at least an order of magnitude higher than would typically be used for protein modification reactions and the majority of reports of this peptide ligase have been in peptide rather than protein applications as discussed later.
## 3 Substrate engineering to enhance product yield
As well as engineering of the enzymes to improve the efficiency of ligation reactions, efforts have also been made to engineer the substrates of the enzymes. This work has generally been focused on addressing the reversibility of the enzymatic reactions since ligation reactions otherwise often require a large excess of nucleophilic substrate and catalyst to push the equilibrium towards the formation of the desired ligation product.
3.1 Sortase A
Sortase-catalysed reactions between peptide and protein substrates are reversible since the products of the ligation reaction are also substrates for sortase. Reaction of sortase with an LPETGX motif in a substrate to form a thioester intermediate generates a GlyXaa dipeptide. This then competes with the acyl acceptor substrate for the acyl–enzyme intermediate. Similarly, this acyl–enzyme can be re-formed from the desired ligation product and so the reaction can be effectively reversed and will eventually just go to equilibrium depending on the relative concentrations of species.\textsuperscript{25,114} A large concentration of one, or other, component of a labelling reaction can be used to drive the reaction towards completion. Several distinct approaches to reduce the need for excess reagents have been taken. For example, Yamamura \textit{et al.}\textsuperscript{115} used secondary structural elements to prevent the reverse reaction by generating an unreactive β-hairpin at the LPXTG ligation site in the product (Scheme 4A). Sortase-ligation between substrates containing WTWTW-LPXTGG and GG-WTWTW motifs produced a product with a stable secondary structure element that inhibited recognition of the product LPXTG motif by sortase. Although successful, this technique involves introduction of a relatively large additional peptide sequence with a secondary structure which could disrupt protein function.
A second, more widely adopted approach is to use substrates which generate an inactive by-product. An example of this is using ester-containing substrates to modify a protein which lead to an alcohol-containing by-product which is not a substrate for the enzyme thereby rendering the reaction irreversible (Scheme 4B). Antos \textit{et al.}\textsuperscript{114} first demonstrated this with methyl ester containing substrates (Scheme 4B; LPRT-OME), however stoichiometric quantities of sortase and excess substrate was required to achieve quantitative labelling presumably since the methyl ester was a poorer substrate for sortase than the peptide product. Williamson \textit{et al.}\textsuperscript{25} instead generated depsipeptide substrates which more closely mimicked the peptide substrate in that only the amide nitrogen of the Thr-Gly linkage was replaced with an oxygen to generate an ester linkage (LPETOgG). This technique was used to label a range of proteins with essentially quantitative ligation yields using around 2–3 equivalents of the labelling reagent and 20 mol% sortase.\textsuperscript{25,116} Williamson’s results showed that depsipeptide substrates allow rapid labelling of both peptides and proteins using a small excess of substrate and catalytic quantities of sortase. An alternative ester substrate generated by Liu \textit{et al.}\textsuperscript{117} placed the ester linkage outside the sortase recognition motif.
In this case, LPETGG-isooacyl-Ser/Hse containing substrates were used to N-terminally modify a protein (Scheme 4C). Upon ligation, the released by-product spontaneously cyclises to generate diketopiperazine. One potential advantage of these substrates is that these esters are reportedly more stable than Antos and Williamson’s substrates. Despite these disadvantages, depsipeptide substrates have seen numerous applications including in applications such as profiling N-terminal glycine containing proteins.\textsuperscript{120} Most recently this approach has been used by Wang \textit{et al.} in combination with a HPXTG-specific sortase to generate a wide range of engineered histone H2B variants with complexly modified N-termini.\textsuperscript{121}
In a third approach, Row \textit{et al.}\textsuperscript{118} employed a technique that deactivated the by-product through nickel-coordination. (Scheme 4D) In this case, the labelling substrate motif was extended to LPXTGGH; the GGH tripeptide formed as a result of reaction chelates Ni\textsuperscript{2+}, thereby sequestering the product and inhibiting participation in the reverse reaction. Building on this work,\textsuperscript{122} the group worked to further develop and optimise this metal-associated sortase-mediated ligation (MA-SML) approach through peptide model studies to establish the structural features of ligation substrates and nucleophiles. With the extended C-terminal recognition motif, LPXTGGHH\textsubscript{n}, and a solution additive [Ni\textsuperscript{2+}], modification of full-size proteins with fluorophores, PEG and a biorthogonal cyclooctyne moiety was achieved. An advantage to the MA-SML approach is that it can be applied to both N-terminal and C-terminal sortase labelling, unlike the ester approach which is only appropriate for N-terminal labelling. However large quantities of Ni\textsuperscript{2+} are required for this approach and this may not be compatible with all protein systems or for \textit{in vivo} application.
In all of the approaches described above, the general strategy is to in some way chemically ‘remove’ the by-product species from the reaction equilibrium in order to drive the reaction to completion. An alternative approach, pioneered by Freiburger \textit{et al.}\textsuperscript{123} for the preparation of segmentally labelled samples for NMR is to physically remove the by-product from the reaction mixture. This removal can be achieved by carrying out coupling reactions in centrifugal concentrators, such that the product peptide (which is smaller than the molecular weight cutoff of the device) is removed from the reaction mixture by cycles of concentration and dilution. This approach can be effective where a C-terminal labelling species is large relative to the peptide product and where the proteins involved can tolerate repeated cycles of centrifugal concentration.
Cong \textit{et al.} have recently described a different approach towards the engineering of sortase substrates.\textsuperscript{124} They focused on the limitations of producing proteins with N-terminal glycines for N-terminal labelling which did not rely on the action of methionine aminopeptidase or signal peptidase in the cell or the use of engineered recognition sites for proteases such as TEV protease to reveal the N-terminal glycine sequence. To address this challenge, Cong \textit{et al.} developed a one-step ‘swapping’ approach for the site-specific N-terminal sortaselabelling/protein-fusion of recombinantly produced proteins. Proteins were overexpressed including an N-terminal MH\textsubscript{6}-LPETG\textsubscript{7}-motif, addition of sortase then revealed the glycine motif \textit{in situ} enabling coupling to a labelling peptide which also contained the sortase motif. While this approach worked well for the near-quantitative labelling of the protein, a substantial excess (5–15-fold) of the labelling peptide was required. This approach was also used to produce C-N protein fusion VHH-GFP \textit{via} the sortase-mediated coupling of VHH-LPETGGH\textsubscript{6} and MH\textsubscript{6}-LPETG\textsubscript{7}-GFP, in this case, while product was formed an excess of the VHH-LPETGGH\textsubscript{6} protein was required to drive ligation.
Scheme 4 Substrate engineering strategies employed to enhance product yields with SrtA, Butelase and OaAEPI. (A) Formation of a β-hairpin prevents binding of SrtA to the reaction product.\textsuperscript{135} (B) Hydroxyacetamide products are not substrates for the reverse reaction.\textsuperscript{136} (C) Cyclisation of the diacyl motif with loss of serine generates a diketopiperazine.\textsuperscript{137} (D) A Gly-Gly-His motif is a ligand for Ni\textsuperscript{2+}, in solution which sequesters the product peptide as an inactive complex.\textsuperscript{118} (E) β-Thioacetamide products are not substrates for the reverse reaction.\textsuperscript{139} (F) Enzyme selectivity is exploited: while OaAEPI can act on a NGL sequence to form an NGV product, the NGV sequence is a poor substrate.\textsuperscript{91} (G) The product peptide with an N-terminal cysteine is sequestered by formation of a complex.\textsuperscript{80}
3.2 Butelase-1
Just as for sortase, peptide ligation with butelase-1 require an excessive amount of substrate (> 5-fold) to compete with the cleaved dipeptide, His–Val, which acts as a competitive nucleophile to reverse the ligation reaction. Inspired by the use of depsipeptides in combination with sortase, Nguyen employed a similar technique for butelase-mediated conjugation.\textsuperscript{119} The group used thiodepsipeptide substrates for conjugation reactions (Scheme 4E). Quantitative ligation yields of > 95% for a model peptide at 0.0005 molar equivalents of butelase 1 and two molar equivalents of thiodepsipeptide were achieved. The technique was also used to site-specifically modify the N-terminus of ubiquitin and green fluorescent protein in high yields. Again as for sortases, the downside to using thiodepsipeptides in this manner is their short half-lives and the technique is limited to N-terminal labelling.
3.3 OaAEPI
OaAEPI-mediated conjugation is also subject to reaction reversibility. This problem was addressed by Rehm \textit{et al.}\textsuperscript{120} who, rather than focusing on deactivating the side product, explored the enzymes tolerance for alternative nucleophiles (Scheme 4F). A GV-containing nucleophilic peptide was shown to achieve efficient ligation comparable to that of the GL-containing peptide. However, the NGV-containing ligation product was poorly cleaved compared to the NGL-containing product, being processed by OaAEPI C247A with a 50-fold lower specificity constant ($k_{\text{cat}}/K_M$). Subsequently, nanobodies with a C-terminal NGL or NGV extension were generated. The NGL-modified nanobody was efficiently labelling with a GV-based fluorescent peptide to yield an NGV-containing ligation product with 90% conversion, whereas the NGV-modified nanobody achieved less than 2% ligation product. The same approach could also be used for cyclisation. eGFPs with C-terminal NGL motifs and N-terminal GL or GV motifs were rapidly cyclised to 90% completion, but GV-eGFP-NGV was resistant to cyclisation. Finally, they demonstrated labelling on a nanobody construct, achieving 80% labelling of either an N-terminal GVG motif using NGL-terminated probes or a C-terminal motif using GV-terminated probes. Notably, while less catalyst was required for N-terminal labelling, a greater number of equivalents of the probe were required to get equivalent labelling. In both cases, the inertness of the NGV motif formed as a result of the reaction is key to favouring product formation.
Iwai and co-workers showed that the OaAEPI C247A variant also recognises a NCL motif.\textsuperscript{125,126} This property was utilised by Tang \textit{et al.}\textsuperscript{120} to develop an alternative chemo-enzymatic strategy to reduce the reversibility of the OaAEPI-mediated ligation reaction for both N- and C-terminal labelling. In their approach, the CL-terminated peptide, formed as a result of ligation between a C-terminal NCL motif and an N-terminal GL is sequestered via reaction with 2-formylphenylboronic acid to form a thiazolidine (Scheme 4G).\textsuperscript{127,128} The reaction is also extremely efficient, with a bimolecular rate constant of up to $10^3$ M$^{-1}$ s$^{-1}$. The technique was utilised for both site-specific C-terminal and N-terminal protein labelling.\textsuperscript{90} Using 2 equivalents of a labelling peptide it was possible to achieve between 75% and 92% labelling on C-termini and 79% on the N-terminus. The high yields achieved with only 2 eq. of labelling substrate illustrates the effectiveness of the approach at a relatively low label-to-protein ratio.
3.4 Subtiligase
Due to the nature of how subtiligase was developed, an ester linkage is required at the C-terminus of the donor substrate for ligation reactions. In general lactate-derived substrates are preferred to the equivalent glycolate substrates with values of $K_m$ 5–10-fold lower but in both cases further extension of the substrate with amino-acid residues enhances binding.\textsuperscript{94} Tan \textit{et al.}\textsuperscript{129} demonstrated the superiority of peptide thioester substrates over peptide esters. Using model acyl donors, a thioester substrate was shown to achieve quantitative ligation in just 3 min, compared to a peptide ester substrate that took 65 min due to a 10–20-fold increase in $k_{\text{cat}}$. The requirement for peptide ester and thioester substrates largely limits their application to N-terminal protein labelling, however thioester substrates for C-terminal labelling have been generated by use of a modified intein which allows formation of a C-terminal benzyl thioester.\textsuperscript{130} This approach enables recombinant expression of C-terminally thioesterified proteins and subsequent labelling using subtiligase.
4 Enzyme engineering to broaden substrate scope
One of the great advantages of using enzymes for peptide ligation is that they are inherently sequence specific. However, sometimes the strict substrate specificity can be a hindrance, limiting the applications of the technique. Thus, efforts have been made to engineer the enzymes to broaden the substrate scope.
4.1 Sortase
The wild type sortase from \textit{S. aureus} (SaSrtA) only accepts substrates containing an LPXTG sequence. This constraint prevents the use of these enzymes to modify endogenous proteins that lack this sequence.\textsuperscript{64} The range of available sortases has been broadened both by exploitation of sortases from other species and re-engineering of SaSrtA.
4.1.1 Sortases with alternative substrate specificity
Although sortase A is the principal class of sortase to have been exploited, multiple distinct classes of sortases are found in bacteria.\textsuperscript{11–13} Beyond SaSrtA, Das \textit{et al.}\textsuperscript{13} investigated Sortase E from \textit{Streptomyces avermitilis} (SavSrtE) which was known to perform a housekeeping role in its host. The enzyme prefers a LAXTG recognition motif over LPXTG and is naturally Ca$^{2+}$-independent, presenting SavSrtE as a candidate for development into a tool for protein conjugation to complement SaSrtA. Other accessory sortases such as sortase B from oral streptococci\textsuperscript{131} and sortase D from \textit{B. cereus}\textsuperscript{132} are generally
involved in linking particular proteins to the cell surface or in pili assembly. For example sortase D is able to catalyse the linkage of an IPNTG derived acyl donor in the protein BcpB to internal lysine residues in YPKN motif at the tip of bacterial pili. In general however these proteins have not been extensively exploited.
As discussed earlier, SpSrtA from *S. pyogenes*, which is also Ca$^{2+}$-independent, has been used in protein labelling reactions, accepting both LPXTG and LPXTA motifs.\textsuperscript{114} Nikghalb \textit{et al.}\textsuperscript{113} have subsequently investigated the substrate specificity of a range of sortase A enzymes of staphylococcal and streptococcal origin. In general, streptococcal sortases accept a broader range of substrates than SaSrtA, including LPXTG, LPXTA and LPXTS motifs and consequently N-terminal Gly, Ala and Ser nucleophiles. In particular, \textit{Streptococcus pneumoniae} sortase A, that recognises the LPXTS substrate, was used for site-specific modification of the N-terminal serine residue of a 48-residue antimicrobial peptide. Additionally, Schmohl \textit{et al.}\textsuperscript{114} determined that streptococcal sortases show a strong preference for an LPXLG motif over LPXTG. These results highlight the potential for alternative sortases but many of these have not been extensively exploited, often due to the low catalytic activity of the isolated enzymes.
Zou \textit{et al.}\textsuperscript{66} have recently reported the design of SpSrtA variants with improved transpeptidase activity towards different N-terminal amino acid residues. Based on sequence alignment of sortase A from different species they identified conserved residues near the active site suitable for mutation. Three SpSrtA variants (S141G, V206I, and T209D) were generated and assayed using a protein fusion system between a C-terminal LPETG motif and an N-terminal AA-motif. SpSrtA V206I showed significantly improved activity in comparison to WT SpSrtA. Subsequently, site-saturation mutagenesis in the β6/β7 and β7/β8 loops using the optimised SortEvolve\textsuperscript{v} high-throughput assay described above led to identification of four variants (E189H, E189V, E215A and E215G) with improved activity (≥1.3-fold). The SpSrtA E189H/V206I/E215A M3 triple mutant showed 6.5-fold increased transpeptidase activity when compared to WT. This catalyst could then be used for conjugation of AA-, SS- and CC-terminated motifs to model proteins and for circularisation of eGFP constructs with N-terminal AA and SS-motifs.
The sortase from \textit{Corynebacterium diphtheriae} (CdSrtA) (pilus-specific enzyme), has also been exploited for protein modification.\textsuperscript{61,115} The enzyme was originally considered to be a sortase A enzyme, thus named accordingly. However, unlike sortase A, CdSrtA functions as a pilin polymerase and therefore can be categorised into the C family. The enzyme covalently links SpaA pilin subunits together via lysine-isopeptide bonds. This linkage is between an internal WxxxAxYPK pilin motif in the N-terminal domain and a C-terminal LPLTG motif. Following formation of an acyl-enzyme intermediate between catalytic Cys222 and the LPLTG motif, the intermediate is then attacked by the reactive Lys190 residue within NSpaa’s pilin motif resulting in a Thr494-Lys190 isopeptide bond between CSpaa and NSpaa domains within adjacent pilin subunits. The overexpressed WT CdSrtA is catalytically inactive \textit{in vitro} due to the presence of an N-terminal peptidoglyte lid segment that masks the enzyme’s active site. Introduction of D81G and W83G lid mutations activates the enzyme and a soluble catalytic domain with these mutations is able to site-specifically ligate the isolated NSpaa and CSpaa domains \textit{in vitro}.\textsuperscript{115} Introduction of a third mutation (N85A) further increases activity leading to 35% more product after a 24 h incubation. The conjugation reaction catalysed by CdSrtA 3M enables site-specific lysine labelling, creating an isopeptide bond but requires two specific motifs and is currently limited in yield, nonetheless it does provide an interesting avenue for future engineering studies.
### 4.1.2 Engineering the specificity of sortase A
The sortase A from \textit{Staphylococcus aureus} (SaSrtA) has been extensively engineered to accept different recognition sequences. Such engineering was first attempted by Bentley \textit{et al.}\textsuperscript{62} who recognised that, although the accessory sortase SaSrtB is analogous to SaSrtA, it has a different specificity profile and is highly specific to the NPXTN containing lsdC protein \textit{in vivo}.\textsuperscript{62} Despite SaSrtA and SaSrtB having differing β6/β7 loop compositions, they occupy equivalent structural positions and likely both function as the main contact site between sortase and the recognition motif. By this logic, a loop swap chimera, SrtLS$_{\text{AN24}}$, wherein the β6/β7 loop of SrtA was exchanged with the corresponding SrtB loop, was generated.
This chimeric protein consisted of the SrtB Lys174–Asp215 loop inserted between SrtA Asp160 and Lys177 (renumbered to Lys203 as the SrtB loop is 26 residues longer). This replacement of the β6/β7 loop in SrtLS was sufficient to change the specificity profile for NPQTN by over 700,000-fold, verifying that the β6/β7 loop is the primary substrate recognition site. However, SrtLS was only able to catalyse the hydrolysis of the motif and not the ligation reaction. This may indicate that the swapped loop could prevent the nucleophilic substrate accessing the active site or there may be additional domains in the SrtB enzymes that are necessary for transpeptidation. Nevertheless, the study illustrated that engineering the substrate specificity of SaSrtA enzymes has potential.
In an alternate approach, Piotukh \textit{et al.}\textsuperscript{45} demonstrated the first use of directed evolution to identify a SrtA mutant that possesses broader substrate specificity. To achieve this, a library of $10^8$ sortase mutants was constructed, designed to screen for sortases that recognise the FPKTG motif. This motif was selected as bioinformatics approaches indicate that it exists in nature and marginal ligation of this motif has also been observed using SaSrtA. To produce the library, six amino acids in the β6–β7 loop of sortase, representing solvent-exposed positions in spatial proximity to leucine in the LPXTG motif, were randomised. The library of sortases were generated with N-terminal pentaglycine motifs and C-terminally fused to the pIII protein of M13 phages (Fig. 1B). Exposure of the phage library to biotin-GFPKTGGRRNH$_2$ peptides therefore led to covalent modification of those phage with mutations that promoted the ligation reaction but not hydrolysis, phage encoding active mutants could then be accumulated \textit{via}
streptavidin capture. Three rounds of selection yielded a set of four mutants that, following subcloning and overexpression, were shown to tolerate a range of amino acids at the first position in the motif. Of these, the F40 mutant (Table 1) was identified to prefer FPXTG to LPXTG, but ligation efficiency was low. However, the mutant had remarkably broad specificity, and actually had a preference for Ala in the first position of the motif. Ligation reactions using an APKTG-containing peptide with SrtA-F40 resulted in 55% labelling after 24 h. Although the mutant has reduced activity compared to SaSrtA, it could still be used to modify histone H3, a protein that has a native APATG motif located at the interface between the globular fold and the tail.
Building upon this work, Schmohl et al. established a second generation sortase library, with the β6–β7 loop randomised at nine positions, based on a more recently determined NMR structure of sortase A. This new structure had revealed a different conformation for the β6–β7 loop in the bound substrate state which indicated that the initial residues selected for randomisation may not have been ideal for evolving SaSrtA. Thus, a redesigned SaSrtA library was generated, including variation of β6–β7 loop length. The library comprised of approximately $2 \times 10^8$ mutants and was screened via the previously established phage display system to identify mutants that accepted substrates containing APXTG or FPXTG recognition motifs. This led to the identification of the F1-21 mutant (Table 1) which accepted both sorting motifs efficiently and showed the highest activity of all sortase mutants isolated so far by phage display. The majority of the isolated mutants contained β6–β7 loops that were longer than the native loop.
In another study, Dorr et al. evolved two orthogonal sortase variants with altered specificity based on eSrtA, eSrtA(2A-9) with 11 mutations which recognises LAXTG and eSrtA(4S-9) with 9 mutations which recognises LPXSG (Table 1). The yeast display screen that had been used to evolve eSrtA was modified for this application, with the addition of a negative selection against recognition of off-target substrates. Nine rounds of yeast display screening with concomitant refinement of library design and screening strategy led to the evolution of variants of eSrtA that were reprogrammed to recognise new substrates with specificity changes of up to 51 000-fold relative to eSrtA and minimal loss of catalytic activity. Both eSrtA(2A-9) and eSrtA(4S-9) strongly prefer the LAXTG and LPXSG substrates, respectively, over the LPXTG substrate, with up to 24-fold specificity for their target substrates. Mutational dissection of the two variants revealed the importance of residue 104 for enzyme activity and specificity at position 2 of the sortase motif. In combination, residues 104, 118 and 182 determine the activity and specificity at position 4 of the sortase motif. Recently, eSrtA(4S-9) was demonstrated to modify human protein fetuin A (recognition sequence LPPAG) in unmodified human plasma with high efficiency and specificity, which was unachievable with WT or eSrtA. Both variants could be used to mediate rapid synthesis of double modified fluorophore-protein-PEG conjugates and to functionalise GGG-linked surfaces simultaneously and orthogonally with target peptides.
Recently, the substrate specificity of SaSrtA has been reprogrammed to modify the Alzheimer’s disease (AD)-associated Aβ protein, which contains an LMVGG sequence at residues 34–38. The yeast display and FACs strategy used to evolve the eSrtA enzymes was also applied here. Evolution was started from one of the library of sortase variants previously evolved to recognise LPESG variants (4S.6). The rationale for this was that mutants already possessing altered substrate recognition at the fourth position would be a more promising start. After 16 rounds of evolution, involving diversification of the library pools for each round *via* error-prone PCR, site-saturated mutagenesis and DNA shuffling, SrtAβ was generated. This involved the decrease in concentration of biotinylated LPVGG as a positive selection substrate and decrease in off-target non-biotinylated LPESG. This was to increase the stringency of the screen as the rounds went on. The resultant Srt-Aβ enzyme had 25 amino acid changes (Table 1) compared to the parent sequence 4S.6. These mutations ranged from mutations at positions known to mediate sortase specificity to mutations at highly conserved residues in naturally occurring sortases. These diverse changes provide insights into mechanisms of sortase functions. Compared to the starting enzyme 4S.6, SrtAβ had a 53-fold reduced activity on LPESG, 11-fold reduced activity on LPPAG and 28-fold increased activity on LMVGG. Overall, the directed evolution process lead to a 1500-fold change in the preference of SrtAβ for LMVGG over LPESG compared to SrtA(4S.6) The evolved enzyme, SrtAβ, was used to generate conjugates with Aβ monomers using peptides such GGGK(biotin) and GGGR, validating the evolution of epitope-specific enzymes as a strategy for site-specific labelling of endogenous peptides. SrtAβ could also conjugate peptides to endogenous Aβ in human CSF and is a promising tool for the study of amyloid proteins.
Piper et al. have reported the effect of mutation in the β7–β8 loop region on the activity of SpSrtA. As discussed above, this enzyme is able to act on an LPX$_2$TX$_2$ sequence where X$_2$ is Ala, Ser or Gly but the activity is otherwise relatively low. Wojcik et al. had previously shown that grafting the β7–β8 loop from SaSrtA into SpSrtA generated an LPXTG specific enzyme; however Piper et al. investigated the effect of creating SpSrtA chimeras where the β7–β8 loop from SrtA from a variety of other Gram-positive bacteria was grafted into the SpSrtA backbone. Many of these chimeras such as SpSrtA$_{\text{facultis}}$ (in which three amino acid substitutions were able to catalyse reaction of LPX$_2$TX$_2$ peptide substrates faster than SpSrtA. Most interestingly, some of these enzymes were also able to act on a wider range of amino-acid nucleophiles including SpSrtA$_{\text{facultis}}$ which was shown to act on a LPXTV sortase recognition sequence.
Finally, most recently, Wang et al. used site-directed mutagenesis to combine mutations found in F40-Sortase (which has relaxed specificity for the first position in the recognition motif), eSrtA and the Ca-independent Srt7M and Srt7Y to generate a range of candidate sortases to act on a HPDYG motif found in histones. Screening against a fluorescent substrate peptide candidate containing this motif was sufficient to
identify a mutant with suitable activity for use in subsequent generation of site-specifically modified histones.
4.2 Subtiligase
Subtiligase has also been the focus of efforts to broaden its substrate scope to diversify its application. Unlike sortase and butelase-1, the site specificity of subtiligase is not dependent on a specific recognition sequence. It relies on the ability of the enzyme to recognise an N-terminal $\alpha$-amine. This broad substrate specificity towards $\alpha$-amine peptide/proteins is advantageous as it allows sequence flexibility and leads to traceless ligation. However, it does have some restrictions regarding the acyl donor substrates it accepts which can be somewhat limiting. Protein engineering of subtilisin, focused on altering substrate specificity on the acyl-donor side, has proven to be translatable to subtiligase. Subtilisin favours hydrophobic or lysine residues at the P$_1$ position. Through mutational studies, introduction of G166E, E156Q/G166K, and G166I mutations were identified to alter substrate specificity toward P$_1$ Lys or Arg, Glu, and Ala, respectively.\textsuperscript{94} The same effects can be seen in subtiligase variants with the same mutations, allowing them to recognise specific P$_1$ residues in the donor ester substrate.
In terms of the acyl-donor side, the mapping of the S$_{1'}$ and S$_{2'}$ pockets led to the production of a subtiligase mutant with altered substrate specificity for P$_1'$ and P$_2'$ residues.\textsuperscript{107} The mapping was achieved \textit{via} alanine scanning and quantifying the resultant changes in ligation specificity using the PILS method. Based on the results, ‘hot spot’ positions 189 (S$_{2'}$ pocket) and 217 (S$_{1'}$ pocket) were then targeted for saturation mutagenesis and the specificity profiles of the mutants were analysed using PILS. From this it was determined that Y217K/R mutants improved the reactivity towards sequences with an acidic P$_1'$ residue, whereas Y217D/E mutants more efficiently modified a His, Lys, Ser or Arg P$_1'$ residue. The F189Q/K/R mutants improved modification of peptides with an acidic P$_2'$ residue. However, several F189 variants were expressed at much lower levels than WT subtiligase. Oxidation of Met222 is known to affect enzyme activity,\textsuperscript{119} and it also occurred in the enzyme variants. Mutation at the 222 position to alanine or glycine can improve subtilisin activity and enhance aminolysis to hydrolysis ratio in subtiligase.\textsuperscript{113,140} Thus, the F189 and Y217 mutations, along with M222A, were also introduced into the subtiligase heptamutant, stabiligase.\textsuperscript{107} The resultant variants were expressed at levels comparable to WT subtiligase and maintained the specificity profiles of the mutants. The introduction of the M222A mutation eliminated the methionine oxidation and improved the ligation to hydrolysis ratio.
To demonstrate application of these mutants,\textsuperscript{107} recombinant antibodies with N-terminal Ser-Asp on the light chain and N-terminal Glu-Ile on the heavy chain were produced. Based on the PILS specificity maps, these N-termini were predicted to be poor substrates for wild type subtiligase, and this was confirmed experimentally. The Y217K mutant quantitatively labelled the heavy chain, however, no measurable labelling of the light chain was observed using the F189R/M222A mutant. This was attributed to inaccessibility of the N-terminus and after addition of a four amino-acid linker, 62% ligation was achieved. To enable wider application of the generated mutants, a web-based tool, $\alpha$-Amine Ligation Profiling Informing N-terminal Modification Enzyme Selection (ALPINE), was established to aid the selection of optimal subtiligase variants for modification of a particular N-terminal sequence.\textsuperscript{107} There has yet to be a mutant discovered that recognises all N-terminal sequences, thus selection of an appropriate mutant is important.
4.3 Peptiligase
Nuijens \textit{et al.}\textsuperscript{113} focused on engineering peptiligase to improve ligation efficiency and broaden the substrate scope of the enzyme. Using structure-inspired protein engineering, the substrate profile of the S$_{1'}$ pocket was radically broadened. As substrate scope of the S$_{1'}$ pocket is largely controlled by Met213 and Lys208, replacement of Met213 with Ala, Gly or Pro and Lys208 with Gly, Ala, Ser or Asn broadened the tolerance of different P$_1'$ residues. For peptiligases to favour intermolecular ligation over macrocyclisations, an N-terminal protecting group is required. However, in addition to peptiligase variants with broad specificity, engineering also yielded several variants with redesigned substrate profiles that allow selective peptide couplings without the need for N-terminal protecting groups. A selective peptiligase mutant was employed for the gram-scale synthesis of a pharmaceutical enoxatide \textit{via} multiple fraction condensations.
Omniligase-1, one of the broad specificity variants, is commercially available and has been used for chemo-enzymatic peptide synthesis (CEPS) of peptides,\textsuperscript{142} protein semi-synthesis and head-to-tail macrocyclizations of various linear peptides having a free N-terminus.\textsuperscript{143} Omniligase-1 provides an efficient inter- and intramolecular peptide ligation method for almost any peptide sequence and is scalable and robust enough for industrial application. For example, the enzyme was used in the large-scale synthesis of a 39-mer pharmaceutical enoxatide.\textsuperscript{144}
5 Orthogonal activity of peptide ligases
Exploration into broadening substrate scope of enzymes have allowed new opportunities to further expand the field of protein modification. An area of interest is to combine the use of orthogonal sortases with different substrate specificities to conjugate multiple substrates site-specifically onto a protein. This opens up a variety of opportunities to modify multiple sites on the same protein with a range of substrates leading to applications such as synthesis of biopharmaceuticals (\textit{e.g.}, antibody-drug conjugates and vaccines) and probing of protein function and mechanism.
5.1 Sortase A
Antos \textit{et al.}\textsuperscript{114} first demonstrated orthogonal application of sortase A enzymes derived from two different species. The group developed a technique to site-specifically label the
N- and C- terminus of a human UCHL3 protein using SpSrtA and SaSrtA (Scheme 5A). SpSrtA recognises both the LPXTA and LPXTG sequences, whereas SaSrtA is only specific for LPXTG. The C-terminus of UCHL3 was modified with an LPXTG sequence and a thrombin cleavage site was incorporated at the N-terminus. SpSrtA was used to ligate a rhodamine-conjugated peptide carrying an N-terminal alanine to the C-terminus of UCHL3. This produced a modified protein containing an LPXTA sequence. The protein was then treated with thrombin to expose an N-terminal glycine, which was modified with a fluorescent peptide using SaSrtA. As the LPXTA sequence is not recognised by SaSrtA, this allowed for dual labelling of the UCHL3 protein and demonstrates orthogonal sortase labelling. This technique was also used for the N- and C-terminal labelling of an eGFP protein.
Hess et al. have also demonstrated orthogonal labelling with SpSrtA and SaSrtA by functionalising distinct capsid proteins in the same M13 bacteriophage particle. First, the N-terminus of pVIII was labelled with TAMRA-LPETGAA via SpSrtA, followed by N-terminal labelling of pIII with an antibody-LPETG via SaSrtA. The group then demonstrated triple capsid protein labelling (Scheme 5B), which was achieved by engineering a loop into pIII, containing a Factor Xa cleavage site and LPXTG motif. The first label, containing the LPETGAA motif, was attached to the N-terminus via SpSrtA. Cleavage with Factor Xa, revealed the LPXTG motif in the loop. SaSrtA could then be used to simultaneously label the pIII protein at the C-terminus site with a triglycine-containing substrate, along with pentaglycine installed at the N-terminus of pIX with a LPETGG-containing substrate.
The sortases SaSrtA and CdSrtA 3M have also been used for sequential site-specific dual labelling. These two enzymes are orthogonal as they recognise distinct nucleophiles, for SaSrtA an N-terminal glycine and for CdSrtA a lysine in a pilin motif. A fusion protein containing a SUMO protein with an N-terminal pentaglycine peptide, and a C-terminal pilin motif (G$_7$SUMO$_{pil}$) was produced. The protein was first incubated with CdSrtA 3M and FITC-LPLTGpep to yield G$_7$SUMO$_{pil}$-FITC through conjugation of the threonine of the peptide to the lysine in the pilin motif. After removal of excess FITC-LPLTG peptide using a desalting column, the target protein was then incubated with AlexaFluor546-LPATG and SaSrtA. The threonine of the peptide was conjugated to the N-terminal glycine of the protein, producing the double labelled product. The advantage of this approach is the distinct nucleophile and sorting signal substrate specificities of each sortase which limits cross reactivity. CdSrtA 3M is unable to hydrolyse the LPATG sequence or use it as a transpeptidation substrate; it is specific to LPLTG. Conversely, the isopeptide bond creating by CdSrtA 3M is not significantly hydrolysed by SaSrtA or CdSrtA after 24 hours.
Despite these advances using other natural sortases, there is currently only one example of orthogonal sortase-labelling with SaSrtA enzymes with altered specificity. This would be a superior approach as extensive investigations have been carried out on SaSrtA to understand the structure and mechanism, as well as engineering of the enzyme and substrates to generate efficient labelling strategies. Le Gall et al. used a CRISPR/Cas9 based strategy to engineer a hybridoma secreting mIgG1 antibodies (anti-CD20 WT) to a stable rabbit cell line producing Fab’ fragments carrying two distinct sortase motifs; an esrta2A-9 (LAETGG) motif on its heavy chain and an esrta4S-9 (LPESGG) motif on its light chain (anti-CD20 DTFab’). The DTFab’ molecules could be isolated and modified at the sortase motif sites. Upon incubation with either sortase mutant, esrta2A-9 or esrta4S-9, in the presence of a GGC-C-K(FAM) peptide, exclusive fluorescent labelling was detected at the heavy chain (HC) or light chain (LC) labelling sites, respectively. Cross reactivity was not seen for either reaction, indicating that the close proximity of the sortase motif sites did not affect the specificity of either enzyme and allowed distinct payloads at each at the C-termini of the HC and LC. The researchers then demonstrated sequential dual site-specific modification by first incubating DTFab’ with esrta4S-9 and GGG-C-K(FTTC), achieving near quantitative labelling of the HC. Upon isolation of the labelled product, a 60% yield was achieved. Following this, the DTFab’FITC product was incubated with esrta4S-9 and GGG-K(N$_3$), achieving near quantitative labelling of the LC. The DTFab’FITC/N$_3$ product could be isolated with a 50% yield. Further modification of the LC was achieved by reacting the azide group on the peptide with PEG$_{34}$-DBCO in a strain-promoted alkyne-azide cycloaddition (SPAAC). MALDI-TOF and SDS-PAGE was used to confirm the identity and purify of the final product. The target binding capacity of the obtained dual-labelled Fab’ fragment was not compromised. As a result, strategies such as this one could be valuable in the development of next-generation antibody-drug conjugates.
Although promising, the main downside to this technique is the large amounts of excess labelling reagent used (50 equivalents) if the reagent is precious, such as a cytotoxic payload, then this labelling strategy is not appropriate. However, a work around strategy of adding a functional group into the labelling reagent to enable a more efficient conjugation strategy (strain-promoted cycloaddition) to further modify the compound is possible, as utilised in this example. The dual labelling in this
strategy must also be carried out sequentially. The ultimate goal would be to do these modifications in a one-pot reaction.
In an alternative approach, Bierlmeier *et al.* achieved orthogonal multi-fragment assembly with one enzyme, SrtA, *via* ligation site switching (Scheme 6A). The group identified that the leucine in the P4 position of the LPXTG motif could be replaced with L-Cys(StBu) and still be recognised by SrtA. Once this residue is reduced to cysteine (and further desulfurized to alanine), the motif is no longer recognised by the enzyme, switching it from an ON state to an OFF state. This approach was used in a proof of concept four fragment ligation reaction with a nucleophilic GGGWW peptide and Nvoc-GGC(SiBu)PKTGRR. The GGGWW peptide was ligated to the C-terminus of the motif-containing peptide to produce ligation product Nvoc-GG-(C(SiBu)PKTG)GGWW. Reduction and desulfurization of C(StBu) residue converted it to alanine and switched OFF the motif, preventing further C-terminal labelling of the peptide. The N-terminus could then be Nvoc-deprotected and further reacted with a sortase-motif containing peptide. The ligation site switching sortase-mediated ligation approach was also used to develop artificial nucleosome mimics to probe bivalent chromatic factors and antigen oligomers to probe antigen-presenting cell function.
In addition to direct anchoring of proteins to the cell surface, many sortases function to link proteins such as pilins together on the bacterial cell surface by covalently linking a sorting motif to a lysine residue within the protein. Despite this, attempts to exploit this reactivity have been limited and most of these enzymes show limited reactivity beyond their native substrate and yields for engineered motifs are typically low. Lang and co-workers have recently described an exciting approach which enables such conjugation by the use of genetic-code expansion to incorporate an ε-azidoacetyl-glycyl-lysine residue into the peptide backbone. Following Staudinger reduction to reveal a diglycyl motif, they were able to generate a range of diubiquitin analogues using both Srt5M and esrta(2A-9) *in vitro* in addition to site-specifically SUMOylated and ubiquitylated proteins (Scheme 6B). Most excitingly, they were able to carry out both the reduction using 2-(diphenylphosphino)benzoic acid and the sortase-modification step in both *E. coli* and mammalian cells using a Ca-independent variant of esrta(2A-9). They have subsequently expanded this work and demonstrated that the esrta(2A-9) and Srt5M are orthogonal enabling them to generate a range of complex tri-ubiquitin and mixed ubiquitin/SUMO scaffolds (Scheme 6C).
### 5.2 Butelase-1
Sortase A has also been in used in combination with butelase-1 to perform multiple ligation onto a protein/peptide. This has been demonstrated by Cao *et al.* who performed dual-terminal labelling of a protein using a three-step tandem ligation (Scheme 7A). For this approach, an engineered ubiquitin with an N-terminal glycine and C-terminal NHV-His$_6$ motif was reacted with a glycine thioester in a C-terminal butelase-mediated ligation to produce a protein thioester. A cysteinyl biotinyl peptide was then ligated to the thioester to demonstrate that butelase-1 ligation can be used to prepare a protein thioester, useful for native chemical ligation (NCL). Finally, N-terminal sortase-mediated ligation was used to conjugate a fluorescent LPEToG depsipeptide to the N-terminus of the ubiquitin protein.
Due to their recognition of different motifs, sortase A and butelase-1 can be used for multiple labelling of a protein in a one-pot reaction, reducing reaction times and increasing product yield. This was demonstrated by Harmand *et al.* who conjugated two V$_{\text{HH8}}$ (nanobodies) *via* their C-termini to produce C-to-C protein conjugates (Scheme 7B). One nanobody, V$_{\text{HH7}}$, contained the LPETGG motif and the other, V$_{\text{HH1-emb}}$, contained the NHV motif. These proteins were conjugated through a two-headed PEG-based linker *via* sortase-mediated and butelase-mediated ligation, respectively. Another conjugate was produced in a similar fashion with a double-stranded...
oligonucleotide as a linker, leading to a protein–DNA–protein product. In the same paper, one-pot orthogonal dual labelling was used to produce an antibody-probe conjugate (Scheme 7C). Orthogonal butelase-1 and sorstase A were utilised to modify a full-size antibody IgG1 at the C-terminus of the light chain and heavy chain, respectively, via their recognition motifs engineered into the molecules.
5.3 VyPAL2
Butelase-1 has also been used in combination with VyPAL2 for orthogonal ligation. Wang et al. used kinetic and structural analysis to confirm that butelase-1 is tolerant of a range of residues at the P1′ but preferred bulky aliphatic chains such as Val at P2′ due to the presence of a Val residue in the S2′ pocket. In contrast, VyPAL2 the S1′ pocket of VyPAL2 is sterically restricted by an alanine residue and a lysine residue in the S2′ pocket favours binding of larger residues such as Ile and Phe. Based on this, they developed two distinct NHV and NGF/NGI motifs for use with butelase-1 and VyPAL2, respectively. They demonstrated the application of this approach to tandem labelling of an affibody (Z_{EGFR}) with an N-terminal GF dipeptide and C-terminal NHV tripeptide. The N-terminus of the protein was labelled with a fluorescein-NGI peptide and VyPAL2 followed by C-terminal labelling with a GF-KLA motif peptide and butelase-1. This second step led to removal of a small amount (10%) of the N-terminal label due to some cross-reactivity of butelase-1 with the NGF motif. Carrying out the reactions in the opposite order led to a cleaner product without significant reaction between VyPAL2 and the NHV motif. The same approach was used to prepare a cycloprotein-drug conjugate (Scheme 8A). A trifunctional peptide containing an N-terminal GF-dipeptide nucleophile substrate for VyPAL2, a C-terminal NHV tripeptide motif as the acyl donor substrate for butelase-1 and an internal aminoxy functionality for oxime conjugation was used with a recombinant Z_{EGFR} with an N-terminal CG motif and C-terminal NGL motif. The N-terminal cysteine residue was capped as a thiazolidine during protein production, blocking it from being used as a nucleophilic substrate by either butelase-1 or VyPAL. Thus, only the C-terminally labelled Z_{EGFR} product was generated in the first ligation step via VyPAL2 without the possibility of cyclisation or self-ligation. The cysteine was then unmasked via treatment with silver nitrate and β-mercaptoethanol. Butelase-mediated ligation of the C-terminal NHV motif and N-terminal CG motif produced the cyclised Z_{EGFR} product. The aminoxy-functional group was then conjugated to doxorubicin ketone group using aniline catalysis.
The same group, led by Zhang have subsequently used VyPAL2 alone for sequential orthogonal ligation by controlling the pH of the reactions. All previous applications of PALs, described above, involve the use of Asn–P1′–P2′ substrates only, likely due to their enhanced ligation efficiency at neutral pH compared to their aspartic acid-containing counterparts. VyPAL2 has already been shown to preferentially bind Leu in the P2′ position. Zhang et al. showed that VyPAL2 worked effectively on peptides with the sequence DSL with a pH optimum of pH 4.5 (presumably driven by the balance of the need for protonation of the aspartic acid in the S1 pocket). In contrast, VyPAL2 catalyses ligation reactions at neutral pH most efficiently with NGL-containing peptides. Therefore they used pH to switch the selectivity of VyPAL2 and two separate substrates by altering the pH of the reaction. An sfGFP protein was produced with an N-terminal GV and C-terminal NSL was labelled on the N-terminus using a C-terminal DSK DSL-containing targeting peptide at pH 4.5. After purification, C-terminal ligation with a N-terminal GV-containing DOX peptide was carried out at neutral pH; the DGV motif formed in the first reaction was unaffected. A one-pot tandem ligation was also achieved with an adjustment of pH after the addition of the second substrate though in this case a side reaction between the two labelling substrates was observed. To carry out labelling in the opposite order, an affibody (Z_{EGFR}) was prepared with a C-terminal DSL sequence, and a thiazolidine-capped Cl motif at the N-terminus to prevent cyclisation (Scheme 8B). The first reaction with GV-Cit-PABA-DOX was carried out at pH 4.5 followed by deprotection of the N-terminus with Ag⁺ to allow ligation of asparagine-containing Fluorescein-GRANGI at an adjusted pH of 7.4. Using OaAEP1 for this ligation led to formation of a significant quantity of a cyclisation product as the DG bond formed in the first ligation is not completely orthogonal to OaAEP1 at pH 7.4. However, OaAEP1 has higher catalytic activity towards aspartic acidcontaining substrates than VyPAL2 and butelase-1. Thus, use of OaAEP1 for the first ligation step and VyPAL2/butelase-1, which show optimum activity towards asparagine-containing substrates at neutral pH, for the second step produced a dual-fluorescein-labelled affibody with higher efficiency and specificity.
5.4 OaAEP1
OaAEP1 has also been used on its own for orthogonal ligation. As discussed above, upon the discovery by Rehm et al. that GV-based nucleophiles are readily ligated by OaAEP1 C247A, yet the resultant NGV ligation product is a poor substrate, the group then explored the use of the technique to perform site-specific sequential ligation reactions on a single protein. This negated the requirement for multiple orthogonal substrate specific enzymes. The group demonstrated this by using OaAEP1 C247A to N- and C-terminally dual label an anti-UBC6e nanobody (Scheme 8C). The nanobody was prepared with a TEV-recognition sequence (ENLYFQ) at the N-terminus followed by the GVG sequence and a C-terminal NGL. In the first reaction, the C-terminus of the protein was labelled with a GV-nucleophile, generating the NGV sequence. To reveal the GV-nucleophile at the N-terminus, TEV cleavage was performed. The N-terminus was then site-specifically labelled with an NGL probe, leaving the C-terminal NGV sequence intact. At each step, >90% conversion was achieved, with only minimal purification required to remove enzyme and probe between steps.
More recently the relatively short recognition motif of OaAEP1 has been exploited by the same group to enable the synthesis of C–C tail-to-tail dimeric proteins. To generate homodimeric proteins they generated synthetic peptide substrates with an N-terminal GLH motif and a C-terminal leucyl-ethylene diamine motif which mimics the N-terminal GL motif (Scheme 8D). This could then be used with OaAEP1 to generate homodimeric proteins. A variety of candidate amino-acids other than L-leucine were explored and in general the L-enantiomers were preferred to D- and leucine to valine. For heterodimeric proteins, an intein-based strategy was used to generate one-target protein with a C-terminal leucyl thioester. Aminolysis with ethylene diamine generated a C-terminal amine which is then sufficiently close to the normal N-terminal GlyLeu motif that OaAEP recognises it and is able to catalyse transpeptidation to a protein bearing a C-terminal NGLH motif.
5.5 Subtiligase
Following on from the labelling reactions to assess the ability of engineered subtiligase mutants to modify a recombinant zGFP antibody at the N-terminus of the heavy and light chain, as described above, Weeks and Wells next explored whether orthogonal labelling of zGFP could be achieved. As the light chain was not quantitatively labelled in the previous experiment, the N-terminus was expanded by Ala-Phe-Ala, a sequence favourable for WT subtiligase. Specific and quantitative labelling of the light chain was achieved within 1 hour with WT subtiligase. When using subtiligase-Y217K, labelling of both the heavy chain and light chain occurred. These results
demonstrate that careful selection of subtiligase mutants matched to their optimal substrates by PILs can lead to orthogonal labelling. However, a subtiligase mutant that modifies a single, specific sequence has yet to be engineered.
6 Conclusions
Controlled protein modification is a widely applied technique and the peptide ligases discussed in this review have been a critical part of these developments. In the future, these approaches have the potential to enable the generation of ever more complex multiply-modified proteins and to generate multimeric proteins from multiple protein building blocks. However the three principal challenges in developing new methods highlighted in the introduction still apply: the reactions need to be site-specific and generate well-defined conjugates; the enzymes need to be versatile and readily applied to other contexts; and finally that the methods need to be time and reagent efficient. While significant progress has been made to date, major challenges remain before the methods can be generally applied to enable routine synthesis of complex architectures such as those most recently exemplified by e.g. Lang and coworkers.\textsuperscript{149}
The sortases and the peptidyl asparaginyl ligases such as Butelase and OaAEP1 show the greatest promise for future applications in protein engineering. While ligases generated from proteases such as subtiligase have potential, their requirement for ester and thioester substrates and low specificity makes their application in protein engineering more challenging. In the case of sortase, rounds of protein engineering mean there are now a wide range of enzymes with increased rate of reaction as well as mutual orthogonality. These enzymes are often readily available with high bacterial overexpression yields. In contrast, PALs are not yet as readily available but are faster and have shorter recognition motifs which may be better tolerated in the final protein products.
In this regard, the first challenge addressed in the introduction, specificity, has been addressed with a number of sortases and peptidyl asparaginyl ligases now available with distinct recognition motifs. Doubtless this range will be increased in the coming years, via directed evolution and the discovery and characterisation of other naturally occurring peptidyl asparaginyl ligases and sortases. This field is of particular interest, since numerous other housekeeping sortases are extant in Gram-positive bacteria. If we can understand how they recognise their protein substrates then it will be possible to develop a new class of reagents which label, for example, internal lysine residues in defined sequence motifs.
The second challenge, versatility, has been demonstrated most clearly for the sortases. Ca-independent variants have enabled in cell labelling and the application of diverse variants has now started to enable the synthesis of complex protein scaffolds as well as their successful applications in cells. Despite these successes, challenges remain: currently the peptidyl asparaginyl ligases have only really been applied to \textit{in vitro} systems and approaches for their recombinant expression are only now being optimised. The exploitation of these and other related PALs in combination with sortases promises to be a rich area of development for complex protein and peptide assembly.
The final challenge, efficiency, is critical for the wider application of these approaches. Since transpeptidation is an equilibrium process, driving reactions to completion almost inevitably requires an excess of reagents. This is particularly noticeable in most described examples of protein fusion where an excess of one protein component is required. Even when optimised peptide substrates for labelling are used, an excess is usually required. Numerous approaches to perturb these equilibria such as the use of depsipeptide substrates and substrates which form complexes with metals or other small molecules, or the use of mechanical separation to remove low molecular weight by-products have been reported. All these approaches carry challenges however, from the requirement to add divalent metals to the protein, to the need to generate complex synthetic substrates – ultimately in all these cases a moderate excess of one reagent is still required and no approach in which essentially quantitative ligation using 1:1 reagents has been reported. The major challenge to enabling such a ‘perfect’ reaction, in which two substrate molecules are ligated to generate the desired product, remains the hydrolysis side-reaction. Most peptide ligases such as sortase also catalyse hydrolysis of their substrate although the aminolysis reaction is approximately $10^5$–$10^6$-fold favoured over hydrolysis at optimal pH. Despite this selectivity, excess or high concentrations of labelling reagents are needed to compensate for their hydrolysis, or more critically, the hydrolysis of protein substrates which makes them incompetent for subsequent labelling reactions. Whether it is possible to evolve ligases to avoid this challenge remains to be seen but this and the development of other strategies to maximise product formation will be critical if the use transpeptidases are to be extended from single labelling reactions to the efficient synthesis of large multi-component assemblies in a routine fashion, and even on industrial scale.
Conflicts of interest
There are no conflicts to declare.
Acknowledgements
MEW and WBT thank the UK Biotechnology and Biological Sciences Research Council (BBSRC) for funding (BB/R005540/1) and HEM thanks BBSRC for a PhD studentship (BB/M011151/1).
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From Low-Mobility to Rapid-Growth Jobs
How Governments and Agencies Can Build the Bridge to Clean Economy Careers
Issue Briefing | July 28, 2022
The Future Skills Centre – Centre des Compétences futures (FSC-CCF) is a forward-thinking centre for research and collaboration dedicated to preparing Canadians for employment success. We believe Canadians should feel confident about the skills they have to succeed in a changing workforce. As a pan-Canadian community, we are collaborating to rigorously identify, test, measure, and share innovative approaches to assessing and developing the skills Canadians need to thrive in the days and years ahead.
The Future Skills Centre was founded by a consortium whose members are Toronto Metropolitan University, Blueprint, and The Conference Board of Canada.
If you would like to learn more about this report and other skills research from FSC, visit us at fsc-ccf.ca or contact firstname.lastname@example.org.
fsc-ccf.ca
In partnership with:
| From Low-Mobility to Rapid-Growth Jobs |
Contents
3 Key Findings
6 Transition Paths Exist—and Most Don’t Require Extended Retraining
8 Workers Will Need Support and Guidance to Make the Jump
10 Implications and Opportunities to Consider
Key Findings
• High-risk, low-mobility (HRLM) occupations represent roughly 3.5 million Canadian workers.
• Numerous transition paths exist between HRLM occupations and rapid-growth jobs, such as those in the clean economy.
• Looking at the retraining required to move from HRLM jobs to green jobs, the highest return on investment is in the paths enabled by six months to one year of retraining.
• One year of retraining can create at least one transition path for 90 out of the 92 HRLM occupations we studied.
• Although most workers would consider moving to a job in the clean economy, factors holding them back include worries about compensation, their sense of identity in their current role, and job security in an unfamiliar role.
• Taking advantage of this transition opportunity will require careful thinking (and significant investment) by government and funding agencies, skills development agencies, and economic development agencies.
Technological innovations like artificial intelligence and automation threaten long-term, well-paying jobs in many sectors. Such high-risk, low-mobility (HRLM) occupations represent roughly 3.5 million Canadian workers, so this problem is not trivial. Fortunately, our research has found that numerous transition paths exist between HRLM occupations and rapid-growth jobs, such as those in the clean economy—jobs closely aligned with Canada’s future direction. Defining those paths, linking them to economic development plans and workforce strategies, and supporting workers as they set out to follow them will be important tasks for provincial governments and their economic and skills development agencies.
Transition Paths Exist—and Most Don’t Require Extended Retraining
The clean economy is one of multiple rapidly growing sectors in Canada. We focused on it in part because of the lower risk profile it enjoys as a participant in the global effort to build low-carbon economies.
In our investigation, we began by identifying industries that could be classified as green due to their central role in the transition. Then, we identified green occupations within those industries. To compare green and HRLM occupations, we developed a comprehensive inventory of skills, knowledge requirements, and wages. We estimated the years of training and skills acquisition required to move from the HRLM jobs to the green jobs.
Next, we mapped out all the possible career transitions from old economy roles to clean economy roles. We then estimated the number of both feasible and desirable transition opportunities, or pathways, by identifying occupation pairings that had:
- many of the same required skills
- a manageable increase in skill level
- a potential decrease in wages of no more than 10 per cent
We found that with only one year of worker retraining, almost 58 per cent of potential transition paths are both feasible and desirable (i.e., meeting all three above criteria). This percentage is more than double the number of pathways available with six months of retraining. However, making possible the next 42 per cent of paths is harder. Assuming three years of retraining, the proportion of feasible and desirable paths is 79.5 per cent—a significant increase, to be sure, but one that also points to the declining marginal utility of additional training years. While more difficult transition opportunities shouldn’t be ignored, we find the highest return on investment in the paths enabled by six months to one year of retraining. Indeed, one year of retraining can create at least one transition path for 90 out of the 92 HRLM occupations we studied.
One year of training can create at least one transition path for 90 out of the 92 HRLM occupations we studied.
Workers Will Need Support and Guidance to Make the Jump
While identifying the existence of a range of feasible and desirable transition paths is helpful, getting a large number of workers to take those paths is more challenging.
We conducted a survey of 546 workers from across Canada and across industries, supplemented with 27 in-depth expert interviews. The results showed us that although most workers would consider moving to a job in the clean economy, several factors were likely to hold them back—such as worries about compensation, the strength of their sense of identity in their current role, and the amount of job security that an unfamiliar role might offer them. Many workers were also concerned about the transition process itself. Respondents mentioned their uncertainty about the accessibility of retraining, including whether a new employer would demand that they be trained before hiring them or offer training after hiring them.
They also worried about the time investment of re-skilling (and their lost wages during that time), as well as the lack of information and guidance about the labour market and the opportunities that might be a good fit for them.
Although most workers would consider moving to a job in the clean economy, many were concerned about the transition process itself.
Implications and Opportunities to Consider
The evidence shows that transition paths to the clean economy exist for almost all HRLM occupations and may even be feasible with just one year of retraining.
Taking advantage of this opportunity will require careful thinking (and significant investment) by all parties involved—not least because it requires helping both agencies and workers do some forward planning. We offer some questions for consideration.
For Governments and Funding Agencies
• What kind of financial and organizational support might increase workers’ ability and inclination to switch from HRLM jobs to clean careers?
• Should support be provided only to workers themselves (in a demand-pull scenario for incentivizing new educational programs)? Or, should support also be provided to educational institutions and, potentially, employers (in a supply-push scenario that creates programs that funders are sure will be needed at scale)?
• In terms of mitigating risk for workers, how much mitigation would be too much, potentially depriving them of having skin in the game and inadvertently nudging workers toward lower-value (but perhaps easier) paths?
• How might the harder half of transition paths be supported so that workers have the opportunity and ability to take on the multiple years of retraining these roles may require?
• Conversely, might these roles be better filled over a longer period by new entrants rather than by career transitioners? What criteria should be used to make this decision?
For Skills Development Agencies
• If the shortest training times provide the biggest return on investment, what kinds of programs can be developed both in-house and by non-profits or private sector partners to take advantage of this finding?
• How can the disruption and risk that workers face be minimized during and immediately after retraining?
• For transition paths that require extended retraining, what program models might decrease the opportunity costs that workers face and increase their likelihood of enrolling?
• For clean economy occupations in the trades, how might apprenticeship requirements, trade equivalency, and certification paths be changed to both reflect the needs of that sector and make worker transitions easier and more attractive—while maintaining high standards?
For Economic Development Agencies
• How might the findings in this study change economic models that rely on assumptions about labour mobility between sectors and about total labour availability for new, fast-growing sectors?
• If the ability of HRLM workers to transition relatively swiftly to rapid-growth jobs in the clean economy increases (due to the creation of accessible and affordable retraining programs, for example), how will that increase impact an agency’s propensity to invest in and encourage the growth of such industries in its jurisdictions?
• How might entrepreneurship and scale-up programs be re-prioritized to help businesses attract (and potentially train) the talent they need, sourced from their own or nearby regions?
• How could existing hiring incentives and employment programs—often focused on new graduates—be adapted to the needs of companies acquiring experienced workers from HRLM industries?
• To what extent are clean economy employers even aware of the available pool of potential talent and labour that they can tap into within a relatively short time?
• How might agencies communicate this opportunity?
While newer sectors continue their rapid advance, generating immense economic potential for Canadians, the good news is that the skills gap is not too wide to bridge. Canadian workers can cross that gap—so long as they get the right training and the right support for that training.
This briefing is an extract.
To read the full report and explore our methodology and detailed findings, visit Green Occupation Pathways: From Vulnerable Jobs to Rapid-Growth Careers.
Acknowledgements
The Conference Board of Canada prepared this issue briefing with funding from the Future Skills Centre and support by Ian Mason, Hassard Fay. It was reviewed internally by Darren Gresch, Senior Research Associate and Michael Burt, Vice-President.
We also thank the project’s advisory board for guiding this research. Its members were:
- Steven Tobin, Executive Director, Labour Market Information Council
- Creig Lamb, Senior Policy Analyst, Brookfield Institute
- Dav Cvitkovic, Secretary of the Board and COO, Plug’n Drive
- Samer Faraj, Canada Research Chair in Technology, Innovation, and Organizing, Social Sciences and Humanities Research Council
This report was prepared with financial support provided through the Future Skills Centre. The Conference Board of Canada is proud to serve as a research partner in the Future Skills Centre consortium. For further information about the Centre, visit the website at https://fsc-ccf.ca/.
From Low-Mobility to Rapid-Growth Jobs: How Governments and Agencies Can Build the Bridge to Clean Economy Careers
The Conference Board of Canada
To cite this research: Conference Board of Canada. *The. From Low-Mobility to Rapid-Growth Jobs: How Governments and Agencies Can Build the Bridge to Clean Economy Careers*. Ottawa: The Conference Board of Canada, 2022.
©2022 The Conference Board of Canada*
Published in Canada | All rights reserved | Agreement No. 40063028 |
*Incorporated as AERIC Inc.
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®The Conference Board of Canada is a registered trademark of The Conference Board, Inc. Forecasts and research may involve numerous assumptions and data sources, and are subject to inherent risks and uncertainties. This information is not intended as specific investment, accounting, legal, or tax advice. The responsibility for the findings and conclusions of this research rests entirely with The Conference Board of Canada.
Where insights meet impact
The Conference Board of Canada
Publication 11709
Price: Complimentary
conferenceboard.ca
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The prices in this catalog are valid at www.alisonspantry.com from April 14th-May 11th, 2020
*Prices are subject to change without notice. Please see website for most current pricing.
Alison’s Pantry®
FAMILY MEALS MADE EASY
30+ NEW Summer Products!
See pages 3-5.
SAVE on our Bestselling Chicken Tenderloins and Nuggets.
See page 13.
SWEET NEW Frozen Treats.
See page 4.
COVER FEATURES:
#6519 Pierce Boneless, Skinless Chicken Breasts, pg. 12
#2592 Garlic Supreme, pg. 36
#8197 Flav-R-Pac Broccoli Florets, pg. 24
90 Day DOUBLE YOUR MONEY BACK Guarantee
Certain exclusions apply.
Refunds must be requested within 90 days from purchase date. Double your money back guarantee is applied as credit and does not apply to Hot Deal, Pantry Bargain, or other #2 products.
Hi everyone!
I hope you’re having a great year so far! I know the winter months are always a challenge for some. I’m glad that summer is almost here. By the time you read this, Vivian and I should be about ready to move into our house we’re building. This is the first experience we’ve had of building a house and it is so fun to watch it go up! We stop by at least once a week, but usually more. The builder we’re using has been great to work with so it has been a great experience so far. Without all of you this wouldn’t be possible, so I want to thank you all for blessing our lives enough that we can build our dream home. After we move in there will still be a lot to do to make it feel like a home. Doing the landscaping and other things will be difficult but fun as well.
Vivian can’t wait to host all of our cousins and family for big Sunday dinners every few months. It’s always a lot of fun. Our current house is a bit too small for the 20 to 30 people that come so we’re excited to have everyone over and share many Alison’s Pantry products with them! Hopefully the next time you hear from me we’ll have had one of those parties already. Thank you again and I hope you have a wonderful summer!
Sincerely,
Jesse and Vivian Kissee
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**How Alison’s Pantry works**
1. Receive a catalog from your Alison’s Pantry Representative.
2. Place an order at www.alisonspantry.com, or with your Rep, by the catalog order deadline printed on the back cover.
3. Order is delivered to your Rep’s home in about a week after the order deadline.
4. Pick up your order from your Rep. Enjoy restaurant-quality food from the comfort of home.
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**Our Vision & Mission**
Our mission is to provide restaurant-quality food products with quality service and a personal touch. Let us fill your Pantry! We stand behind every product in our catalog. If you are ever unsatisfied with an item, please contact your Representative within 6 months for a 100% refund or within 90 days for a double your money back credit.
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Alison’s Pantry
580 W. State Street
Pleasant Grove, UT 84062
801-796-6411
Toll Free: 1-866-5-PANTRY
Fax: 801-796-9309
Office Hours: M – F 8:00 a.m. – 5:00 p.m.
www.alisonspantry.com
Prices and products are subject to change without notice. Sales tax will be charged according to your representative’s town and state. Alison’s Pantry adds 10% shipping to all orders. We reserve the right to substitute items of equal value and quality.
GF = gluten-free IW = individually wrapped
{ offered by the case }
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We care about your diet needs and want you to have all the information necessary to make your meal decisions. For more detailed ingredient lists and nutritional information, please visit www.alisonspantry.com and search for any product by product number or name.
**NEW! St. Louis Rib Pork Patty**
100% boneless, unsauced quarter-pound pork patty. Specially shaped with raised ribs, just like the ones from a popular fast-food restaurant. Grill from frozen and serve as a dinner entrée with mashed potatoes and gravy, or with BBQ sauce on a hoagie bun as a sandwich.
40 / 4 oz. patties
#2094….$36.99
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**Our Bridgerland and Double L Ranch meats are manufactured by Lower Foods, Inc.. The Lower family has been in the meat business for four generations and are now focused on producing specialty meat items crafted in their state-of-the-art facility in Richmond, UT.**
We’re proud to offer their premium meats, which are:
- Free of the 8 common food allergens as defined by the FDA.
- Certified Gluten Free.
- With clean labels and no binders.
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**NEW! Deli Craft French Dip Kit**
Oven-roasted whole-muscle USDA Choice beef sirloin, trimmed to 95% fat free, and thin sliced. Reduced sodium. No added MSG. Comes with an Au Jus Mix packet. Stack on our Tuscan Mini Dinner Loaves (#8196) for hearty French Dip sandwiches.
GF 2 lb. box
#2103….$9.99
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**NEW! Carne Azteca Beef Taco Filling**
Fully-cooked, lean ground beef, lightly seasoned to make tacos, nachos, salads and more! Flavor is mild enough to still add sauces, if desired. Can boil in bag or cook in skillet. No added MSG.
GF 2.5 lb. bag
#2104….$10.99 | Just $1.10 per svg.!
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**NEW! Sloppy Joe Meat**
Fully-cooked ground beef mixed with a legendary sloppy joe sauce. Reduced sodium. No added MSG.
GF 5 lb. bag
#2107….$18.99 | Just .95 per svg.!
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**NEW! Smoke Craft Pulled Pork in BBQ Sauce**
Tender roasted pork, hardwood smoked, pulled, and mixed with a legendary BBQ sauce. Reduced sodium. No added MSG. 16/5 oz. servings.
GF 5 lb. bag
#2108….$24.99 | Just $1.56 per svg.
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**NEW! Bridgerland Deli Craft Oven Roasted Turkey Breast, Sliced**
Mouthwatering, oven-roasted turkey breast, trimmed to 99% fat free. Reduced sodium.
GF 2 lb. pouch
#2100….$11.99
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**NEW! Bridgerland Deli Craft Naturally Hardwood Smoked Honey Ham, Sliced**
Sweet, honey-cured ham, with delicious hardwood smoke flavor from Lower Foods state-of-the-art process.
GF 2 lb. pouch
#2101….$13.99
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**NEW! Smoke Craft Pit Beef, Sliced**
Flavorful USDA Select bottom round, hardwood-smoked to medium well, trimmed to 96% fat free and deli-sliced. The rich, smoky flavor takes sandwiches to a new level! Reduced sodium. No binders.
GF 2.5 lb. bag
#2102….$21.99
NEW! Frozen Pop Variety Pack
4 each of orange, cherry, and lemon frozen pops. Just 30 calories per pop! No artificial dyes & flavors.
12 / 1.65 oz.
#2147….$4.99
NEW! Ice Cream Bar Variety Pack
Premium ice cream bars so rich and creamy, you won’t believe they’re also 33% less fat than regular ice cream! Assorted pack of chocolate, banana, and orange flavored bars.
GF 30 ct. / 2.25 oz. bars
#2152….$15.99 | .53 per bar
NEW! Ice Cream Bars
Creamies top 2 bestselling flavors! Premium ice cream bars so rich and creamy, you won’t believe they’re also 33% less fat than regular ice cream!
GF 24 ct. / 2.25 oz. bars
$12.99 | .54 per bar
◆ #2153….Banana
Made with real banana puree for a fresh, mild banana flavor that no one has been able to duplicate.
◆ #2154….Chocolate
Made with rich cocoa and real milk.
NEW! Mint Chocolate Dipped Ice Cream Bars
This mint chocolate dipped low-calorie ice cream bar quickly became a fan favorite for Creamie lovers. GF
◆ #2155….6 ct.…..$3.99 | .67 per bar
◆ #2157….12/6 ct. case….$37.99 | .53 per bar
NEW! Pride of Alaska Imitation Crab Meat
Mildly flavored chunk-style sumi with real snow crab and MSC-certified Alaska pollock.
4/1 lb. bags
#2111….$19.99
NEW! Chicken Mini Tacos
Chicken, red chile, and onions in mini yellow corn tortillas.
4 lb. box
#2109….$25.99
NEW! Hot Sauce Original
A generations-old recipe of arbol & piquin peppers and signature spices.
12 oz. bottle
#2134….$.6.99
NEW! 6” Pretzel Hot Dog Buns
Gourmet artisan dough with a delicious pretzel flavor and chewy texture.
2/8 ct. bags
#2138….$12.99 | .81 each
NEW! 4” Pretzel Hamburger Buns
Gourmet artisan dough with a delicious pretzel flavor and chewy texture.
2/8 ct. bags
#2137….$12.99 | .81 each
NEW! Famous Beef Franks in a Blanket
Premium little franks made of 100% beef, then wrapped in a mouth-watering, light and flaky puff pastry.
22.9 oz. box
#2127….$14.99
NEW! Hawaiian Island Syrup
Bring bright tropical flavor to lemonades, iced teas, and shaved ice with this blend of ripe passion fruit, guava, and juicy orange. Classic POG flavor!
1 liter
#2115….$11.99
NEW! Lavender Syrup
Add semi-sweet, herbal floral flavor and beautiful, light purple color to cocktails, lemonades, sodas and more.
1 liter
#2116….$11.99
NEW! Wildberry Syrup
The blended flavors of blueberries, blackberries and raspberries.
1 liter
#2117….$11.99
NEW! Tropical Gold Pineapple Chunks
Picked at the peak of ripeness and quick-frozen to lock in both nutrients and flavor.
5 lb. bag
#3002….$13.99
NEW! Gourmet Ice Cream Topping Gift Set
An essential summer collection of ice cream toppings: Dark Chocolate, Sea Salt Caramel, and Sweet Strawberry.
3/12.5 oz. bottles
#2120….$18.99
NEW! Cheesecake Whip
Ready-to-use whipped cheesecake to pipe into tarts, parfaits, cookie sandwiches, cupcakes, etc. Frozen; thaw overnight in fridge before piping.
1.5 lb. bag
#2113….$12.99
Pair with our Keebler Graham Tart Shells (pg. 34)
NEW! Fruit Fillings
Use these sweet, fruity fillings between cake layers, as a topping, glaze or dip. Resealable spout with screw-top lid.
16 oz.
$3.99
◆ #2118….Strawberry
For an easy fresh strawberry pie, mix 4 c. fresh strawberries with 16 oz. filling. Place in 9” pre-baked pie shell, and chill. Top with whipped cream
◆ #2119….Cherry
**6-Piece Cast Iron Set**
- 12-inch lid doubles as skillet • 10-inch skillet • Dutch oven trivet • Deep 12-inch skillet • 6-quart legless Dutch oven • 10” lid fits Dutch oven and skillet
#2405...$84.99
**Golden Spike Oval Roaster, 12 Qt.**
Feed up to 12 people! The True Season cast iron finish is both durable and cook ready, right out of the box. The Golden Spike Historic Site denotes the binding of our nation via railway in May of 1869 when the last spike was driven into the ground in Promontory Summit, Utah.
#1715....Reg. $69.99 | Sale $64.99
**7” Mini Skillet Set**
Set of two 7” mini skillets for personal pizzas, Skookies, Tajinas, and more. “True Seasoned Finish” for a natural surface that’s ready to use out of the box.
#1128....$9.99
**13” Square Dutch Oven**
True Seasoned finish, ready to use. Thermometer notch allows you to check internal temperatures without opening the lid. Lid features raised ribs for use as a grill.
8 qt.
#8121...Reg. $59.99 | Sale $55.99
**Hot Water Pot**
With a built in spigot valve for easy, mess free dispensing, and built on handles for convenient carrying, this large capacity pot warms drinks for all! Keep it on hand for serving cocoa to a crowd!
5 gallon/20 qt capacity
#8496....$41.99
**Not just for pizza!**
**True Seasoned Cast Iron Pizza Pan**
• True Seasoned Finished cast iron • Large 14” pan • True Seasoned Finished cast iron • Decorative molded cast iron handles • Also perfect for rolls, pancakes, cookies and flat top grilling on your outdoor BBQ
#7623... Reg. $24.99 | Sale $21.99
**Professional Spatula Set**
Deluxe pancake flipper and a heavy duty turner/scrapers. Set of 2
#7339....$15.99
**Cast Iron Cleaner**
Special blend of all-natural oils and cleaning agents breaks down sugars and other food particles and cleans cast iron cookware with ease.
6 oz. tube
#9136....$7.49
**Cast Iron Conditioner**
The best way to season and condition all your cast iron pieces. Protects from rust. All natural ingredients.
6 oz. tube
#7345....$7.49
**Chain Mail Scrubber**
7” x 7” hand crafted, 316 stainless steel construction. Dishwasher safe and cleans cast iron, steel griddles, and other cookware.
#1126....$15.99
**Snacks for the trail!**
**NEW! KIND Bars**
0 g. Trans fat. Gluten free. Good source of fiber. Low glycemic index. No genetically engineered ingredients. 12/1.4 oz. bars
$20.99 | $1.75 per bar
**#2123 Dark Chocolate Nuts & Sea Salt**
Our best-selling bar! Brazilian sea salt sprinkled over whole nuts and dark chocolate. 5g of sugar.
**#2124 Peanut Butter Dark Chocolate**
Made with almonds, roasted peanut butter, and dark chocolate. 8 grams of protein. 9 grams of sugar.
**NEW! Cowboy Candy**
Diced jalapenos combined with onions, garlic, vinegar and red bell pepper, and sweetened with non-GMO organic cane sugar. Delicious on cream cheese, hot dogs, burgers, or stirred into sloppy joes.
11.5 oz. jar
#2121....$5.99
**NEW! California Natural Seedless Raisins**
Plump, sweet raisins to add to cookies, cereal, or trail mix, or to enjoy by the handful.
2 lb. bag
#2122....$7.49
It’s been said that to make something this good, you need some kind of secret recipe. But there’s no magic in this meat. Just hours of hardwood smoke, a craftsman’s touch and 125 years of practice.
#1 Quality Precooked Hickory Smoked Bacon Slices
Keeps 6 months refrigerated, 9 months frozen. Microwave, heat and eat.
300 slices per box GF
#4835....$49.99
Applewood Precooked Bacon
Double-smoked applewood bacon for the bacon connoisseur. Bolder flavor than our #4835 bacon.
300 slices GF
#9137....Reg. $49.99 | Sale $42.99
‘Center Cut’ Bacon Honey Cured
Smoky with the sweetness of a honey cure. Raw. 90 day shelf life.
GF 5 lb.
#3298....$29.99
Pioneer Brand ‘Big Buy’ #2 Bulk Bacon
Full irregular slices layered between wax paper sheets. Frozen.
This is a #2 irregular product that sometimes includes a large amount of fat. Ideal for adding bacon flavor to recipes.
Case will show ‘Packed by’ date and have 6 months of shelf life past that date.
GF 15 lb. bulk
#3297....$39.99
Sliced Canadian Style Bacon
Fully cooked and cut from whole-muscle pork loins. Naturally hardwood smoked with natural juices. Serve warm or cold.
GF 32 slices / 2 lb. pack
#1741....$13.99 | $7.00 per lb.
Pioneer Brand Sugar Cured Bacon Bulk Ends and Pieces
Ships frozen. Raw. Case will show ‘Packed by’ date and have 6 months of shelf life past that date.
This is a #2 irregular product with more fat.
GF 15 lb. bulk
#2899....$32.99
Thick-Cut #1 Quality Bacon, Raw
GF 24 oz....$9.99
♦ #8464 Deep Applewood Smoked
♦ #8465 Peppered
♦ #8463 Honey Cured
Skinless Pork Sausage Links (precooked)
GF 240 ct., .8 oz. size/12 lb. case.
#5464....$42.99 | .18 per link
Pork Sausage Links (precooked)
GF 240 ct., .8 oz. size/12 lb. case
#4062....$43.99 | .18 per link
Compare our price of just $3.25/lb. to Schwan’s cost of $5.67/lb. and save 43% with AP!
Cases will show ‘Received’ date and have 6 months of shelf life past that date.
BLT PASTA SALAD
12 slices Daily’s Precooked Bacon (#4835), crisped and diced
12 oz. corkscrew pasta, cooked and cooled
1/2 C. mayonnaise
3/4 C. Rosie’s Ranch Dressing (#3893), prepared
1 1/2 C. diced tomatoes
1/2 C. diced avocado (#1645)
1/3 C. red onion, diced
1 C. romaine lettuce
1 C. mozzarella cheese, cubed (or shredded cheese of choice)
1 1/2 C. croutons, if desired
Whisk together mayonnaise, Rosie’s Ranch dressing and 1 tablespoon bacon grease (optional). In a large bowl combine the pasta, tomatoes, avocado, cheese, red onion, lettuce and bacon. Pour the dressing over and gently stir to distribute throughout.
NEW! Hollandaise Sauce, Ready-to-Use
Rich creamy sauce for Eggs Benedict or to serve over fish or vegetables. Frozen; just heat & serve. Foodservice product; not available in stores.
2 lb. bag
#2056....$10.99
Belgium Pearl Sugar Waffles
Pre-baked, yeast-raised waffle dough with caramelized pearl sugar (like waffle trucks!) Light, crispy, and soft. IW
10 ct. / 3.17 oz. waffles
#1811….Reg. $15.99 | Sale $14.49
Homestyle Waffles
72 ct. waffles
#1498…$16.99
Texas Toast, ¾” Slices
1 loaf
#1373….$3.99
Cinnamon French Toast Sticks
Bake, fry or toast.
52 sticks / 56 oz. box
#1499…. $12.99
Gourmet Cream Syrup Variety Pack
Maple Cream, Vanilla Cream, Cinnamon Cream, and Coconut Cream.
GF 4/11 oz. bottles
#8012….$18.99 | $4.75 each!
Log Cabin Syrup
GF 1 gal. jug
#1590….$12.99
Sausage, Egg & Cheese Croissant
Microwave or oven bake.
12/4.5 oz. IW
#4454….$19.99 | Just $1.67 each!
Sausage, Egg & Cheese Biscuits
Microwave or oven bake.
12 ct./4.9 oz. IW
#5354…. $17.49 | Just $1.46 each!
Bacon, Egg, & Cheese Hot Pockets
Applewood bacon, egg, and low-fat mozzarella cheese in a croissant crust. IW; cools in 2 minutes.
4.5 oz./17 ct. box
#1731….$19.99
All-Natural Fully Cooked Turkey Breakfast Sausage Patties
No added hormones or steroids, no nitrates or nitrites added, minimally processed, and with no artificial ingredients. Ready in seconds, with 60% less fat than pork sausage.
GF 114/1.4 oz. patties
#1997….$31.99
Egg, Sausage, & 3 Cheese Breakfast Burritos
Stuffed with whole eggs, savory sausage and three velvety, melted cheeses—American, Monterey Jack and Cheddar.
12/7 oz. burritos
#4845….$25.99 | $2.17 each
Egg, Bacon & 3 Cheese Breakfast Burritos
Wrapped in a white tortilla. Microwaveable. IW.
24/4 oz. burritos
#7419….$31.49
Sausage & Gravy Stuffed Buttermilk Biscuit
16/4 oz. biscuits
#4844….$19.99
Sausage, Egg & Cheese Buttermilk Biscuits
16/4 oz. biscuits
#4842….$19.99
All-Natural Peppered Bacon Wrapped Pork Fillets
Pork tenderloin fillets (approx. 1/3 lb. each) wrapped in flavorful peppered bacon. Delicious on the grill, baked, or pan-fried.
6/approx. 5 oz. fillets
#2074…. $14.99 | $2.50 per fillet
Peppered Bacon Wrapped Pork Fillets
48/approx. 5 oz. fillets
#2075…. $89.99 | $1.87 per fillet
Seasoned Center-Cut Pork Chops
Bone-in, Raw, lean and trimmed. Marinated for added tenderness.
GF 32/5 oz., 10 lb.
#6305…. $47.99
Compare our price of $4.80 per lb. to Schwan’s cost of $8.00 per lb. and save 40% with AP!
Bone-In Ham Steaks
Fully cooked, hearty ham steaks. Individually vacuum sealed for freshness.
GF Big 1 lb. steaks, 4 per order
#5659…. $22.99
CarveMaster Ham
Boneless, natural juice ham, made from only fresh outside muscle, slow smoked with real apple wood. Fully cooked.
GF 7-8 lbs. avg.
#7960…. $37.99
Bratwurst Minis
Fully-cooked. Skinless. Approx. 50-3.5” links per package. Oven bake, grill, or griddle.
GF 5 lb. pack
#4843…. $22.99
Lit’l Smokies® Cocktail Links
Pork, turkey, and beef smoked to perfection. Fully cooked.
GF 3 lb. pouch
#6042…. $16.99
Farmland Original Pork Sausage Rolls
Mildly seasoned, original recipe raw ground pork sausage. Product of the USA. No added hormones. No artificial flavors, colors, or MSG.
12 / 1 lb. rolls case
#1995... Reg. $43.99
Sale $39.99
Pork Riblets
Raw pork ribs ready to cook. Thaw them and cook in a slow cooker with BBQ sauce or in the oven. These are not meaty like a spare rib; more like individual baby back ribs.
GF 10 lb. case
#1777... Reg. $19.99 | Sale $18.49
Fire Braised Fully Cooked St. Louis Style Pork Ribs
Ribs first seared with flame to caramelize the exterior and develop flavor, then slow-cooked in their own natural juices until tender and delicious.
GF 2.45 lb. avg. bag
#1737... $20.49 | $8.36 per lb.
Smoke Craft Pulled Pork
Fully cooked, naturally hickory smoked pulled pork. Free of the 8 common food allergens as defined by the FDA. No added hormones ever.
GF 5 lb. bag
#1677... Reg. $28.99
Sale $26.99
Black Pepper Smoked Pork Rope Sausage
Fully cooked and perfectly seasoned. One of the top-requested new products shown at our 2019 Food Show!
GF 2/5 lb. case
#1920... $45.99
Gold Medal All Meat Hot Dogs
Larger, ¼ lb. hot dogs. No MSG added.
GF 4 per lb./40 ct./10 lb. case
#1634... $42.99 | $1.05 each!
Flavorful sausages wrapped in soft baked rolls. Individually wrapped in microwaveable film. Choose from 3 delicious flavors!
Sweet ‘n Smokey Sausage in a Soft Baked Roll
Naturally hardwood smoked sausage plus a hint of honey in a soft-textured roll. Heat and serve.
8/5 oz. rolls
#1365... $14.49 | $1.81 each
Smokey Cheddar Pork Sausage Link in a Soft Baked Roll
Naturally hardwood smoked sausage filled with Wisconsin Sargento cheese in a soft-textured roll. Heat and serve.
8/5 oz. rolls
#1362... $14.49 | $1.81 each
Smoked Brat in a Soft Baked Roll
Hearty, big-flavored traditional bratwurst in a soft-textured roll. Heat and serve.
8/5 oz. rolls
#1363... $14.49 | $1.81 each
"I put a dry rub on these and grilled them with some wood chips. They cooked up fast and turned out amazing!"
Chrisy Rotondo,
Zap, ND
LEMON PEPPER CHICKEN MARINADE
1 Tbsp lemon zest
3 Tbsp freshly squeezed lemon juice
1 tsp. Garlic Supreme (#2592)
1 Tbsp black peppercorns (#1030), crushed
2 Tbsp Avocado Oil (#3516)
Combine the lemon zest, lemon juice, Garlic Supreme, crushed black peppercorns, sea salt, and avocado oil in a bowl. Stir to combine. Add the chicken to a zip-top bag and pour the lemon pepper marinade over the top. Press the air out of the bag and seal tightly, making sure to press the marinade around the chicken to coat. Place in the fridge to marinate at least 30 minutes, up to overnight.
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100% Natural Chicken Breasts
Boneless, skinless breasts with rib meat. Ice glazed to prevent freezer burn. Raw. Irregular, #2 product, packaged under the Sunland label. Size of breast pieces will vary.
GF 4 lb. bag
#5513....Reg. $9.99 | Sale $7.99
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All Meat Premium Corn Dogs
Plump pork & beef franks. Generous 50/50 meat-to-batter ratio. 60/2.67 oz.
#1182... Reg. $31.99
Sale $29.99
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Grilled Chicken Breast Strips
100% natural chicken breasts are lightly seasoned, grilled. Oven or microwave to heat.
GF 6/3 oz. servings
#9210...$9.49 | $1.58 per svg.
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Chicken Mini Corn Dogs
Mini chicken franks wrapped in honey crunch batter. 120/1.67 oz., 5 lb. bag
#1581...$19.99
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Fire Seared Chicken Thigh Meat
This boneless chicken thigh is first seared with fire to caramelize the exterior and develop flavor, then slow-cooked until tender, moist and delicious. Lightly seasoned.
GF 5 lb. bag
#1736...$30.99 | $5.90 per lb.
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Maple Pancake with Pork Sausage
Pork and turkey blend sausage. 56/2.85 oz.
#1406...$32.99
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Chicken Breast Tenders (raw)
Juicy tenders to enjoy in stir fry, fajitas, kabobs, and more. Irregular, #2 product, packaged under the Sunland label. Size of pieces will vary.
GF 4 lb. bag
#6829...$11.99
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Popcorn Chicken
Bite sized pieces of all breast meat chicken, lightly breaded for a flavorful golden crunch. Oven bake or fry.
2 lb. bag
#1465...$4.99
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Breaded Chicken Breast Fillets
Ready-to-cook. Bake or fry.
2.5 lb. bag
#1003...$7.99
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Pantry Bargains are a great way to save money on family favorites! Their special pricing is due to slight irregularities. These #2 products will have variations in size or breading, but they are consistently delicious and always supported by our 100% satisfaction guarantee.
Stuffed Chicken Entrées feature crispy breaded chicken breast, stuffed with flavorful filling. Just wrap in foil and oven bake from frozen.
Chicken Cordon Bleu
Stuffed with smoked ham and swiss cheese.
25/5 oz.
#8553....Reg. $30.99 | Sale $28.99
Chicken with Broccoli & Cheese
25/5 oz.
#8555...$30.99
All-Natural Chicken, Brie, and Apple Entree
Sweet apples, cranberries and natural Brie cheese inside chicken breast meat with whole grain breading. Raw. Bake and serve.
2/5 oz. entrees / 10 oz. box
#4849....$6.99
All-Natural Chicken Creamy Jalapeno Entree
Spice it up with tender chicken breast meat filled with jalapeños and cream cheese.
2/5 oz. entrees / 10 oz. box
#4850....$6.99
Cordon Swiss Stuffed Chicken Minis
Mini Cordon Bleus! Square nuggets filled with ham and cheese. Oven bake.
24 oz. box
#9062...$6.99
Jalapeno Stuffed Chicken Minis
Sticks stuffed with spicy cream cheese.
30 ct. box
#9060...$6.99
Breaded Chicken Tenderloins
All-natural, lightly breaded breast tenderloins. Fully cooked.
2/4.5 lb. bags / 9 lb. case
#6214...$39.99
Dino Buddies Chicken Nuggets
Fully cooked, No artificial ingredients. Frozen.
5 lb. box
#1258...$19.99
Visit alisonspantry.com to find Hot Deals like half-price BBQ Chicken Wings, seasoned chicken breasts, and gluten-free options. These limited-quantity products are only available through our website, and the selection changes all the time!
Boneless, Skinless Chicken Breasts
Restaurant-quality, cleanly trimmed. 100% all natural. Plump and ice glazed to prevent freezer burn.
GF 48/4 oz., 12 lb. case
#6519…$50.99
Compare our cost of $4.25/lb. for premium chicken breasts to Schwart’s raw chicken breasts at $7.20/lb. and save a whopping $35.41 with Alison’s Pantry!
Mediterranean Style Chicken Breast Skewers
Fully-cooked, hearty portions of grilled skewered chicken breast with Mediterranean seasoning.
GF 18/2.5 oz. skewers
#1801….$27.99 | $1.56 per skewer
Seasoned Diced Chicken Breast Pieces
Tender ½” pieces fully cooked.
GF 10 lb. case.
#7787…$47.99
Fully Cooked Chicken Fries
White meat chicken in the ideal shape for dunking. Ready to enjoy in minutes from the oven or microwave.
2 / 5 lb. bags; 10 lb. case
#1618….$35.99
Garlic Parmesan Chicken
4 boneless skinless chicken breasts (#6519), thawed and patted dry
1/2 c. fresh Parmesan, finely grated
Black Pepper (#1029) to taste
1 1/2 tsp. Garlic Supreme (#2592)
1 tsp. paprika (#1697)
1/2 tsp. Italian N Pizza Seasoning (#1432)
4 Tbsp. butter (#1723)
Combine fresh Parmesan, Garlic Supreme, Paprika, and Italian N Pizza Seasoning in a shallow dish. Season the chicken breasts with black pepper, then dredge in the Parmesan mixture and set aside. Melt butter in large skillet over medium-high heat. Cook chicken breasts until golden on each side until cooked through—about 3-4 minutes per side, depending on thickness of chicken breasts.
Asiago Breaded Chicken Breast Fillets
Fully-cooked, restaurant-quality solid muscle chicken breast fillets, coated in a chef-inspired Asiago breading. Tender and flavorful.
5 oz. fillets / 2 /5 lb. bags
#1685….$48.99
Photo shows recipe suggestion.
Chicken Breast Pieces
95% lean, randomly-cut chicken breast pieces, perfect for soups, stir-fry, etc. Raw.
GF 5/lb.
#2620…..$16.99 | $3.40 per lb.
Wayne Farms Breaded Chicken Waffle Bites
The much-loved flavor of chicken and waffles in a snackable, finger-food version. Fully cooked, .6 oz. pieces of tender chicken breast coated in a mildly sweet waffle batter. Serve alongside maple syrup for dipping.
2 / 5 lb. case
#1986…$38.99
Homestyle Breaded Chicken Tenderloins
Raw, Fry or bake. Tenderloins carefully cut from the juiciest part of the breast; marinated to keep them extra moist and flavorful.
2-3 oz. size
2/5 lb. bags, 10 lb. case
#6219...Reg. $36.99 | Sale $32.99
"These chicken tenders (#6219) are great to have in the freezer for a quick meal. Our favorite thing to do with these is to cook them up with some sweet and sour sauce and pineapple and then put it over rice. You have a quick and easy sweet and sour chicken. Yummy!"
Jennifer Ashcraft
Breaded Chicken Breast Nuggets
One year frozen shelf life
.7 oz. size, 2/5 lb. bags, 228 nuggets
10 lb. case
#6220...Reg. $29.99 | Sale $26.99
"My kids LOVE these! You can tell these are 100% white chicken with the amazing taste. Each nugget is full of yummy goodness and they are always tender, never tough! I love the big quantity and quality I can get with Alison's Pantry chicken nuggets."
Tawnya Nelson, Vernal, UT
Tempura Battered Chicken Breast Strips
Uncooked Tempura-battered whole breast meat strips with a light, golden battered coating.
10 lb. case
#7102...$46.99
Zesty Orange Sauce
The sweet tang of citrus complemented by garlic, soy, toasted sesame and ginger. Perfect for chicken, seafood, and dipping.
0.5 gallon jug
#2989....$13.99
Tempura Chicken Breast Nuggets
Made with 100% breast meat with crispy tempura batter. Par-fried. Fry or bake.
2/5 lb. bags, 10 lb. case
#6838...$32.99 | $3.30 per lb.
Breaded Chicken Breast Patties
Breaded chicken breast with rib meat.
45/3.6 oz. size, 2/5 lb. bags, 10 lb. case
#6221...$28.99 | $2.90 per lb.
Black Label Carving Turkey Breast
Fully cooked. No added hormones, no starches added. 1 year freezer life. Approx. 20 servings.
GF 5.5-6 lb.
#9197...$30.99
Turkey Pot Roast
Fully cooked chunks of savory turkey thigh meat and gravy in an oven-proof bag for easy reheating. Approx. weight.
4.75-5.25 lb. bag
#8994...$29.99
#1 Ground Turkey, Frozen
Premium ground turkey is 85% lean / 15% fat.
GF 12/1 lb. chubs
#3568...$26.99
**USDA Choice Seasoned Flat Iron Steaks**
Similar flavor to fillet mignon without the high price tag.
Cryo-vac’d pkgs.
GF 12/6 oz. steaks
#6044…. Reg. $51.99
Sale $46.99 | Just $3.92 per steak!
“My absolute favorite steak in the world is the Double Red Provisions Flat Iron Steak (#6044). It is so easy and just melts in your mouth when you eat it. Our favorite way to prepare it is to oven bake (from frozen) for about 25 minutes, take it out and sear it in a hot skillet (1 to 2 minutes per side). Then let it steam on a tinfoil-covered plate for about 8 minutes.”
Jamie Ashcraft,
Sugar City, ID
**NEW! USDA Choice Boneless Beef Rib Eye Steaks**
Tender, thick-cut steaks that’ll melt in your mouth.
2/16 oz. steaks
#2090…. Reg. $36.99 | Sale $34.99
Give your next steak a gourmet upgrade with this sweet tip! Glaze it with Cornaby’s Peach Habanero Sauce (pg. 8) when it comes off the grill.
**Certified Hereford Choice Flat Iron Steaks**
Naturally flavorful beef from premium breeding.
GF 6/8 oz. steaks
#1554…. $33.99 | $5.67 per steak
“These are so tasty and tender. They pair nicely with the UpSides Exotic Grains & Fire-Roasted Vegetables (#1690). You can use that as a side or slice the steak and have them together for a healthy lunch bowl.”
Shana Loveday,
Alamo, NV
**Bacon Wrapped Filet of Beef**
GF 6/5 oz. IW
#6986…. $23.99 | $4.00 per steak
**Country Fried Steak**
Raw and breaded. Deep fry for best results. IOF to guarantee freshness.
40/4 oz. steaks, 10 lb. case
#4613 …. $46.99
Just $1.17 per steak!
**Breaded Steak Fingers**
One ounce ready-to-dip fingers!
160/1 oz. fingers, 10 lb. case
#8565…. $46.99
---
**SUMMER BEEF STEW**
1 Tbsp. avocado oil (#3515)
1 1-¼/1-½ lbs. beef stew meat (#2607)
2 Tbsp. flour (#2285)
salt (#1146) and pepper (#1029)
1 1/2 tsp. minced garlic (#1289)
1 bay leaf (#1753)
1 green onion (white portion only, sliced thin)
2 Tbsp. tomato paste
2 C. beef broth (#1039)
2 small zucchini, chopped
1 yellow bell pepper, chopped
1 red bell pepper, chopped
1/2 C. sweet corn
Place avocado oil in a large pot or Dutch oven over medium-high heat on the stove-top. Toss beef with flour, salt and pepper in a small bowl until coated. Add beef to the hot pot and brown on all sides, about 5-7 minutes. Transfer beef and pan juices to the slow cooker. Add garlic, bay leaf, green onion, tomato paste and broth to the slow cooker. Stir to combine and cook for 6 hours on low heat. After 5 1/2 hrs. of cooking, stir in zucchini and peppers and continue cooking with lid on for remaining 30 minutes. Serve over mashed potatoes, if desired.
100% Beef Hamburger Patties
These juicy, 100% pure ground beef patties are great for a quick lunch or dinner. 75/25 lean to fat ratio, with no soy, fillers, additives, or MSG.
GF 24 / 4 oz. / 6 lb. case
#1075....$23.99
Jumbo 1/3 lb. Cheddar & Bacon Stuffed Beef Patties
Stuffed with pieces of smoky bacon and shredded Cheddar cheese.
GF 6 patties/2 lb. box
#8377....$10.99
NEW Pack Sizes!
4" Hamburger Buns
Fluffy, sturdy white hamburger buns for stacking burgers high.
2/12 ct. Bags
#2135....$5.99
Just .25 per bun!
Big Dog Hot Dog Buns
Generously-sized, fluffy buns for your favorite franks.
2/12 ct. Bags
#2136....$6.99
Just .29 per bun!
100% Beef 3-Way Blend Hamburger Patties
Juicy, flavorful blend of USDA ground chuck, ground sirloin, and ground brisket. 80/20. 100% beef, no fillers.
GF 40/4 oz. patties
#2621....$49.99 | Just $1.25 per patty!
Quarter-Pound All Beef Franks
6" all beef franks. 100% Kosher beef. No fillers, by-products, artificial flavors, or colors.
GF 5 lb. pouch | 20 franks
#2765....$26.99 | $1.35 each
White Castle Cheeseburgers
Made with 100% beef, these famous little sliders are steam grilled on a bed of savory onions for a flavor you'll crave!
8/2 ct. packs
#1595....$14.99 | Just $1.87 per twin pack!
Philly Cheesesteak Wrapped Sandwich
The #1 selling philly sandwich in the USA! Made with 100% beef (no fillers) and American cheese, on pillowy-soft bread. Microwavable.
8 ct./2.75 lb box
#2070....$20.99 | $2.62 each
Meal KITS
MAKE DINNERTIME EASY!
Less planning. Less prep work. Less mealtime boredom. More smiles around the table! Each convenient meal kit includes premium AP ingredients and an easy-to-follow instruction card for assembling the meal.
NEW KIT! Peppered Bacon-Wrapped Pork Fillets & Parmesan Baby Baker Potatoes Meal Kit—6 servings
♦ 6 Peppered Bacon Wrapped Pork Fillets (approx. 2 lbs.)
♦ Roasted Baby Baker Halves with Parmesan & Herbs, 2.5 lb. bag
♦ Flav-R-Pac Normandy Blend, 4 lb. bag
#1598....$32.99 | Just $5.50 per serving!
Beef & Chicken Fajita Meal Kit—6 servings
♦ 1 lb. beef fajita strips
♦ 1 lb. chicken fajita strips
♦ Flav-R-Pac Fajita Vegetables, 4 lb. bag
♦ 12 ct. 8" flour tortillas
♦ 6 Tbsp. AP Fajita Seasoning
#1597....$23.99 | Just $4.00 per serving!
Shrimp Alfredo & Garlic Bread—6 servings
♦ Newport White Shrimp, 26/30 ct, 2 lb. bag
♦ 2 Tbsp. Garlic Supreme
♦ Alfredo Sauce Mix
♦ Pasta Partners Roasted Garlic & Parsley Linguini, 12 oz. pack
♦ Flav-R-Pac Broccoli Florets, 2 lb. bag
♦ (8) Tuscan Mini Dinner Loaves
#1599....$37.99 | Just $6.33 per serving!
**Pub-Style Battered Cod**
Wild-caught; no artificial colors, flavors or preservatives. Certified Sustainable Seafood. Bake or fry.
2-3 oz. pieces / 2.5 lb. box
#2807...Reg. $17.99 | Sale $16.99
**Atlantic Salmon Portions, IQF**
Individually vacuum-sealed 4 oz. portions of Atlantic salmon. Boneless, skinless. Farm-raised product of Chile, processed in the USA.
GF 4 oz./2 lb. bag
#8669...Reg. $27.99 | Sale $25.99
**Tortilla Crusted Tilapia**
Market Fresh tilapia raised in the pristine waters of deep lakes and never treated with chemicals. Each fillet is lightly crusted, frozen and ready-to-bake or fry.
3 oz. / 2.5 lb. bag
GF #2067....$21.99
**Beer Battered Halibut Fillets**
100% natural, untreated, whole muscle fish. Coated with a crisp, Samuel Adams Boston Lager batter.
2 oz. fillets / 2.5 lb. bag
#1125....$39.99
**Piccadilly Pub-Style Battered Cod**
White cod fillets dipped in a golden pub-style batter. Bake or deep fry.
3 oz. portions/5 lb. bag
#8014....$42.99
**Cod Fillets, Skinless**
Mild tasting, wild-caught cod fillets. Individually wrapped in cellophane.
GF 5 lb. box
#8026....$44.99
**Tavern Battered Haddock**
Oven bake or fry. Fry for crispiest results. Approx. 16 fillets.
2-3 oz. fillets
2.5 lb. bag
#8416....$22.99
**Parmesan Encrusted Cod**
All-natural, gluten-free, with no trans fat or preservatives.
GF 2.5 svgs.
9 oz. box
#1063....$9.49
**Wild Pacific Halibut Portions**
Wild-caught, sourced from the Pacific Ocean. Skin-on; sustainably-fished.
4/4 oz. fillets.
GF 16 oz. bag
#8028....$22.99
**TRUE LEMON BAKED SALMON**
1 bag Pacific Seafood Salmon Portions (#8669), thawed
2 Tbsp. Kirkland Butter (#1723), softened
1/4 cup chicken broth (#1038)
4 True Lemon Packets (#1689)
1/2 tsp Coarse Black Pepper (#1028)
1/2 tsp dried tarragon
First, preheat oven to 425 degrees. Pat salmon dry, and place in a greased 9×13-inch baking dish. Next, using a pastry brush, butter the salmon. Then, combine remaining ingredients and pour over salmon. Bake uncovered for 20-25 minutes or until fish flakes easily with a fork.
**AVOCADO SHRIMP SALAD**
1 lb. medium shrimp (#1812) with tails removed, chopped
2 stalks celery diced
1 green onion finely diced
2 hard boiled eggs finely diced
½ c. avocado, diced (#1645)
1/2 long English cucumber finely diced
1 tablespoon fresh dill
1 tablespoon fresh lemon juice
1/2 cup mayonnaise
1/2 teaspoon Old Bay Seasoning
1 1/2 teaspoon grainy dijon mustard salt (#1146) & pepper (#1029) to taste
Combine all ingredients in a bowl and mix well to combine. Serve over salad, with tortilla chips, or on our Tuscan Mini Dinner Loaves.
---
**Cooked & Peeled White Shrimp, 31/40**
Sweet white shrimp with a firm bite.
GF 2 lb. bag
#1812...$17.99
**Black Tiger Shrimp**
Tail-on. 16-20. Frozen.
GF 2 lb. bag
#2806...$24.99
NEW LOWER PRICE!
**Gourmet Seafood & Crab Cakes**
Lobster or snow crab blended with premium surimi.
13/3 oz. cakes
#8992...$16.99
**McCormick Extra Hot Cocktail Sauce**
Spicy traditional sauce for seafood with an extra kick from real horseradish and peppers.
8 oz. bottle
#1814...$3.99
**Ultimate Fish Sticks**
No preservatives, no artificial ingredients. Light all-natural breading. Bake or fry.
4 lb. bag | 62 ct./1oz. sticks
#2809...$21.99
**Premium Alaskan Salmon Burgers**
Salmon patty is made with the finest wild, ocean-caught, deep skinned Alaskan Salmon, herbs and spices.
GF 3 lb. bag/12 ct.
#2808...$28.99
**Tartar Sauce**
Tangy, cool sauce with mayo, pickles and lemon. No high fructose corn syrup.
GF 8 oz. jar
#1875...$3.99
**Shrimp Scampi**
Raw, peeled & deveined shrimp in a smooth garlic butter sauce. Farm-raised. Product of India.
31/40.
1 lb. bag
#1927...$11.99
**Honey Jalapeno Shrimp**
Raw, peeled & deveined shrimp seasoned with sweet honey and mild jalapeno flavor. 31/40.
1 lb. bag
#1929....$11.99
**Shrimp Poppers**
Made from minced shrimp and coated in a special bakeable breadcrumb.
2 lb. bag
#4180....$11.49
**Classic Marinated Shrimp Skewers**
Ready to cook. Griddle or oven bake.
12 skewers/1 lb. 5.6 oz. box
#8270....$16.99
**BIGI Butterfly Shrimp Gold Pack**
Lightly breaded, fries to a golden brown.
2.5 lb. (15/lb.)
#4181...$31.99
**Shrimp, Peeled & Deveined**
White shrimp sourced from Indonesia and Vietnam.
26/30 ct. Tail-off. Raw.
GF 2 lb. bag
#1545...$17.99
**South-of-the-Border Sizzle!**
**Carne Asada Steak**
¼” cubes, raw, diced, unseasoned pieces of flavorful beef eye of round for traditional Carne Asada. Pair it with our Carne Asada Seasoning (#7278) to add just the right kick with ease!
GF 2/1.5 lb. pkgs.
#1755….Reg. $15.99 | Sale $14.99
**Beef Tamales**
Savory shredded and ground beef filling, chili peppers, and spices, wrapped in a traditional corn masa and natural corn husk then steam cooked. Frozen; microwave or steam to heat through.
36 ct./4.5 oz. tamales
#1657….Reg. $39.99 | Sale $36.99
**Burrito Variety Pack**
15 Beef & Bean, 15 Bean & Cheese.
5 oz. / 30 ct.
#7368….$24.99
**Chimichangas**
Meat and cheese in a lightly pan-fried flour tortilla.
12 / 5 oz.
$18.99
♦ #1873 Shredded Steak & Cheese
♦ #1874 Shredded Chicken
**Chicken Breast Strips for Fajitas**
Lean, raw strips of chicken breast for fajitas or chicken stroganoff.
GF 3 lb. bag
#2609….$12.99
**Beef Strips for Fajitas**
Tender strips of choice and select beef for juicy fajitas.
GF 3 lb. bag
#2604….$23.99
**Baja Vegetable Roast**
Blend of roasted sweet corn, cut corn, black beans, red and green bell peppers, onions and green chilies.
GF 2 lb. bag
#5353…..$7.49
**Fajita Blend**
Onion strips, with red, green and yellow bell pepper strips.
GF 4 lb. bag
#2069…..$7.99
Compare our price of $2.00/lb. to Schwan’s Fajita Vegetable Blend at $5.49/lb. Save 64% with AP!
**Raspberry Cheesecake Bites**
Sweet and creamy cheesecake paired with raspberry topping in an oven-baked and battered flour tortilla. 24 Bites per box. 24 Bites per box.
4 / 6 ct. bags / 2 oz. bites
#8850…$19.99
**Ole Taco Seasoning**
Big flavor and big savings over the grocery store.
1 lb. container
#1846….$8.49
**Lip Smackin’ Chipotle Ranch**
The perfect dip for taquitos or topper for taco salads.
8 oz. bag
#2589….$7.99
**Emma’s Enchilada Seasoning**
Just add tomato sauce and water for smooth, flavorful sauce.
1 lb. bag
#1016….$5.99
Tornados’ unique twist on flavor and texture make it an instant sensation. Dipped in flavorful batters and fried to golden perfection. Every bite of a Tornado is packed with flavor.
Tornados
24/3 oz. case....$21.99
♦ #2928 Ranchero Beef Steak & Cheese
Our Ranchero red sauce, shredded steak and real cheese.
♦ #3953 Bacon, Egg & Cheese
Scrambled eggs, bacon, onions, tomatoes, chilies, and melted cheese.
♦ #2926 Sausage, Egg & Cheese
Breakfast basics with a kick of salsa.
♦ #3105 French Toast & Sausage
Maple sweetness and savory sausage.
24/3 oz. case....$22.49
Butcher Wrapped Shredded Steak & Cheese Burritos
Savory shredded steak, cheddar cheese, mozzarella cheese, Monterey Jack cheese and Mexican spices in an oven-baked flour tortilla. Generously sized. Comes frozen. Bake, microwave, or deep fry. IW.
12 / 9.5 oz. burritos
#8848....$23.99
XXL Bean & Cheese Burritos
Big flavor and big satisfaction! Beans, cheddar cheese and Mexican spices in an oven-baked flour tortilla. Comes frozen. Bake, microwave, or deep fry. IW.
12 / 9.5 oz. burritos
#8847....$16.99
XXL Beef & Bean Burrito
Savory beef, beans and Mexican spices in a large oven-baked flour tortilla. IW.
12/ 9.5 oz. burritos
#8975....$15.99
RoastWorks Flame-Roasted Sweet Corn and Jalapeno Blend
Perfectly flame-roasted sweet corn with white corn and a blend of jalapeno, green onion, garlic, cilantro and seasoning.
2.5 lb. bag
#1984....$9.49
Don’t miss our new Posada Chicken Mini Tacos on page 3.
Shredded Beef Taquitos
Crisp corn tortillas filled with shredded beef; pre-fried. Bake, microwave, or fry.
1.1 oz./48 ct. box
#8269....$17.99
Fiesta Guacamole
Flavorful guacamole with medium kick from red and jalapeno peppers. Comes frozen. GF
{ 6/12 oz. tubs
{ #9247....$29.99
SMALLER PACK
Fiesta Guacamole
#1060 12 oz. tub...,$5.99
Harvest Fresh Avocado Dices
Quick-frozen fresh, buttery Hass avocados. No mess; no waste! Thaw needed amount of dices overnight under refrigeration. GF
2 lb. bag
#1645....$15.99
Spanish Rice Seasoning
Zippy blend for restaurant-quality rice every time.
1 lb. bag
#2105....$5.99
Baja Chili Lime Seasoning
The kick of chili peppers with the zing of lime; excellent on shrimp, chicken, beef, and fish.
1 lb. container
#7664....Reg. $10.99 | Sale $8.99
Fabulous Fajita Seasoning
Add 3-5 Tbsp. of this Southwestern blend to 1 lb. of chicken, beef, or pork.
1 lb. bag
#1017....$8.49
Homestyle Meatballs
Oven-baked IQF meatballs made from premium beef and pork, and imported Pecorino Romano cheese. Approx. 52 ½ oz. meatballs per bag.
26 oz. bag
#8963….$7.99
Italian Style Meatballs
Savory ½ oz. beef blend meatballs, fully-cooked. Oven-baked, not fried. No MSG added.
52 oz. bag
#9142….Reg. $13.49 | Sale $12.49
Stuffed Rigatoni with Cheese
Tender rigatoni pasta stuffed with creamy Ricotta and Romano cheeses. Boil from frozen.
2.5 lb. bag
#1431….$9.49
Tri Color Tortellini
Small pasta rings stuffed with a rich Ricotta cheese blend.
5 lb. bag
#1815…. $21.99
Six-Cheese Jumbo Ravioli
Precooked; filled with Ricotta, imported Romano, Parmesan, Monterey Jack, mozzarella, and cheddar cheeses. Approx. 40 ravioli.
2.65 lb. bag
#3493….$14.49
Large Round Beef Ravioli
No MSG. Serves 5.
2.2 oz. bag
#8964….$6.99
Cauliflower Pizza Crusts
Cauliflower is the first ingredient! Less than half the sugar of leading gluten-free pizzas, and packed with protein, fiber, and nutrients.
♦ #1546 2 /10” crusts (12 oz. pack)
$8.99 | $4.50 per crust GF
♦ #1547 12/10” crusts (72 oz. pack)
$34.99 | $2.92 per crust GF
Aluminum Pizza Screen, 12”
Ensure a crispy, pizzeria-style crust with this sturdy pizza screen.
#1593….$5.99
NEW! Garlic Toast
Real garlic flavor! Bakes in 5-8 minutes.
32 slices
4 / 8 ct. Bags
#2049….$10.99 | 34 per slice!
Bonici Sliced Pepperoni
GF 5 lb. bag
#2031….$29.99
Gluten-Free Pizza Crusts, 10”
Each crust is packaged with a foil pan for easy cooking and no cross contamination in your oven. GF
12 crusts
#1092….$24.49 | $2.04 per crust
NEW PACK SIZE!
Pizza Dough Balls
Thaw and roll for crusts, calzones, and breadsticks. Frozen. Individually wrapped.
16/20 oz. balls
#2114….$29.99 | Just $1.87 per large crust
True Seasoned Cast Iron Pizza Pan
• True Seasoned Finished cast iron
• Large 14” pan True Seasoned finished cast iron
• Decorative molded cast iron handles
• Also perfect for rolls, pancakes, cookies and flat top grilling on your outdoor BBQ
#7623…. Reg. $24.99 | Sale $21.99
Restaurant-quality Asian favorites from home!
Golden Tiger
Southwest Chicken Egg Rolls
Filled with tender chicken, spinach, black beans, corn, red bell pepper, and pepper jack cheese.
18 / 3 oz. box
#1131….$18.99
Vegetable Egg Rolls
Cabbage, bok choy, water chestnuts, carrots and celery
12/3 oz. box
#4078…. $11.49
Pork & Vegetable Egg Rolls
12/3 oz. box
#4082…. Reg. $11.99
Sale $10.99
All Natural Chicken and Vegetable Potstickers
Savory chicken and vegetable filling in tender dumplings. Ready in 10 minutes. Frozen.
4.2 lb. bag
#4767…. $17.99
Yangs
BBQ Teriyaki Chicken
Marinated and barbecued chicken with an authentic teriyaki sauce. No MSG. Frozen.
21 oz. bag
#1377…. $7.99
Mandarin Orange Chicken
Crispy, juicy chicken battered and glazed with Mandarin orange sauce. No MSG. Frozen.
22 oz. bag
#1376… $7.99
Vegetable Fried Rice
Simply heat and serve.
3 lb. bag
#6695…. $13.49
Chicken Rice Bowl with Teriyaki Sauce
Grilled white meat chicken with broccoli, carrots, edamame, and red bell peppers on a bed of white rice with teriyaki sauce. Microwave.
6 / 12.5 oz. bowls
#1718…. $20.99 | Just $3.50 per meal!
Kikkoman Panko Bread Crumbs
Unseasoned.
2.5 lb. bag
#1193…. $5.99
Photo shows recipe suggestion.
Crab Rangoon
Fully cooked rangoon, stuffed with a delicious blend of cream cheese and crabmeat.
Deep fry or bake.
30 / 1 oz.
#6694… $16.99
Flav-R-Pac
Deluxe Stir Fry Vegetable Blend
Broccoli, carrots, water chestnuts, pea pods, mushrooms, celery, baby corn, onions, red peppers and yellow carrots.
GF 2 lb. bag
#5309…….. $5.49
Japanese Yakisoba Noodles
Fully cooked, frozen; heat and serve.
5 lb. bag
#9176…. $9.49
Makes a great dipping sauce!
Minor’s
Sweet & Sour Sauce
Made with chunks of pineapple, diced tomatoes, green peppers and onions.
GF 0.5 gallon jug
#1265…. $10.99
Campbell’s Signature foodservice frozen soups are typically only available to restaurants and businesses. With Alison’s Pantry, you can now enjoy them at home, too! They’re packaged in tubs that allow you to prepare just half of the concentrated soup if you don’t need a full batch, and their recipes are 100% clean. Each soup just requires the addition of water.
**WHAT’S IN:**
- No-antibiotics-ever chicken meat
- Rich in protein, fiber, and vitamins
**WHAT’S OUT:**
- Added MSG
- High-fructose corn syrup
- Colors from artificial sources
- Artificial flavors
- Added preservatives
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**Cream of Potato**
*This savory soup is a hearty mix of potatoes, carrots, celery, and onion in a rich, creamy sauce.*
4 lb. tub / 14 svgs.
#2021…Reg. $15.99 | Sale $13.99
**Roasted Chicken Noodle**
*Tender diced chicken and broad egg noodles in a savory chicken broth with carrots, onions and celery.*
4 lb. tub / 14 svgs.
#2022….$18.49 | Just $1.32 per svg.!
**Cream of Potato with Bacon Soup**
*Large chunks of potatoes with carrots, celery and onions, blended with fresh cream and delicately seasoned.*
4 lb. tub / 14 svgs.
#2020….$15.99 | Just $1.14 per svg.
**Pasta Fagioli**
*A rich vegetarian soup made with Great Northern beans, kidney beans, tomatoes and tender macaroni in a flavorful tomato broth with a touch of extra virgin olive oil.*
4 lb. tub / 14 svgs.
#2023…. $17.99 | Just $1.29 per svg.!
**Creamy Tomato Basil Bisque**
*A rich and creamy tomato broth loaded with tangy diced tomatoes and finished with Parmesan cheese and basil.*
4 lb. tub / 14 svgs.
#2024…. $17.99 | Just $1.29 per svg.!
Blount Fine Foods uses hand-crafted recipes and fresh-sourced ingredients for their gourmet soups. And, you can’t beat the convenience--just boil in the bag.
**Baked Potato Soup**
Home-style cuts of russet potato simmered with select seasonings and smoked bacon in a rich cream sauce. Boil in bag.
4 lb. bag / 8 svgs.
#9244…$13.99 | Just $1.75 per svg.!
**Broccoli & Cheese Soup**
Chopped broccoli, shredded carrots and select seasonings simmered in a velvety smooth cheese sauce. Boil in bag.
4 lb. bag / 8 svgs.
#9245….$13.99 | Just $1.75 per svg.!
**Maine Lobster Bisque Soup**
A perfect blend of minced sweet lobster meat simmered in rich cream and sherry. 8 svgs. heat and serve.
4 lb. bag / 8 svgs.
#9166….$15.99 | Just $2.00 per svg.!
**New England Extreme Clam Chowder Soup**
Authentic New England Clam Chowder made with an extreme amount of clams meat. 8 svgs. heat and serve.
GF 4 lb. bag / 8 svgs.
#9167 …. $15.99 | Just $2.00 per svg.!
**White Cheddar Macaroni & Cheese**
A grown-up version of the ultimate comfort food, made with shell pasta and decadent, creamy white cheddar cheese sauce. 8 svgs.
4 lb. bag / 8 svgs.
#2015 …$15.99
Just $2.00 per svg.!
**PanSaver®**
Slow Cooker Liners
Fits 3-6.5 qt. round or oval slow cookers.
6-4 ct. Boxes; 24 liners
#1089….$14.49
Just 60¢ each
**Sourdough Bread Bowls**
Frozen. Thaw, warm, and serve.
24 ct. / 8 oz. bowls
#1508….$17.99
Asparagus Spears
Medium IQF Grade A, 5” spears.
GF 2.5 lb. bag
#3127....Reg. $16.99 | Sale $15.49
Sweet Mini Corn on the Cob
GF 2-12 ct. bags. / 24 ct.
#4655...$10.99
Broccoli Florets
GF 2 lb. bag
#8197.....$4.99
Whole Kernel Corn with Sauce
GF 2 lb. bag
#4664.....$4.99
5-Way Mixed Vegetables
Blend of carrots, corn, peas, green beans and lima beans.
GF 2.5 lb. bag
#1493......$4.99
Riced Cauliflower
Unseasoned. Value sized bag.
GF 5 lb. bag
#2743 .... $14.49
Deluxe Stir Fry Vegetable Blend
Broccoli, carrots, water chestnuts, pea pods, mushrooms, celery, baby corn, onions, red peppers and yellow carrots.
GF 2 lb. bag
#5309.....$5.49
Yellow Squash, Sliced
GF 2 lb. bag
#7860.....$4.99
Cauliflower Florets
GF 2 lb. bag
#6383....$5.49
Gourmet Whole Green Beans
GF 4 lb. bag
#3781......$7.99
Pacific Blend
Blend of Sugar Snap™ peas, bias-cut yellow carrots, bias-cut carrots, and broccoli florets.
GF 4 lb. bag
#8640....$8.99
Fajita Blend
Onion strips, with red, green and yellow bell pepper strips.
GF 4 lb. bag
#2069.....$7.99
Chopped Onions
GF 2 lb. bag
#5772.....$3.99
Omelet Blend
Blend of diced red and green peppers & onions.
GF 2 lb. bag
#3216....$4.99
All of our vegetables are non-GMO, Grade A, restaurant-quality.
**Winter Mix**
A blend of 60% broccoli cuts and 40% cauliflower florets.
GF 2 lb. bag
#6388…….$4.99
**Normandy Blend**
Blend of broccoli, cauliflower, sliced carrots, zucchini and yellow squash.
GF 4 lb. bag
#1266…….$8.99
**Brussels Sprouts**
GF 2 lb. bag
#6381…….$4.99
**Sunshine Carrots**
Blend of sweet, bias-cut orange and yellow carrots.
GF 4 lb. bag
#5520…….$6.99
**Malibu Blend**
Cut broccoli, cauliflower, and carrots. Certified sustainable.
GF 4 lb. bag
#1346…….$9.99
**Capri Vegetables**
Blend of julienne-cut carrot strips, bias-cut green beans, sliced yellow squash and zucchini.
GF 4 lb. bag
#8737…….$7.49
**Garden Blend**
Blend of broccoli, cauliflower, green beans, carrots, zucchini, yellow squash, and red peppers.
GF 4 lb. bag
#3221…..$7.99
**Simple Goodness Parisian Carrots**
Imported from Belgium, Parisian carrots are small and round with incredibly sweet flavor.
GF 2.5 lb. bag
#1349….$6.99
**Chalet Garlic Butter Vegetables**
Broccoli and cauliflower florets, with julienne orange and yellow carrots in a sauce of butter, roasted garlic, salt and pepper.
GF 2 lb. bag
#7791…….$7.49
**Baja Vegetable Roast**
Blend of roasted super sweet corn, cut corn, black beans, red and green bell peppers, onions and green chilies.
GF 2 lb. bag
#5353…..$7.49
**Petite Peas**
GF 2.5 lb. bag
#6208….$5.99
**Peas & Pearl Onions**
GF 2.5 lb. bag
#6385…….$5.49
**Super Sweet Whole Kernel Corn**
Picked at the peak of freshness then flash frozen to lock in sweet flavor, color, and texture.
GF 2.5 lb. bag
#1090….$4.99
**Roasted Vegetable & Pasta Blend**
Delicious pasta and vegetable blend roasted with an herb and garlic seasoning.
2.5 lb. bag
#1297…..$7.99
**Exotic Grains & Fire Roasted Vegetable Blend**
Red & brown rice, black beans, roasted sweet corn, red quinoa, tomato, peppers, onion, and amaranth, and southwestern seasoning.
GF 2.5 lb. bag
#1690….$13.99
Would you like fries with that?
**SIDES | FROZEN**
**Gold Sweet Potato Straight-Cut Coated Fries**
Coated Sweet Potato Fries, Grade A. Bake or fry.
6/2.5 lb. bags / 15 lb. case
#4979....$34.99
**SMALLER PACK**
Gold Sweet Potato Straight-Cut Coated Fries
2.5 lb. bag
#1211....$7.49
**Golden Crinkles French Fries**
Grade A, crinkle-cut potatoes. 0 Trans Fat. Value size bag.
GF 8 lb. bag
#1120....$11.49
**Beer Battered Skinless 5/16” Thin French Fries**
Premium craft beer batter makes these extra-long, thin-cut fries perfect as a side or appetizer.
5 lb. bag
#1762....$13.99
**3/8” Regular Cut French Fries**
Traditional, regular-cut French fries. Fry or bake.
GF 6/5 lb. bags
#2412....$29.99 | $5.00 per bag
**SMALLER PACK**
3/8” Regular Cut French Fries
#1213 GF 5 lb. bag....$5.99
**Redstone Canyon Spiral Cut Fries**
Light seasoned batter coating. Bake, or fry.
CN labeled.
4 lb. bag
#2419....$8.99
**Cross-Trax® Waffle Fries**
Skin-on, ready to cook criss-cut potatoes. Frozen. Bake or fry.
2.5 lb. bag
2416....$10.99
**Cracked Black Pepper Fries with Sea Salt & Garlic Seasoned French Fries**
Skin-on, bake and fry.
3/8” 15 lb. bag
#1299 ....$11.99
**Smiles® Shaped Potatoes**
Fun, smiley-faced battered mashed potatoes. Bake or fry. CN label.
4 lb. bag
#2417....$10.99
**Piccadilly Old English Style Fries**
Authentic batter-dipped English-style fries. Bake or deep fry.
5 lb. bag
#6761....$10.99
**Quincy Gold**
**Loose Shredded Hash Browns**
GF 6/3 lb. bags, 18 lb. case
#2418....$27.99 | $4.67 per bag
**SMALLER PACK**
Loose Shredded Hash Browns
An AP bestseller for over a decade.
#2421 GF 3 lb. bag ....$5.99
**Tater Tots**
Bake or fry. CN label.
GF 8 lb. bag
#2425....$11.99
RoastWorks Baby Baker Halves with Parmesan and Herbs
Fresh roasted potato flavor in a miniature size, seasoned to perfection with herbs and parmesan.
2.5 lb. bag
#1985....$9.49
Photo shows recipe suggestion.
Three Cheese Twice Baked Potatoes
Creamy whipped potatoes in the half shell make an effortless side to any meal. Fully cooked.
12 / 5 oz. pack
#1157....$12.99
Photo shows recipe suggestion.
Flav-R-Pac
Roasted Redskins with Rosemary Seasoning
Red potatoes lightly seasoned a blend of rosemary, garlic, and onion flavors.
GF 2.5 lb. bag
#2068....$5.99
LambWeston
Redskin Salad Dices
5/8" cubed potatoes.
GF 6 lb. bag
#2028....$12.99
Potato & Cheddar Cheese Pierogies
Tender pasta dumplings filled with a creamy blend of mashed potatoes and cheddar cheese. Boil, pan fry, oven bake, deep fry or steam.
6 lb. bag
#5621....$17.99
Loaded Baked Potato Pierogies
Sharp cheddar cheese, sour cream and chives, whipped potatoes seasoned with bacon Frozen.
6 lb. bag
#4991....$20.99
Compare to Schwan’s Pierogies at $4.00 per lb., and save .83 per lb.!
Golden Hash Brown Patties
Approx. 120 patties
GF 6/2.8 lb. bags
#2429....$32.99
SMALLER PACK
Golden Hash Brown Patties
Bake or fry. 2.25 oz. patties.
Approx. 20 patties.
GF 2.8 lb. bag
#2427....$6.49
LambWeston
Roasted Garlic Mashed Redskin Potatoes
Creamy “skin-in” redskin homestyle mashed potatoes blended with real roasted garlic. Frozen. GF
{3/4 lb. bags (12 lb.)}
#7944....$27.99
Country Style Cuts
Cut straight from the heart of the sweet potato.
GF 5 lb. bag
#5968....$10.99
Mixed Fruit Blend
Blend of strawberries, pineapple, mango, and peaches. No sugar added.
GF 5 lb. bag
#2032....$15.99
Triple Berry Blend
Sweet, colorful blend of blueberries, raspberries, and blackberries.
GF 3 lb. bag
#1215....$11.99
May experience shorts due to crop challenges.
Chef-Ready Diced Strawberries
Premium-quality sweet strawberries, perfect for fruit salsas, drinks, and jams.
GF 5 lb. bags
#2832....$27.99
Wild Blueberries
Leading antioxidant superfruit!
Smaller berries.
GF 5 lb. bag
#1218....$14.99
Blackberries, Whole
Picked fresh at sweet-tart perfection!
GF 5 lb. bag
#1221....$14.99
Mixed Berries, Whole
Strawberries, red raspberries, blackberries, and blueberries.
GF 5 lb. bag
#1223....$15.99
Peach Slices
Uniform, blemish-free, Grade A IQF peaches.
GF 5 lb. bag
#7841....$14.99
Sunrise Fruit Medley
Peaches, Strawberries, Honeydew, Pineapple and Blueberries.
GF 5 lb. bag
#4985....$14.99
Mango Chunks
Sweet chunks, perfect for colorful fruit salsas.
GF 3 lb. bag
#2655...$8.99
Sliced Bananas
GF 5 lb. bag
#2835....$12.99
Cherry Berry & Kale
Strawberries, blueberries, and cherries with kale.
GF 3 lb. bag
#1216....$11.49
Dark Sweet and Red Tart Cherries
GF 2 lb. bag
#1217....$9.49
Mango Berry & Wild Blueberry Blend
Mangoes, strawberries, and wild blueberries.
GF 3 lb. bag
#9221....$10.99
Whole Strawberries
Juicy strawberries for smoothies, pies, and jams.
GF 3 lb. bag
#1214...$8.99
Raspberry Crumbles
100% raspberry pieces minimize crushing for deliciously fruity jams and baked goods.
GF 2.5 lb. bag
#2830....$7.99
Raspberry Crumbles
GF 10 lb. case (4/2.5 lb. bags)
#2831....$27.99
Red Raspberries, Whole
GF 5 lb. bag
#1219....$17.99
Make breakfast a mini vacation!
**Tropical Berry & Coconut Blend**
Vibrant, juicy mango and pineapple chunks, strawberries, and coconut chunks. Delicious in smoothies!
GF 3 lb. bag
#2658…Reg. $10.49 | Sale $9.49
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**Give your smoothie a boost!**
**Monk Fruit Zero Calorie Sweetener**
100% Natural and low-glycemic. Use just like Sugar (1:1 Ratio), No Aftertaste. Use it just like sugar in your favorite recipes, beverages and more. Keep the sweetness not the calories or the blood sugar crash!
GF 16 oz. bag
#1745….$13.99
**Naturally Refined Organic Coconut Oil**
Use small amounts of coconut oil to thin chocolate for dipping.
GF 28 oz. jar
#8287….$7.99
**USDA Organic Agave with Fiber**
Natural, low-glycemic sweetener. Can be used in baking and canning, too.
GF 78 oz. bottle
#3522…Reg. $19.99
Sale $17.99
**Naturally Refined Avocado Oil**
GF 1000 ml/33.8 oz. bottle
#3516….$15.99
47¢ per oz.
**Almond Milk**
No cholesterol or saturated fat, and is free of dairy, soy, lactose, gluten, casein, egg and MSG. Non-GMO.
GF 6/1 qt. case
#1457….$20.99
**Original Almond Milk**
GF 6/1 qt. case
#1456….$18.99
**PBfit Peanut Butter Powder**
1/3 the calories and 75% less fat. Non GMO and all-natural. Just peanuts, sugar, salt.
GF 30 oz. jar
#3521….$14.49
**Organic Chia Seeds**
High in protein, fiber, and more plant-based Omega-3 than any other food. GMO free.
GF 1.25 lb. Container
#8941….$8.99
**Oatsome Oat Milk**
Non-dairy, smooth, creamy beverage that has the ability to froth too. Use it in your favorite drinks, baking, and cereals. Organic, nut-free, non-GMO, and vegan. 12 month shelf life. 4 sugg. This was a BIG hit at our 2019 Food Show!
6/1 L. case
#1907….$17.99
**LIVfit ™ Superfood Blend**
Fruits, vegetables, vegan proteins, prebiotics, and fiber that have been shown to enhance muscle mass, increase energy, improve cognitive function, encourage digestive health, boost the immune system and fight off aging oxidation of cells in your body. - 35% of daily Vitamin E - 35% of Vitamin C - 35% Vitamin A - Contains green tea - 100% B6, B12, thiamin, riboflavin - 5 g of vegan protein
GF 12.7 oz. (360 gram) bag
#3514….$15.99
**LIVfit Superfood Organic Antioxidant Fruit & Fiber Blend**
Jam fiber, protein, antioxidants, vitamins, and superfoods like turmeric into your life. This mix of fruits, veggies, and plant-based proteins has a neutral, unsweetened taste that begs to be added to your favorite foods. Six grams of protein, 5 g. Fiber, plus three different super fruits, and 1,000 mg omega 3.
GF 8 lb. bag
#1539….$14.99
**Stuffed Cheese Bread Sticks**
Fluffy mozzarella-cheese-filled breadsticks.
36/7" sticks.
#5620....$24.99
**Stuffed Pizza Sticks**
Bread sticks loaded with real mozzarella cheese, tangy tomato sauce and pieces of pepperoni.
32/4" sticks
#5795....$14.99
**Deep Dish Cheese Pizzas**
Pizzeria quality! Premium pizza sauce and 100% Real Mozzarella cheese.
12 ct./7" pizzas
#5666....$24.99
**Pepperoni Pizza**
5" IW, 12/6 oz. case
#6250....$26.99
**Meat Trio Pizza**
Sausage, pepperoni and ham.
5" IW, 12/5.44 oz. case
#6249....$26.99
**Rip N Dip Pepperoni Stuffed Pizza Ring**
Freshly sliced pepperoni and naturally blended cheeses wrapped in fluffy pizza dough. Includes Marinara Sauce dipping cups.
12/8.5 oz.
#7277....$32.99
**Chicken Pot Pies**
We create each pot pie from scratch. Filled with juicy meat, tender vegetables, and our signature golden, flaky crust.
8 pies/10 oz.
#2393....$15.99
*Compare our cost of just $2.00 each to $2.89 each at the grocery store and save 31% with API!*
**Grilled Chicken Alfredo Bake Dinners**
White meat chicken with freshly made pasta and vegetables in a three cheese Alfredo sauce. 460 calories.
8/13 oz. meals
#2050....Reg. $31.99 | Sale $29.99
**Salisbury Steak Meals**
Salisbury steak with roasted potatoes and home-style gravy with cheesy broccoli & cauliflower. 420 calories.
8/14 oz. meals
#2051....Reg. $31.99 | Sale $29.99
**Pepperoni Pizza Rolls**
Pepperoni pizza toppings rolled into a snackable crust. Frozen. Microwave or oven bake.
90 ct. / 44.5 oz. bag
#2430....$11.99
**Pepperoni Pizza**
Pepperoni pizza filling wrapped in a garlic buttery seasoned crust for a handheld lunch.
4.5 oz. / 17 ct.
#1282....$19.99 | $1.18 each!
**Macaroni & Cheese Frozen Pouches**
Microwave, or heat pouch in boiling water, then slice open and serve.
36/7 oz. pouches
#7881....Reg. $47.99 | Sale $43.99
Soft Baked Pretzels
Traditional chewy recipe!
20 ct. box
#1472....$12.99
Pretzilla Bites Soft Pretzels
Light and airy, 1 1/2" soft pretzel bites with just a touch of sweetness. Unsalted. Delicious with savory or sweet dips and toppings. Approx. 96 bites.
2 lb. bag
#1748...Reg. $15.99 | Sale $14.49
Breaded Pickle Chips
Sliced pickles coated in breading with a hint of spice.
2.5 lb. bag
#1275....$13.99
Beer Battered Zucchini Slices
Fresh crinkle cut zucchini slices coated in our crispy butter-golden batter.
3 lb. bag
#1072....$12.99
Cream Cheese Breaded Stuffed Jalapenos
Mild jalapeno peppers stuffed with cream cheese and breaded to perfection.
2 lb. bag
#1272....$13.99
Battered Spicy Jalapeno & Cheddar Corn Nuggets
Fire-roasted corn, jalapenos and red peppers in a cheddar cheese blend coated in crispy cornmeal batter.
3 lb. bag
#2065....$14.99
Battered Mac & Cheese Wedges
Creamy Cheddar cheese mixed with stick macaroni in a crispy Cheddar batter.
3 lb. bag
#1271....$18.99
"Cheddar Pints"
Battered Cheese Curds
Real Wisconsin white cheddar cheese curds battered in Brew City's one-of-a-kind crispy beer batter.
3 lb. bag
#1273....$20.99
Beer Battered King Onion Rings
Jumbo slices of sweet onion covered in premium beer batter.
2.5 lb. bag
#1269....$11.99
Crispy Battered Green Beans
Bake or fry.
2 lb. bag
#1300....$9.49
Corn Nuggets
These sweet corn kernels coated in crispy batter are the perfect bite-sized snack.
2 lb. bag
#1274....$7.99
Butter Breaded Mushrooms
Whole mushrooms coated with our premium batter to deliver an extra scrumptious crunch.
2.5 lb. bag
#1276....$11.49
Bakeable Breaded Mozzarella Sticks
Natural, aged mozzarella in a home style breading accented with Italian spices.
3 lb. bag
#1270....$21.49
**Bridgford**
**Buttermilk Biscuits**
Fluffy, home style biscuits. Microwave to heat.
72/2.25 oz. IW
#5646... Reg. $25.99 | Sale $23.99
**SMALLER PACK**
Buttermilk Biscuits
#1321 18/2.25 oz. IW....$7.49
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**Sourdough Round**
Generous loaves of soft, chewy sourdough bread, sliced and ready for sandwiches or to serve warm with dinner.
2 / 2 lb. Loaves
#1987....$11.99
**Round Ciabatta Rolls**
24 ct./4" bun
#1051....$12.99
**7” Split Top Hoagie Buns**
Sturdy, fluffy hoagie buns for gourmet sub sandwiches, baked by our local favorite: Rocky Mountain Bread Company.
6 ct. / 2 bags
#1988 ....$12.49
Just $1.04 per large bun!
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**Cinnamon Raisin Bread**
2 / 1 lb. loaves
#1671....$8.99
**Mini Naan Bread**
Hand-stretched flatbread made with buttermilk and ghee (clarified butter). Save with our bulk case, and use for personal pizzas, tacos, dipping in hummus or oil blends, etc.. Comes frozen.
64 ct. Case/5 1/4 x 4 1/2"
#1686....$32.99
**Tuscan Mini Dinner Loaves**
Par-baked. Heat for 3-5 min. for a crisp crust.
24 / 4 oz.
#8196....$14.99
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**Janey Lou's**
**Bagel Dough**
The same gourmet bagel dough sold to well-known businesses, now available to bake fluffy bagels at home. Frozen.
60/4 oz. bagels
♦ #2078 Plain....$26.99
♦ #2060 Blueberry....$33.99
♦ #2062 Cinnamon Raisin....$31.99
Uncrustables
Soft, crustless 51% wheat bread sandwiches filled with creamy peanut butter and sweet Smucker’s jelly. IW 18/2.6 oz.
#3119 Peanut Butter & Grape Jelly
$17.99 | $1.00 each
#3120 Peanut Butter and Strawberry Jam
$17.99 | $1.00 each
Grape Uncrustables
72/2.8 oz. IW
#7579….Reg. $52.99
Sale $49.99
Strawberry Uncrustables
72-2.6 oz IW
#4290…. $52.99 | .74 each
Uncrustables Peanut Butter & Honey
Sweet and smooth honey spread meets rich and nutty Smucker’s® Peanut Butter in a crustless whole wheat sandwich.
2 oz./.14 ct.
#1437…. $4.99
Bread Loaves
Soft, fluffy loaves, perfect for sandwiches or toast.
6 Month frozen; 7-10 day thawed shelf-life.
Cottage Wheat Bread
case of 6/24 oz. loaves
#1345…. $12.49 | $2.08 per loaf
Cottage White Bread
case of 6 /24 oz. loaves
#1336…. $11.49 | $1.92 per loaf
Fancy Jam
Made in small batches with premium ingredients.
GF 15 oz. jar $5.49
♦ #8930 Harvest Peach Cobbler
♦ #3003 Red Raspberry
♦ #3005 Strawberry Rhubarb
♦ #3000 Bodacious Berry
Jif Family Size Creamy Peanut Butter
GF 4 lb. can
#2913…. $11.99
NEW! Almond Butter
Made with simple, natural ingredients—just flame-roasted almonds, coconut oil, and small amounts of sugar and salt for the best almond butter you’ve ever tasted.
11.5 oz. jar
#1370…. $9.49
Nutella Spread
Velvety hazelnut spread.
GF 26.5 oz. jar
#7338…. $8.99
Cheeseheads String Cheese
Stringy mozzarella cheese sticks. 80 calories; 6 grams of protein.
GF 1 oz. / 60 ct.
#4972…. $15.99
Just 27¢ each!
Compare our price of just 27¢/stick to 39¢/stick at local grocery stores!
Hard Salami Slices
Smoked, robust flavor from a seasoned blend of pork and beef, cured and slow-aged.
GF 2 lb. bag
#1688…. $12.99
Folios Parmesan Cheese Wraps
Lightly baked sheets of cheese. Ready to crisp, wrap, roll or melt for carb-free, high-protein meals.
GF 10/1.5 oz.
#1719…. $13.99
Shredded Cheddar Jack Cheese
Fancy shredded blend of cheddar and Monterey Jack cheese.
GF 2.5 lb. resealable bag
#1860…. $10.49
Tillamook Medium Cheddar Shredded Cheese
GF 2.5 lb. bag
#1866…. $13.49
REAL Kraft® Fresh Grated Parmesan Cheese
Save with our bulk bag compared to the green can.
GF 1 lb. bag
#1683…. $9.99
“This is by far the biggest staple in our house. My kids LOVE this brand and this is the best deal we have found on it. It has the best taste. Definitely a must have!”
Ashley Baldwin,
Wildrose, ND
“I love these so much! As a low-carb option, this definitely satisfies my taco and wrap cravings. I have used them baked and also cold. Very delicious!”
Barbie Martin
Anamoose, ND
You might notice some missing cheese products on this page. Sadly, our 35-year-old commercial cooler has died, and after much consideration, we’ve decided not to replace it at this time. Allison’s Pantry will no longer be offering refrigerated products. ALL items on this page will now be shipped frozen. Please be aware that this includes the cheese and Folios products shown.
**Delizza**
**Belgian Mini Cream Puffs**
Frozen; thaw & serve.
3 lb. 5 oz. tub / 120 ct.
#1350….$15.49
**NEW! Delizza Macarons Assortment**
The perfect little indulgence! Delicate almond meringue cookies; two each of these assorted flavors: Vanilla, Pistachio, Lemon, Raspberry, Chocolate, Salted Caramel.
12 ct. / 4.65 oz. box
#2039….$7.99
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**Janey Lou’s**
**Cinnamon Rolls**
Frozen proof-and-bake cinnamon roll dough with homemade flavor. Frozen.
60 / 4 oz. rolls
#9134….$38.99
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**Alison’s Pantry**
**Cream Cheese Icing**
Comes frozen.
GF 3 lb. tub
#8388….$13.99
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**Bridgford**
**Cinnamon Monkey Bites**
Tender bite-sized pull-apart pieces of sweet bread coated in a sticky cinnamon glaze. Frozen. Ready to heat and eat!
Pair with our Dawn White Icing (#1910) for an easy topping!
5/32 oz. trays
#2052….Reg. $31.99 | Sale $29.99
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**White Flat Icing**
Squeezable shelf-stable white icing for drizzling over turnovers and other pastries. Dries solid and not sticky, just like treats from a bakery!
Professional product; not sold in grocery stores.
2 lb. tube
#1910….$5.99
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**Fill with our new Cheesecake Filling and Fruit Toppings (pg. 4)!**
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**Keebler**
**Graham Tart Shells, 3”**
Ready to eat mini graham crusts.
Shipped frozen.
18 ct.
#1422….$7.99 | Just 44¢ each
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**Peanut Butter Crispy Bars**
Thaw-n-Serve. Not Pre-Cut. 4-½ sheet pans.
Yields 16-2 x 2 bars per sheet, or 64 bars.
#6917….$34.99
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**Orange Bakeries, Inc.**
**Strawberry/Cream Cheese ‘Strudel Bites’ Pre-Sugared**
Thaw and bake.
252/.8 oz.
#2106….$36.99
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**Chocolate Chunk Cookie Dough**
Make fresh buttery cookies loaded with rich chocolate chunks with our easy place-and-bake cookie dough packs.
120/1.5 oz. cookies
#1830….$35.99 | Just .30 per cookie!
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**Fruit Turnovers**
Flaky pastry wrapped around premium fruit fillings. Thaw & bake pre-proofed product. 60/4 oz.
- **Cherry** #1889….$40.99
Just 68¢ each
- **Apple** #1199….$32.99
Just 55¢ each
- **Blueberry** #1890….$41.99
Just 70¢ each
**Belgian Custard Mini Eclairs**
Chocolate topped Belgian mini eclairs filled with a rich Bavarian custard cream. Frozen; thaw & serve.
24.6 oz. tub / 50 ct.
#1351….$13.49
**Tuxedo Dessert Assortment**
Decadent assortment of mini eclairs, hazelnut cream puffs, mini chocolate rolls, and mini strawberry rolls. 52 mini pastries. Thaw & serve.
1.76 lb. box
#1673….$21.99
**Nestle Toll House Chocolate Chip Cookie Dough**
Ready-to-bake dough. Ships frozen.
Yield: Approx. 81 cookies.
5 lb. tub
#3677….$12.99
**Sqwincer Sqweeze Assorted Electrolyte Freezer Pops**
Not just sugar water! No HFCS, lower sodium, and more potassium for serious hydration; 10 pops in 5 flavors: orange, mixed berry, cherry, grape and lemon-lime.
3 oz. / 10 ct.
#1071….$4.99
**Gluten Free 4” Sugar Cookies**
The best GF cookies we’ve ever tasted!
Their special recipe has homemade flavor and texture. Individually wrapped.
Ships frozen.
4”/ 12 ct. box
#1481….$18.99
**Nutty Buddy Wafer Bars**
Layers of real peanut butter with light, crisp wafers are covered in a delicious fudge coating. Individually wrapped.
24 ct. box.
#6190….$5.99 | Just 25c each
**Oatmeal Cookies with Crème**
Two oatmeal cookies are sandwiched together with vanilla crème filling.
24 ct. box
#7036……$4.99 | Just 21c each
**Premium Original Granola**
50 oz. bulk bag
#5768….$11.99
**NEW! Cosmo Blast Brownies**
Dark, chewy generously-sized brownies topped with fudge icing and colorful candy coated chocolate pieces.
6/4 oz. brownies
#1768….$4.99
**NEW! Frosted Mini Donuts**
Six mini cake donuts with fudge icing per pkg. (72 mini donuts)
12 pkgs.
#1769….$8.99 | .75 per pkg.
---
**FREE OFFER**
Purchase $15 in Fieldstone products and qualify to receive a free 24 ct. box of Nutty Buddy Wafers. Use Code #1425.
**Spice up your recipes!**
**FRESH BULK SPICES MEAN BIG SAVINGS.**
*All spices sold in 1 lb. bags unless otherwise noted.*
### MENU ESSENTIALS
| Item | Code | Price |
|-------------------------------------------|--------|-----------|
| Applewood Seasoning Rub | #5990 | $7.99 |
| Basil, Imported, Cut/sifted GF | #1443 | $7.49 |
| Bay Leaves, ½ lb. GF | #1753 | Sale $10.99 |
| Celery, Diced, ½ lb. GF | #3232 | $7.99 |
| Celery Salt GF | #1427 | $4.99 |
| Chili Powder, Mild GF | #1014 | $8.49 |
| Cumin, Ground GF | #1442 | $8.99 |
| Garlic and Herb Seasoning GF | #5408 | $7.99 |
| Garlic Granules GF | #1948 | $12.99 |
| Garlic, Minced GF | #1020 | $12.99 |
| Garlic Pepper GF | #1018 | $13.99 |
| Garlic Powder GF | #1021 | Sale $10.99 |
| Garlic Salt, Classic GF | #1019 | Sale $3.99 |
| Garlic Supreme GF | #2592 | $10.99 |
| Mustard Seed Powder GF | #1428 | $6.49 |
| Onion, Chopped GF | #1026 | $7.99 |
| Onion Salt, Classic Blend GF | #1024 | $4.99 |
| Onion Powder GF | #1027 | $7.49 |
| Oregano, Mediterranean GF | #1445 | $12.99 |
| Paprika, Mild GF | #1697 | $8.99 |
| Parsley Flakes, ½ lb. GF | #1426 | $7.99 |
| Pepper, Black, Table Grind GF | #1029 | Sale $13.49 |
| Pepper, Black, Coarse Grind GF | #1028 | $15.99 |
| Peppercorns, Whole, Black GF | #1030 | $15.49 |
| Seasoning Salt GF | #1033 | $4.99 |
| Smoky Maple Herb Seasoning GF | #4576 | $6.99 |
| Thyme, Cut & sifted, ½ lb. GF | #1444 | $6.49 |
| Turmeric, Ground GF | #1832 | $7.99 |
| Ultimate Onion Blend GF | #4575 | $6.99 |
### Sea Salt
Healthy alternative to more-refined table salt.
- GF 16 oz. container...$4.49
- #1146 Fine
- #1147 Coarse
### Pure Powdered Vanilla
Contains no alcohol, so none of the beautiful flavor bakes out.
- GF 3-4 oz. jars
- #8627....$39.99 | $13.33 per bottle
- GF 4 oz. jar
- #8626....$14.99
### Delicious caramelized on fresh peaches or pineapple on the grill!
**Cinnamon Vanilla French Toast Sugar**
Saigon Cinnamon, sugar and vanilla flavoring.
1 lb. bag
#1536....Reg. $5.49
Sale $4.49
“The AP Cinnamon Vanilla French Toast Sugar (#1536) is a staple next to my butter by my toaster. My kids and I love cinnamon toast and this is an amazing combination. It’s also great for homemade cinnamon rolls and for topping cobbler!” Emily Young, Roosevelt, UT
### Everything Bagel Seasoning
Use this blend of garlic, salt, poppy seeds, sesame seeds, and onion to top baked potatoes, homemade breads and rolls, or on our plain bagel dough (#2078) for “everything” bagels.
GF 1 lb. bag
#1826....Reg. $8.99 | Sale $6.99
“I put Everything Bagel Seasoning on everything…my veggies, scrambled eggs, cream cheese on celery, fried potatoes. Right now my obsession is green beans with a little bit of olive oil and the Everything Bagel Seasoning in the air fryer for about 12-15 minutes at 360 degrees.”
Jennifer Mitchell, Broadwater, NE
### Italian n’ Pizza Seasoning
Savory blend of garlic, oregano, basil, and marjoram.
GF 1 lb. bag
#1432....Reg. $9.49 | Sale $7.99
“We use the AP Italian N’ Pizza Seasoning for pizza and so much more! We sprinkle it on the crust before tossing it in the oven. I also add a 1-2 Tbsp. to a 6 oz. can of tomato sauce for an instant pizza sauce or dipping sauce. I use it with oil and vinegar for an Italian salad dressing. So much versatility!”
Stacey Izatt, AP Regional Sales Manager
### SPICES IN CONTAINERS
The following spices come packaged in **tall, clear plastic containers** that fit beautifully on your shelf! Saves the extra step of transferring your bagged spices into your own containers.
| Item | Code | Price |
|-------------------------------------------|--------|-----------|
| Cinnamon Vanilla French Toast Sugar GF | #3894 | $10.99 |
| Garlic Supreme GF 1 lb. container | #6112 | $12.99 |
| Montreal Steak Seasoning GF | #4227 | $11.99 |
| Olé Taco Seasoning | #1846 | $8.49 |
| Onion, Chopped GF 1/2 oz. container | #1847 | $9.49 |
| Onion Soup & Dip GF 1½ lb. container | #1845 | $12.49 |
| Rosie’s Ranch Buttermilk Dressing GF | #3893 | $11.99 |
| Seasoning Salt GF 2 lb. container | #1849 | $8.49 |
#### 16 oz. Clear Square Plastic Jar with Shaker Flip Lid
12/16 oz. jars
#4435....$11.99
#### Single 16 oz. jar
#1526....$1.49
#### 32 oz. Clear Plastic Spice Jars with Shaker Flip Lid
12/32 oz. jars
#5129....$14.49
#### Single 32 oz. jar
#1228....$1.99
#### Clear Round Spice Containers
- **Black Lid**
- 8 oz., 5" tall
- #1233....$1.49
- **Mini Red Lid**
- 3.5 oz., 4" tall
- #1234....$1.49
## Sprinkles for Every Table
| Product | Code | Regular Price | Sale Price |
|--------------------------------|--------|---------------|------------|
| Cinnamon Vanilla | #1536 | $5.49 | |
| French Toast Sugar GF | | $4.49 | |
| Everything Bagel Seasoning GF | #1826 | $8.99 | |
| French Fry Seasoning GF | #1441 | $5.99 | |
| Salad Sprinkles Supreme | #1701 | $9.99 | |
## Meal Musts
| Product | Code | Regular Price | Sale Price |
|--------------------------------|--------|---------------|------------|
| Baja Chili Lime Seasoning GF | #7664 | $10.99 | $8.99 |
| Caribbean Jerk Seasoning | #1724 | $6.99 | |
| Carne Asada Seasoning GF | #7378 | $7.49 | $5.99 |
| Chili Seasoning Mix | #1015 | $6.99 | |
| Citrus Grill Seasoning | #1754 | $7.99 | |
| Emma’s Enchilada Seasoning | #1016 | $5.99 | |
| Fabulous Fajita Seasoning GF | #1017 | $8.49 | |
| Hearty Bean Seasoning GF | #1670 | $8.99 | |
| Italian ‘n Pizza Seasoning GF | #1432 | $9.49 | $7.99 |
| Leah’s Lemon Pepper GF | #1022 | $8.49 | |
| Mom’s Meatloaf Seasoning | #1582 | $9.99 | |
| Montreal Chicken Seasoning GF | #7746 | $7.99 | |
| Montreal Steak Seasoning GF | #1023 | $6.99 | |
| Mucho Mexican Seasoning | #2816 | $6.99 | |
| Mushroom Soup & Stroganoff GF | #1672 | $7.99 | |
| Olé Taco Seasoning | #1037 | $6.99 | |
## Baking Spices
| Product | Code | Regular Price | Sale Price |
|--------------------------------|--------|---------------|------------|
| Cinnamon, Ground Saigon GF | #3626 | $11.99 | |
| Cinnamon, Ground Korintje GF | #1005 | $9.99 | |
| Ginger, Ground GF | #1420 | $8.99 | |
| Orange Zest Granules, ¼ lb. GF | #1169 | $7.49 | |
| Signature Cinnamon Blend | #1678 | $18.99 | |
| Zesty Lemon Zest, ¼ lb. GF | #1433 | $6.99 | |
## Dips & Dressings
| Product | Code | Regular Price | Sale Price |
|--------------------------------|--------|---------------|------------|
| Dilly Dill Dip Mix GF | #1421 | $7.99 | |
| Guacamole Seasoning, ½ lb. GF | #2588 | $5.99 | $4.99 |
| Italian Salad Dressing Seas. GF| #1698 | $7.49 | |
| Lip Smackin’ Chipotle Ranch GF | #2589 | $7.99 | |
| Onion Soup & Dip GF | #1025 | $6.99 | |
| Popeye’s Spinach Dip Mix GF | #1423 | $9.99 | |
| Rosie’s Ranch Buttermilk Salad Dressing Mix GF | #1032 | $6.99 | |
| Salsa Seasoning GF | #1898 | $8.49 | |
## Canning Spices
| Product | Code | Regular Price | Sale Price |
|--------------------------------|--------|---------------|------------|
| Alum Powder GF 1lb. bag | #1439 | $7.99 | |
| Celery Seed, Whole GF 8 oz container | #1409 | $5.99 | |
| Dill Seed, Whole GF 1lb. bag | #1530 | $6.99 | |
| Dill Weed, GF 2.5 oz. container | #1410 | $5.99 | |
| Pickling Spice Blend GF 10 oz container | #1411 | $7.49 | |
| Mustard Seed Whole Yellow GF 1lb. Bag | #1412 | $5.99 | |
## Cornaby’s Jam in a Jiffy
The simplest way to make freezer jam! Just add dry mix to 2 lbs. of crushed fresh or frozen fruit and stir. Yield: approx. 6 cups of jam.
GF 18 oz. bag #8732....$4.99
## Cornaby’s E-Z Gel
Non-GMO cornstarch that can be directly added to any liquid, hot or cold, for instant thickness. Perfect for canning or freezing.
GF 16 oz. bag #8733....$10.99
## Guacamole Seasoning
Just add 1 Tbsp. to 2 mashed avocados for perfect guacamole.
GF 1 lb. bag #2588....Reg. $5.99 | Sale $4.99
“Better than most restaurants! Love this seasoning! Let it sit so that it softens up and the flavor sets in. I even add a little lime juice for added zing. Great with chips, crackers or on a chicken sandwich or hamburger.”
Lindsey Geisinger, Minot, ND
## Black Pepper
Fresh ground for AP orders!
1 lb. bag #1029....Reg. $15.49 | Sale $13.49
## Carne Asada Seasoning
Enjoy as a dry rub, or as a marinade with just the addition of water.
GF 1 lb. bag #7378....Reg. $7.49 | Sale $5.99
“The first time I used this I couldn’t believe how amazing it smelled! It’s delicious on steak and chicken… sweet and spicy, but not too hot. You can also put it on chicken in the crock pot for a deliciously flavored shredded chicken.”
M. Mickelson
“I love to use the AP Baja Chili Lime Seasoning. It’s great on all cuts of chicken or pork, but my favorite use of it is on grilled shrimp. Just enough flavor to enhance and not overpower.”
Stacey Izatt, AP Regional Sales Manager
**Old Fashioned Buttermilk Pancake Mix**
Tasty, old-fashioned, fluffy pancakes and waffles. Yield: 115/4" pancakes. Just add water.
4 lb. bag
#1822....$6.99
**BULK Pancake Mix**
Yield: 718 pancakes.
25 lb. bag
#2128....Reg. $33.99 | Sale $31.99
“We love pancakes, so this is a staple in our house. This is a great mix and you only have to add water. We like to also mix in chocolate chips, cinnamon chips, or peanut butter chips for some fun!”
April Pearson, Glasgow, MT
---
**Conestoga Sweet Cream Pancake Mix**
Just add water.
5 lb. bag
#7435....$11.49
---
**Sweet Potato Pancake & Waffle Mix**
No artificial ingredients or preservatives.
4 lb. bag
#1967....$12.99
---
**Mini Baking Cups**
Use for candy, mini muffins, nut cups, fudge, chocolates, crafts.
500 ct.
#2058.....$6.99
---
**Baking Cups**
White standard paper baking cups.
500 ct.
#1646.....$6.99
---
**Texas Size Baking Cups**
2 3/4" x 1 7/8" wax baking cups
500 ct.
#1580....$14.99
---
**Delectable Blueberry Muffin Mix**
Customer-favorite mix for tender bakery-style blueberry muffins.
45/2 oz. muffins
4 lb. bag
#2308....$11.99
---
**Scrumptious Raspberry Muffin Mix**
Craft fluffy muffins with juicy raspberry-flavored bits.
45/2 oz. muffins
4 lb. bag
#2309....$11.99
---
**Professional Homestyle Cornbread Mix**
Commercial mix bakes fluffy, slightly sweet cornbread with a finer grain.
5 lb. box
#2130....$9.99
---
**Professional Buttermilk Biscuit Mix**
Commercial mix for tender, mildly sweet buttermilk biscuits. Yields 8 doz., 2" biscuits
5 lb. box
#2129....$9.99
---
**10-Calorie Spreadable Fruit**
Our fresh fruit spreads taste too good to be so healthy! Over 95 percent fruit and a touch of Stevia. Made with Utah fruit picked at the peak of ripeness. Provides vitamins, minerals and a boost of antioxidants.
11.5 oz. jar....$5.99
♦ #2997 Cherry Pie
♦ #2999 Raspberry Cheesecake
♦ #2996 Mountain Berry Cobbler
---
Back by popular demand!
Pumpkin Chocolate Chip Cookie Mix
An old-fashioned favorite; soft and spicy pumpkin cookies with chocolate chips nestled throughout.
96/2” cookies.
4 lb. bag
#1966....$11.99
Richly Delicious Fudge Brownie Mix
Premium fudgy flavor and incomparable texture make this mix one of our most popular mixes.
72/2 x 2” brownies /4 lb. bag
#1824....$10.99
Oatmeal Jumble Cookies
Just add water and butter for cookies with old-fashioned flavor. Add nuts, raisins, or chocolate chips (not included) for your personal touch!
Yield: 30/ 2 ½” cookies
23 oz. bag
#1594....$6.49
Snickerdoodle Cookie Mix
Just add water and shortening.
Yield: 30 (2 ½”) cookies.
23 oz. bag
#5243...$6.49
Ginger Molasses Cookie Mix
Just add water and shortening.
Yield: 30 (2 ½”) cookies.
23 oz. bag
#5299...$6.49
Chocolate Crinkle Cookie Mix
Just add water.
Yield: 30 (2 ½”) cookies.
23 oz. bag
#5244 ...$6.49
Marvelous ‘n Chewy Macaroon Mix
60/1” cookies
4 lb. bag
#1965....$18.99
Heavenly Angel Food Cake Mix
Just add water. Yields 5/18 oz. cakes.
4 lb. bag
#2815....$18.99
Classic Crème Cake & Muffin Mix
Professional mix for premium cakes.
4 lb. bag
#1823....$7.99
"I love the variety of cakes I can make with the Classic Crème Cake & Muffin Mix (#1823). My kids love the white cake mix and a special frosting. Use white frosting and add 1-2 teaspoons (or to your taste) of Jell-O or Kool-Aid for a different taste!"
Heather Nield
Gluten Free 1-to-1 Baking Flour
Use as a direct replacement for all-purpose baking flour.
GF 44 oz. bag #1277....$8.99
Turkey Brand Strong Baking Flour, Unbleached
All-natural, unbromated, non-GMO flour made from local wheat.
25 lb. bag #2285...$13.99
Saf Instant Yeast
GF 1 lb. Package #2446...$4.99
Find a recipe for homemade hamburger buns at blog.alisonspantry.com!
What makes Ghirardelli chocolate better?
Each velvety smooth product is a carefully balanced blend of the finest ingredients, including real cocoa butter, unsweetened chocolate, and just the right touch of sugar.
Unsweetened Dutch Process Baking Cocoa
GF 2.5 lb. bag #6282....$12.99
Real Milk Chocolate Chips
GF 3 lb. bag #1302....$16.99
Real Semi-Sweet Chocolate Chips
GF 3 lb. bag #1305....$13.99
Semi-Sweet Mini Chips
GF 2.5 lb. bag #7121....$12.49
Gerkens® Mini Cinnamon Drops
For baking use only; not to be eaten as candy.
GF 2 lb. bag #2776......$6.49
Dark Chocolate Baking Chips
*No Sugar Added
*Botanically Sweetened with Stevia
*Made with Non-GMO Ingredients
GF 9 oz. bag #1732....$7.99
Mexican Vanilla Bean Honey
Try our Mexican Vanilla Bean Honey on toast, scones, cornbread, or peanut butter sandwiches. Absolutely delicious in coffee, tea, or smoothies.
9 oz. jar #1912....$14.99
Mexican Vanilla Paste
All-natural. No additives or preservatives.
GF 8 oz. jar #6945....$19.99
Original Mexican Vanilla
All-natural, smooth and rich vanilla makes baked goods shine.
• 8.4 oz. GF #6702.....$18.99
• 16.7 oz. GF #6919....$27.99
Imitation Almond Extract
Clear, colorless extract with smooth nutty almond flavor.
GF 1 pt. bottle #1081....$7.99
Golden Brown Pure Cane Sugar
Don’t settle for less than C&H! With its nutty, caramel flavor, moistness and subtle molasses flavor, it’s the perfect ingredient for cookies, cakes, and toppings.
GF 7 lb. bag #1150....$8.99 | Just $1.28 per lb.!
Powdered Pure Cane Sugar
Very fine, with exceptionally smooth texture for frostings, glazes, and candy-making.
GF 7 lb. bag #1151 .....$8.99 | Just $1.28 per lb.!
Pure Cane Granulated Sugar
GF 10 lb. bag #1632....$11.49
Bulk Baking Ingredients
Maple Flavoring
GF 16 oz. bottle #5714...$12.49
Light Corn Syrup
GF 1 gal. #1862...$19.99
Busy Bee American Clover Honey
Grade A No added ingredients; 100% honey. GF
♦ 3 lb. jug #1148 ...$11.99
♦ 5 lb. jug #1149.... $18.99
#1625 Durkee Vanilla Clear Imitation Flavoring GF 32 fl. oz. bottle .................................................................$9.49
#2847 Clabber Girl Baking Powder GF 5 lb. tub .........................................................................................$13.49
#2848 Clabber Girl Baking Soda GF 5 lb. tub ...............................................................................................$7.49
#2849 Clabber Girl Cornstarch GF 3.5 lb. tub ...............................................................................................$5.99
#1194 Grandma’s Unsulphured Molasses GF 1 gal. jug .................................................................................$18.99
#2122 NEW! California Natural Seedless Raisins, 2 lb. bag ............................................................................$7.49
**A. Commercial Cookie Sheet (Bun Pan)**
Aluminum, 18” x 13”
#4020....Reg. $9.99 | Sale $8.49
*Compare to over $16 on Amazon!*
**B. Cover for Commercial Cookie Sheet**
(fits #4020 only)
#3860....$6.99
**C. Quarter Size Sheet Pan**
Aluminum, 9” x 13”
#5957.....$6.99
**Cover for Quarter Size Sheet Pan**
(fits #5957 only) 9” x 13”
#5958.....$5.99
*Hand wash only.*
**D. Cookie Scoop**
Measure consistent scoops of dough for perfectly portioned cookies every time.
#3838....$7.49
**E. Cooling Rack**
Stainless, fits commercial cookie sheet.
One is never enough!
12” x 17”
#1145....$5.99
**G. Commercial Parchment Paper**
Silicone grease-proof pan liners to line baking sheets, separate foods for freezing, line cake pans, etc.
12”x 16” 100 sheets
#1153....$7.99
*Compare to the same size pack on Amazon.com at $14.89, and save 46% with API!*
---
**Vegalene**
**Garlic Mist®**
Spritz on rich, buttery flavor without the fat and calories. Perfect for veggies and breads.
GF 17 oz. can
#1577....$8.49
**Buttery Delite®**
Spritz on rich, buttery flavor without the fat and calories. Perfect for veggies and breads.
GF 17 oz. can
#1576....$8.49
**Vegalene Grid Iron Release Spray**
Achieves a smooth, fast release for waffles (3-5 waffles per spray).
GF 14 oz. can
#1575....$7.49
**Bak-Klene® ZT All-Purpose Spray**
Its superior release power assures clean, easy removal of a variety of baked goods from their pans. Like greasing and flouring your baking pans, but SO MUCH EASIER!
GF 14 oz. can
#5564....$7.49
**F. Vegalene® Pan and Grill Spray**
This all-natural, zero trans-fat product prevents food from sticking to cooking utensils and dishes.
GF 21 oz. can
#1212....$8.99
**Silicone Baking Mat**
Reusable, nonstick silicone mat fits in our Commercial Cookie Sheet (#4020) and prevents sticking and burning of your baked goods. 16.5” x 11.75”. Withstands up to 600°.
#8436....$12.99
---
**CRESTWARE**
**Cake Server**
White plastic handle with stainless steel blade.
10 ¾” x 2”
#3843....$3.99
---
**Mini Poly Treat Bags**
Poly .001 mil 4” x 2” x 12”, 100 ct.
#7803....$3.99
**Bakery Bread Bags**
Poly .001 mil bags. 15” length. 100 ct.
#5494....$5.99
**Bakery Bags for Dinner Rolls**
Poly .001 mil 8” x 4” x 18”, 100 ct.
#4238....$5.99
**Deli Containers with Lids**
Our Deli Containers make it easy to pack leftovers, salads, cookies, and more.
50 ct.
• 16 oz. #6476....$6.99
• 32 oz. #6477.....$9.99
---
**Two-Compartment 28 oz. Meal Prep Containers**
Divided black plastic food safe containers with clear lids (50 containers and 50 lids). Perfect for meal-prepping or individual freezer meals. Reusable; top-shelf dishwasher safe. Microwave and freezer safe. 8.3”x 5.8”x 2.1”
50 ct.
#1763....$21.99 | Just .44 per container!
*Compare to .80 each on Amazon!*
---
**CRESTWARE**
**Flexible Cutting Mats, 6 pk**
6 ct. 15” x 12”
#3840....$11.49
**Food Film w/Cutter**
Commercial grade plastic wrap in an economical foodservice pack. 12” X 2000” Each
#6127....$18.49
**Ziploc Bags Variety Pack**
Multi-purpose pack of resealable plastic bags; 125-Sandwich, 120-Snack, 52-Gallon Storage, 50-Quart Storage bags.
347 ct. box
#1978....$22.49 | .06 per bag
**Ziploc Smart Zip Gallon Freezer Bags**
Double zipper freezer bags.
10 9/16”x 10 3/4”
152 ct. box
#1979....$23.99 | .16 per bag
Double Eagle Silver Dollar Jerky
2 1/2” round jerky. 15 oz. of meat.
80 ct. ...$16.99
♦ #4694 Peppered
♦ #4695 Teriyaki
♦ #4693 Old Fashioned
“*My husband loves these! They are a great snack for camping and road trips.*”
Barbara Urban,
Genoa, CO
Keebler Disney Frozen Graham Snacks
Bite-sized, honey-flavored graham crackers in Disney Frozen character shapes. Made with whole grain, honey, and no artificial flavors, colors or high-fructose corn syrup.
35/1 oz. bags
#1793 ....$13.99
Cookie & Cracker Variety Pack
Kid-pleasing pack includes: 12-Cheez-It Crackers, 12 Fudge Stripe Cookies, 9 Scooby Doo! Graham Crackers, 12-Chips Deluxe Mini Cookies
45 ct. box
#4019 ....$17.99
Classic Chips Variety Pack
Frito Lay’s bestsellers all in one box: 12-Doritos Nacho Cheese, 12-Cheetos Crunchy, 8-Lay’s Classic, 7-Fritos Original, 7-Doritos Cool Ranch, 4-Lay’s Sour Cream & Onion, 4-Lay’s Barbecue
1 oz. / 54 ct. box
#4018 ....$20.99 | Just .39 each!
Welch’s Fruit Snacks
Island Fruit
Soft, chewy fruit snacks in a mouthwatering combination of Island flavors: Strawberry-Banana, Tropical Punch, Pink Grapefruit, Guava-Kiwi, Mango and Pomegranate-Passionfruit.
.9 oz. bags; 8/10 ct. boxes
#2087 ....$24.99
Berries ‘N Cherries Fruit Snacks
Fruit puree is the first ingredient. 100% DV of Vitamin C.
GF. 9 oz. / 40 ct. box
#1288 ....$10.49
Just 26¢ each!
Pretzel Snaps
These premium buttery pretzels are perfect for seasonal parties. Save with our bulk canister.
50 oz. tub
#2319 ....$9.99
Cran-Blueberry Nut Clusters Snack Bites
Assorted island flavors in each pack: Strawberry-Banana, Tropical Punch, Pink Grapefruit, Guava-Kiwi, Mango and Pomegranate-Passion fruit.
12/2 oz. bags
#1666 ....$20.99
$1.75 each
Cookie and Snack Variety Pack
Perfect lunchbox portions of your favorite snacks! 9-Mini Chips Ahoy, 8-Nutter Butter Bites, 8-Ritz Bits Peanut Butter, 8-Ritz Bits Cheese, 9-Mini Oreos.
1 oz. bags / 40 ct. box
#1257 ....$17.99
Kellogg’s Rice Krispies Treats Minis
The original crispy marshmallow treats in a cute mini size.
50 ct. box
#5378 ....$12.99 | 26¢ each
Goldfish® Snack Crackers, Cheese
One of America’s favorite snacks.
31 oz. box
#3097 ....$10.49
Fruit Cup Variety Pack
12 Diced Peaches; 12 Mixed Fruit; both in extra light syrup with pull-top cans. Just 50 calories each.
GF. 24 cups
#2811 ....$14.99 | .62 per cup
Jif to Go Cups
Everyone’s favorite peanut butter in individually portioned cups. This size case is not available in stores.
GF. 1.5 oz. cups/36 ct.
#8390 ....$12.99
Original Unsweetened Squeezable Applesauce Pouches
No high fructose corn syrup. Gluten free.
GF. 24-3.17 oz. pouches / case
#9123 ....$18.49
Just 77¢ each!
Compare to Mott’s Applesauce Pouches at 92¢ each!
## Addictive Trail Mixes
| Product | Description | Size | Regular Price | Sale Price |
|----------------------------------|-----------------------------------------------------------------------------|------------|---------------|------------|
| **Trailblazer Roasted Nut Trail Mix** | Low-calorie, hunger-appeasing trail mix of roasted & salted peanuts, almonds, pepitas, and pecans, with dried cranberries and unsweetened coconut chips. | 14 oz. tub | $9.49 | $7.99 |
| **Adventurer Raw Trail Mix** | Keto-friendly mix of raw almonds, walnuts, raw pepitas, pecans, dried cranberries, unsweetened coconut chips, and dark chocolate drops. | 14 oz. tub | $9.49 | $7.99 |
| **Super Hero Trail Mix** | Roasted peanuts, butter toffee peanuts, Boston baked peanuts, chocolate coated peanuts, yogurt coated raisins, and candy-coated chocolate candies. | 16 oz. tub | $7.99 | |
| **NEW! Nut Berry Trail Mix** | Dried Cranberries, R&S Almonds and Cashews, Pecans and dried cherries. | 14 oz. tub | $7.99 | |
## Premium Nuts & Candy
| Product | Description | Size | Regular Price | Sale Price |
|----------------------------------|-----------------------------------------------------------------------------|------------|---------------|------------|
| **Chocolate Cinnamon Bears** | Tender chewy dried cranberries, apples, blueberries, cherries, and apricots covered in luscious milk & white chocolate. | 1 lb. bag | $8.49 | |
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**Bulk Pudding & Topping Mixes**
#1913 Jell-O Instant Chocolate Pudding & Pie Filling, GF 28 oz. bag . $7.99
#1914 Jell-O Instant Vanilla Pudding & Pie Filling, GF 28 oz. bag ...... $7.99
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Place the patented Bluapple in your crisper and it’s disposable inner packet will absorb ethylene gasses that make fruits and vegetables ripen too fast. It dramatically extends the life of your produce, and saves you hundreds of dollars.
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Other Containers
#1231 Six-gallon bucket ................................................................. $9.99
#4434 Clear Square 1/2 gallon Jar W/Lid (6 Per Order) .................. $8.99
Gamma Lids (Fit 5 & 6 gallon buckets) ........................................... $7.49 each
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♦ 5 Gallon Plastic Bucket with E-Z Open Lid
Made with BPA-free food-grade plastic. Comes with a lid that has an internal gasket for an airtight seal. Holds about 37.5 lbs.
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Emergency Sleeping Bag
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Puricit® Citrus Air Freshener
Eliminate the lingering odors of grease, fish, and even cigarette smoke! We use this product in all the bathrooms here at Alison’s Pantry.
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DID YOU KNOW?
Alison's Pantry has a sister site offering unique, bulk products that ship directly to your home?
Check out qualityfooddirect.com for a large selection of gluten free, vegan, organic, and long-term food storage products. Your Alison's Pantry Rep earns 50% of the profit on every purchase when you enter her name in the comments section at checkout!
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See page 10.
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See page 13.
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See page 8.
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See page 44.
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#1 Quality Precooked Hickory Smoked Bacon Slices
See page 6.
300 slices per box GF
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|
Peripheral Facial Nerve Axotomy in Mice Causes Sprouting of Motor Axons Into Perineuronal Central White Matter: Time Course and Molecular Characterization
Milan Makwana,1 Alexander Werner,2,3 Alejandro Acosta-Saltos,1 Roman Gonitel,1,4 Abirami Pararajasingham,1 Crystal Ruff,1 Prakasham Rumajogee,1 Dan Cuthill,1 Mathias Galiano,1,2 Marion Bohatschek,1 Adam S. Wallace,1 Patrick N. Anderson,5 Ulrike Mayer,6 Axel Behrens,7 and Gennadij Raivich1,2,5*
1Perinatal Brain Repair Group, Department of Obstetrics and Gynaecology, EGA Institute for Women’s Health, University College London, London WC1E 6HX, United Kingdom
2Department of Neuromorphology, Max-Planck Institute for Neurobiology, 82152 Martinsried, Germany
3Auriong Co., D-82327 Tutzing, Germany
4Molecular Immunology Unit, Institute of Child Health, University College London, London WC1E 6HX, United Kingdom
5Department of Anatomy and Developmental Biology, University College London, London WC1E 6HX, United Kingdom
6Biomedical Research Centre, University of East Anglia, Norwich NR4 7, United Kingdom
7Cancer Research UK, London Research Institute, London WC2A 3FX, United Kingdom
ABSTRACT
Generation of new axonal sprouts plays an important role in neural repair. In the current study, we examined the appearance, composition and effects of gene deletions on intrabrainstem sprouts following peripheral facial nerve axotomy. Axotomy was followed by the appearance of galanin1 and calcitonin gene-related peptide (CGRP)1 sprouts peaking at day 14, matching both large, neuropeptide1 subpopulations of axotomized facial motoneurons, but with CGRP1 sprouts considerably rarer. Strong immunoreactivity for vesicular acetylcholine transporter (VACHT) and retrogradely transported MiniRuby following its application on freshly cut proximal facial nerve stump confirmed their axotomized motoneuron origin; the sprouts expressed CD44 and alpha7beta1 integrin adhesion molecules and grew apparently unhindered along neighboring central white matter tracts. Quantification of the galanin1 sprouts revealed a stronger response following cut compared with crush (day 7–14) as well as enhanced sprouting after recut (day 8 + 6 vs. 14; 14 + 8 vs. 22), arguing against delayed appearance of sprouting being the result of the initial phase of reinnervation. Sprouting was strongly diminished in brain Jun-deficient mice but enhanced in alpha7 null animals that showed apparently compensatory up-regulation in beta1, suggesting important regulatory roles for transcription factors and the sprout-associated adhesion molecules. Analysis of inflammatory stimuli revealed a 50% reduction 12–48 hours following systemic endotoxin associated with neural inflammation and a tendency toward more sprouts in TNFR1/2 null mutants (P = 10%) with a reduced inflammatory response, indicating detrimental effects of excessive inflammation. Moreover, the study points to the usefulness of the facial axotomy model in exploring physiological and molecular stimuli regulating central sprouting. J. Comp. Neurol. 518:699–721, 2010.
INDEXING TERMS: growth cones; regeneration; central sprouting; adhesion molecules; transcription factors; inflammation
© 2009 Wiley-Liss, Inc.
*CORRESPONDENCE TO: Gennadij Raivich, MD, PhD, Perinatal Brain Repair Group, Department of Obstetrics and Gynaecology and Department of Anatomy and Developmental Biology, University College London, 86–96 Chenies Mews, London WC1E 6HX, United Kingdom. E-mail: firstname.lastname@example.org
Received 2 June 2008; Revised 18 June 2009; Accepted 2 October 2009.
DOI 10.1002/cne.22240
Published online October 13, 2009 in Wiley InterScience (www.interscience.wiley.com).
Generation of new axonal sprouts and the process of axonal elongation play a vital role in the neural repair program following injury to the nervous system. In the classical case of axonal regeneration in the injured peripheral nerve, the tip of the proximal axon still connected to the neuronal cell body is gradually transformed into a motile and sprouting growth cone that moves across the gap between the proximal and nerve stump, enters neural tubes in the distal part, and uses them as a scaffold on its way to the peripheral target (Witzel et al., 2005). Supernumerary axonal sprouts can also develop more proximally, at the nodes of Ranvier (Ramon y Cajal, 1928; Friede and Bischausen, 1980; McQuarrie, 1985; Ide and Kato, 1990), from distal dendrites (Fenrich et al., 2007), and occasionally even at the level of the injured neuronal cell body (Linda et al., 1985).
In addition to outright regeneration, nerve injury can also elicit sprouting from uninjured axons. This includes collateral sprouting from functionally appropriate or inappropriate adjacent intact axons into the deafferented part of the central nervous system (Cotman et al., 1990) or peripheral tissues, including skin (Diamond et al., 1987), muscle (Mehta et al., 1993; Nguyen et al., 2002), and nerve (Ide and Kato, 1990; Tanigawa et al., 2005). Peripheral axotomy can also induce the sprouting of central sensory processes of the affected dorsal root ganglia (DRG) neurons in the spinal cord (Woolf et al., 1992) as well as the appearance of perineuronal neurite baskets in the DRGs themselves (McLachlan et al., 1993; McLachlan and Hu, 1998; Li and Zhou, 2001; Liu et al., 2005). Both processes have been indicated to contribute to posttraumatic neuropathic pain (Woolf et al., 1992; Liu et al., 2005). Despite the variability in origin, regulation, and dynamics, in most cases these different forms of posttraumatic neurite outgrowth appear to start within the first few days after injury or to represent a very late response that may be associated with frustrated regeneration.
Transsection of the adult facial nerve is a well-established model system for studying the axonal response and neuronal regeneration (Moran and Graeber, 2004). Moreover, experimental work in gene-deficient and overexpressing mice has begun to provide insight into molecular signals—transcription factors, cell adhesion molecules, cytokines, and neurotrophins—that determine axonal regeneration as well as posttraumatic neuronal survival and cell death and different aspects of the neural inflammatory response (Werner et al., 2000; Kalla et al., 2001; Heumann et al., 2001; Raivich et al., 2004; for review see Raivich and Makwana, 2007). However, these studies also suggested a de novo appearance of neuropeptide-immunoreactive sprouts in and around the axotomized facial motor nucleus, during the midphase of axonal regeneration after facial nerve cut (Kloss et al., 1999; Werner et al., 2000; Galiano et al., 2001).
The aim of the current study was to determine the precise neuronal origin of these sprouting neurites and define their time course, neuroanatomical distribution, and molecular characteristics. We show that these axons originate from injured and regenerating neurons, are capable of growing for more than 0.5 mm into different white matter tracts surrounding the lesioned facial motor nucleus, and express high levels of cell adhesion molecules such as CD44 and alpha7beta1 integrin. Surprisingly, deletion of the alpha7 integrin subunit led to a further increase in the number and extent of neuropeptide-immunoreactive neurite growth cones, suggesting an inhibitory role of alpha7 in this form of posttraumatic central axonal sprouting.
MATERIALS AND METHODS
Animals, surgical procedures, and tissue treatment
Normal, wild-type, C57Bl/6 mice were generated at our animal facilities at Max-Planck Institute of Neurobiology, Martinsried, and then at the Biological Services Unit, UCL. Transgenic, TNFR1/2−/−mice and wild-type controls (+/+ ) were obtained from BRL (Basel, Switzerland) and were on a mixed B6 × 129 background. In the TNFR1 transgenic strain, TNFR1 gene exons II and III, flanked by the NheI and BglII restriction sites were replaced by ortho-orientated pgk-neomycin resistance cassette, abolishing specific tumor necrosis factor-α (TNFα) binding in TNFR1−/−thymocytes (Rothe et al., 1993). In the TNFR2 strain, the pgk-neomycin resistance cassette was inserted into the BstB II site of the second TNFR2 exon, just downstream of the sequence encoding the signal peptide, resulting in a complete lack of TNFR2 protein (Erickson et al., 1994). Both strains were crossed together, to obtain double heterozygotes (TNFI+/−/TNFR2−/−), then crossed again for the TNFR1&2−/−and controls.
Brain c-Jun-deficient animals were generated by crossing mice carrying a floxed jun allele encoding c-Jun, junf, with the loxP sequences at the Xbal restriction sites surrounding the exon carrying the entire c-Jun open reading frame (Behrens et al., 2002), with those expressing cre recombinase under the control of nestin promoter nes::cre. In the nes::cre transgene, the cre gene is placed immediately downstream of the 5-kb large 5′-promoter, followed by the human growth hormone polyadenylation signal and the second nestin intron, which contains a neuroepithelium-specific enhancer (Tronche et al., 1999). The resulting junf/wt × nestin::cre animals were then crossed again with junf/f, to generate the junf/f × nestin::cre mutant mice, in which both jun alleles are inactivated in cells derived from embryonic neuroepithelium.
Compound \( jun^{\Delta n} \) mice were on a mixed 1290la/C57BL6/FVBN genetic background. Sibling animals lacking the cre transgene, with functional, unrecombined homozygous \( jun^{\Delta n} \), served as controls. The homozygous alpha7\(^{-/-}\) and littermate controls on the 129/Sv background used in this study were obtained from heterozygous crossing of alpha7\(^{+/+}\)-mice generated by Mayer et al. (1997). In that transgenic strain, a 1-kb stretch of the alpha7 genomic sequence flanked by the NcoI restriction sites including part of exon 1 and the following intron and encoding the entire signal sequence plus 107 bases coding for the start part of the mature protein is replaced by a reverse-oriented neomycin resistance cassette (Mayer et al., 1997).
To study the effects of enhanced neural inflammation, *Escherichia coli* lipopolysaccharide (O55:B5 serotype, 1 mg; Sigma, Deisenhofen, Germany) was dissolved in phosphate-buffered saline (PBS: 10 mM Na\(_2\)HPO\(_4\), 0.85% NaCl, pH 7.4), and injected intraperitoneally into C57 black 6 mice (8 weeks old, 25–30 g weight; \( n = 3 \) per group) 12–96 hours prior to the 14-day time point. Control groups of animals were left alone or were injected with saline and allowed to survive for 24 hours.
All surgical techniques were performed with animals under anesthesia with 2,2,2-tribromethanol (Avertin; Sigma, Deisenhofen, Germany), 0.4 mg/g body weight, on 3–6-month-old mice. All animals belonging to the same experimental group (day 1 group, day 2 group, day 4 group, etc.) were also operated upon on the same day, inside a narrow time window of 1–3 hours. Animal experiments and care protocols were approved by the Regierung von Oberbayern (AZ 211-2531-10/93 and AZ 211-2531-37/97) in Germany and the Home Office (Scientific Procedures Act) in the United Kingdom.
The right facial nerve (including the retroauricular branch) was cut or crushed at its exit from the stylomas-toid foramen. For the reaxotomy experiments, the cut was made 1 mm distal to the original injury, and the retroauricular branch was not recut. Animals were euthanized after survival times of 1–42 days and perfusion fixed with 200 ml PBS (10 mM Na\(_2\)HPO\(_4\), 0.85% NaCl, pH 7.4), followed by 200 ml of 4% paraformaldehyde in PBS (PFA/PBS), then by a 2-hour immersion of the brainstem in 1% PFA/PBS at 4°C on a rotator (8 rpm), with an overnight rotating immersion in a phosphate-buffered sucrose solution (PB: 10 mM Na\(_2\)HPO\(_4\), pH 7.4, 4°C; 30% sucrose), and frozen on dry ice.
**Immunofluorescence, double labeling, and confocal scanning microscopy**
Frozen brainstems were cut at the level of the facial nucleus, and 20-\(\mu\)m sections were collected on warm, 0.5% gelatin-coated slides (Merck, Darmstadt, Germany), refrozen on dry ice, and stored at –80°C until further use. Axonal growth cones in and around the facial motor nuclei were quantified by using immunofluorescence against CGRP or galanin, the neuropeptides expressed in axotomized facial motoneurons. For standard immunofluorescence, the sections were thawed, rehydrated and spread in distilled water, fixed in 4% formaldehyde in 0.1 M PB, defatted in acetone, and pretreated with 5% goat serum (Vector, Wiesbaden, Germany) in phosphate buffer /PB as described by Möller et al. (1996). Briefly, the sections were incubated overnight at 4°C with 1:100 diluted, primary rabbit antibodies against CGRP or galanin (Table 1), washed in PB, and incubated with a biotinylated goat anti-rabbit antibody (1:100; Vector) and Texas red streptavidin (Jackson Laboratories). The sections were then covered with VectaShield (Vector) and stored in the dark at 4°C for confocal scanning and quantification.
For immunofluorescence, fixed sections were preincubated as in brightfield immunohistochemistry. Both primary antibodies were applied overnight at 4°C, washed, incubated with two appropriate secondary antibodies (biotin-conjugated donkey anti-rabbit Ig and FITC-conjugated goat anti-rat Ig; 1:100; Dianova, Hamburg, Germany), washed again, and then incubated with a tertiary FITC-conjugated donkey anti-goat antibody (1:100; Sigma) and Cy3-avidin (1:1,000; Dianova). In the case of colocalization with the goat anti-VACHT, only the donkey anti-goat antibody was used. Omission of the primary antibody or replacement with nonspecific immunoglobulin from the same species (rat, rabbit, or hamster) at the same dilution led to the disappearance of specific labeling.
Digital micrographs of FITC and Cy3 or Texas red fluorescence were taken with a Leica TCS confocal laser microscope with a ×10 objective for quantification and a ×100 objective for illustrations in eight-bit gray-scale, 1,024 × 1,024 pixel format as described in previous studies (Raivich et al., 1998; Kloss et al., 1999). Twelve consecutive equidistant levels with 30-\(\mu\)m spacing with a ×10 objective or 20 levels with 0.5-\(\mu\)m spacing at ×100 objective were recorded and condensed onto a single bitmap by using the Maxintense algorithm.
**Antibody characterization**
A summary of primary, secondary, and tertiary antibodies used to characterize the facial sprouts by double labeling with antibodies for galanin, CGRP, or vesicular acetylcholine transporter (VACt) 14 days after facial nerve cut are listed in Table 1. The specificity of alpha7, alphaM, CD44, CGRP, and galanin was confirmed by using the appropriate knockouts, compared with the wild-type controls. Homozygous deletion of the alpha7 gene caused the disappearance of neuronal and terminal alpha7 immunoreactivity in facial motoneurons as well as throughout the
### TABLE 1.
**Summary of Antibodies**
| Detected antigen | Immunization with | Primary antibody (code, type) | Dilution | Application | Source |
|------------------|-------------------|-------------------------------|----------|-------------|--------|
| Alpha4 integrin (CD49d) | Mouse spontaneous T-lymphoma line TK1 (AKR Cum strain) | R1-2, 01271D, RtM, IgG2a, κ | 1:1,000 | DIF | Pharmingen, United Kingdom catalog No. 553154 lot No. 38618 |
| Alpha5 integrin (CD49e) | Mouse mast cell line MC/9 | 5H10-27 (MFR5), RtM, IgG2a, κ | 1:200 | DIF | Pharmingen, United Kingdom catalog No. 553319 lot No. C510514 |
| Alpha6 integrin (CD49f) | Mouse mammary tumour (balb/c) | GoH3, RtM, IgG2a | 1:3,000 | DIF | Serotec, United Kingdom catalog No. MCA699GA |
| Alpha7 integrin (CD49g) | Synthetic peptide (aa 1117–1136) coupled to maleimide-activated keyhole hemocyanin (KLH), Pierce, Rockford, IL | Anti-alpha7, RbP | 1:5,000 | IHC, DIF | Unike Meyer, U East Anglia Norwich, United Kingdom |
| AlphaM integrin (CD11b) | T-cell-enriched B10 mouse spleen cells | 5C6, RtM | 1:6,000 | DIF | Serotec, United Kingdom catalog No. MCA 711 |
| Beta1 integrin (CD29) | Raised against the beta1 integrin (von Ballestrem et al., 1996) | MB1.2, RtM, IgG2a, κ | 1:3,000 | IHC, DIF | Chemicon, United Kingdom catalog No. MAB1997 lot No. 0507004326 |
| CD44 | Purified human blood lymphocyte CD44 lacking v1–v10 exons | MAB2137, RtM, IgG2b | 1:5,000 | DIF | Chemicon, United Kingdom catalog No. MAB2137 |
| CGRP | Calcitonin gene-related peptide (Bachem) | anti-CGRP, RbP | 1:400 | IHC, DIF | Bachem, United Kingdom T-4032.0050 |
| Galanin | Galanin peptide (Bachem) | Antigalanin, RbP | 1:400 | IHC, DIF | Bachem, United Kingdom T-4334.0050 |
| MAP2 | Purified rat brain microtubule-associated protein (MAP2) | Anti-MAP2, RbP, AB5622 | 1:3,000 | DIF | Chemicon, United Kingdom P11137 AB5622 |
| NF-H | Rat NHF fusion protein containing 37 KSP repeats | anti-NFH, RbP AB1991 | 1:200 | DIF | Chemicon, United Kingdom catalog No. AB1991 lot No. 23080338 |
| VaChT | Synthetic peptide (aa 511–530) from the cloned rat VaChT | G4481, QTP AB1588 | 1:6,000 | DIF | Chemicon, United Kingdom AB1588 |
**Secondary and tertiary**
| | | | | | |
|---|---|---|---|---|---|
| Goat Ig | Goat immunoglobulin | FITC-cj α-Gt Ig, DkP | 1:100 | DIF | Dianova, United Kingdom |
| Hamster Ig | Hamster immunoglobulin | FITC-cj α-Hm Ig, GIP | 1:100 | DIF | Dianova, United Kingdom |
| Rat Ig | Rat immunoglobulin | Biot. α-Rt Ig, GIP | 1:100 | IHC | Vector, United Kingdom |
| Rabbit Ig | Rabbit immunoglobulin | FITC-cj α-Rb Ig, GIP | 1:100 | IHC | Dianova, United Kingdom |
| Rabbit Ig | Rabbit immunoglobulin | Biot α-Rb Ig, DkP | 1:100 | DIF | Dianova, United Kingdom |
---
1. **Antigens:** CD44, cluster of differentiation 44; CGRP, calcitonin gene-related peptide; MAP2, microtubule-associated protein 2; NHF, neurofilament heavy isoform; VaChT, vesicular acetylcholine transporter. Abbreviations: RtM, rat monoclonal; HmM, hamster monoclonal; RbP, rabbit polyclonal; GIP, goat polyclonal; DkP, donkey polyclonal; FITC-cj fluorescein isothiocyanate conjugated. Applications: DIF, double immunofluorescence; IHC, immunohistochemistry (light microscopy).
2. **CGRP peptide sequence:** H-Ser-Cys-Asn-Thr-Ala-Thr-Cys-Val-Thr-His-Arg-Leu-Ala-Gly-Leu-Leu-Ser-Arg-Ser-Gly-Gly-Val-Val-Lys-Asp-Asn-Phe-Val-Pro-Thr-Asn-Val-Gly-Ser-Glu-Ala-Phe-NH2, Cys1-Cys2 disulfide bond.
3. **Galanin peptide sequence:** H-Gly-Trp-Thr-Leu-Asn-Ser-Ala-Ala-Gly-Tyr-Leu-Leu-Gly-Pro-His-Ala-Ile-Asp-Asn-His-Arg-Ser-Phe-Ser-Asp-His-Gly-Leu-Thr-NH2.
Brain and peripheral nerve described in a previous study (Werner et al., 2000). Homozygous alphaM null mice and littermate controls (Hu et al., 2000), obtained through collaboration with Dr Tanya Mayadas Norton (Boston, MA), showed the disappearance of all microglial alphaM immunoreactivity throughout the brain of the alphaM null mice as well as in the axotomized facial motor nucleus. Similar absence of neuronal immunoreactivity for galanin was observed in galanin gene-deficient mice, obtained through collaboration with Dr David Wynick (Holmes et al., 2000); for CGRP in facial motoneurons of the alpha CGRP-deficient mice, through collaboration with Dr Jean-Pierre Changeux (Salmon et al., 2001); and for CD44 in CD44 null mice, provided through collaboration with Dr Rudolf Schmits (Schmits et al., 1997). In all cases, the wild-type littermate controls showed normal, specific immunoreactivity. The null mutants showed very little, diffuse staining throughout the brain.
In addition, antibody specificity for cell adhesion, neuropeptide, and cholinergic markers was further confirmed by Western blotting with unfractionated tissue homogenates from trigeminal ganglia, brainstem, spleen, and...
heart muscle. The monoclonal R1-2 antibody against the alpha4 integrin subunit detected a prominent band that migrates at ~80 kDa and a faint band that migrates at ~65 kDa. Although the predicted molecular weight of alpha4 is 115 kDa (UniProt, Q00065), experimentally it has been demonstrated that the molecule is cleaved into fragments of 80 and 66 kDa upon T-cell activation (Blue et al., 1992). The monoclonal SH10-27 (MFR5) antibody against the alpha5 integrin subunit detected a band at 90 kDa corresponding to the heavy chain. The full predicted molecular weight is 115 kDa; however, it is cleaved into heavy (~90 kDa) and light (~16 kDa) chains, (UniProt, P11688). Cleavage had also been reported experimentally (Teixeira et al., 1992) with the products migrating at 80 and 70 kDa under nonreducing conditions. Under reducing conditions, migration of bands might be altered. The monoclonal GoH3 antibody to alpha6 detected a band at 87 kDa corresponding to the heavy chain predicted at 88 kDa (UniProt, Q61739) and a smaller band that migrates at 60 kDa. Cleavage has been previously reported for this molecule with the product migrating at ~70 kDa under nonreducing conditions (King et al., 2008). The polyclonal antibody against alpha7 detected a unique band at 129 kDa corresponding to the full-sized molecule (UniProt, Q61738; Echtermeyer et al., 1996); the monoclonal SC6 antibody against alphaM detected a single band at 127 kDa corresponding to the full-size molecule (UniProt, P05555). The monoclonal MB1.2 antibody against beta1 detected a band at 88 kDa consistent with the predicted weight (UniProt, P09055) and two smaller bands at 70 and 53 kDa consistent with previously reported cleavage products (Menon et al., 2006). As a general trend, the literature associates proteolytic cleavage of integrins with more active cells. Antibody to CD44 detected a unique band at 63 kDa consistent with the common hematopoietic isoform 6 (UniProt, P15379-5). The polyclonal VACHT antibody detected a single band at 57 kDa as previously reported (UniProt, O35304, http://www.millipore.com/catalogue/item/ab1588). The antibody reveals strong staining on cholinergic terminals surrounding the brainstem and spinal motor neurons as well as comparatively weak labeling of the cholinergic neuronal cell body itself (Gilmor et al., 1996). Both features were also confirmed in the current study (see Fig. 5A–AIK). Galanin antibody detected a single band at 13 kDa consistent with its predicted size (UniProt, P47212). CGRP antibody detected a band at 14 kDa consistent with the signaling peptide (Uniprot, Q9JAO). The Western blots for alpha4, alpha6, alpha7, and beta1 integrin subunits and CD44 in trigeminal ganglion are shown in Supporting Information Figure 3.
The antibodies against microtubule-associated protein 2 (MAP2) and heavy neurofilament isoform (NF-H) were used as previously well-established cellular/subcellular markers. For the anti-MAP2 polyclonal antibody (http://www.millipore.com/catalogue/item/ab5622#), Western blotting with adult rat brain soluble extract detected a strong and specific band for the 280–300-kDa dimer, in our current study, appropriately diluted antibody also resulted in strong dendritic staining, in line with many previous publications (see, e.g., Sigurjonsson et al., 2005; Nateri et al., 2007). For the antineurofilament H (heavy, 200 kDa NFH) polyclonal antibody (http://www.millipore.com/catalogue/item/ab1991#), raised against the rat NFH fusion protein containing 37 lysine-serine-proline (KSP) domain repeats, the manufacturer’s data sheet describes strong reactivity to this major neurofilament protein. Insofar as the middle neurofilament protein (160 kDa NFM) also contains a few lysine-serine-proline sequences, there is generally some NFM cross-reactivity, but not with the light 70-kD neurofilament, NFL (Harris et al., 1991). The NFL staining is generally restricted to neurofilaments in the white matter axons (see, e.g., Fig. 5J–L) as well as dendritic and perikaryal neurofilaments in the gray matter.
In the case of rat monoclonal antibodies raised against alpha4 (CD49d), alpha5 (CD49e), alpha6 (CD49f), and beta1 (CD29) integrins, previous studies have also detailed a massive up-regulation of encoding mRNA species following axotomy in the mouse facial motor nucleus, corresponding to a strong increase in the appropriate immunoreactivity (Kloss et al., 1999; Werner et al., 2000). All four monoclonal antibodies are well defined, with long-established functional characterization for alpha4 (Holzmann and Weissman, 1989), alpha5 (Uhlenkott et al., 1996), alpha6 (Hemler et al., 1988), and beta1 (von Ballestrem et al., 1996) integrin subunits. In the mouse, immunoreactivities for all four subunits were colocalized on blood vessel endothelia as well as on activated microglial cells (Hristova et al., 2009), but only the beta1 was also present in axotomized and regenerating motoneurons (Kloss et al., 1999; Ravitch et al., 2004). This pattern of just vascular and microglial, and not neuronal (or sprout), immunoreactivity for alpha4, alpha5, and alpha6 immunoreactivity was also reproduced in the current study. The cranial motoneuron expression of the alpha7 and beta1 integrin subunits was also confirmed by Pinkstaff et al. (1999) for trigeminal, facial, and hypoglossal motoneurons.
**Quantification of central axonal sprouting**
Quantification of growth cones was performed on four sections per facial nucleus, with an interval of 200 μm between each section. Briefly, the sections were scanned in a TCS 4D confocal laser microscope (Leica, Nussloch, Germany) with a ×10 objective using Cy5 settings (ex wavelength 647 nm, LP665, pinhole 30). Fourteen consecutive, equidistant levels were recorded and condensed with the MaxIntense projection.
Small, strongly fluorescent growth cones were differentiated from the large neuronal cell bodies with the Sobel filter and a three-step Growth Cone Detection (GCD) algorithm in Optimas 6.2 software (Media Cybernetics, United Kingdom). In the first step, the mean value of the overall luminosity (MEANcor) and the standard deviation (SDcor) of the corrected images (normal image) was recorded. This procedure was repeated following Sobel filter treatment (MEANSob, SDsob, sobel image), which calculates the direction-independent local intensity gradient in a $3 \times 3$ pixel kernel. The threshold for neuropeptide-immunofluorescent growth cones in the Sobel image was set with the formula: Threshold = MEANSob + $1 \times SDcor$. Areas at and above threshold were filtered with the Object Classes function using two additional criteria in the normal image: Area size > 10 pixel and MEANarea - SDarea > 1.4 $\times$ MEANcor, with MEANarea being the mean intensity and SDarea the standard deviation for each individual area profile. The remaining areas matched with the profiles of the neuropeptide-immunofluorescent neuronal growth cones and served as a measure for their total area in the tissue section.
In addition, the number of sprouts in and around facial motor nucleus was visually counted by a blinded observer, with the identifying marking on the glass slide covered by an opaque adhesive sticker carrying a code. In this case, two sections per facial nucleus, 320 $\mu$m apart, were used to assess the number of sprouts per animal.
**Immunohistochemistry for light and electron microscopy**
Immunohistochemistry for light microscopy was performed by using the same procedure as for immunofluorescence up to the secondary antibody, followed by incubation with the ABC reagent (Vector), visualization with diaminobenzidine/H$_2$O$_2$ (DAB; Sigma, Deisenhofen, Germany), dehydration in alcohol and xylene, and then mounting with Depex (BDH, Poole, United Kingdom). For electron microscopy, 80-$\mu$m-thick vibratome sections cut at the facial nucleus level were stained for alpha7 integrin subunit, galanin, or VACHT with a slightly modified protocol (Werner et al., 2000). The vibratome sections were floated; treatment with acetone was omitted; preincubation with goat serum (or donkey serum in case of VACHT) was extended to 4 hours at RT; the rabbit anti-mouse alpha7 antibody was applied at a concentration of 1:500, galanin antibody at 1:400, or VACHT antibody at 1:1,000, overnight; the biotinylated goat anti-rabbit or donkey anti-goat secondary antibody (Vector, Jackson) was applied for 8 hours (4°C); and the incubation with the ABC reagent was performed overnight (4°C).
For the DAB staining, vibratome sections were first preincubated in DAB (without H$_2$O$_2$) for 20 minutes, followed by a 15-minute DAB/H$_2$O$_2$ reaction at RT, with Co/Ni enhancement (see above). The sections were then fixed for 7 days in 2% glutaraldehyde in PBS, osmicated, dehydrated, and embedded in araldite (Fluka, Basel, Switzerland). Semithin sections were counterstained with toluidine blue for light microscopy, and ultrathin 100-nm sections were counterstained with uranyl acetate and lead citrate and examined in a Zeiss EM 10 and EM 109 electron microscope.
**Quantification of light microscopic immunohistochemistry**
A Sony AVT-Horn 3CCD color video camera was used to obtain eight-bit digital images based on a 0–255 (eight-bit) scale of optical luminosity values. Images of both control and axotomized nuclei and for the glass were captured at $\times 10$ magnification on a light microscope with 0.06 Neu-tralfilter. Captured images were run through an algorithm to obtain mean and SD values for optical luminosity. SD was subtracted from the mean for each image (mean-SD algorithm), and the resulting values for axotomized and control sides were each subtracted from the mean optical luminosity values of the glass as described previously (Möller et al., 1996).
**Statistical analysis**
Statistical analysis for growth cone areas in two group comparisons was performed by using a standard, two-tailed Student’s t-test or with ANOVA followed by post hoc Tukey in cases of more than two groups.
**RESULTS**
**Facial axotomy causes delayed central axonal sprouting: distribution and orientation**
In view of previous reports of neuropeptide-immunoreactive sprout-like structures in the axotomized facial motor nucleus 2 weeks after facial nerve cut (Galiano et al., 2001; Werner et al., 2001; Makwana et al., 2007), our first aim was to provide a detailed mapping of their neuroanatomical distribution. As shown in Figure 1A, facial axotomy after nerve transection at the stylomastoid foramen was associated with the appearance of sprout-like, galanin-immunoreactive (galanin$^+$) neurites inside the brainstem in and around the lesioned facial motor nucleus. A high number of galanin$^+$ sprouts with a 4–10-$\mu$m large terminal bulb was observed in the white matter surrounding the lesioned facial motor nucleus, in the ventral corticobasal tract, in the ascending as well as descending part of the intracerebral portion of the facial motor nerve (Fig. 1A,F),
and in the medial and lateral parts of the facial nucleus. Some neurites were located as far as 0.5–1.0 mm away from the border of the facial nucleus in the dorsal (Fig. 1A), and 0.3 mm in the caudal (Fig. 1B,C) direction, with the stalk attached to a bulb, usually pointing away from the nucleus (Fig. 1H,I).
Sprouting neurites were also present inside the facial motor nucleus itself, but they were less dense in the horseshoe form of the facial nucleus gray matter, containing the axotomized motoneurons, than in its white matter-like ventral cleavage (Fig. 1H). A similar distribution was also observed for the CGRP\(^+\) sprouts, but their density was considerably lower compared with that of the galanin\(^+\) fibers. Although individual galanin\(^+\) and CGRP\(^+\) neurites were observed in the contralateral facial nucleus (Figs. 1E, 2H), these neurites lacked the typical appearance of sprouts with the engorged terminal bulb. These sprouts were also absent in the intracerebral part of the contralateral nerve (Fig. 1G); the ipsi- and contralateral pyramidal tract (Fig. 2H); the dense neurite network in the dorsal part of the spinal nucleus of the trigeminal nerve (Fig. 2G); or in other brainstem, cerebellar, or cortical white matter structures (not shown). CGRP and galanin immunoreactivities were also present in adjacent axotomized motoneurons, each labeling approximately 40–45% of the total facial motoneuron pool (Moore, 1989; Raivich et al., 1995), but the intensity of the cell body labeling was weaker than that observed in the sprouts.
To explore the overall orientation of these central sprouts, we next examined the orientation angle of galanin\(^+\) sprouts outside the facial nucleus on brainstem sections containing the axotomized nucleus. The orientation was determined as the angle between the line from the facial nucleus center to the center of the axonal bulb and a second line from the bulb center to the farthest visible part of the attached axonal stalk, as shown in Figure 2H and H, inset. The angles were determined at \( \times 10 \) magnification, using confocal images from brainstems of four control C57Bl/6 mice, 14 days after facial nerve cut, and for each animal subgrouped into one of the nine categories A–I, from 0° to 20° (pointing outward, A), to 160–180° (pointing to the center of the facial nucleus, I). Angles greater than 180° (second line to the left of the central line, instead of to the right), were entered by subtracting 180°, i.e., 265° was entered as 95°. As shown in Figure 1, sprout angle distribution was very nonuniform, with the frequency in three groups (A, E, and I) rising above that in the directly adjacent groups. In total, these three groups were responsible for approximately 70% of the sprouts. The A group with sprouts facing away from the nucleus was the largest (39% ± 3%, mean ± SEM), followed by groups E, which contained sprouts oriented approximately parallel to the nucleus (24% ± 1%), and I, with the sprouts directly or almost directly facing toward the nucleus (8.5% ± 2.2%). The number of sprouts in the adjacent and intermediate categories was underrepresented. Although the number of sprouts in B was slightly higher (8.7% ± 0.6%) than in I, these two groups were not adjacent. In comparisons with the directly adjacent groups (A vs. B, E vs. D or F, and I vs. G) the frequency in A, E, and I was each time both significantly and very clearly higher (\( P < 5\% \), one-way ANOVA followed by post hoc Tukey test). Although the numbers were considerably lower, the frequencies in the two segments directly adjacent to each of the three peaks, A, E and I, again showed similar proportions of approximately 3:2:1 for the outward pointing (B,C, 15.2%), to roughly perpendicular (D,F, 8.3%), to inward pointing (G,H, 4.5%) groups.
**Motoneuron origin of central axonal sprouts**
To determine whether the bulb-carrying neurites originated from the lesioned motoneurons, axotomized neurons were retrogradely labeled with a 1% solution of the dual, anterograde and retrograde, tracer Mini-Ruby (Fig. 2A). As shown in the composite of the ventral brainstem in Figure 2H, application of the tracer on the proximal nerve stump surface immediately after facial nerve cut led to a highly selective labeling of neuronal cell bodies and their proximal branches in the ipsilateral facial motor nucleus.
Double labeling with galanin immunoreactivity demonstrated clear Mini-Ruby fluorescence inside a fraction of galanin\(^+\) sprouts around the axotomized facial motor nucleus (Fig. 2B,H, insets). Similar double labeling was also present inside the intracerebral part of the ipsilateral facial nerve (Fig. 2F, insets). Finally, this colocalization was also observed with the CGRP\(^+\) sprouts (Fig. 2C). Compared with the neuropeptide immunoreactivity, Mini-Ruby fluorescence was more concentrated to the central parts of the axonal bulb, with weaker and more fragmented labeling of the neighboring axonal stalk.
Quantification of the double-labeled sprouts directly outside the facial motor nucleus, shown in Table 2, demonstrated clear Mini-Ruby fluorescence in 19% ± 3% of the galanin\(^+\) and 42% ± 9% of the CGRP\(^+\) sprouts and, in addition, 39% ± 1% of the VACHT\(^+\) sprouts in adjacent, galanin-, CGRP-, and VACHT antibody-stained brainstem sections (\( P < 5\% \) ANOVA followed by Tukey post hoc test, for differences vs. the galanin\(^+\) sprouts; \( n = 4 \) C57Bl/6 mice, three sections per animal). In the reverse experiment, quantification of the neuropeptide immunoreactivity showed that 64% ± 3% of the identified, Mini-Ruby fluorescent sprouts also exhibited galanin, 44% ± 10% CGRP, and 44% ± 2% VACHT immunoreactivity (not significant). This double labeling, Mini-Ruby/CGRP, Mini-Ruby/VACHT, or Mini-Ruby/galanin, was not observed outside the main areas of central axonal sprouts. Thus the ipsilateral spinal nuclei of the trigeminal nerve (Fig. 2G), contralateral facial nerve (Fig. 2F), or contralateral facial nucleus (Fig. 2H, right side) were all devoid of axonal Mini-Ruby fluorescence.
However, in addition to sprouts, Mini-Ruby fluorescence was also occasionally present in large and ellipsoid
Figure 2. Demonstration of central axonal sprout origin using Mini-Ruby, a dual anterograde/retrograde tracer. A: Schematic summary. A gelfoam sponge soaked in 1% Mini-Ruby solution was applied onto the fresh, proximal cut end of the facial nerve, followed by retrograde transport to axotomized motoneurons and a 14-day survival. B,C: High magnification of Mini-Ruby (green) colocalization with the immunoreactivity (IR) for the neuropeptides galanin (B) and CGRP (C) (red) in axonal sprouts just outside the axotomized facial motor nucleus. The double-labeled sprout in B and the bottom sprout in C are outward pointing (op-s); the top sprout in C is oriented in parallel to the center of the nucleus ("curving" c-s). The insets in B show the individual red and green fluorescence channels. In C, Mini-Ruby is also incorporated by perivascular macrophages (pvm). D: Mini-Ruby uptake in a string of alphaMbeta2 integrin (αM)-positive (red) perivascular macrophages (*) lining a cerebral blood vessel. The neighboring αM-positive and ramified microglia (mg) are devoid of Mini-Ruby. E,G: Double fluorescence for Mini-Ruby and galanin-IR in the descending intracranial part of the contralateral facial nerve (E) the axotomized, ipsilateral facial nerve (F) and the ipsilateral spinal nucleus of trigeminal nerve (G, isntn). The insets in F show a higher magnification of the facial nerve (left; red and green; right, red only [fluorescence]). Note the double-labeled sprouts in the axotomized nerve (arrows) and their absence in the neighboring trigeminal nerve nucleus and contralateral nerve. The asterisk points to a Mini-Ruby- but galanin- sprout. As in C, Mini-Ruby is frequently present in the population of perivascular macrophages associated with larger blood vessels (D, pvm). The micrographs in E and F show the same galanin labeling motif as in Figure 1E,F but combine it with the Mini-Ruby fluorescence. H: Composite of Mini-Ruby and galanin-IR fluorescence in the ventral brain stem across the ipsilateral pontine gelatinosa, the ipsilateral and contralateral facial motor nuclei (ifnc, left; cfnc, right, respectively), and the ipsilateral and contralateral pyramidal tracts (ipyr and cpyr). Mini-Ruby neuronal cell body labeling is strictly limited to the axotomized facial motor nucleus, with a high density of galanin-positive sprouts in the surrounding tissue. Note the absence of both in the pyramidal tracts and the contralateral facial nucleus. The insets show higher magnifications for galanin/Mini-Ruby double labeling (yellow) of two sprouts just dorsal of the axotomized facial nucleus; their positions in the composite are indicated by the rectangles in H. A magenta/green version of Figure 2 is available as Supporting Information Figure 1. Scale bar = 10 μm in B, 45 μm in C and D, 270 μm in E–G; 350 μm in F insets.
TABLE 2.
Colocalization of Mini-Ruby (MR) With Galanin and CGRP-Positive Growth Cones (n = 4 Animals, Three Facial Nucleus Sections per Animal; Mean ± SEM)
| Growth cone neurochemical marker (NCM) | MR\(^+\)NCM\(^+\)/NCM\(^+\) (%) | MR\(^+\)NCM\(^+\)/MR\(^+\) (%) |
|----------------------------------------|----------------------------------|-------------------------------|
| Galanin | 19 ± 3 | 64 ± 3 |
| CGRP | 42 ± 9\(^1\) | 44 ± 10 |
| VACht | 39 ± 1\(^1\) | 44 ± 2 |
\(^1P < 5\%\), one-way ANOVA, followed by Tukey post hoc test for differences in the frequency to MR\(^+\)/galanin\(^+\) growth cones. The percentages are derived from, on average, approximately 50–60 double-labelled growth cones per animal and axotomized facial motor nucleus.
perivascular macrophages (Fig. 2C,G). As shown in Figure 2D, this Mini-Ruby labeling colocalized with the alphaM-beta2 immunoreactivity in the perivascular macrophages and was easy to differentiate from the smaller Mini-Ruby-fluorescent axonal bulbs inside the neural parenchyma. The alphaMbeta2\(^+\) parenchymal microglia were uniformly Mini-Ruby\(^-\).
Time course after injury and effects of reinnervation and recut
Comparison of the galanin-and CGRP-immunostained, axotomized facial motor nuclei 1–42 days after facial nerve cut with unoperated controls (day 0) revealed a transient sprouting pattern, shown in Figure 3A–AF. No sprouts were observed in the unoperated facial nuclei or 1–4 days after nerve cut. A moderate number of galanin\(^+\) and CGRP\(^+\) sprouting neurites was observed at day 7; these became much more common at day 14, decreased in number at day 21, and disappeared by 42 days after nerve injury and the ensuing regeneration (Fig. 3A-F,AG,AI).
As shown in Figure 3AH, automatic quantification of the intensely neuropeptide-immunofluorescent end-bulbs in and around the facial motor nucleus using confocal scanning and the GCD algorithm (see Materials and Methods) reproduced this time course for galanin, with a peak density at day 14, with 5,200 parts per million (ppm) or 0.52% of the total area of the 1 mm × 1 mm region with the facial nucleus at its center covered with galanin\(^+\) end-bulb structures. However, the GCD algorithm was associated with a low-level “noise” of 200–600 ppm on the contralateral side throughout the time course, or approximately 4–12% of the peak signal levels at day 14.
Direct visual counting of the CGRP\(^+\) growth cones (Fig. 3AI) showed a time course with a shape similar to that with galanin (Fig. 3AG). Maximal levels were observed at day 14, with 24 ± 5 CGRP\(^+\) sprouts per 20-\(\mu\)m section, approximately 3–4-fold less than with galanin in the directly adjacent sections (89 ± 8). Unlike the case with galanin, quantification of the CGRP\(^+\) end-bulbs with the GCD algorithm revealed a comparatively broader and statistically significant elevation of detected structures on days 4–21 compared with the contralateral side (Fig. 3AIJ). However, the overall levels (200–260 ppm) were much lower, and the more granular (Nissl-shoal) appearance of the CGRP immunoreactivity in neuronal cell bodies could have made automatic growth cone detection more complicated. For this reason, both quantitation methods, visual counting and GCD algorithm, were used side by side in the following experiments.
Because the time course of sprouting, with a peak at day 14, occurred at roughly the same time as the morphological reinnervation and functional recovery in the facial axotomy model (Gilad et al., 1996; Werner et al., 2000; Raivich et al., 2004), we next sought to determine whether the appearance of sprouts is due to target reinnervation. Re-innervation is known to occur earlier, more promptly, and with less error after crush than after cut (Nguyen et al., 2002; Witzel et al., 2005), so we first examined the differential effects of the facial nerve crush vs. cut on galanin\(^+\) growth cone profiles at days 7, 10, and 14. Here, facial nerve crush induced the appearance of galanin\(^+\) spouts that peaked at day 10, with 800 ppm of the total area (Fig. 4A). Compared with crush, nerve transection produced a more robust sprouting response, with a slight but not significant increase at days 7 and 10 and an almost 10-fold increase at day 14 (\(P < 5\%\), Student’s \(t\)-test). As shown in Figure 4A,C, automatic quantification with the GCD algorithm (Fig. 4A) and visual counting (Fig. 4C) revealed very similar changes in the timing of sprouting changes and
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**Figure 3.** A–AI: Time course of the appearance (A–AF) and quantification (AG–AI) of galanin- and CGRP-immunoreactive sprouts in the facial motor nucleus, 1–42 days after facial nerve axotomy; day 0 are uninjured controls. A–AF show the immunofluorescence in injured facial motor nucleus at low magnification (A,E,I,M,O,U,Y,AC for galanin, and C,G,K,O,S,W,AA,AE for CGRP) and at \(\times 4\) or \(\times 8\) higher magnification for galanin (B,F,J,N,R,V,Z,AD) and CGRP (D,H,L,P,T,X,AB,AF). Note the massive increase in the neuropeptide-labeled sprouts (arrows) at days 7–21; arrowheads point to neighboring motoneuron cell bodies. AG–AI: The graphs at right show the total number of galanin- and CGRP-immunoreactive sprouts per section (AG and AI, respectively) and the quantification of the area taken by the galanin- and CGRP-immunoreactive sprouts (AH, AI) per section. Mean ± SEM. The asterisks indicate that AG and AI, \(P < 4\) in AH and AI). *\(P < 0.05\), Student’s \(t\)-test compared with the unoperated, contralateral side. In the case of galanin, both parameters, number (AG) and area (AH), show a sharp peak at day 14. The same also holds true for the CGRP\(^+\) sprout number (AI), but the CGRP\(^+\) area recognized by the Optimas GCD algorithm (AI) shows a broader, elevated plateau between day 4 and day 21. Scale bar = 250 \(\mu\)m in first and third columns; 0.063 \(\mu\)m in the second column; 0.032 \(\mu\)m in fourth column.
Figure 3
Central axonal sprouting in the facial motor nucleus
MiniRuby to the ipsilateral whiskerpad, the principal peripheral target of the facial nerve maxillary and zygomatic branches on day 12, showed some motoneuron cell body labeling but failed to be incorporated into the facial growth cones at day 14 (data not shown), unlike the Mini-Ruby labeling applied on the freshly cut facial nerve stump, shown in Figure 2B,C,E and the inset in Figure 2H.
**Molecular markers and ultrastructure**
To define the molecular markers of axotomy-induced sprouts, we next examined the presence of VACHT, microtubule-associated protein 2 (MAP2), synaptophysin, and NFH as cholinergic, dendrite, presynaptic, and pan-neurite markers, respectively (Fig. 5, three left columns) as well as the CD44 hyaluronic acid receptor and the alpha4, alpha5, alpha6, alpha 7, and beta 1 subunits of the beta 1 integrin family (Fig. 5, three right columns), using double immunofluorescence with galanin, CGRP, or VACHT (Fig. 5G–I, S–Y). Markers labeled with rabbit polyclonal antibodies (MAP2, NFH, alpha7) were double stained with guinea pig antibodies against VACHT, and those labeled with rat monoclonal antibodies (alpha4–6, beta1, CD44) were double stained with galanin or CGRP.
The CGRP\(^+\) (Fig. 5A–C) and galanin\(^+\) (Fig. 5D–F) sprouts colocalized with VACHT immunoreactivity, confirming their cholinergic phenotype. They were also positive for CD44 (Fig. 5V–Y) and beta1 (Fig. 5S–U) but not for alpha4, alpha5 or alpha6 (not shown). Most VACHT sprouts were also positive for synaptophysin (Fig. 5P–R), and many were alpha7\(^+\), even though some large and distended alpha7\(^+\) sprout end-bulbs were VACHT\(^-\) (Fig. 5G–I). VACHT\(^+\) sprouts did not colocalize with NFH (Fig. 5G–I) or MAP2 (Fig. 5M–O) immunoreactivity, suggesting that most sprouts are derived from cholinergic neurons, that they do not colocalize with typical components of dendritic (McDermid et al., 2004) or axonal shaft cytoskeleton, and that they express regeneration-associated CD44 and alpha7beta1 integrin cell adhesion molecules (Werner et al., 2000; Raivich et al., 2004). Similarly pronounced, regeneration-associated immunoreactivity was also observed on the Mini-Ruby-labeled axonal sprouts, shown in Figure 5Z–AB for the alpha7, in Figure 5AC–AE for beta1, in Figure 5AF–AH for CD44, and in Figure 5AI–AK for VACHT, reconfirming the facial motoneuron origin of these neurochemically tagged structures.
Many alpha7\(^+\), galanin\(^+\), and VACHT\(^+\) sprout end-bulbs were particularly pronounced in the basal white matter located ventrally of the axotomized facial motor nuclei, so we next explored their ultrastructural morphology by transmission electron microscopy (EM), 14 days after facial nerve cut (Fig. 6A,B). Starting with alpha7, immunolabeling against the intracellular part of the alpha7 integrin subunit revealed strong cytoplasmic staining surrounding numer-
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**Figure 4.** A–D: Central axonal sprouting depends on the mode of injury. A,C: After facial nerve crush, the sprout area in ppm (A) and the number of sprouts per section (C) reach a moderate peak at day 10 and after cut a much higher peak at day 14. *\(P < 0.05\), Student’s t-test for crush vs. cut (\(n = 3\) animals per group, mean ± SEM). B,D: Additional injury exacerbates central axonal sprouting following facial nerve cut—both in total area (B) and in the number of sprouts (D)—compared with the same total cut period (8 + 6 vs. 14 days, 14 + 8 vs. 22 days). *\(P < 0.05\), one-way ANOVA and post-hoc Tukey, \(n = 4–5\) animals per group.
Figure 5. Molecular characterization of growth cones in the facial nucleus 14 days following facial nerve cut. A–R: Immunoreactivity for vesicular acetylcholine transporter (VACht), double labeling with CGRP (A–C), galarin (D–F), alpha7 integrin subunit (G–I), neurofilament heavy (NFH) isoform (J–L), microtubule-associated protein-2/MAP2 (M–O), and synaptophysin/SynPh (P–R) immunoreactivities. VACht+ sprouts were very frequently positive for galarin, frequently also for alpha 7 and synaptophysin, and more rarely for CGRP immunoreactivity (white arrows in A–C, blue arrows mark single-labeled VACht+ sprouts). Note the absence of double labeling for NFH and MAP2. A–C and P–R are composite micrographs, to illustrate the colocalization of some but not all VACht+ sprouts with CGRP and synaptophysin. S–Y: Colocalization of galarin-positive sprouts with the beta 1 integrin subunit (S–U) and with CD44 (V–Y). Z–AK: Colocalization of Mini-Ruby-labeled growth cones with the alpha7 (Z–AB) and beta 1 (AC–AE) integrin subunits, CD44 (AF–AH), and VACht (AI–AK). White arrows point to double-labeled sprouts in AC, AD, in AF, AG, and in AI, AJ. Asterisks in AC and AD label a Mini-Ruby+, perivascular macrophage. Micrographs in AI–AK are from the border region between facial nucleus (left) and medial white matter and also show two adjacent, Mini-Ruby-labeled motoneurons [n] at left, surrounded by large, VACht+ synapses. Z–AH are inside the dorsal white matter, next to the facial nucleus. A magenta/green version of Figure 5 is available as Supporting Information Figure 2. Scale bar = 50 μm for A–C,I–L; 27 μm for Z–AB, AI–AK; 12.5 μm for P–R; 40 μm in all other micrographs.
Figure 6. Ultrastructure of axonal growth cones and their cellular contacts using alpha7 (A,B), galanin (C,E), and VACHT (D,F) immunoreactivity in the white matter surrounding the facial motor nucleus, 14 days following facial nerve cut in WT animals. A: Intensely cytoplasmically stained axonal growth cones (alpha7), containing numerous (unstained) mitochondria and synaptic vesicles and contacting adjacent oligodendrocytes (OL). B: Strong alpha7 immunoreactivity in submembranous astrocyte cytoplasm (arrowhead) next to the finger-like protrusions of the basal membrane (BM). Some alpha7 immunoreactivity was also present in blood vessel pericytes (P). L, blood vessel lumen; EC, endothelial cell; PC, perivascular cell; AF, astrocyte fibril. C,E: Galanin (GALN)-immunoreactive growth cones, here contacting astrocyte lamella (AL); C, unmyelinated axons (AX); C, and numerous myelinated axons (E). D,F: VACHT-immunoreactive axonal sprouts growing alongside a VACHT-negative (GC*) growth cone (D) and an astrocyte fibril (AF)-containing process (F). Scale bar = 1 μm for A,B,F; 0.35 μm for C; 1.2 μm for D; 0.6 μm in E.
uous mitochondria and vesicles, demarcating the 2–5-μm large structures characteristic of growth cone morphology and the associated 0.3–0.5-μm thin axonal stalks that were frequently directly in contact with neighboring alpha7-negative oligodendrogial surfaces (Fig. 6A). There was no alpha7 immunoreactivity on the associated myelin or myelinated axons (Fig. 6A), blood vessel endothelia, or large perivascular cells (Fig. 6B). However, some submembranous alpha7 immunoreactivity was also present on the small pericytes and the astrocytic processes contacting the perivascular basal membranes (Fig. 6B).
Similar sprout ultrastructure was also observed using immunoreactivity for galanin (Fig. 6C, E) and VACHT (Fig. 6D, F). To determine the approximate frequency of different contacts, we analyzed 39 galanin+ and 57 VACHT+ sprouts at ×10,000 magnification (Table 3). Assessment with these latter, common and unambiguously neuron-specific markers revealed frequent growth cone contacts
with neighboring unmyelinated axons and astrocyte lamellae (Fig. 6C), other growth cones (Fig. 6D), myelin sheaths (Fig. 6E), and large astrocyte processes containing astrocyte fibrils (Fig. 6F). As shown in Table 3, quantification of identified growth cones and their contacts in the electron microscopic sections of perifacial ventral white matter revealed that they were particularly frequent with neighboring unmyelinated axons (97–100%), astrocyte lamella (91–95%), and outer myelin sheaths (54–56%), and with lower frequency with other growth cones, fibrillar astrocyte processes (21–23%), and oligodendrogial cell bodies (0–3%). This frequency of cellular contacts was very similar for the galanin$^+$ and VACHT$^+$ sprouts. The only exception were contacts with other growth cones, which were approximately 2.5-fold more common in the VACHT$^+$ sprouts (39%) than in galanin$^+$ sprouts, with 15% ($P < 2\%$, $\chi^2$ test).
Effects of lipopolysaccharide-induced inflammation and alpha7, brain c-Jun, and TNFR1/2 deletions
Previous studies with the facial axotomy model examining neuronal cell death (Möller et al., 1996; Ravitch et al., 2002), leukocyte influx (Ravitch et al., 1998; Bohatschek et al., 2001), bystander-activation inflammatory changes in neighboring microglia, and induction of late neuronal regeneration-associated molecules such as galanin and beta 1 integrin subunit (Kloss et al., 1999) showed that these events also peak at day 14, coinciding with the currently detected maximum in intracerebral facial axonal sprouting. To determine their effects on the delayed facial sprouting, we next examined the changes resulting from specific gene deletion mutants for alpha7, brain c-Jun, and TNF receptor types 1 and 2 (TNFR1/2) gene deletions, and LPS-induced inflammation, which were previously shown to affect cell death, regeneration, bystander activation, and neural leukocyte recruitment.
In the case of c-Jun, preliminary data suggested a reduction of sprouting in the absence of brain c-Jun (Ravitch et al., 2004; Supp. Info. Fig. 2). In the current study, direct quantification of growth cone area using GCD algorithm and visual counting confirmed this effect (Fig. 7A–C), revealing a 97% decrease in area and a 96% decrease in the number of galanin$^+$ sprouts in mice lacking brain c-Jun ($P < 1\%$, Student’s $t$-test). Deletion of the alpha7 integrin subunit (Fig. 7G–I) caused a 45% increase in area and 50% increase in the number of galanin$^+$ sprouts in the $-/-$mice ($P < 5\%$); that of TNFR1/2 (Fig. 7J–L) was associated with a 39% increase in area but minimal change (~3%) in the number of sprouts, with neither change reaching the level of statistical significance ($P = 10.5\%$ and 9.2%, respectively). Systemic application of 1 mg $E.\ coli$ lipopolysaccharide (LPS) in 0.9% saline (Fig. 7M–R) with a 0.5-, 1-, or 2-day interval preceding day 14 caused an approximately 50% reduction in the area of galanin$^+$ sprouts ($P < 2\%$, one-way ANOVA followed by post hoc Tukey); the effect disappeared at the 4-day interval. Injection of saline alone with a 1-day interval did not affect sprouting (Fig. 7O). Direct visual counting revealed similar, approximately 40% decrease in the number of sprouts 0.5–2 days following exposure to LPS ($P < 5\%$, one-way ANOVA, post hoc Tukey).
Because absence of brain c-Jun also strongly diminished the postaxotomy increase in neuronal galanin immunoreactivity in a previous study (Ravitch et al., 2004), it is possible that the currently detected effect of c-Jun was due to galanin-presumptive sprouts carrying very little galanin immunoreactivity and thus escaping detection. This problem appears to be specific for galanin and c-Jun; deletion of alpha7 did not appear affect the overall galanin immunoreactivity (Werner et al., 2000). In the current study, we reconfirmed this lack of effect on the overall galanin immunofluorescence (IF) in the axotomized facial motor nucleus in the alpha7 mutants [10.0 ± 0.4 vs. 9.6 ± 0.7 in optical luminosity values (OLV) for the IF in alpha7+/+ and $-/-$mice, respectively; $P = 61\%$] and noted similar lack of effect in TNFR1/2 mutants [8.4 ± 0.8 vs 8.6 ± 0.5, $P = 86\%$], or the application of LPS [8.76 ± 0.61 for control, 9.51 ± 0.80 for 0.5 days, 9.88 ± 1.11 for 1 day, 9.55 ± 0.61 for 2 days, and 9.53 ± 0.89 for 4 days, respectively; $P = 90\%$ in one-way ANOVA]. In general, brightly fluorescent axonal growth cones showed an approximately 3–3.5-fold higher staining compared with the whole facial motor nucleus (0.50–0.55 in log$_{10}$ relative intensity of staining and contrast/RISC units). However, unlike the results in the interleukin-6 deletion study (Galiano et al., 2001), we did not observe a statistically significant change in the RISC values of the mutants (jun, alpha7, TNFR1/2) compared with their wild-type littermates ($t$-test) or in LPS-injected animals compared with controls (one-way ANOVA).
### TABLE 3.
Ultrastructural Growth Cone Contacts
| Detected growth cone immunoreactivity | Galanin positive (%) | VACHT positive (%) |
|--------------------------------------|----------------------|--------------------|
| Contact with myelin | 56 (22/39) | 54 (31/57) |
| Oligodendrogial cell body | 3 (1/39) | 0 (0/57) |
| Astrocyte lamella | 95 (37/39) | 91 (52/57) |
| Filamentous astrocyte process | 23 (9/39) | 21 (12/57) |
| Neighboring axon | 97 (38/39) | 100 (57/57) |
| Another growth cone | 15 (6/39) | 39 (22/57)$^1$ |
$^1P < 2\%$, $\chi^2$ test comparing this contact type for galanin$^+$ vs. VACHT$^+$ growth cones. Galanin$^+$ and VACHT$^+$ can contact several different structures at the same time, so the total number of different contacts can be higher (approximately three times higher) than the number of the labelled growth cones in either column.
Figure 7
GALN jun f/f junΔN
A B
c-Jun
C
Area
GALN
TNFR+/+
TNFR-/- α7+/+ α7-/- 0h 12h 24h 48h 96h
D E G H J K M N P Q R
CGRP
F
Area
CGRP
TNFR1/2
L
Area
α7
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Area
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Figure 7
In line with previous data (Moore, 1989; Raivich et al., 1995), quantitative experiments on total CGRP immunoreactivity did reveal constitutively strong staining on the control side and, at 14 days after axotomy, a moderate though significant increase on the injured side in the control \( \text{jun}^{+/+} \) (Fig. 7F, inset, two left bars) as well as in the brain Jun-deficient mice (Fig. 7F, inset, two right bars; \( P < 1\% \), Student’s t-test). Moreover, neither the control nor the axotomized side nor the increase in CGRP staining on the axotomized side was affected by deletion of brain c-Jun.
To validate the effect of brain c-Jun on facial axonal sprouting, we therefore examined the effects on the CGRP\(^+\) sprouts. As shown in Figure 7D,E, deletion of brain c-Jun brought on a visible reduction in sprouts labeled with CGRP immunoreactivity, while not affecting the intensity of neuronal cell profiles. In the same vein, quantitative comparison of the area covered by CGRP\(^+\) sprouts (Fig. 7F) showed a 60% decrease in brain Jun-deficient animals compared with their \( \text{jun}^{+/+} \) controls (\( P < 2\% \), Student’s t-test). Direct visual counting revealed a similar, approximately 67% decrease in the number of sprouts (\( P < 5\% \)).
**Changes in beta 1 integrin levels**
The beta 1 integrin subunit is the obligate partner of alpha 7 and shows a neuronal expression peak 14 days following facial nerve cut (Kloss et al., 1999), so we next explored the relationship between sprouting response and levels of this regeneration associated molecule. As shown in Figure 8A, absence of the alpha 7 integrin caused significantly elevated beta 1 integrin levels at day 14 compared with littermate controls (+34%, \( P < 5\% \), Student’s t-test). Similarly, deletion of brain c-Jun also showed a 68% decrease in beta 1 integrin immunoreactivity following facial axotomy at day 14 (Fig. 8B; \( P < 5\% \)), in line with the absence in central sprouting observed in these mutants.
Administration of LPS did not affect beta 1 integrin levels significantly at any of the time points (0.5–4 days) tested (Fig. 8D). There was also no significant difference between cut and crush injury at day 7 or day 14, but there was a 25% increase at day 10 (Fig. 8C). Reinjury paradigms (8 + 6, 14 + 8) caused a significant, 26% and 27% decrease (\( P < 5\% \)), respectively, compared with their controls at days 14 and 22 (Fig. 8E).
**DISCUSSION**
Regenerative axonal sprouting is critical for repair of the adult nervous system, but the specific signals involved are only beginning to be understood. The facial nerve axotomy model is a well-characterized paradigm for studying molecular mechanisms involved in successful peripheral regeneration and functional recovery, and previous studies have reported the appearance of central galanin\(^+\) sprouts inside the facial motor nucleus 14 days after nerve cut (Galiano et al., 2001; Makwana et al., 2007). The aim of the current set of experiments was to establish the neuroanatomical origin and distribution of these growth cone-carrying axons, determine the time course of their sprouting response, and identify physiological causes responsible for its transient appearance and regulation following injury.
As shown in the current study, transection of axons in the peripheral part of the facial motor nerve caused the delayed appearance of sprouting, galanin\(^+\), and to a lesser extent CGRP\(^+\), neurites inside the central nervous system, in and around the affected facial motor nucleus. These sprouts appeared to originate from axotomized facial motoneurons based on their selective appearance on the injured side; presence of vesicular acetylcholine transporter as a marker of cholinergic phenotype; presence of both galanin\(^+\) and CGRP\(^+\) subpopulations of facial motoneurons; and colocalization with the bidirectional, retrograde and anterograde, tracer Mini-Ruby first applied to the proximal stump of the cut facial nerve. As demonstrated in Figure 2H, cell body fluorescence for Mini-Ruby was completely limited to the axotomized facial motor nucleus. Together with the absence of axonal Mini-Ruby staining in sensory projection areas (brainstem, substantia gelatinosa, spinal nucleus of the trigeminal nerve), this argues against a major sensory contribution to the perifacial sprouting. This point is reinforced by the presence of VACHT as a marker of cholinergic phenotype on a large number, although not in all, of sprouts detected here and the fact that VACHT\(^+\) innervation of motoneurons is not affected by removal of sensory input (Oliveira et al., 2003). Finally, sprouts located outside the nucleus and visualized with their stalk and bulb had their leading structure, the growth cone bulb, in the majority of cases pointing away from the nucleus, suggesting growth away, not growth toward, the nucleus.
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**Figure 7.** Effects of neural c-Jun (\( \text{jun}^{\Delta N} \); A–F), TNFR1/2 (G–I), and alpha 7 (J–L) gene deletions and LPS-induced inflammation (M–R) on galanin (A–C,G–R) and CGRP (D–F)-immunoreactive central axonal sprouting in the facial motor nucleus 14 days after cut. Left row, littermate controls; center, mutants; right, quantification of the effects on the area (left Y-axis, parts per million) and number (#, right Y-axis) of galanin- or CGRP-positive sprouts (mean ± SEM, mean = 3–6 animals per group). Solid bars, littermate controls; open bars, mutants. In the case of endotoxin (O), single intraperitoneal injection of 1 mg E. coli/LPS/kg caused a transient decrease of sprouting 12–48 hours after injection (solid bars). Uninjected animals (O) and mice 24 hours after saline injection (O) served as controls (open bars; \( P < 5\% \), Student’s t-test (C,I) or ANOVA followed by post hoc Tukey test (O). The inset in F shows the overall CGRP immunoreactivity (in OLV values) in the axotomized (ax, solid bars) and contralateral (co, open bars) for the \( \text{jun}^{+/+} \) controls (left) and \( \text{jun}^{\Delta N} \) mutants (right). Scale bar = 200 \( \mu m \) in R (applies to A,C,G–R); 80 \( \mu m \) for D,E.
Neurochemically, the detected sprouts clearly exhibited the profile of growing axon terminals. They contained high levels of anterogradely transported neuropeptides galanin and CGRP, synaptophysin, and VACHT; expressed regeneration-associated CD44 and alpha7beta1 integrin cell adhesion molecules (Werner et al., 2000; Raivich et al., 2004); and lacked MAP2, a typical component of dendritic cytoskeleton (MacDermid et al., 2004). The absence of neurofilament H staining is also in line with the fact that neurofilaments do not extend into the terminal growth cone structures (Jacobs and Thomas, 1982; Tetzlaff and Bisby, 1989). Detailed morphological studies in similar models in axotomized cat spinal motoneurons and commissural interneurons showed that these sprouts had a long, axon-like process can project directly from the soma, proximal principal dendrite, or even very distal part of the dendrite, depending on the type of axotomized neuron (MacDermid et al., 2004; Fenrich et al., 2007). Although the current data focus more on the molecular characterization and regulatory dynamics of the sprouting response, it will be of considerable interest to identify in a future study the main subcellular origin of the prolific sprouting response that is observed following mouse facial axotomy.
**Sprouting orientation**
Theoretically, growth cones associated with the injured facial motor nucleus could be oriented in any direction with respect to the nucleus. In fact, they did show a clearly trimodal distribution (Fig. 1I), with three of the nine segments responsible for 70% of the orientations taken. Sprouts in the largest of these three groups (A, 38%) were oriented away from (0°–20°) and those in the smallest (I, 8%) were oriented directly toward the nucleus (160°–180°). Sprouts in the relatively large intermediate group (E, 24%) oriented themselves roughly perpendicular to the vector from the center of the nucleus and parallel (80–100°) to the outline of the nucleus proper. The overall predominance of outward-pointing sprouts appears to suggest the presence of a strong repellent cue associated with the injured facial motor nucleus, which would be consistent with the lower density of sprouts inside than directly outside the nucleus, as shown in Figure 1H. In the same vein, the presence of a smaller segment of sprouts pointing toward the nucleus (8% in I, 13% in the inward three segments G–I) could be due to a paradoxical reaction, reversing a repellent to an attractant response (Tear, 1998; Gavazzi, 2001) or the presence of bona fide attractors, to which only a smaller subpopulation is sensitive. Finally, instead of a gradual increase from the directly inward-to outward-pointing segments, there is a relatively large, intermediate fraction of “cruising” sprouts that run perpendicular to the vector from the nucleus center. Although at first puzzling, this could suggest that some sprouts lay a decidedly equidistant course between two similarly attractive directions.
At present the identity of signals regulating this orientation distribution are unknown. Injured facial motor neurons are known to change the expression for a series of chemorepellant molecules and their subcellular signalling, with increased semaphorin IIIC and plexin A2 synthesis (Pasterkamp et al., 1998; Spinelli et al., 2007; Oschipok et al., 2008). However, some repellent signals may also originate from neighboring microglia (Schifman and Selzer, 2007), which exhibit maximal activation at day 14 (Bohatschek et al., 2004), together with the peak sprouting response. Here, cell-type-selective deletion of expressed chemorepellent cues will improve insight into the cellular source and specific effects of signals guiding sprouting inside the adult central nervous system.
**Effects of regeneration, reinnervation, and recut**
The onset and peak of sprouting at day 7 and day 14 after cut occur at roughly the same time as the beginning of facial motoneuron reinnervation of their peripheral target described in previous studies (Werner et al., 2000; Raivich et al., 2004). Moreover, denervated muscle fibers
are a rich source of neurotrophins and adhesion molecules (Covault and Sanes, 1985; Koliatsos et al., 1993; Funakoshi et al., 1993; Ishii et al., 1994; Springer et al., 1995) that could provide a transient surge in trophic signals available to axotomized motoneurons during the initial process of reconnection. However, our data do not suggest that reinnervation is responsible for the sudden burst in central axonal sprouting. Although reinnervation is known to occur earlier, more promptly, and with less error after crush than after cut (Nguyen et al., 2002; Witzel et al., 2005), peak levels of sprouting after cut were more than 5-fold higher than after crush. Similarly, the reinterruption of axonal connections with a recut \((8 + 6, 14 + 8)\) led to a significantly stronger sprouting response compared with that observed following a single cut at day 14 and day 22, respectively. This enhanced sprouting could be due to a conditioning effect (Woolf et al., 1992; Gilad et al., 1996). However, the \(14 + 8\) sprouting was less than at day 14, suggesting that overall duration and presence of recut, rather than the conditioning effect, are the primary variables that define the extent of central sprouting.
Surprisingly, these facial axonal sprouts were particularly numerous in the white matter tissue that appears to inhibit the outgrowth of corticospinal, rubrospinal, or peripheral sensory axons via rapid growth cone collapse (Thalmair et al., 1998; McKerracher, 2001; Cafferty et al., 2008). At the ultrastructural level (Table 1), the facial sprouts showed frequent and close contact with neighboring myelinated sheaths (Fig. 6E, Table 1) and occasionally with the oligodendrogial cell bodies (Fig. 6A), while maintaining an active growth state. Interestingly, and unlike most of the cases mentioned above from previous studies, dissociated sensory neurons microtransplanted into the spinal cord showed almost no inhibition, growing robustly through normal or even through predegenerated white matter (Davies et al., 1999). In fact, they were stopped only by glial scars surrounding CNS lesions. Although these effects appeared to be specific for peripheral sensory neurons—similarly dissociated cortical neurons did not regenerate into white matter (Tom et al., 2004)—the facial sprouting response shown in the current study could suggest that similar resilience to white matter inhibitory signals is inducible in central neurons. Understanding the molecular signals associated with the formation of facial axonal sprouts could thus provide clues to improving regenerative response in the white matter of the central nervous system.
**Neuronal cell death and inflammation**
The peak in central axonal sprouting in the mouse facial axotomy model also coincides with the maximum in substantial neuronal cell death and also with inflammatory changes in microglia and astrocytes and leukocyte recruitment observed in this CNS injury and repair model. Previous evidence also shows that those subtypes of neurons that are most likely to be programmed to launch a regenerative response after injury, for example, retinal ganglion cells, also exhibit a high rate of cell death (Berkelaar et al., 1994), which is in line with observations in which particular transcription factors such as c-Jun that contribute to cell death are also required for regeneration (Raivich et al., 2004).
In the same vein, brain c-jun-deficient animals with an absence of neuronal cell death following facial nerve cut (Raivich et al., 2004) do show a reduced sprouting response in the mutant animals. However, this correlation is not maintained in other mutants with effects on cell death in the same model. TNFR1/2 null mice show a 4-fold reduction in cell death (Raivich et al., 2002) and a slight, though not significant, tendency toward higher central sprouting. Transforming growth factor-β1 null mice also show greatly increased cell death, together with a significantly reduced sprouting response (Makwana et al., 2007). A similar lack of linear correlation is also observed for peripheral regeneration, with enhanced sprouting in IL6 null (Galiano et al., 2001) and alpha7 null (Fig 6G–I) animals and reduced sprouting in the brain c-jun-deficient animals (Fig 6A–F); all three groups of mutant mice show a significant reduction in the speed of peripheral nerve outgrowth (Zhong et al., 1999; Werner et al., 2000; Galiano et al., 2001; Raivich et al., 2004).
Current data do show a relatively straightforward correlation between neural inflammation and reduced central axonal sprouting in the facial axotomy model. Systemic application of 1 mg *E. coli* endotoxin causing severe neural inflammation and granulocyte recruitment (Bohatschek et al., 2001), resulted in a 50% reduction in sprouting response 12–48 hours following the intraperitoneal injection (Fig. 6M–R). Enhanced neural inflammation in TGF-beta1 null mice is associated with reduced sprouting (Makwana et al., 2007). This also appears to be true in reverse, with attenuated inflammation and 50% enhanced sprouting in IL6 null mice (Galiano et al., 2001). Finally, reduced inflammatory response in the TNFR1/2 null mice (Hristova et al., 2005; Bohatschek et al., 2005; Liu et al., 2006) coincides with the tendency toward improved sprout outgrowth in these mutant mice shown in the current study and agrees with the appearance of MAP2-negative dendraxon sprouts in permanently axotomized cat motoneurons (McDermid et al., 2004).
Induced inflammation around the cell body has been shown to improve sensory axon outgrowth into the CNS (Lu and Richardson, 1991). However, these results were obtained when inflammatory stimulus was used instead of peripheral nerve injury, unlike the current model in which peripheral injury is followed by a robust inflammatory response inside the affected part of the brain (Moran and Graeber, 2004). Central injury frequently produces a mild retrograde reaction, in which additional inflammation will elicit a stimulatory effect (Hossain-Ibrahim et al., 2006), raising the question with regard to those components of neuronal response that specifically enhance neurite outgrowth inside the injured CNS.
**Endogenous signals in central axonal sprouting**
Up-regulation of neuronal transcription factors such as c-Jun, ATF3, or STAT3 plays an important role in the neural response to injury and the synthesis of molecules required for regeneration and repair (Herdegen and Leah, 1998; Tsujino et al., 2000; Schweizer et al., 2002). As shown in this study, neural expression of c-jun transcription factor strongly supports the delayed appearance of central axonal sprouting. Although numerous regeneration-associated genes and proteins show an early onset and peak of expression following injury (e.g., ATF3, GAP43, CD44, CGRP, alpha7 integrin subunit) that may allow the different stages in the initiation and execution of neurite outgrowth (Seijffers et al., 2007), there is a second or later group of molecules such as galanin, beta 1, and noxa (Kloss et al., 1999; Galiano et al., 2001; Kiryu-Seo et al., 2005; Di Giovanni et al., 2006) with a relatively delayed expression that coincides with central sprouting and neuronal cell death. Moreover, many of the late but also early molecules are brain c-Jun dependent and as shown in the current study are actually expressed in the facial axonal sprouts, for example, CD44, galanin, and alpha7/beta1 integrin. These growth-cone-localized molecules support axonal elongation and outgrowth in the peripheral nerve (Werner et al., 2000; Holmes et al., 2000) and may enhance central sprouting as well as allow nascent central growth cones to withstand numerous inhibitory cues such as NOGO, MAG, and OMGP that are present in the white matter (McKeenracher, 2001). Although hypothetical, the neurite-outgrowth enhancing properties of galanin could also be involved in the much stronger sprouting observed in the galanin\(^+\) compared with the CGRP\(^+\) populations of axotomized facial motoneurons.
Deletion of the alpha7 integrin subunit increases central sprouting, which could point to an inhibitory role of the alpha/beta1 integrin. Previous immunohistochemical studies revealed prominent localization of both integrin components, alpha7 and beta1, on the terminal parts of growing axons and the cell bodies of axotomized motor and sensory neurons, with very little expression on most of the axons or in dendritic arborizations (Kloss et al., 1999; Werner et al., 2000). The current study also shows a very similar distribution, with much higher levels of both components in the terminal part of the sprout than in the adjacent axon-like stalk (Fig. 5S–U,Z–AB,AC–AE), pointing to a specific growth cone function. Furthermore, the apparently compensatory up-regulation of beta1 could suggest enhanced activity, for example, via one of the other 11 currently identified beta1-associating alpha subunits (Sixt et al., 2006), by interacting with fibronectin, the main extracellular matrix component associated with the outgrowth of transplanted sensory neurons in central white matter, for example (Tom et al., 2004). Moreover, the strong decrease in posttraumatic neuronal expression of beta1 in brain Jun-deficient mice could also contribute to the reduction in central sprouting in these mutant animals.
This potential involvement of beta1-family integrins is qualified by incomplete overlap of peak beta1 levels (day 10) and sprouting (day 14) in the cut vs. crush experiment. It is possible that the regulatory control exerted by the alpha7/beta1 integrin is in fact several steps upstream of the actual sprouting response, particularly inasmuch as the immunoreactivities for beta1 (Fig. 8C) and for alpha7 (Fig. 1b in Werner et al., 2000) both peak between day 7 and day 10 and are already strongly decreased at day 14. Moreover, the significant reduction of beta1 levels in the recut experiment was associated with enhanced sprouting (Fig. 7D,E) and could indicate the presence of additional pathways involved in the regulation of central axonal outgrowth under varying genetic and experimental conditions. Nevertheless, the hypothesis for beta1-integrin-family involvement will have to be tested using central neuronal deletion of the beta subunit to settle this issue. Furthermore, if these experiments do show positive involvement of beta1, identifying the cognate alpha subunit(s) involved in central axonal sprouting could enhance the therapeutic understanding of the repair processes operating in the injured brain and spinal cord.
**ACKNOWLEDGMENTS**
We gratefully acknowledge the help of Ms. Dietmute Büringer (Neuromorphology, Martinsried) and Mr. Mark Tully (Cell and Developmental Biology Department, UCL) for their expert assistance with electron microscopy and Prof. Horst Bluelthmann (Hoffmann-LaRoche, Basel, Switzerland) for providing the TNFR1/2 null mice.
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Customer segmentation model based on value generation for marketing strategies formulation
Alvaro Julio Cuadros\textsuperscript{a,}\textsuperscript{*}, Victoria Eugenia Domínguez\textsuperscript{b}
\textsuperscript{a} Full Time Professor, Escuela de Ingeniería Industrial, Universidad del Valle, Cali, Colombia
\textsuperscript{b} Project Manager
\textbf{Article history:}
Received 17 July 2012
Accepted 8 January 2014
Available online 11 March 2014
\textbf{JEL classification:}
M31
\textbf{Keywords:}
Segmentation
Customer value
Artificial neural network
Self-organized maps
\textbf{Abstract}
When deciding in which segment to invest or how to distribute the marketing budget, managers generally take risks in making decisions without considering the real impact every client or segment has over organizational profits. In this paper, a segmentation framework is proposed that considers, firstly, the calculation of customer lifetime value, the current value, and client loyalty, and then the building of client segments by self-organized maps. The effectiveness of the proposed method is demonstrated with an empirical study in a cane sugar mill where a total of 9 segments of interest were identified for decision making.
© 2012 Universidad ICESI. Published by Elsevier España, S.L. All rights reserved.
\textbf{Modelo de segmentación de clientes basado en la generación de valor para la formulación de estrategias de mercadeo}
\textbf{Resumen}
Cuando se está decidiendo en qué segmento invertir o cómo distribuir el presupuesto de marketing, los Gerentes corren el riesgo de tomar malas decisiones de manera general sin considerar el verdadero impacto que tiene cada cliente o segmento de clientes en las utilidades de la organización. En este artículo, se propone un modelo de segmentación de clientes que considera en primera instancia el cálculo de la rentabilidad del cliente, el valor de cliente en su ciclo de vida, el valor actual y la lealtad, y posteriormente construir los segmentos mediante mapas auto-organizados. La efectividad del modelo se probó en un Ingenio Azucarero donde se identificaron 9 segmentos de interés para la toma de decisiones de marketing.
© 2012 Universidad ICESI. Publicado por Elsevier España, S.L. Todos los derechos reservados.
\textbf{Modelo de segmentação do cliente baseado na criação de valor para a formulação de estratégias de marketing}
\textbf{Resumo}
Quando se está a decidir em que segmento investir ou como distribuir o orçamento de marketing, os Gestores arriscam acertar as decisões de uma maneira geral sem considerar o impacto que cada cliente ou segmento tem sobre os lucros da organização. Neste artigo, propõe-se uma estrutura de segmentação que considera, em primeiro lugar, o custo do valor do cliente ao longo da vida, o valor atual e a fidelidade do cliente, e, depois, a construção de segmentos de clientes através de mapas auto-organizados. A eficácia do método proposto é demonstrada através de um estudo empírico sobre uma fábrica de cana-de-açúcar, em que um total de 9 segmentos de interesse foram identificados para a tomada de decisões.
© 2012 Universidad ICESI. Publicado por Elsevier España, S.L. Todos os direitos reservados.
* Corresponding author at: Calle 13 No. 100-00, Edificio 357 Of. 2007-4, Cali, Colombia.
E-mail address: firstname.lastname@example.org (A.J. Cuadros).
0123-5923/$ – see front matter © 2012 Universidad ICESI. Published by Elsevier España, S.L. All rights reserved.
http://dx.doi.org/10.1016/j.estger.2014.02.005
1. Introduction
From the modern management perspective, maximizing customer value is the key to surviving fierce competition in the business world. Differentiating more profitable customers from less profitable customers and focusing on lifelong, rather than short-term, customer relationships are key business strategies for survival in today’s competitive marketplace (Chan & Ip, 2011). As result, building long-term customer loyalty is crucial to business sustainability (Keh & Lee, 2006; Kumar & Reinartz, 2006; Lars, 2007).
Mulhern (1999) proposed that customer value based on profit is an important base for behavior segmentation, due to central importance of benefits. Looking forward to keeping customers, who generates most benefits as well as maximize their profit, enterprises start managing their customer portfolio as a fundamental asset for achieving a sustainable competitive advantage along time, which has required modifying from transactional marketing philosophy to relation marketing. Therefore, business and marketing approach must fundamentally focus on customer or customer value (Rust, Zeithaml, & Lemon, 2000). What it means, a new vision looked at customer select and manage for optimizing their value in a long term. The customer diverse segments have a potential different benefit for companies and benefit pattern could vary depending on the period where customer life cycle is and other considerations. Looking after the customer group which represents the most valuable customers during the time, it could significantly increase the company benefit (Peng & Hsu, 2001). By this way, resources and an appropriate business strategy can then be allocated and formulated respectively for business sustainability (Kumar & Reinartz, 2006). In addition, Bayón, Gutsche, and Bauer (2002) recognized that possible investors need to be convinced of the amount and sustainability of a calculated customer value.
A way to identify the most valuable customers is through benefit criteria which could be applicable in whatever kind of business. Customer value has been studied under the name of lifetime value (LTV), customer lifetime value (CLV), customer equity (CE), and customer profitability (Hwang, Jung, & Suh, 2004). Researchers have tried different methods to calculate the value of individual customer to make rankings of individual clients or segments or even predictions of the value, as can be found in Verhoef and Donkers (2001), Jain and Singh (2002), Bayón et al. (2002), Stahl, Matzler, and Hinterhuber (2003), Hwang et al. (2004), Venkatesan and Kumar (2004), Gupta and Lehmann (2006), Kim, Jung, Suh, and Hwang (2006), Khajvand, Zolfaghar, Ashoori, and Alizadeh (2011), Han, Lu, and Leung (2012) and Verbeke, Dejaeger, Martens, Hur, and Baesens (2012).
In addition to that, there are different ways to describe customer behavior; one of these is using Kohonen self-organizing maps (SOM) that recently have been important. Self-organizing maps are a particular type of neural network used for clustering and data visualization (Criado, Arroyo, & López, 2005).
Researches about segmentation using SOM could be found out in Lee, Suh, Kim, and Lee (2004), Jonathan (2005), Kuo, Wang, Hu, and Chou (2005), Kiang, Hu, and Fisher (2006), Kim et al. (2006), Kuo, An, Wang, and Chung (2006), Ghaseminezhad and Karami (2011), Hanafizadeh and Mirrazzadeh (2011), Ordóñez, Dafonte, Arcay, and Manteiga (2012), Sahoo, Zuo, and Tiwari (2012), Seret, Verbraken, Versailles, and Baesens (2012), Wei, Lin, Weng, and Wu (2012), Chattopadhyay, Dan, and Mazumdar (2012), Chien-Wen (2012), Hong and Kim (2012). As can be seen, the trend of using SOM in segmentation has increased last year.
In this paper, a segmentation model with a customer value base, integrating different approaches from marketing and quantitative analysis is proposed. First, three criteria were selected from different alternatives proposed by researchers. As a result, customer lifetime value (CLV), the current value and the client loyalty were decided as segmentation criteria. After considering the details for the calculation of every criterion in the company, the necessary data for the analysis was collected. The segmentation of the database was performed by the Neural Network Clustering Tool (nntool), the way as Matlab solves clustering problems. As part of the simulation process, running the training with different number of segments is considered in order to find out the best way of clustering. Last step of this method is the calculation of the real value of every segment identified by SOM in order to know how important every one for financial results in the company is.
This paper is built in two sections: first, the detail about the segmentation model is presented, and second, the effectiveness of the proposed method is demonstrated with an empirical study of one of the largest producers of sugar cane in Colombia. In this company, one of its commercial lines which spend about USD 2 million per year in generic marketing campaigns segmented its national and international client database. The experimental results demonstrate that the proposed method can more effectively target valuable customers than actual method. This supports the idea that investing big amount of money in marketing campaigns with no reference about the weight or importance of the clients is not sustainable in these days.
2. Customer segmentation model
The proposed segmentation method is based on LTV calculation proposed by Kim et al. (2006) and Hwang et al. (2004) that considered three factors: current value, potential value, and customer loyalty. In addition, self-organizing maps are used as a tool for clustering the customer database and identifying the most valuable customers. The model considers the following steps.
2.1. Step 1: customer specification
First, it is necessary to define the scope of the analysis that will be done by defining business unit, geographical coverage, kind of product, customer aggregation level, the active or inactive status client, as well as the time that will be covered by the analysis. Making clear these parameters, the organization could perform better analysis and even plan the analysis in different levels.
2.2. Step 2: sales identification and payments done by customers
To continue with the process, some information about financial transactions has to be calculated for every customer. For revenues, the following has to be calculated:
- Compilation of customers’ historical purchase: information about transactions done by customer in the period of analysis should be recollected.
- Compilation of customer arrears in payment: information about payment date of customer obligation in the period of analysis should be recollected, with the goal of identifying payments which was done after payment date. This information will be used in the next chapter for doing the calculation of customer earned value.
- Assignment cost: variable costs and customer acquisition costs should be identified.
2.3. Step 3: representative costs identification in customer relationship
Identifying costs, which have been incurred in customer relationship, is really important. It should include direct and indirect acquisition, production, marketing and distribution costs.
2.4. Step 4: calculation of customer lifetime value
With revenues and costs per client, the customer life time value can be calculated, understanding it as the performance generated by each customer in time analyzed. It is calculated using incomes and costs by following Eq. (1) of structural basic model.
\[
CLV = \sum_{i=1}^{n} \frac{(R_i - C_i)}{(1 + d)^t} - 0.5
\]
(1)
where \( R_i \), Gross Income, is the value of amount bought per price paid, \( C_i \) is the relationship cost with customer that corresponds to the sum of all costs associated with the customer, and \( d \), the discount rate, is the money discount rate established for reflecting cash flow risk.
2.5. Step 5: calculation of customer earned value
Before deciding to hold a customer, the expected effect on profit and portfolio risk should be determined. Glazer and Dhar (2003) affirmed that if there is better customer portfolio behavior, there will be more contribution in the enterprise. In the model, customer earned value is the criteria which allowed comparing incomes and arrears in payment. This value corresponds to gross sales done by a customer minus arrears in time of the commercial relationship that is proposed by Kim et al. (2006).
\[
\text{Customer earned value} = \frac{\text{gross sales} - \text{arrears}}{\text{time of analysis}}
\]
(2)
2.6. Step 6: calculation of customer purchase rotation
In this model, purchase rotation is considered like brand customer preference, and it is a measure of customer loyalty. A high rotation means a high customer loyalty level. It is equivalent to sum of purchases number done by a customer in a period of specific time.
\[
\sum_{j=1}^{n} \text{Translation number of } C_{ij}
\]
(3)
where \( C_{ij} \) corresponds to the customer \( i \) in the period of time \( j \), and \( n \) is the last month of the period of analysis.
2.7. Step 7: design of self-organizing map
It is necessary to do the data normalization to prevent that bigger magnitudes in one criteria void lesser magnitudes from other criteria. It is done using Eq. (4) proposed by Caicedo and López (2009).
\[
X_n = 2 \left[ \frac{X - X_{\min}}{X_{\max} - X_{\min}} - 1 \right]
\]
(4)
where \( X_n \) indicates the normalized value and \( X \) represents the original value. By the same way, \( X_{\max} \) and \( X_{\min} \) indicate the maximum value and the minimum value of the variables, respectively.
After having identified and normalized the data, some parameters have to be defined in order to run self-organizing maps. Those parameters are: network architecture, initialization procedure, and training algorithm. Final simulation was run using Matlab 7.12.0 (R2011a) which solves clustering problems by SOM with its Neural Network Clustering Tool (nctool).
First, the normalized data can be considered as the input matrix to be organized. The neurons in the entrance layer belong to the customer number, while the neurons in the exit layer will be the segments number obtained. This entrance vector has dimension three \( X^3 \) [X1, X2, X3], because the three segmentation criteria are considered for the model; X1 represents customer lifetime value, X2 represents customer earned value and X3 represents customer purchase rotation.
On the other hand, the network architecture has to be defined. This network has one layer, with neurons organized in a grid which is defined by the number of rows and columns in the grid. In addition, initial values are given to the prototype vectors. Among random sample and linear initialization procedures, random method was chosen. Finally, training the network following to the minimum distance rule for finding the winner neuron of data matrix and an entrance vector is selected randomly for checking the red.
3. Case of study for an agro industrial company
The company, which was selected for applying the model, is an enterprise that belongs to agro industrial sector, one of the largest producers of sugar cane in Colombia, which is dedicated in the elaboration of sugar, alcohol, organic fertilizers, and other industrial inputs.
Company’s customers were divided in seven canals: wholesalers and distributors, supermarkets, industrial, organic products and chemical products. For the case of study, analyze just the industrial canal constituted by 71 customers, was decided. Additionally, doing the analysis with the five products which are being marketed in the industrial canal as well as doing it just in the national field. The analysis is done with the sales dates for twelve months.
In addition the marketing department of industrial channel provided the database with information about the transactions done by costumers from January 2010 to December 2010. The arrears were recollected with the accounting department, which provided a database with information about the payments of each customer. The enterprise has established 30 days as the maximum time for customer bill payment. To calculate the arrears of the customers, days (among customer had to pay and payment day) were calculated; if number of days is more than 30 days, it is considered as an arrear. Otherwise, if number of days is less than 30 days, it is not being considered as an arrear.
The different costs were calculated as percentage of sales for calculating the customer cost multiplied simply per amount bought monthly. The acquisition costs were not taken in this analysis; due to target market does not use any kind of priority, discounts or contracts. Production costs include direct and indirect costs. Marketing costs correspond directly to sale form management. Distribution costs considered transport, packing, stock maintenance, storage, product returned or rejected and order processing. Transport was not taken because customers pick the product up in the enterprise facilities.
With client information, customer lifetime value, earned value and purchase rotation indicators were calculated. In accordance to the equation presented, CLV for customer was calculated utilizing the discount rate used for the company that is equivalent to WACC. The Weighted Average Cost of Capital (WACC) is the capital cost of the business (Black, Wright, & Bachman, 1998) and it was supplied by the company. As a curiosity, calculating the earned value, it was found that there were customers whose purchases were less than overdue payment. Finally, a dynamic table was generated to calculate the purchase rotation, from the database of customer transactions, which was filtered because of having a transactions number of each customer for every month.
In order to design the self-organizing map (SOM), the necessary normalization was done for including the data of different variables in the model. For simulation, the network has 71 neurons in the entrance layer which corresponds to the table of normalized data. Inputs ‘data’ is a $71 \times 3$ matrix, representing: 71 samples (customers) or 3 elements (segmentation criteria). In addition, training the network following to the minimum distance rule for finding the winning neuron of data vectors and an input vector was selected randomly for checking the red, in batch mode running 200 epochs.
For the exit layer, it was decided to try different structure in order to find best way to cluster the client database, so the training was done with 4, 9 and 16 neurons. The neurons of output layer are the number of groups which the company could segment the customer base, so more than 16 neurons were not considered. As output layer, Matlab create two-dimensional matrix $N \times N$ where $N$ represents the number of neurons, so the training results in $2 \times 2$ matrix, $3 \times 3$ matrix and $4 \times 4$ matrix. Training was performed until results were the same or very similar; thus the last simulation was decided as the optimal result for the segmentation.
For the first map, the $2 \times 2$ matrix, training was done three times and same results were obtained. Fig. 1 shows the neurons location in the topology and indicates the training data amount which is associated for each neuron. The number which is expressed in each neuron is equivalent to access numbers of entrance vectors that are associated to every neuron. The maximum of access associate to a neuron was 61 customers and the minimum was 1 customer. In this case, the data concentrated a little more on the upper-right neurons suggesting the company to consider a segment as big as 61 clients while other segments with 3, 4 and even 1 client.
The previous evidence is important owing to develop marketing strategies for segments 61 clients and for segments with 1 client can be noticed. It is understood that it is necessary to continue with the process in order to obtain results with less concentration.
In case of the second map, the $3 \times 3$ matrix, training was done three times obtaining the same result every case. Fig. 2 shows the neurons location in the topology. It can be noticed that training looks for a better distribution of data across the neurons, than the $2 \times 2$ matrix; however a concentration pattern still remains. The maximum of access associate to a neuron was 27 customers and the minimum was 1 customer.
In the last case for the third map, the $4 \times 4$ matrix, training was done five times until the best result was found. Figs. 3–7 show the neurons location in the topology for every time and the similarity of the data associated for each neuron.
In this case, the maximum of access associate to a neuron was 14 customers and the minimum was 0 customers. Training process
Table 1
Factors per segment.
| Segment | Customer base | CLV | Rotation | Earned value |
|---------|---------------|-----------|----------|--------------|
| Segment 1 | 4 | $25,198,937,857 | 1057 | $14,488,124,570 |
| Segment 4 | 4 | $17,102,252,452 | 785 | $7,362,193,132 |
| Segment 8 | 4 | $3,924,198,018 | 241 | $1,641,792,080 |
| Segment 7 | 1 | $3,376,330,427 | 552 | $1,134,218,209 |
| Segment 5 | 10 | $2,593,330,907 | 513 | $1,070,883,005 |
| Segment 2 | 1 | $2,196,528,003 | 164 | $735,260,470 |
| Segment 6 | 7 | $1,423,965,096 | 139 | $722,115,289 |
| Segment 6 | 27 | $1,191,150,513 | 155 | $483,957,173 |
| Segment 3 | 13 | $672,098,214 | 280 | $21,505,778 |
| Total | 71 | $57,287,013,895 | | $28,036,810,330 |
Source: prepared by the authors.
starts with a neuron with 24 customers but looking for a better distribution of data across the neurons, finishes with 14. However due to the large number of neurons decided, neurons with 3, 2, 1 and even no clients can be found.
Considering the second map, the $3 \times 3$ matrix, as the best way to segment the database, and having identified the number of customers who belong to each segment; the next step was, to identify which customer belongs to every segment, information provided by Matlab. Finally with information of every customer per segment, the value of criteria for the segments could be calculated. Table 1 shows the number of customers assigned to every segment and the value of every segmentation.
According to CLV, rotation and earned value criteria, segments could be ranked in order to the value for the company. It can be seen that segment 1, with only four clients, represents the most valuable segment which means 51% of total CLV and 52% of total earned value. If aggregated, segments 1 and 4, with eight clients, represent 73% of total CLV and 79% of earned value.
As a result, segments 1 and 4, which have higher CLV, are the highest loyalty level and their arrears value is less than their incomes, generating a high value for the company. In the opposite site, segment 3 is not profitable, it has a low rotation and its income is less than its arrear value.
4. Conclusions
Corporate strategies focusing on the real value of the customer can support the development of competitive advantages thanks to a better distribution of resources. In view of this, organizations realize a better differentiation between their customers, also, it represents a valuable source of information for making investment decisions and definition of their strategic to maximize profit and company value in the future.
Knowing the real value of customer segments represented for the company, the opportunity of redistributing its marketing
annual budget for this business line, is about USD 2 million for year. Company could design specific marketing objectives and assign to a budget according with them. Marketing objectives could vary from improving relationship with some segments to close it with others.
Including new metrics to allow customer behavior such as customer lifetime value, current value or the client loyalty as more representative for decision making that just revenues or volume of clients. These are useful measurement which companies could support their analysis for making decisions when it works focusing on customers. Therefore, if entrance information measure is accurate, the result will be accurate.
The application of proposed methodology is a case of study evidenced that a customer grouping is a good way to characterize and identify it. If the company gets a new customer, it could be located. In the same way, all the customers will be identified easily and enterprises could know how to offer a comfortable treatment for keeping them. In the proposed methodology a ranking of customer earned value was found out, and it is taken as a base for marketing strategies formulation.
Self-organizing maps represent a good way of analysing quantitatively the company’s customer database no matter how big it is. In addition, the possibility of performing trials with different number of neurons in the output layer, and the repetitive training process, supports reliable results in which the decision maker can take part.
A disadvantage discovered in this study is represented by the barrier to decide the number segment to obtain. In the output layer Matlab allowed the creation of matrix $N \times N$ where $N$ represents the number of neurons in the layer that we could do: matrix $2 \times 2$, matrix $3 \times 3$ matrix and $4 \times 4$ matrix. Future research could look for different ways to build the two-dimensional matrix $N \times M$ where $N$ and $M$ represent different numbers of neurons for the output layer.
Other disadvantage is the lack of statistical information about the results that facilitate the interpretation. Information that Matlab produces is mainly in the form of diagrams and the only information presented in detail is the assignment of samples in the neurons. Future jobs can look for this information and even establish comparatives with other segmentation methods.
**Conflict of interest**
The authors declare not to have any conflict of interest.
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Hemispheric sunspot numbers 1874–2020
Astrid M. Veronig$^{1,2}$, Shantanu Jain$^3$, Tatiana Podladchikova$^3$, Werner Pötzl$^2$, and Frederic Clette$^4$
$^1$ University of Graz, Institute of Physics, Universitätsplatz 5, 8010 Graz, Austria
e-mail: email@example.com
$^2$ University of Graz, Kanzelhöhe Observatory for Solar and Environmental Research, Kanzelhöhe 19, 9521 Treffen, Austria
$^3$ Skolkovo Institute of Science and Technology, Bolshoy Boulevard 30, bld. 1, Moscow 121205, Russia
$^4$ World Data Center SILSO, Royal Observatory of Belgium, 1180 Brussels, Belgium
Received Month, Year; accepted Month, year
ABSTRACT
Context. Previous studies show significant north–south asymmetries for various features and indicators of solar activity. These findings suggest some decoupling between the two hemispheres over the solar cycle evolution, which is in agreement with dynamo theories. For the most important solar activity index, the sunspot numbers, so far only limited data are available for the two hemispheres independently.
Aims. The aim of this study is to create a continuous series of daily and monthly hemispheric sunspot numbers (HSNs) from 1874 to 2020, which will be continuously expanded in the future with the HSNs provided by SILSO.
Methods. Based on the available daily measurements of hemispheric sunspot areas from 1874 to 2016 from Greenwich Royal Observatory and National Oceanic and Atmospheric Administration (NOAA), we derive the relative fractions of the northern and southern activity. These fractions are applied to the international sunspot number (ISN) to derive the HSNs. This method and obtained data are validated against published HSNs for the period 1945–2004 and those provided by SILSO for 1992 to 2020.
Results. We provide a continuous data series and catalogue of daily, monthly mean, and 13-month smoothed monthly mean HSNs for the time range 1874–2020—fully covering solar cycles 12 to 24—that are consistent with the newly calibrated ISN (Clette et al. 2014). Validation of the reconstructed HSNs against the direct data available since 1945 reveals a high level of consistency, with Pearson correlation coefficients of $r = 0.94$ (0.97) for the daily (monthly mean) data. The cumulative hemispheric asymmetries for cycles 12–24 give a mean value of 16%, with no obvious pattern in north–south predominance over the cycle evolution. The strongest asymmetry occurs for cycle no. 19, in which the northern hemisphere shows a cumulated predominance of 42%. The phase shift between the peaks of solar activity in the two hemispheres may be up to 28 months, with a mean absolute value over cycles 12–24 of 16.4 months. The phase shifts reveal an overall asymmetry of the northern hemisphere reaching its cycle maximum earlier (in 10 out of 13 cases), with a mean signed phase shift of $-7.6$ months. Relating the ISN and HSN peak growth rates during the cycle rise phase with the cycle amplitude reveals higher correlations when considering the two hemispheres individually, with $r \approx 0.9$.
Conclusions. Our findings provide further evidence that to some degree the solar cycle evolves independently in the two hemispheres, and demonstrate that empirical solar cycle prediction methods can be improved by investigating the solar cycle dynamics in terms of the HSN evolution.
Key words. Sun – sunspots – solar activity
1. Introduction
The sunspot number is a measure of the global solar activity derived from visual observations of the Sun’s visible disk. It provides the longest record of the evolution of solar activity, as it extends back to the very first independent, detailed observations of sunspots made four centuries ago by Galileo Galileio in Italy, Christoph Scheiner in Germany, Johann Fabricius in the Netherlands, and Thomas Harriot in England, very soon after the invention of the telescope in 1609.
The sunspot number is based on the so-called Wolf number, calculated for a single observation as:
$$W = 10 N_g + N_s,$$
where $N_g$ is the total number of spots and $N_s$ the total number of sunspot groups on the solar disk (Wolf 1856). However, the raw Wolf number from one observer will depend on the telescope, the personal experience and visual acuity, and also on randomly varying sky conditions. In order to derive a global index independent from individual observers, the international sunspot number (ISN) is calculated from the Wolf numbers collected from many observers on a daily basis (currently, a network of 80 stations worldwide). This processing, described in detail in Clette et al. (2007), is carried out by World Data Center Sunspot Index and Long-term Solar Observations (WDC-SILSO), which provides daily, monthly mean, and yearly mean ISN time-series dating back to the year 1700. These time-series provide a unique long-term record of the 11-year solar cycle, which supports a wide range of scientific applications, including many solar-cycle prediction methods (e.g. review by Petrovay 2020).
While the base ISN series provides a total number for the whole Sun, in January 1992, the WDC-SILSO also started producing hemispheric sunspot numbers (HSNs) using the same statistical processing as for the ISN series. However, the HSNs are based on a subset of about 50 SILSO stations that also record hemispheric counts in addition to the base total counts. Those hemispheric numbers allow the solar cycle evolution to be traced in the northern and southern hemispheres independently. In the framework of the first end-to-end re-calibration of the ISN time-series (Clette et al. 2014; Clette & Lefèvre 2016), a new version...
of the ISN was released in July 2015 (Version 2.0). Simultaneously, the hemispheric numbers were also recalculated in accordance with the corrections determined for the total ISN.
More than one century ago, early studies comparing the activity of the northern and southern hemispheres already revealed significant asymmetries (see, e.g. review by Hathaway 2015). For instance, Spoerer (1889) and Maunder (1904) noticed that sunspots can be preferentially located in one of the hemispheres over extended periods. Waldmeier (1971) noted in his comprehensive observations that for the years 1959–1969 (cycles 19 and 20), a variety of solar activity features like sunspots, faculae, and prominences were much more numerous in the northern hemisphere than in the southern hemisphere, and that the coronal brightness was also distinctly higher in the northern hemisphere.
Since then, hemispheric asymmetries of solar activity have been studied in detail in a variety of observations and activity indices, such as sunspot groups and areas (e.g. Newton & Milson 1955; Carbonell et al. 1993; Berdyugina & Usoskin 2003; Norton & Gallagher 2010; McIntosh et al. 2013; Deng et al. 2016), sunspot numbers (e.g. Temmer et al. 2002, 2006; Zolotova et al. 2010; Chowdhury et al. 2019), magnetic field distributions (e.g. Antonucci et al. 1990; Knaack et al. 2005), flare occurrence (e.g. Garcia 1990; Temmer et al. 2001; Joshi & Joshi 2004; Roy et al. 2020), and so on. In general, these hemispheric asymmetries do not exceed 20% (Norton et al. 2014), but during extreme minima, like the Maunder minimum, they may attain very high values. In addition to the findings that the solar cycle maxima may have different strength and may be reached at different times in the two hemispheres, it has also been shown that the solar-cycle-related polar field reversals occur at different times in the northern and southern hemispheres (Durrant & Wilson 2003; Svalgaard & Kamide 2013). The physical origin of these north–south asymmetries and phase shifts —indicative of a partial decoupling of the two hemispheres— is presumed to lie in the solar dynamo (e.g. Sokoloff & Nesme-Ribes 1994; Ossendrijver et al. 1996; Norton et al. 2014; Schüssler & Cameron 2018). Therefore, studies of the long-term evolution of the solar cycles in the two separate hemispheres provide important information for the dynamo process underlying this evolution.
In this paper, we reconstruct the HSNs back to the year 1874 based on observations of sunspot areas and merge those with existing HSN series available since 1945, providing full coverage of cycles 12 to 24. The method is cross-validated against the HSNs for the overlapping time range (1945–2016), and the data are compiled into a catalogue of daily and monthly HSNs from 1874–2020. Finally, we demonstrate that the separate consideration of the dynamics of the sunspot numbers for the individual hemispheres provides more distinct relations between the cycle growth rate and its amplitude, which is relevant for empirical solar cycle prediction methods (Cameron & Schüssler 2008).
2. Data
In this study, we create a continuous series and catalogue of daily, monthly mean, and 13-month smoothed monthly mean HSNs back to the year 1874 based on three different data sets of HSNs and hemispheric sunspot areas as described in the following. A few direct records of HSNs from individual stations exist from solar cycle 18 onwards. For the period from January 1945 to December 2004, Temmer et al. (2006) derived HSNs from the daily sunspot drawings obtained at Kanzelhöhe Observatory (KSO, Austria; Pötzi et al. 2016)\(^1\) and Skalnate Pleso Observatory (Slovakia), and merged them to a common homogeneous data series.\(^2\) The data coverage of daily observations from these two stations is 84% (see also, Rybak et al. 2004).
As mentioned in Sect.1, since 1992, in addition to the ISN, WDC-SILSO also collects HSNs from its worldwide network. In this case, the daily coverage is 100%, as data from 20 to 40 stations are typically available each day, out of about 80 active stations.\(^3\) Moreover, those hemispheric numbers are directly attached to the long-term calibration of the ISN series, which extends back over multiple centuries. Therefore, this series provides the base reference for the backward reconstruction of the HSNs presented here.
Next to the visual sunspot numbers, another sunspot-based measure of solar activity, the total sunspot area, is available over the period May 1874 to September 2016. This alternate series is primarily based on photographic plates of the Sun produced between 1874 and 1976 by a small network of stations run by the Royal Greenwich Observatory (RGO) and using the same equipment and procedures. This collection by RGO ended in 1976, and was extended using sunspot areas from the US National Oceanic and Atmospheric Administration (NOAA), which are based on sunspot drawings from the SOON stations (Solar Observing Optical Network) run by the US Air Force. It is thus a composite series with two parts, each spanning multiple decades. Text files containing the daily sunspot areas (in units of millionths of a hemisphere, \(\mu\)hem) and monthly mean values are available for the full sun as well as separately for the northern and southern hemispheres.\(^4\)
3. Hemispheric sunspot number reconstruction and validation
3.1. Reconstruction
In 2015, the ISN was entirely recalibrated, and during this major change, an obsolete 0.6 down-scaling convention inherited from the 19th century was also eliminated (change of unit), which brings the new series to the same scale as modern observations (Clette & Lefèvre 2016). The current version of the SILSO HSN (2.0) is consistent with this re-calibration. The corrections are variable in time, but overall, over the period for which those hemispheric numbers are available, i.e. from 1992 onward, the average scale change between versions 1 and 2 is around 1.44.
The HSNs compiled in Temmer et al. (2006, thereafter T06) were derived by calculating the relative fractions of the sunspot numbers for the northern and southern hemispheres from the sunspot drawings at Kanzelhöhe and Skalnate Pleso Observatories, and normalising to the ISN —which at that time was still the original series, now numbered version 1— before recalibration. Therefore, in order to derive a continuous long-term series, we now need to renormalise them to the current recalibrated ISN (version 2.0), which has become the new official reference since 2015. The renormalisation is done by deriving the relative fractions \(n_i\) and \(s_i\) of the daily sunspot number in the northern (\(N_{i,V1}\)) and southern (\(S_{i,V1}\)) hemisphere, respectively, from the T06 data set (which were calibrated at the time of their creation to ISN
---
\(^1\) Sunspot drawing from Kanzelhöhe Observatory are accessible as scans at http://cesar.kso.ac.at/synoptic/draw_years.php
\(^2\) The data catalogue from Temmer et al. (2006) is available at http://cdsarc.unistra.fr/viz-bin/cat/J/A+A/447/735
\(^3\) Data access at: http://sidc.be/silso/, “Data” section
\(^4\) https://solarscience.msfc.nasa.gov/greenwch.shtml
version V1.0) as
\[ n_i = \frac{N_{i,V1}}{S_{i,V1} + N_{i,V1}}, \]
and
\[ s_i = \frac{S_{i,V1}}{S_{i,V1} + N_{i,V1}}, \]
and applying these fractions to the daily recalibrated (version V2.0) ISN \( R_i \) from SILSO to obtain the recalibrated north \( R_{N,i} \) and south \( R_{S,i} \) HSN as
\[ R_{N,i} = n_i \cdot R_i, \]
and
\[ R_{S,i} = s_i \cdot R_i, \]
so that \( R_{N,i} + R_{S,i} = R_i \). With this procedure we have established a continuous series of HSNs that are consistent with the recalibrated ISN, from 1/1945 to date, which is purely based on records of the HSN.
To reconstruct the HSNs further back in time, we make use of the data for the total and hemispheric sunspot area that are available for the time range May 1874 to September 2016 from RGO and NOAA. Our rationale is the same as for the renormalisation of the HSNs to the recalibrated sunspot numbers. We derive the relative fraction of the sunspot areas observed in the northern and southern hemispheres (analogously to Eqs. 2–3), and apply these fractions to the ISN (Eqs. 4–5).
### 3.2. Validation
To validate this approach, we evaluate for the overlapping period January 1945 to September 2016 how well the HSNs reconstructed from the sunspot area data fit with the hemispheric sunspot number series combined from T06 and SILSO. We note that for the combined hemispheric sunspot number series, we use the T06 data for the time range January 1945 to September 1991, and the HSNs from SILSO from January 1992 onward, because these latter are based on a larger network of observatories and are regularly updated, allowing continuous prolongation of the hemispheric sunspot number data series established here.
Figure 1 (top panels) shows the HSNs reconstructed from the sunspot area records along with the T06 and SILSO HSNs for the time range 1945–2020. The bottom panel shows for comparison the total ISN. Figure 2 shows the same for the 13-month smoothed monthly data. We note that we do not use the classical running mean but the smoothing method from Podladchikova et al. (2017), which provides an optimisation between the smoothness of the fitted curve and its closeness to the data (see also its application to the F10.7 and F30 radio flux data series in Petrova et al. (2021)). As can be seen from these plots, the overall correspondence between the original HSNs and the reconstructed data is high.
However, we note that the comparison of the monthly mean data suggests that on short timescales the HSN reconstructed from sunspot areas (Figure 1) varies more than that provided by the SILSO and T06 data. Quantifying the fluctuations by deriving the point-wise differences of the monthly mean data for the two data sets, we find an rms of 27.2 (27.8) for the reconstructed north (south) HSN, whereas for the SILSO-T06 series the rms gives lower values of 19.4 (18.9). There are two main effects that can contribute to this difference, and both are related to the properties of the sunspot area series which is contributing to our HSN reconstructions. The first one is related to differences in the measurement noise and the second is related to differences in the characteristic dynamics of the sunspot number and area time-series:
a) Sunspot numbers are a smoother series than the sunspot areas because sunspot numbers are averaged over observations from more stations than the sunspot areas. Therefore, the sunspot areas would have a larger ‘measurement noise’ resulting in larger fluctuations. A discussion of the different noise contributions to the sunspot number series is given in Dudok de Wit et al. (2016). In addition, in reconstructing the HSNs we add the errors from
the two data series, that is, the ISN and the hemispheric sunspot areas.
b) In the sunspot number series, all sunspots are counted as 1 and all groups as 10. Therefore, the actual size or area of sunspots is not directly reflected in the sunspot number. It is only in the sense that, on average, the area increases with the number of sunspots that both measures follow the same overall variations quite closely. In particular, in the sunspot number, small sunspots contribute a significant fraction to the total count, whereas in the total sunspot areas, the largest sunspots strongly dominate (while small sunspots play only a minor role). Large sunspots are typically long-lived, lasting several weeks. On the other hand, small sunspots are short-lived and appear and disappear randomly from one day to the next. Therefore, the total area will tend to evolve more progressively than the sunspot number, which may explain the somewhat larger amplitudes and variations in the reconstructed HSNs.
The correspondence between the data series is further quantified in Figure 3, where we show the scatter plots of the hemispheric sunspot data reconstructed from the sunspot area measurements against the corresponding values from the direct HSNs (combined T06 and SILSO data set) for the daily (left panels) and monthly mean (right panels) data for the time range January 1945 to September 2016. As one can see, the correlation coefficients are high, with $r = 0.94$ for the daily and $r = 0.97$ for the monthly data. The black line shows the 1:1 correspondence between both data sets, and the red line shows the result of a power-law fit. The power-law exponents derived range from 1.02 to 1.12, indicating some small non-linearity. As one can see from the scatter plots in Fig. 3, deviations from the linear 1:1 relation show up in the case of very high activity (large-amplitude cycles), with the reconstructed sunspot numbers revealing some trend to lie above the 1:1 line. As discussed below, this is most likely a residual effect of the non-linear relationship between the sunspot areas and sunspot numbers.
In Figure 4 (top panels), we plot the distributions of the differences between the daily (monthly) values of the direct and reconstructed HSNs. The histograms demonstrate that overall the data reveal no systematic differences, and the distributions are close to each other, with a mean difference of 0.5. In the lower panels, we plot the daily (monthly) differences as a function of time. As expected, they show a correspondence to the solar cycle evolution. For the daily data, the absolute differences can be fairly large, reaching values of >50 around the solar cycle peaks (strongest for cycles 19 and 22). The differences are substantially reduced for the monthly mean data. For the daily data, the differences are characterised by an rms of 18.7. The monthly mean data give an rms of 11.5, and the smoothed monthly mean data give an rms of 4.1. Figure 5 shows the relation between the sunspot areas (from RGO) and the sunspot numbers (from T06 and SILSO) for the time range 1945–2016, together with a power-law (red line) and linear (black line) least squares fit to the data. As one can see, the sunspot areas and numbers reveal some non-linear relationship, with the power-law indices in the range of about 1.2–1.3. The non-linear relation between total sunspot areas and sunspot numbers has also been recently shown for 111 years of sunspot data from the Kodaikanal Observatory (Ravindra et al. 2020), one of the stations that contributed to the RGO data. Such a non-linearity between the two indices is somewhat expected, as there is an intrinsic difference in weighting of solar activity between sunspot areas and sunspot numbers. There is no single number that relates the two indices, but the conversion factor may be different for low and high solar activity levels (see also Wilson & Hathaway 2006).
However, applying the ‘conversion’ to the relative fractions of sunspot areas in the northern and southern hemispheres, this becomes a second-order effect, and is thus smaller than for the
direct area-to-sunspot relation. This is because, in general, when solar activity is high, it will be high in both hemispheres, and when it is low, it will be low in both hemispheres, which then cancels out in the relative fractions. In the present study, we derive the relative fractions of the daily sunspot areas in the northern and the southern hemispheres, and apply those ratios to the ISN in order to reconstruct hemispheric sunspot numbers. This requires us to use a daily conversion factor that reflects the individual level of solar activity. Comparing the scatter plots in Figure 3 to those in Figure 5, one can see that this approach indeed largely reduces the non-linearity when reconstructing the HSN (Fig. 3), but still a small residual effect remains for very high activity levels.
4. Catalogue of hemispheric sunspot numbers 1874–2020
Figure 6 shows the final combined time-series of the monthly mean HSNs from 1874–2020 together with the ISN series. Figure 7 shows the same for the smoothed monthly mean values. The final hemispheric data plotted in Figs. 6 and 7 are merged from the following data sets: (i) May 1874 to December 1944: reconstructed from hemispheric sunspot areas, (ii) January 1954 to December 1991: recalibrated HSNs from T06, (iii) January 1992 to October 2020: hemispheric sunspot numbers from SILSO. We note that this hemispheric sunspot number series can be homogeneously and continuously expanded in the future by appending the new HSN values computed by the WDC-SILSO on a monthly basis.\footnote{http://sidc.be/silso/datafiles}
Accompanying this study, we provide the data compiled into an online catalogue for the time range 1874–2020. The catalogue consist of two parts: Part A compiles the daily HSN and part B compiles the monthly mean and smoothed monthly mean HSNs. The catalogue includes the full information for the combined series derived in this study as well as for the three individual data sets used for merging. Catalogue A contains the daily data, and has the following entries:
- First column: date in the format YYYY-MM-DD.
- Second, third columns: combined series of daily HSNs (north, south) derived in this study (May 1874 to October 2020).
- Fourth, fifth columns: daily HSNs (north, south) reconstructed from sunspot areas (available for May 1874 to September 2016).
- Sixth, seventh columns: daily HSNs (north, south) from T06 renormalised to the recalibrated ISN (available for January 1945 to December 2004).
- Eighth, ninth columns: daily HSNs (north, south) from SILSO (January 1992 to October 2020)
Catalogue B contains the monthly data, and has the following entries:
- First column: date in the format YYYY-MM.
Fig. 5. Scatter plots of daily (left) and monthly mean (right) sunspot areas against sunspot numbers for the time range 1945–2016. From top to bottom: North and south HSN (from T06 and SILSO) and ISN (from SILSO). The black line represents the linear least-squares fit, the red line the power-law fit to the data. The inset gives the power-law fit parameters and the Pearson correlation coefficient $r$.
Second, third columns: combined series of monthly mean HSNs (north, south) derived in this study (May 1874 to October 2020).
Fourth, fifth columns: combined series of 13-month smoothed monthly mean HSNs (north, south) derived in this study.
Sixth, seventh columns: monthly mean HSNs (north, south) reconstructed from sunspot areas (available for May 1874 to September 2016).
Eight, ninth columns: 13-month smoothed monthly mean HSNs (north, south) reconstructed from sunspot areas.
Tenth, eleventh columns: monthly mean HSNs (north, south) from T06 renormalised to the recalibrated ISN (available for January 1945 to December 2004).
Twelfth, thirteenth columns: 13-month smoothed monthly mean HSNs (north, south) from T06 renormalised to the recalibrated ISN.
Fourteenth, fifteenth columns: monthly mean HSNs (north, south) from SILSO (January 1992 to October 2020).
Sixteenth, seventeenth columns: 13-month smoothed monthly mean HSNs (north, south) from SILSO.
The catalogue for the data presented in this study from 1874 to 2020 is available at Vizier.\footnote{\url{https://vizier.u-strasbg.fr/}} In addition, a live catalogue containing the reconstructed HSNs from this study together with the regular updated HSN will be available at SILSO.\footnote{\url{http://sidc.be/silso/extheminum}}
Fig. 6. Final series of monthly mean HSN derived for the period 1874–2020. Top: Northern hemisphere. Middle: Southern hemisphere. Bottom: Total sunspot numbers.
Fig. 7. Final series of 13-month smoothed monthly mean HSNs derived for the period 1874–2020. Top: Northern hemisphere. Middle: Southern hemisphere. Bottom: Total sunspot numbers.
5. Hemispheric asymmetry analysis and cycle growth rates
5.1. Hemispheric asymmetries and phase shifts
In the top panel of Figure 8, we plot the 13-month smoothed monthly mean north and south HSNs from the merged data set we created, indicating the excess by colour shadings (blue for north predominance, red for south predominance), along with the ISN data. The bottom panel shows the cumulative monthly mean HSNs, calculated individually for each of the full cycles that are covered by the data set, namely cycles 12–24.
Fig. 8. Top: Smoothed monthly mean ISN (black) and HSN (north: blue, south: red) from the merged data set for the time range 1874–2020. The shading of the difference between the north and south sunspot numbers indicates the excess between them. Dashed vertical lines are drawn at sunspot minima to delineate the individual cycles. Bottom: Cumulative monthly mean HSN calculated individually for each of the cycles 12–24.
Table 1. Hemispheric asymmetries for solar cycles 12–24.
| Cycle No. | $t_{\text{max}}$ | Max. ISN | Max. N | Max. S | Rate ISN | Rate N | Rate S | Cumm. N | Cumm. S | Predom. Hem. | Diff. [%] | $\Delta t_N$ (mon) | $\Delta t_S$ (mon) | $\Delta t_{N-S}$ (mon) |
|-----------|-------------------|----------|--------|--------|----------|--------|--------|---------|---------|--------------|------------|------------------|------------------|---------------------|
| 12 | 12/1883 | 128 | 63 | 84 | 5.3 | 4.4 | 4.6 | 3258 | 4409 | South | 35.3 | −27 | −1 | −26 |
| 13 | 08/1893 | 148 | 64 | 97 | 7.1 | 5.6 | 5.3 | 4125 | 5090 | South | 23.4 | −13 | 0 | −13 |
| 14 | 10/1905 | 105 | 74 | 56 | 4.3 | 3.7 | 3.2 | 3778 | 3674 | North | 2.8 | 1 | 18 | −17 |
| 15 | 08/1917 | 184 | 102 | 79 | 13.6 | 6.6 | 7.4 | 4918 | 3920 | North | 25.5 | 0 | 1 | −1 |
| 16 | 06/1928 | 135 | 67 | 74 | 9.0 | 5.5 | 4.4 | 4391 | 3916 | North | 12.1 | 2 | −7 | 9 |
| 17 | 05/1937 | 199 | 128 | 106 | 9.3 | 8.3 | 5.8 | 6033 | 5996 | North | 0.6 | 2 | 14 | −12 |
| 18 | 06/1947 | 225 | 109 | 125 | 10.2 | 6.6 | 7.4 | 6658 | 6630 | North | 0.4 | 27 | −1 | 28 |
| 19 | 11/1957 | 293 | 168 | 141 | 13.6 | 8.6 | 9.1 | 9516 | 6741 | North | 41.2 | 17 | −6 | 23 |
| 20 | 02/1969 | 157 | 92 | 78 | 7.7 | 5.1 | 4.2 | 6732 | 5222 | North | 28.9 | 0 | 12 | −12 |
| 21 | 11/1979 | 235 | 126 | 122 | 9.0 | 7.0 | 7.1 | 6889 | 7146 | South | 3.7 | −2 | 5 | −7 |
| 22 | 09/1989 | 216 | 111 | 124 | 12.8 | 8.8 | 5.8 | 5839 | 6780 | South | 16.1 | −1 | 22 | −23 |
| 23 | 11/2001 | 184 | 92 | 98 | 8.0 | 4.6 | 4.7 | 5731 | 6514 | South | 13.7 | −16 | 4 | −20 |
| 24 | 03/2014 | 117 | 64 | 82 | 7.3 | 5.3 | 5.6 | 3412 | 3126 | North | 9.2 | −29 | −1 | −28 |
Notes. We list the cycle number, the time of the cycle maximum $t_{\text{max}}$ in terms of the 13-month smoothed ISN, the amplitudes of the cycle maxima in the ISN as well as north and south HSN, the peak growth rate during the cycle rise phase (in units of month$^{-1}$) for the ISN, north and south HSN, the cumulative sunspot numbers for the northern and southern hemispheres, the predominant hemisphere, the relative difference between the cumulative sunspot numbers of the two hemispheres, the time difference between the cycle maximum (ISN) and the north HSN ($\Delta t_N$) and the south HSN ($\Delta t_S$) as well as the time difference between the HSN maxima ($\Delta t_{N-S}$). For cycles where the difference between the cumulated HSN is <1%, we give the predominant hemisphere in italics.
The result of this analysis is summarised in Table 1. We list for each cycle the total cumulated north and south sunspot numbers, the hemisphere that is predominant over the integrated cycle, and the relative difference between the cumulative numbers of the two hemispheres. As one can see, 8 out of 13 cycles reveal a difference of $>10\%$, and 5 cycles reveal a difference of $>20\%$. The mean of the relative differences over all cycles is $16.4\%$. The strongest asymmetries occurred in solar cycle 19, with a relative difference of $42\%$ between the northern and southern hemispheres in the sunspot numbers cumulated over the full cycle. This strong asymmetry for cycle 19 and also the following cycle 20 was noted by Waldmeier (1971) in the predominant occurrence of sunspots and faculae and also the higher coronal emission in the northern solar hemisphere.
In addition, we list in Table 1 the time-shift between the maxima (as determined from the 13-month smoothed monthly mean data) of the activity in the two hemispheres, and also with respect to the ISN. The phase shifts between the north and south HSNs can be as large as 28 months. The mean absolute value of the north–south differences is 16.4 months. Considering the sign of the phase shifts for the cycles under study, there is a clear trend in that the northern hemisphere peaks earlier than the south (in 10 out of 13 cycles), with a mean value of the signed phase shifts of $-7.6$ months. This finding relates to the more global consideration of the envelopes of the hemispheric activity in McIntosh et al. (2013), who used a 120-month moving window to cross-correlate the Greenwich hemispheric sunspot areas. These latter authors found that there exist secular trends of one hemisphere leading over the other (see also Zolotova et al. 2010). In particular, they obtained that up to about 1928 the northern hemisphere is leading; between 1928 and 1968 the southern hemisphere is leading, and thereafter this switches again to the northern hemisphere. This means that for $>70\%$ of the time-span under study, the northern hemisphere is leading.
As for the maxima, we note that there also seems to exist a weak trend in that the phase shift between the two hemispheres is correlated to the cycle amplitude (Fig. 9). Large shifts between the HSN where the southern hemisphere reaches its cycle maximum first are associated with stronger cycles, whereas the opposite is true (smaller amplitude cycles) when the northern hemisphere maximum is ahead. Nevertheless, we note that this trend strongly relies on the two data points with large positive time-shifts, and a larger statistical sample is needed in order to come to any firm conclusions. Also, checking the correlation of the phase shifts of the north and south HSN maxima with respect to the ISN maximum reveals that the correlation in Fig. 9 results purely from the north HSN.
In contrast to the asymmetries in the HSN peak times, the overall HSN asymmetries (in terms of mean values for the north and south cumulated SN listed in Table 1) are small ($N$: 5483, $S$: 5320), that is, their difference is about $3\%$, and the mean over the HSN maxima (amplitudes) is almost identical for northern and southern hemispheres with a value of 97. Finally, we note that there is no obvious relation between the cumulated HSN asymmetry and the phase shifts of the maximum activity between the two hemispheres.
### 5.2. Hemispheric cycle growth rates and relation to solar cycle amplitudes
In this section, we investigate whether the separate consideration of the sunspot evolution in the two hemispheres can provide us with additional insight into the solar cycle process. Cameron & Schüssler (2008) studied, using different global indices of solar activity (ISN, group sunspot numbers, sunspot areas, and 10.7 cm radio flux), the statistical relationship between the mean growth rate of activity in the early phase of a solar cycle and its amplitude. For all indices, these authors found distinct correlations, which means that stronger cycles tend to rise faster. This can be interpreted as a dynamic variant of the Waldmeier (1935) rule, which relates the rise time of a cycle to its amplitude. These relations have important implications for empirical solar cycle prediction methods.
Here, we make a similar type of analysis, but with two main changes. First, we apply the analysis not only to the ISN but also separately to the HSN in order to test whether these may lead to improved relations. Second, we do not study the mean growth rate over a fixed amplitude range of the solar cycle but instead we derive the peak growth rate in the cycle’s rise phase from the time derivative of the smoothed sunspot number series.
This is because the fixed range as used in Cameron & Schüssler (2008) implies, for smaller cycles, that the limit is only reached shortly before or even at the cycle maximum, which means that for prediction purposes the lead time would become zero. Also, we find that the peak growth rates give higher correlations than the mean growth rates.
In Figure 10, we show the scatter plots of the solar cycle amplitudes against the peak growth rates derived from the 13-month smoothed sunspot numbers. These numbers are also listed in Table 1. The black lines show the linear fits to the data that were derived using the least-squares bisector regression method in order to symmetrically consider the variables on the x- and y-axes (Isobe et al. 1990). The inset gives the fit parameters as well as the Pearson correlation coefficient. Error ranges on the correlation coefficients were determined via the bootstrapping method using 10,000 realisations for each of the relations (Efron & Tibshirani 1993).
We study the cycle amplitudes for the HSNs of our merged data set against the corresponding hemispheric peak growth rates. For comparison, the same is done for the ISN data. In addition, we also evaluate the ISN cycle amplitude as a function of the sum of the peak growth rates determined separately for the north and south HSN (bottom right panel in Fig. 10). As the peaks in the time derivatives of the northern and southern sunspot numbers in general do not occur at the same time, this linear combination of the two peaks is different from calculating the peak growth rate of the linear combination of the hemispheric sunspot times series (which is equal to the ISN series). We note, for both panels on the right hand side, we plot on the y-axis the solar cycle amplitude as derived from the ISN. As one can see from these scatter plots and insets, the Pearson correlation coefficient has increased from $r = 0.76 \pm 0.09$ to $r = 0.88 \pm 0.08$ when deriving the peak growth rate separately for the two hemispheres and combining them afterwards, instead of deriving the peak growth rate from the total sunspot number series. These findings imply that some information gets lost when we consider the total sunspot number series and its dynamics instead of the dynamics of the two hemispheres individually.
Interestingly, this phenomenon shows up even stronger when instead of the merged hemispheric sunspot series, we use the HSN purely derived from the hemispheric sunspot areas, where the correlation increases from $r = 0.76 \pm 0.12$ to $r = 0.91 \pm 0.07$ (Figure 11). What is also noticeable from these plots is that in both cases, the dependence of the cycle amplitude from the peak growth rate is steeper for the northern than the southern HSN, with slopes of 19 versus 15 (Fig. 10) and 19 versus 11 (Fig. 11). However, we note that this effect is strongly related to cycle 19 and its high northern HSN growth rate, which stands out even more for the reconstructed HSN. This is an interesting finding and is most probably related to the remaining non-linearity between direct and reconstructed HSNs (Fig. 3), which is expected to be most significant when both the asymmetry and the activity are high. These conditions are indeed most strongly met in cycle 19. Overall, both data sets give similar results.
We also note that the peak growth rates show considerably closer correlations than the mean growth rates in the cycle’s rise phase. However, in this case the separate consideration of the HSN also improves the results compared to the ISN growth rates (though the overall level is lower). Cameron & Schüssler (2008) studied the mean growth rate of the ISN —derived within a fixed range of ISN (Version 1.0) between 30 and 50 in the cycle’s rise phase— against the cycle amplitude. Here we transform this range from the ISN Version 1.0 to 2.0 by multiplying it by a mean scaling factor of 1.4, resulting in a range of 42–70. For the HSN, we adopt a corresponding range of 21–35. The scatter plots of the mean growth rates against the cycle amplitude are shown in Fig. A1. As one can see, the correlation coefficients are considerably lower than those for the peak growth rates (Figure 11), with $r = 0.53 \pm 0.24$ and $r = 0.62 \pm 0.16$ for the ISN and combined HSN relations, respectively. This implies that the peak growth rate encodes more information about the solar cycle amplitude than any average growth rate.
To investigate a) why the sunspot numbers derived from the hemispheric areas give a higher correlation than the merged series and b) why the slopes derived for the Northern and Southern hemispheres are different, we show in the Appendix the same plots as in Figs. 10 and 11, but separately for the time ranges where in the merged data series the HSNs are derived from the sunspot areas (cycles 12–17) and from the T06 and SILSO data (cycles 18–24). Figure A2 shows the scatter plots for cycles 18–24 using the HSNs from the merged series. Figure A3 shows the scatter plot for the same cycles but for the HSNs reconstructed from the area data. Figure A4 shows the scatter plot for cycles 12–17, where we only have HSNs reconstructed from the area data. These plots show that the dependence between cycle peak amplitude and growth rate is always steeper for the northern hemisphere than for the southern hemisphere, and also that this effect is stronger for the area-based data-series than for the merged series. These figures also show that, for each subset, the correlation with the cycle amplitude is higher when considering the sum of the HSN peak growth rates than that of the ISN. The most specific subrange is the one covering solar cycles 12–17. Here we observe the largest difference in the slopes between north and south, and summing the peaks of the derivatives of the north and south hemispheric sunspot series leads to a very high correlation with the solar cycle amplitude of $r = 0.99 \pm 0.01$. Combining the data sets of the different subranges, which are characterised by different slopes, leads to a lower overall correlation coefficient for the full range, and has a bigger effect on the merged data series.
6. Discussion and conclusions
In this study, we created a continuous series of daily, monthly mean, and smoothed monthly mean HSNs for the period 1874–2020, fully covering solar cycles 12–24 (Figs. 6 and 7). The data are compiled in a data catalogue that accompanies the paper.\footnote{\url{https://vizier.u-strasbg.fr/}} In the future, this data series will be seamlessly expanded with the HSNs that are regularly provided by SILSO.\footnote{\url{http://sidc.be/silso/extheminum}} The hemispheric sunspot number series is combined from three data sources: Starting with the year 1945, it contains the HSN provided by T06 and SILSO. The reconstructions back in time to 1874 are based on the daily measurements of hemispheric sunspot areas from GRO and NOAA. Validating our reconstructions with the direct hemispheric sunspot data for the time range 1945–2016 reveals very good agreement (see Fig. 3), with correlation coefficients of $r = 0.94$ for the daily data and $r = 0.97$ for the monthly mean data. The power-law fit indicates a relation that is close to linear, except for the highest activity levels where some small non-linearity effects show up.
For the cumulative hemispheric sunspot number asymmetries (Fig. 8, bottom panel) we obtain a mean value of 16% over cycles 12–24. The strongest asymmetry occurs in cycle 19 (which is the highest cycle in the period under study), where the northern hemisphere shows a predominance as high as 42% cumulated over the solar cycle. The phase shift between the peak of the solar activity in the northern and southern hemispheres may be as large as 28 months, with a mean value over all cycles under study of 16.4 months. Interestingly, there exists a distinct hemispheric asymmetry in that, in 10 out of 13 cases, the northern hemisphere reaches its cycle maximum earlier, with a mean of the signed phase shift over all cycles under study of −7.6 months. Also, there are indications that this hemispheric phase shift is correlated to the cycle amplitude. Finally, we demonstrate that the dynamic Waldmeier rule, which relates the growth rate of a solar cycle to its amplitude, works better when the two hemispheres are considered separately. To this aim, we determined the peak of the time derivative of the HSN during the cycle’s rise phase, and combined them afterwards. This yielded higher correlations with the solar cycle amplitude than calculating the peak of the time derivative of the total sunspot numbers, with correlation coefficients of $r \approx 0.9 \pm 0.08$ compared to $r = 0.76 \pm 0.12$, respectively, for the total sunspot numbers (Figs. 10 and 11).
It has been shown for various solar activity indices related to surface magnetism that there exist significant asymmetries and phase shifts in the evolution of the two hemispheres (e.g. Newton & Milson 1955; Waldmeier 1971; Garcia 1990; Antonucci et al. 1990; Temmer et al. 2002, 2006; Durrant & Wilson 2003; Joshi & Joshi 2004; Knaack et al. 2005; Norton & Gallagher 2010; McIntosh et al. 2013; Deng et al. 2016; Chowdhury et al. 2019; Roy et al. 2020). In recent years, north–south asymmetries have also been identified in Joy’s law (McClintock & Norton 2013) as well as in east–west zonal flows and north–south meridional flows (Zhao et al. 2013; Komm et al. 2014), which play a fundamental role in the magnetic flux transport inside the Sun. These findings suggest that the solar cycle evolution of the two hemispheres is partly decoupled, and that these asymmetries are a result of the underlying solar dynamo (e.g. Sokoloff & Nesme-Ribes 1994; Ossendrijver et al. 1996; Tobias 1997; Norton et al. 2014; Schüssler & Cameron 2018). This also has implications for solar cycle prediction methods.
The different types of solar cycle prediction methods either rely on empirical relations or are physics-based (for reviews see, Pesnell 2012; Petrovay 2020). Long and continuous sunspot number records are needed for predictions of solar activity on different timescales, covering short, medium, and long-term horizons (see the definitions in Petrova et al. (2021)). Long-term prediction methods mainly focus on forecasting the solar cycle amplitude, and broadly use sunspot numbers in combination with other solar and geomagnetic activity indices. A large number of methods are based on finding a particular sunspot number precursor in the past, which can serve as an indicator for the amplitude of the upcoming solar cycle (e.g. Waldmeier 1935; Ramaswamy 1977; Macpherson et al. 1995; Conway 1998; Sello 2001; Lantos 2006; Cameron & Schüssler 2008; Podladchikova et al. 2008, 2017; Aguirre et al. 2008; Brajsa et al. 2009; Podladchikova & Van der Linden 2011; Kakad et al. 2020). Other types of precursor methods are based on the polar magnetic fields (e.g. Schatten et al. 1978, 1996; Schatten & Sofia 1987; Svalgaard et al. 2005; Schatten 2005; Wang & Sheeley 2009; Muñoz-Jaramillo et al. 2012) and geomagnetic activity indices (e.g. Ohl & Ohl 1979; Feynman 1982; Gonzalez & Schatten 1988; Thompson 1993; Wilson et al. 1998). In the recent decades, also physics-based prediction methods were developed based on flux transport and dynamo models (e.g. Nandy & Choudhuri 2002; Dikpati & Gilman 2006; Cameron & Schüssler 2007; Choudhuri et al. 2007; Henney et al. 2012; Cameron & Schüssler 2015).
Short- and medium-term predictions of solar activity are usually performed for the ongoing cycle development with lead times from days to months. SILSO regularly provides updated predictions of sunspot numbers from 1 to 12 months ahead using the ‘standard’ method (Waldmeier 1968), the ‘combined’ method (Denkmayr & Cugnon 1997; Hanslmeier et al. 1999), the McNish–Lincoln method (McNish & Lincoln 1949), as well as improvements of these prediction methods using a Kalman filter (Podladchikova & Van der Linden 2012). All these methods are based on the ISN series.
The concluding point we want to make here is that the catalogue of hemispheric sunspot number created in this study provides an extended record of the hemispheric activity evolution over 12 solar cycles, and will be homogeneously extended with future HSNs provided by SILSO. Furthermore, we demonstrate that empirical relations between the solar cycle growth rate and its amplitude show higher correlations when considering the HSN. These findings provide the foundation for enhanced empirical solar cycle prediction methods based on the HSN to capture the hemisphere’s individual evolution and dynamics.
Appendix A: Additional Figures
In this Appendix A, we show more investigations on the relation between the total and hemispheric solar cycle growth rates with the solar cycle amplitudes. Figure A1 shows the scatter plots for the mean cycle growth rates. Figures A2–A4 show the relations of the peak growth rates and the cycle amplitudes separately for the different time-spans, for which we have direct measurements of HSN available (cycles 18–24; Figs. A2, A3) and where we have only hemispheric area measurements available (cycles 12–17; Fig. A4).
Acknowledgements. The World Data Center SILSO, which produces the international sunspot number used in this study, is supported by Belgian Solar-Terrestrial Center of Excellence (STCE, http://www.stce.be) funded by the Belgian Science Policy Office (BelSPO). This research has received financial support from the European Union’s Horizon 2020 research and innovation program under grant agreement No. 824135 (SOLARNET).
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|
ARAHAN:
1. Jangan Buka Kertas Peperiksaan Ini Sehingga Diberitahu.
2. Tulis nama dan tingkatan pada kertas jawapan anda.
3. Kertas peperiksaan ini mengandungi lima bahagian yang terdiri daripada 40 soalan.
4. Jawab semua soalan. Baca arahan bagi setiap bahagian dan soalan dengan teliti.
5. Tulis jawapan anda pada kertas jawapan yang disediakan.
6. Serahkan kertas jawapan anda kepada pengawas peperiksaan selepas tamat ujian.
NAMA: ...........................................................................................................
TINGKATAN: .................................................................................................
Questions 1 to 8
Read the text carefully in each question. Choose the best answer A, B or C. For each question, mark the correct answer A, B or C on your answer sheet.
Fund Run Programme
The Garden Academy will be holding a Fund Run Programme on the 30th July at 7.30 a.m. The run will begin and end at City Mall. All participants from private sectors, government agencies and schools are welcomed to take part.
This event is held to raise fund for the Kampung Telaga flood victims who are badly affected by the flood which occurred two weeks ago. We hope to ease the burden they have to face for the next few months.
For details please log on to www.funrun21.com.my
1 The purpose of the advertisement is to
A raise fund for the Garden Academy students.
B encourage everyone to run for a healthier lifestyle.
C promote a charity programme for the flood victims.
KEMAMAN: Four men escaped the death penalty yesterday after the High Court acquitted them of a charge of trafficking 400 grammes of heroin.
The men were all smiles after the judge ruled that the prosecution had failed to establish a case against them.
Upon being acquitted, they were seen shaking hands with their relatives and friends who were waiting anxiously outside the building.
2 Which statement is true about the above news?
A The court found that the four men were innocent.
B The four men were sentenced to death for their crime.
C The judge had failed to establish a case against the four men.
Tasha: Qistina, have you heard the latest news about Rio?
Qistina: Yes, everyone is talking about it as the information has gone viral since yesterday.
Tasha: Well, it is so irresponsible of the person who started to circulate this fake news about him. Some people are just too nosy. They spread fake information without checking the truth. I pity this celebrity who has just become the next victim of fake news!
Qistina: I think the reason behind this immoral act is to defame him as he has been gaining a lot of fans the past few months.
Tasha: I hope he will have an alibi to help him clear his name.
3 The irresponsible person circulated fake news because he...
A has been victimised by Rio.
B is jealous of Rio’s popularity.
C wants to help Rio clear his name.
MECHANICAL ENGINEER
Job Description
- To support the Project Manager in project implementation and execution, to achieve goals in maintaining quality and accomplishing the schedule planned within the budget.
- Perform technical studies, design, tender, implementation for assigned tasks.
- Maintain project schedule by monitoring progress, coordinating activities and resolving problems in a team.
Requirements
- Degree in Mechanical Engineering with 1-3 years of working experience.
- Able to use AutoCAD software to assist the project manager.
Log on to www.applynowt.com
4 One of the requirements for this job is applicants...
A with 2 years of working experience in the field can apply.
B must be fresh graduates with less than 1 year experience.
C need to be prepared to work independently.
FREE GIFT - one child entry
(aged 0-12 years old)
Here is the chance for your kids to have fun at Jumboland, Johore and get a surprise gift, valid from 22nd December until 31st December.
10,000 surprise gifts are ready to be won. There are wonderful candies and goodies in store for kids at Jumboland. Present this voucher to claim your free entry and surprise gift. Valid for a purchase of one adult ticket.
5 The voucher for Jumboland entry says that
A the free gift is valid for ten days only.
B all kids aged 0-12 years old can enter Jumboland for free.
C a couple with three toddlers needs to only buy two adult tickets.
Dear Editor,
I wish to express my concern over the attitude of some people who throw rubbish out of their vehicles while travelling along the highway. These people need to be educated to be more civic minded. They can always keep the rubbish and dispose of it into a proper bin. They should play their roles to help preserve the environment. The rubbish they throw will clog up drains and this is one of the causes of flash floods. Actions need to be taken against these irresponsible people!
Disappointed Witness
6 Which of the following statements is true?
A The Editor will take action against the litters.
B The problem will be solved when those people are educated.
C People are being selfish when they throw rubbish out of their vehicles.
PREVENTION IS BETTER THAN CURE
Below are precautions to prevent the spread of COVID-19:
- Clean your hands often. Use soap and water or an alcohol-based hand rub.
- Maintain a safe distance from anyone who is coughing or sneezing.
- Wear a mask when physical distancing is not possible.
- Don’t touch your eyes, nose or mouth.
- Cover your nose and mouth with your bent elbow or a tissue when you cough or sneeze.
- Stay home, do not go out unnecessarily.
- If you have a fever, cough and difficulty in breathing, seek medical attention.
Calling in advance allows your healthcare provider to quickly direct you to the right health facility. This protects you and prevents the spread of viruses and other infections.
7 It is important to seek medical attention as soon as possible so that...
A infections will be stopped and you are treated accordingly.
B the medical staff will advise you on ways to prevent getting COVID-19.
C you will maintain a safe distance from others who are coughing or sneezing.
GREEN DRIVE
In conjunction with World Environment Day on 5th June, the Putra Bistari RA (Residents’ Association) is organising a Green Drive to create awareness among the residents and general public about the need to conserve the environment.
Everyone is encouraged to conduct these activities to support the drive:
- Plant a sapling
- Reduce waste by turning them into compost
- Recycle recyclable items and reuse reusable items
- Other activities for the same purpose.
Please snap a photo of the activities conducted and share them on social media to inspire others.
Putra Bistari RA
8 According to the notice, one suggested way to conserve the environment is to...
A plant a sapling only on the World Environment Day
B upload photos of them cleaning up their surroundings.
C ensure that certain food waste is reduced into compost.
Autism is a condition that cannot be ______ with conventional medicine. Specific medication may be prescribed to control certain symptoms like aggressive behavior ______ attention problems. People with autism are taught skills that will help them do things that are difficult for them. The best time to get ______ is when they are very young, as soon as they are diagnosed. This is ______ around the ages of one and a half to four. The most effective form of treatment is however, special educational programmes that are tailored ______ the child’s individual needs. These programmes involve breaking ______ barriers to communication using pictures or sign language. Basic language skills like asking for directions ______ taught. Treatment might also be a combination of speech, physical, occupational, musical, hearing and visual therapies. ______ changes in diet and medication may be necessary.
By the time they reach their teens, people with autism may be ______ regular classes with normal people or special classes because of behavioural problems. As teenagers, they may interact ______ others in a special way because their brains process information differently. As a result, they may have trouble talking properly and use gestures instead of words.
| | A | B | C | D |
|---|----|-------|------------|--------------|
| 9 | treat | treats | treated | treating |
| 10| or | and | but | also |
| 11| practice | consult | treatment | attention |
| 12| mostly | usually | supposedly | obviously |
| 13| to | for | at | by |
| 14| up | out | down | for |
| 15| is | was | are | were |
| 16| Sometimes | Usually | Subsequently | Consequently |
| 17| attend | attends | attended | attending |
| 18| upon | with | among | between |
Tammy had everything Sarah wanted: a pool in her backyard, popularity, and new clothes. Worse, it seemed (at least to Sarah) that Tammy had the Midas touch. Everything she touched turned to gold. She won the class lucky draw and with it RM50! She guessed how many jelly beans were in the jar in the yearly guess-how-many contest and won all 768 of them. She won every public speaking she entered, every art competition and every award the school offered. She had all the luck in the world.
Sarah was an only child. She wore hand-me-downs from her older cousin Alice. She did not have many friends. Her best friend Kana was really the best in many ways: kind, generous and loyal, and this made Sarah really grateful. Just the kind of person you would want for a best friend. However, Sarah most certainly did not have good luck. She never won anything. On the days, she carried an umbrella, it never rained; on the days, she forgot her umbrella, dark rain clouds seemed to follow her around.
One rainy day in June, though, Sarah and Tammy swapped luck. That was how Sarah thought of it, anyway. It was not expected, and it certainly was not planned. Sarah woke up and things felt different. It was a weird feeling that she had never experienced before. She felt lucky.
She rolled out of bed and noticed a small package on her desk. She opened it: it was a brand new dress, the same one she had been eyeing for weeks. “Mom!” she called. “Did you get me this dress?”
“It’s from your grandmother,” her mother called back. “Early birthday gift!”
Sarah shrugged. Her birthday was not until August.
“And I made your favourite! Chocolate chip pancakes!” her mother shouted.
“Pancakes on a Wednesday?” This truly was a different kind of day.
And it didn’t stop there. On the school bus, Aziz, the most popular boy in school, saved her a seat. Then Puan Rose picked her — yes, her! — to take care of the class hamster over the weekend. The cafeteria lady gave her two extra cookies and said with a wink, “Your lucky day!”
But the best part of the day was art class. Mr. Lee, her art teacher, walked around the room slowly. Sarah had not spent much time on her project. But it was still pretty, still unique. Mr. Lee walked past Tammy’s art project and did not even pause. Tammy looked devastated. Her hair was still wet from that morning’s rain. She had forgotten to bring an umbrella.
“Well, class!” Mr. Lee said. “I think our winner for this month is Sarah! Excellent work, Sarah — this shows a lot of progress!”
Sarah smiled proudly. “Guess you have some competition,” she whispered to Tammy.
Sarah was on top of the world. She did not feel like an ordinary sixteen year old at all. Today, she felt like a better-than-average teenager, possibly the best sixteen-year-old pupil who had ever existed. She wondered what was next.
Tammy, she noticed, had spent most of the day sulking. “Let someone else have a shot at being lucky for once”. Sarah whispered to Kana with a wicked smile and Tammy saw it. Then she noticed that Tammy was crying. Small tears dripped down onto her uniform.
“What’s wrong?” Sarah asked.
“I just spent a lot of time on that project,” Tammy said between hiccupped sobs.
Sarah was beginning to feel awful. After all, she had not spent much time on her project at all.
Then she felt Kana tap her on the shoulder. “You know, Sarah,” Kana started. She looked angry and hurt at the same time. “You haven’t been very nice today. You’ve been acting like…like you’re the best person in the world.” She shook her head. “This just isn’t like you at all.”
Now Sarah felt even worse. It was one thing to have the class pet dislike you, but another thing entirely to disappoint your best friend. “I’m sorry, Kana,” she said. “It’s just been a weird day.”
She walked over to Tammy and gave her a hug. “Don’t worry,” she whispered, “Your luck will change soon enough.” Luck, Sarah was beginning to think, was overrated.
19 From paragraph 1, what did Tammy have at the beginning of the story?
A All the beauty in the world.
B All the gold in the world.
C All the talent in the world.
D All the luck in the world.
20 From paragraph 2, what was Sarah’s characteristic?
A Kind
B Loyal
C Grateful
D Generous
21 From paragraph 3, what miracle happened to Sarah?
A Her plans worked.
B Her luck improved.
C Her wishes were answered.
D Her expectation was fulfilled.
22 From paragraph 10, why was Tammy devastated?
A Her hair was wet from the rain.
B Sarah did not work hard on her project.
C Sarah’s art was always better than hers.
D Mr. Lee did not stop to look at her painting.
23 “Let someone else have a shot at being lucky for once”.
Based on the phrase above, what can you conclude about Sarah’s relationship with Tammy?
A Sarah felt competitive with Tammy and wanted to be like her.
B Sarah thought Tammy was very talented and deserved to be lucky.
C Sarah wished Tammy would notice her, because Tammy was so popular.
D Sarah liked Tammy’s personality and thought Tammy was a nice person.
24 Why was Tammy upset when the art teacher did not praise her artwork?
A She thought her art was better than Sarah’s.
B She thought her art showed a lot of progress.
C She had put less effort into it.
D She had lost her luck.
25 When did Sarah realise that she had done something really bad?
A When Tammy was crying.
B When her art was chosen as the best.
C When she felt she was special than everyone else.
D When her best friend told her that she was acting weird.
26 What is the best lesson that you can learn from this passage?
A You must be rich to be lucky.
B You should be nice to everyone.
C You must be popular to be kind.
D You should rely on luck to succeed.
Questions 27 to 32
You are going to read an extract below.
Six sentences have been removed from the extract. Choose from the sentences (A to H) to fit each gap (27 to 32). There are two extra sentences which you do not need to use.
For each question, mark the correct answer (A to H) on your answer sheet.
USE YOUR REFRIGERATOR CORRECTLY
The food we keep in our refrigerator contains millions of harmful bacteria. If allowed to get out of hand, they can cause food poisoning. Taking care of your refrigerator reduces the risk of food contamination.
The first step is to store food in small amounts. 27 [ ]. A compartment of the refrigerator called the Crisper, usually comes with drawers, is the warmest section of the refrigerator. It should only be used to keep fruit and vegetables. Bottle compartments, usually at the door of the refrigerator, should only be used for water and other liquids. 28 [ ]. Remember to keep your cooked food in airtight containers.
Raw meat, fish and poultry belong in the freezer compartment. Once again, proper handling and storage will prevent bacteria from growing. 29 [ ]. If it does spill, the liquid should be wiped immediately.
Never mix cooked food with raw food. 30 [ ]. Easily spoilt foodstuff should be eaten as soon as possible. This helps to prevent the spread of bacteria.
Clean the refrigerator as often as possible. 31 [ ]. Therefore, make sure to properly clean the trays, compartments and the interior of the refrigerator.
Defrosting frozen food should be done inside the refrigerator and not outside. 32 [ ]. Bacteria such as salmonella and E-Coli which can be found in meat, poultry and fish are tough to kill.
A Beef, prawn and chicken are usually kept in the cooler compartment.
B This reduces the risk of contamination as heat causes foodstuff to rot even faster.
C Defrosting frozen food can cause foodstuff to change in taste.
D Arrange food properly, sorting it into separate containers.
E Raw meat should be wrapped and kept on a plate or in a container to prevent any liquid from dripping.
F Cooked food, butter and cheese is usually kept in the cooler compartment.
G This can lead to cross-contamination whereby bacteria move from one type of food to another.
H A dirty refrigerator works less efficiently and a little warmth is all it takes for harmful bacteria to grow.
Questions 33 to 40
Read the following information and answer the questions that follow.
Manipool University College Malaysia (MUCM)
- One of Malaysia’s oldest and most renowned private medical institutions.
- STPM/A-levels with top grades required.
- Must achieve at least Band 5 in the Malaysian University English Test (MUET).
- Located in the multicultural city of Malacca, 90 minutes from Kuala Lumpur.
- For application and enquiries, please email us at email@example.com
Advantage Tertiary College
- Embark on a notable career as an attorney, by getting a prestigious degree, benchmarked after international standards.
- With five credits in the SPM, your pathway to the world of justice is planned for you.
- Recognised by the Legal Profession Qualifying Board of Malaysia (LPQB).
- Contact Jamie at 03-4346 1324
University of Warleigh – Media and Creative Industries
- Get an additional British degree at a fraction of the normal cost and become an expert in how the media and creative industries operate.
- It is exclusive and cost effective – offers an opportunity to study abroad.
- Be exposed to a huge variety of topics - from film, music, games and technologies to theatres, museums, heritage, contemporary art and more.
- Log on to our website: www.warleigh.ac.uk for more information.
Maju University
- Be a part of entrepreneurial and culturally diverse Maju Business School community.
- Allows future business leaders to deal with real-world problems in real-life situations.
- Provides industry links with major local and international businesses.
- For enquiries about undergraduate study at Maju Business School, please send an email to firstname.lastname@example.org
Questions 33 to 36
Using the information on the different institutions, select the most suitable institution for each person. Write the answers in the table below.
| No | Description | Name of Institution |
|----|-----------------------------------------------------------------------------|---------------------|
| 33 | Mark is very interested in roles that cover arts management. | |
| 34 | After passing her A-Levels with flying colours, Jessica wishes to study medicine locally. | |
| 35 | Rina is hoping to continue her dad’s business legacy. | |
| 36 | Aimy wants to be a lawyer just like her sister. | |
Questions 37 to 40
Your friend has asked you to advise her on the institutions she should apply to after she finishes her SPM. Using the information given, complete the email with short answers. Choose no more than two words from the text for each answer.
| To: | Alicia |
|-------|---------------------------------------------|
| From: | Sheldon |
Dear Alicia,
How are you? I hope you are doing just fine. Here’s my advice regarding the institutions. I know that you are very interested in pursuing your study overseas. Why don’t you visit their 37 _______________ for more information? I’m sure you will get to know all that you need. However, if you intend to manage your dad’s company, you may choose Maju University as it provides ways to build strong industry links with major local and 38 _______________. Another option you might consider is enrolling at a renowned private medical institution but please ensure you get at least 39 _______________ in the MUET. Lastly, if you dream of becoming a legal executive, you should call 40 _______________ at 03-4346 1324 to get more information.
I hope you can make up your mind. All the best!
Sheldon
| Name of Institution | |
|---------------------|---|
| | |
| | |
| | |
1. After she finishes her studies, she will choose no more than one institution.
2. I know that there are many institutions. I know that you visit their websites and find out all that you need to know about the Nanyang University of Technology.
3. You can apply to any institution but you dream of studying at Nanyang University of Technology. Please call 03-7954 to get more information.
| No. | Write your answer |
|-----|------------------|
| 33 | |
| 34 | |
| 35 | |
| 36 | |
| 37 | |
| 38 | |
| 39 | |
| 40 | |
### Kegunaan Pemeriksa
| Bahagian | Markah Penuh | Markah Diperoleh |
|----------|--------------|-----------------|
| Part 1 | 8 | |
| Part 2 | 10 | |
| Part 3 | 8 | |
| Part 4 | 6 | |
| Part 5 | 8 | |
| Jumlah | 40 | |
|
Mary Kenny has a problem with Irish Studies in Britain
SEE INSIDE
FOCUS INTERVIEW
Mary Kenny is now a leading columnist and senior writer on the Daily Express
Also: Features - Letters - Noticeboard - Reports
BAIS NEWSLETTER 11 SUMMER 1997
Contents
Council Matters 2
Mary Kenny 4
Letters: Bais Debate 7
Reports from Newham & Hammersmith 8
BL Modern Irish Collections 10
New Irish Studies Projects 12
Stop Press Noticeboard 13
New Irish Studies Centre at Bath 14
BAIS MEMBERSHIP APPLICATION FORM 15
EDITORIAL
Welcome to Issue 11 of the Newsletter brought to you by the new editorial team. We would like to begin by thanking Dr. Lance Pettitt for his energetic and innovative work on the Newsletter over the past two years. We have decided to make changes. The most important change is one of emphasis. We plan a sharper focus on news in the Newsletter. We aim to carry news reports of the many activities among Irish organisations in Britain, Ireland and across the world. We aim to include features and articles which will chronicle the newsworthy shifting perspectives of the current debate about Irish culture. There will be newsletters for Spring, Summer, Autumn and Winter: each of which will be distributed to members as companion to the current issue of Irish Studies Review.
In this issue we have an interview with Mary Kenny about her recently published book Goodbye to Catholic Ireland and an article about the British Library’s modern Irish Collection on a future website. The topicality of these pieces is our benchmark for future issues.
Also in this issue is a letters page in response to articles by Shaun Richards and Edna Longley which were featured in the last Newsletter and we hope that the letters page will become a regular feature of the Newsletter. Reports are included – in particular, a report about the very interesting BAIS day Conference at the Hammersmith Irish Centre “Language and Nation”.
Of course, the top priority for a BAIS Newsletter must be to provide a forum for the development of BAIS. The great debate about the future of BAIS rumbles on in the Letters page. From now on there will be summary reports from Council officers once a year for our readers. There will be even some coverage of discussions at Council meetings. The campaign for new members must go on. The main thrust of our appeal for new members is a pressing invitation to individuals and institutions to join an active organisation which has a track record of practical commitment to projected initiatives in the expanding field of Irish Studies. These initiatives (as well as the available information about the activities of kindred organisations) will continue to be previewed, recorded and debated in the pages of the Newsletter.
We are in urgent need of volunteers to become news reporters and feature writers who will represent a broad range of approaches and opinions among our members. Contributions may be written in the Irish language on condition that an English translation is also included and printed. The deadline for all contributions to Issue 12: Autumn 1997 is 31 August. Please send items for publication to Jerry Nolan, 8 Antrobus Road, Chiswick London W4 5HY. Tele/Fax: 0181-995-1532.
Mary Doran, Madeleine Casey & Jerry Nolan Co-Editors
THE FOCUS INTERVIEW IN THE AUTUMN NEWSLETTER WILL BE WITH GEAROÍD O CAIREALLAIN, PRESIDENT OF CONRADH na GAEILGE.
COUNCIL MATTERS
CHAIR’S REPORT
Bais Newsletter
In welcoming the new Newsletter editorial group of Madeleine Casey, Mary Doran and Jerry Nolan, I also wish on behalf of the Association to thank Lance Pettitt for his stewardship and development of the Newsletter. I hope that all members of the Association will support their efforts to develop the networking function of the Newsletter.
Irish Studies Review
ISR is edited from Bath College of Higher Education, one of a number of third level centres in Britain where Irish studies has been developed since the mid-80s; and it was my pleasure, on behalf of the Association, to attend the lecture delivered by Owen Dudley Edwards in April to mark the inauguration of Bath College’s Irish Studies Centre. From the outset, the editors of ISR have set themselves the task of combining quality and accessibility in its contents. BAIS’s decision to provide a set-up grant for ISR has been well rewarded through the availability of this leading Irish Studies publication as a benefit of membership.
Members’ Survey
We are grateful to Bob Bell for developing and processing the members’ survey. Returns have given us some indication of members’ views and expectations. If you have not yet completed and returned your questionnaire, please do so, as we would like a greater volume of information to inform Association development.
Finance
Thanks are due also to BAIS Treasurer Domhnall MacSuibhne. Knowing that ex-Treasurer Tom Dooley is keeping an eye on us from Khulna University, Bangladesh, we are glad to report that the finances are in a healthy state.
Day Conference on “Language and Nation”
Eleanor Burgess, Cait Thompson and Domhnall MacSuibhne were chiefly responsible for the organisation of this informative and enjoyable event which took place at the Irish Centre, Hammersmith on 31 May, 1997; and it is my pleasant duty to thank them on behalf of the Association. The bilingual format, and the combination of lectures, debate, poetry and song, contributed to the conference’s success. Thanks are due also to the Irish Embassy, represented by Geoffrey Keating, for the provision of a drinks reception.
BAIS Biennial Irish Studies Conference
Preparations for this weekend conference on the subject “The Irish and Britain” are in the capable hands of Mervyn Busteed and Frank Neal. Details are contained elsewhere in the Newsletter. Please ensure the success of the conference by signing up and attending.
Irish Language
BAIS recognises the Irish language as a part of Ireland’s cultural heritage and includes a substantial Irish language element in its programme. This year, BAIS has again been awarded a LINGUA grant which will be used to send teachers of Irish from Britain on development courses in Ireland. Thanks are due to Cait Thompson for her work on this aspect of the Association’s activities.
Membership Procedure
Thanks are also due to Sandy Trott who administers this procedure so efficiently to the benefit of the Association.
Conclusion
Council seeks to maintain, and build upon, a programme to support and raise the profile of Irish Studies, and which is within the capacity of a purely voluntary committee. We urge members to make this their society: by supporting its activities, by indicating the services they do (or do not) require, by helping to provide those services, and by promoting the Association among their friends and colleagues(as Lance Pettitt did at the recent ACIS Conference).
BAIS NATIONAL COUNCIL
PRINCIPAL OFFICERS
CHAIR
Sean Hutton, 69 Balfour Street, London SE 17 1PL Tel: 0171-9162733 (work) Fax: 0171-9162753
VICE CHAIR
Dr. Margaret Ward, Bath College of Higher Education, Newton Park, Bath BA2 9BN TEL: 01225-873701 Fax: 01225-872912
HONORARY SECRETARY
Mervyn Busteed, Dept. of Geography, University of Manchester M13 9PL TEL: 0161-2753623 Fax: 0161-2734407
HONORARY TREASURER
Domhnall Mac Suibhne, 53a Hartham Road, London N7 9JJ Tel: 0171-6077771
OTHER MEMBERS OF COUNCIL
Dr. Bob Bell, 3 Hill Road, London NW8 9QE Tel: 0171-2866072
Eleanor Burgess, Mulberries, Boreham, Chelmsford, Essex CM3 3DS TEL: 01245-467287
Madeleine Casey, 5 Kendall Road, Isleworth, Middlesex TW7 6RB Tel: 0181-5685100
Nessan Danagher, Irish Studies Workshop, Soar Valley College, Gleneagles Avenue, Leicester LEA 7GY Tel: 01162-875368
Mary Doran, Modern Irish Collections, The British Library, Great Russell Street, London WC1B 3DG Tel: 0171-4127710
Prof Frank Neal, Dept. of Business & Management Studies, University of Salford, Salford M5 4WT Tel: 0161-7455920 Fax: 0161-7455556
Dr. Lance Pettitt, St. Mary's University College, Waldegrave Road, Strawberry Hill, Twickenham TW1 4SX Tel: 0181-2404090 Fax: 0181-2404255 e-mail: email@example.com
Marie Ryan, 89 Everton Drive, Stammore, Middx HA7 1EA Tel: 0181-2060748
Dr Neil Sammells, Bath College of Higher Education, Newton Park, Bath BA2 9BN Tel: 01225-873701
Dr. Paul Stewart, Business School, University of Wales Cardiff, Aberconway Building, Colum Drive, Cardiff CE1 3EU Tel: 01222-874000
Cait Thompson, 17 Mill Close, Braunston. Northants NN11 7HY Tel: 01788-891494
DATE OF NEXT MEETING OF BAIS COUNCIL: Saturday 16 August.
BENEFITS OF MEMBERSHIP: 4 issues of Irish Studies Review and BAIS Newsletter posted to you
Institutional Membership includes two copies of ISR & Newsletter
Network of nearly 300 members with Irish Studies interests
ADVICE TO APPLICANTS FOR MEMBERSHIP: All overseas applications should include a £2 supplement to cover postage costs. Overseas remittances should be sent in the form of Sterling money order only. For further information about subscription rates, please see application form on the last page. Membership runs for twelve months. Members will receive a reminder of renewal prior to membership expiring. IF YOU ARE NOT ALREADY A MEMBER, FILL UP THE APPLICATION FORM NOW.
FOCUS INTERVIEW: MARY KENNY
In the preface to her provocative *Goodbye to Catholic Ireland*, Mary Kenny has a problem with Irish Studies in Britain. "I was astonished when I looked at the syllabus, at the end of the 1980's, of an Irish Studies course at a British University, that everything except Catholicism seemed to be included...the overwhelming item, the irresistible magnet, the immovable force that had been as essential a part of the Irish mentality as the very earth, the very skies, the very sea – faith- wasn't mentioned." The book sets out a new map of Irish Catholicism, starting from the 1980's, to be included in future Irish Studies atlases. The method employed is a drawing together of a "mixture of observation, memory, family stories, personal experiences, biographies, autobiographies, travel books, some novels and plays, standard public texts and above all, a variety of newspapers, periodicals and magazines." In the course of a two hour conversation with Jerry Nolan, Mary Kenny answered many questions about her central concerns and her main approach to the contemporary problems of the Irish Catholic Church. Here is a summary reconstruction of key points in the exchanges.
JN: *There is a sense of militant nostalgia in your memories of Catholic Ireland. At times you seem to be grieving for a dying church. Perhaps the church is painfully developing?*
MK: The Faith is generally under constant attack by news hungry journalists. When a phrase like post-Catholic Ireland appears in the press, too many priests and politicians in Ireland succumb to a kind of cultural cringe. How many times before in history has the relevance of the church been written off? Look at the great anti-clerical periods like the French Revolution and the beginnings of Modernism! I would argue strongly that the Faith has helped the Irish people to define themselves as a nation. When a love of the Faith will be rekindled, I cannot say. I have heard that about 50,000 people gathered together in County Tipperary earlier this year for a novena during Lent. Popular devotion with a turnout not far short of the numbers who went on the first crusade must be a hopeful sign.
JN: *You have a lot to say in the book about the power of Irish mothers as the backbone of the Irish Catholic Church. When you were a feminist in the Sixties, didn't you attack the church as a patriarchy? Have you changed your mind about the subservient role of Irish women?*
MK: I have a great interest in Irish devotional literature, especially in the very popular magazines like *The Irish Messenger* of the *Sacred Heart* and *The Far East* which had many devoted readers. As a journalist I tend to research what was popular in the market. Academics tend to research what the intellectuals were saying. *The Messenger* and *The Far East* were women's magazines from the very beginning. Look at a typical page of subscribers - two hundred women and three men! There were articles in *The Messenger* about the making of a good home. *The Messenger*'s founder was Father Cullen who was a leader in the Temperance Movement. Many women were keen on the Temperance Movement because they wanted to protect the home from the drunken men. The appeal of the foreign missions in *The Far East* was enthusiastically supported by the women who sent in donations and prayers for the little Chinese babies.
JN: *Isn't there a great danger that this kind of approach produces a lopsided view of things? How do you fit in the intellectuals who were not much enamoured by Mother Church, or indeed by Mother Ireland herself?*
MK: Of course, harsh criticism of Mother Ireland and Mother Church was an important stimulus for writers like Joyce and O'Faolain. My main point is about the role of Irish mothers rescuing homes from the drunken fathers. There was an alliance, some would say a conspiracy, between the mothers and the priests to keep the peace in homes dedicated to the Sacred Heart. Inevitably there were female battle-axes who could make Jewish mothers seem like shrinking violets. J.B.Keane's Big Maggie is a good example of that bossy type.
JN: *What happened to break the pattern of women reading *The Messenger*?*
MK: The break happened when Irish women discovered contraception. When the sexual act was no longer seen as open to the possibility of life, women began to see children in the home in a different way. Needless to say, problems in the home remain. A friend of mine has been
telling me about a meeting in Dublin arranged to help drug addicts. There was one man present in a meeting of thirty four women who were the mothers and sisters of the drug addicts. Irish women are still worrying about men in trouble - not all that different to what was happening over eighty years ago in *The Messenger*.
**JN:** But isn’t a crucial difference that most Irish women nowadays have said goodbye to the Catholic Church?
**MK:** The Church no longer exists in the ways that it did. Nevertheless a strong religious impulse remains in Irish women. I meet women of my generation, now grandmothers in their fifties, who have recovered a belief in the need to teach their grandchildren about the once popular religious traditions. There’s the much hyped cult of pagan Ireland as shown in the instances of Sinead O’Connor’s latest CD and in Riverdance. I don’t see these forms of Celtic spirituality as producing anything more than some good music. Then there’s the world success story of Mary Robinson’s presidency - remember, *The Times of London* has described her as “Queen of Ireland”.
**JN:** I was quite startled by your suggestion in a footnote that Marian devotion may be playing an unconscious role in Mary Robinson’s quasi-spiritual leadership in Ireland. Was your tongue in your cheek?
**MK:** Mary Robinson has shown humanity to all and has well represented her people at home and abroad. I doubt if any presidential successor would have had the independence from party influence to receive the Dalai Lama against the wishes of the politicians of the day. That was her greatest moment. Now I fear it will be downhill, jobwise, for Mary Robinson because any other job that she undertakes on the world stage will be fraught with the politicking and plotting and scheming typical of administrations like the United Nations.
**JN:** You write about the capacity for devotion among the Irish. Yet you note in passing how quickly and painlessly the Latin Liturgy was abandoned in the 1960s. Why were the Irish so superficially attached to the Tridentine Mass?
**MK:** A bishop told me the story of an old man saying the rosary while the priest was explaining all about the changes in the New Mass which he was about to celebrate. On being told off for not paying attention by another priest, the old man said; ‘Let father get on with the Mass and I’ll be getting on with the rosary.’ The priests were let to get on with the changes. A few people were upset and confused by the speed of the changes. The Irish have always been more attracted to the evangelical rather than to the aesthetic side of the liturgy. What they did miss was the Latin which was the international language on the mission fields. The theologians used to slip into the Latin in *The Irish Ecclesiastical Record* when they had to deal with delicate questions of sexual morality.
**JN:** Why didn’t the priests let individuals get on with their wider reading? Don’t you seriously underestimate the extent to which the Irish Censorship Board and the Church Index mentality produced a state of mind where few serious writers could remain practising Catholics?
**MK:** The moral theologians in all the Catholic countries at the time tended to be against what they called ‘private judgement’. The activities of the Censorship Board were often triggered not by priests but by the little old lady on the library committee who felt very unhappy about the word ‘breast’ in a story. Irish priests in the fifties like Father Peter Connolly and Father John Kelly argued convincingly in *The Furrow* for a better informed and more civilised appreciation of the arts. Puritanism existed in English society, as one can discover even in the thrillers of Agatha Christie. In Ireland it wasn’t just a fear of sex. There was the ideal of the purity for the Irish race which was powerfully advocated by the Gaelic League and remained popular during the de Valera years.
**JN:** One of your book’s epigraphs is a quotation from the card of dedication carried by an tAhair Peadar O Loaghaire, the author of the schools classic ‘My Own Story’. Obviously you disagree with the view that an tAhair Peadar was a dangerously parochial influence on the generations of Irish school children during the pastoral de Valera years?
**MK:** An tAhair Peadar, who had lived as a boy during the famine years, expressed on that card sentiments which can be shared by all. “I love God. I love the faith. I love Ireland. I hate pride.”
I hate ignorance. I hate dissension. I will not boast. I will not quarrel. I will not be intoxicated." This is a credo of non-sectarian ideals which can be shared by Moslems, Jews, whoever.
JN: You write eloquently about the Irish missionary orders of priests and nuns. But wasn't much of the triumphalist tone of books like J.J. Kelly's St.Patrick's Spiritual Empire in the 1940s an aspect of Ireland's nationalist reply to the British presence world-wide?
MK: The Irish missionaries preached Christ throughout the world. People at home were keen to follow their progress. There was great human interest in the Chinese, for example, in The Far East and The Messenger. The readers, mainly women, loved reading the Chinese proverbs and cooking recipes. I remember missionary nuns visiting my Loreto School in Dublin and telling us all about how interesting life was in India. In The Irish Catholic during the 1920s, there were many pages full of detailed accounts of missionaries. There were interesting features about life in the mission countries. The popular Catholic press of these years show just how internationally aware the Irish were. It is clear that what the missionaries brought back home was a great affection for the different peoples of the world, quite unlike the modern dissenting missionaries who bring home the scraps of Marxism.
JN: Anthony Clare has said that the acute vocations crisis is not so much a problem for Irish society as for the Catholic Church who need to understand exactly why the scale of the crisis is so great. How is the Church shaping up to this challenge?
MK: I reviewed a play in Dublin earlier this year entitled Sour Grapes. All the priestly characters in it are vile. This degree of anti-clericalism in a well-crafted play reminded me of well-crafted anti-semitic literature in which all Jews are poison. The real crisis in the Church has very little to do with the priests portrayed in Sour Grapes. Modern Irish priests have failed to inspire the young to follow Christ through self-sacrifice because they are too much into a happy bunny-rabbit sort of religion. The crisis in Irish society is that the young deserve to be better informed and more challenged.
JN: But the Irish Church in real life continues to apologise for sins committed. Have you read about Brother Edmund Garvey's public apology for the abuse of boys by Christian brothers in their schools in the past?
MK: Such pathetic apologies merely intensify the myth of the Irish Church as decadent and corrupt. It has become impossible to admit that occasionally a priest or nun or brother might have sinned, without being drawn into the current anti-clerical campaign which has strong echoes of the witches of Salem trials, with money to be picked up from the press by some outraged victims whose dissatisfaction with mere repentance is too often rather convenient.
JN: Are the anti-clerical brigade winning then? Is it literally goodbye to Catholic Ireland? You're beginning to sound as pessimistic as your title suggests!
MK: The book's about stimulating discussion and research. I was encouraged by the discussion last January at the L & H in University College Dublin when I took part in the debate on the motion 'The Catholic Church is past its sell-by date.' Father Pat Buckley, the liberated and celebrated priest from Larne, took part. There were ferocious attacks on priests by some of the students. Some young women spoke up for priests in rural Ireland by saying that they were good men. The grassroots response was at odds with the self-confessed Marxists. Amazingly the motion was defeated. Ireland badly needs holy and caring priests. I'm told by a Holy Ghost father that they are turning away candidates in Sierra Leone because there is no room left in the seminaries. Ireland needs to be better informed about what is now happening in the former mission fields. The future of Catholic Ireland may well depend on its young people drawing hope from the universal church-not as unlikely as the theorists of a post Catholic Ireland would hope!
JN: Your main point - that Catholic Ireland was not insular and reactionary but enlightened and internationalist - is at present a minority view.
MK: Then I challenge the majority to do the research!
LETTERS: THE BAIS DEBATE
The LETTER PAGE will be a regular feature in future newsletters. Letters are invited on topics of interest to BAIS members. In this issue of the newsletter, the letters are in response to ideas discussed in the contributions of Shaun Richards and Edna Longley on the subject of the past and future of BAIS itself as appeared in the pages of Issue No. 10.
Anglocentric or International?
As a new member of BAIS I thought I would respond as something of an outsider to the first issue of the newsletter that I have seen, and specifically to the directions suggested in the short essays of Shaun Richards and Enda Longley. Looking through the newsletter, I was struck by just how Anglocentric it was. As for the BAIS National Council, all of whom are based in England except for one in Wales,
*shurely shome misthake? What ish my Nation?*
There are three possible futures for BAIS. In one of these, we get rid of the ‘British’ and Irish Studies takes its place alongside Welsh, Scottish and English Studies. ‘British Studies’, already an internationally recognised subject, remains a kind of fifth province, the area in which individual studies of the four nations come together. In the second possible future, Irish Studies gets itself internationalised, and we go from BAIS to IAIS, replacing ‘British’ with ‘International’. Since BAIS in one sense grew out of the International Association of Anglo-Irish Studies (IASIL) – soon to be renamed as International Association of Irish Studies (IAISL) – this might mark its return, though less as an offshoot than as a distinct forum for interdisciplinary Irish Studies, as advocated by Edna Longley. This would also be in keeping with Shaun Richards’ suggestion that the Association switch its support from the *Irish Studies Review*, based in Bath, to *Bullan*, which is now moving to Notre Dame. (Although on personal note, I would have to say that I find the range and regularity of the former journal salutary.) In a third scenario, BAIS becomes the Association for Anglo-Irish Studies (AAIS). By nature no stranger to compromise solutions, I’m ready to play an active part in any of these possible futures.
Finally, Shaun Richards mentions that a number of potential or actual BAIS members - myself included - chose to speak in Glasgow at the Irish Studies section of the European Society for Studies in English (ESSE) conference in September 1995 rather than at the BAIS Conference in Sunderland. I’d like to think that this was due not to any disaffection with BAIS or with Sunderland, but was influenced, rather, by the attractions of Glasgow. For myself., I’d like to see an Institute of Irish Studies set up here, perhaps in collaboration with the Department of Scottish Literature.
Willy Maley, Lecturer in English at the University of Glasgow.
Platforms in the Marketplace?
The recent articles looking backward and forward pinpoint the organisation’s shortcomings after the first ten years of BAIS. Shaun Richards highlighted a narrowness in the range of members who are mainly academics concerned with the ‘cutting edge’ of scholarship and university teaching. Edna Longley confessed to a personal nightmare of entrapment in infinitely recurring conference papers too much preoccupied with self-proliferating mirrorings of Irish identity. Happily positive things were mentioned: the broad church tendencies as displayed in conferences, lecture series etc. and the growing awareness of the value of interdisciplinarity as an approach to Irish Studies.
Surely the broad thrust of an attractive BAIS programme has to be focused not just on student academic needs but aimed at anybody anywhere in the world who happens to want to learn more about Ireland. An important touchstone of future BAIS success has to be the growth of a broader membership and the development of public platforms or events for potential members in the marketplace. Practical suggestions for setting up BAIS platforms, alongside other Irish Studies platforms, should be always welcome.
Jerry Nolan, Chiswick, W4 5HY
REPORT
A WEEKEND OF IMAGINATION AND DEBATE
Cairde na nGael (Newham and District Friends of Ireland) organised an Open Day on Friday, May 30 which was opened by representatives from various bodies including Edward Barrington, the Irish Ambassador in Britain; a local M.P Tony Banks, Minister of Sport; the Lord Mayor and Lady Mayoress of Newham.
For some seventeen years Cairde na nGael operated from a small hut in Windmill Road, Stratford where they had about a few hundred clients each year looking for help. Then in 1991 a new home was found for the organisation in Durning Hall Community Centre in Earlham Grove, Forest Gate where the number of visitors during 1995-6 was 1221.
The celebration on May 30 marked the acquisition of new self-contained premises (57, Woodgrange Road, Forest Gate) where an attractive shop front is bound to raise the profile of Cairde na nGael’s offer of advice and help to the Irish community in East London, especially at this time of increasing welfare and counselling needs. At the reception on the Open Day, there was a strong feeling of a well-rooted community enterprise inspired by the need to cultivate high self-esteem among the Irish emigrants. This material progress has been achieved over the years with core funding from the London Borough of Newham, support from local organisations (such as the Sir John Cass Foundation, Stratford City Challenge), help from two Dublin-based organisations (The Irish Youth Foundation and DION) and an injection of funds from the National Lottery Charities Board. Cairde na nGael have convinced many bodies that they put their resources to excellent use in dealing with such problems as homelessness, illness and discrimination among the Irish who visit their centre.
St. Patrick’s Day was used as an occasion for a two week schools project in partnership with the London Borough of Newman Education Department when 11 schools took part in workshops ranging from Irish dancing, music, mythology, GAA football and were supported by a pack containing Irish books, tapes, fact sheets and videos. On St. Patrick’s Day itself, there were workshops for everybody at Newham Leisure Centre when over a thousand people attended, 250 of whom stayed on for the night’s Ceili.
If depth of imagination best characterises the activities of Cairde na nGael at Forest Gate in their quest of raising Irish self-esteem in East London, the quality of debate characterised what went on in the Irish Centre, Hammersmith during the one day BAIS Conference on “Language and Nation” which was held on Saturday 31 May.
The morning sessions of the Conference were planned as a preparation for the debate in the afternoon. The first speaker was Reg Hindley who talked about his many years of research into minority languages and concluded that there is little correlation between nationality and language, that since 1800 the policy of “one nation, one language” has been an artificial construction for political convenience and that factors other than language, most notably social geography, help to define nations. Gearoid O’Cairellain described how the initiative for the revival of the Irish Language had passed away from the nation state and was being taken up by families and local communities, a process clearly seen in the growth of Irish medium schools throughout Ireland (now with some 30,000 pupils) and in the expansion of business enterprises in Ireland and Europe where Irish speakers have an advantage. Brendan Bradshaw analysed the role for the Irish language in creating an Irish identity during the post-colonial period and went on to argue strongly against the racist nationalism of an utopian attempt to return to a perfect pre-colonial social model and against the modernist, revisionist agenda for a secular, pluralistic,
affluent and cosmopolitan Ireland; Brendan Bradshaw’s own preference was for a country where a genuine cultural liberation would include the revival of the Irish language as one of the most distinguishing marks of Irish identity. **Padraigin Riggs** gave a summary account of the activities of the London based societies during the Irish Revival Movement (1890-1915) and demonstrated how the various societies operated at different levels to help the Irish in London to resist wholesale assimilation into English manners and customs and to build up a sense of Irish identity by means of a cultural awareness which included more than lip service to the ideal of reviving the Irish language.
The main speakers in the afternoon debate spoke to the motion: IRISH POLITICAL INDEPENDENCE WITHOUT THE RESTORATION OF THE IRISH LANGUAGE IS MEANINGLESS. Gearoid O’Caireallain (proposing the motion) redefined the wording of the motion by suggesting that Irish political independence had to be holistic, therefore a successful Ireland in the new global market would in time develop the revived Irish language as a necessary part of Ireland’s distinctive contribution to the world at large. **Owen Dudley Edwards** (opposing the motion) was in favour of the Irish language and an appreciation of its literature but was utterly opposed to the full range of bullying tactics too often used by Irish language enthusiasts to inflict their will on their fellow countrymen. **Stiofan O’Direan** (seconding the motion) put his main emphasis on the need for emigrants in England to assert the value of Irish culture, including the Irish language, in the context of the long history of English contempt for Irish ways. **Aisling Foster** (seconding opposition to the motion) spoke of her personal experience of the failure and hypocrisy of compulsory Irish in Irish schools which had left many of her generation disillusioned by the “let’s pretend” culture of the Irish language revivalists who continue to demand too much taxpayers’ money to forward their campaign, when that money could be better spent on fostering the successful teaching of modern European languages throughout Ireland.
In the lively debate which ensued, many speakers from the floor spoke as if the motion was primarily about the role for the Irish language in Irish cultural independence, given the obvious fact that the independence of the Irish Republic could not be dismissed as “meaningless”. Owen Dudley Edwards and Aisling Foster were clearly opposed to the compulsory aspects of the Irish language revival, while some of the supporters of the motion implied a strong sympathy for a compulsory approach; however, it never became clear if the opponents of the motion would accept the need to persuade the Irish people rationally to cultivate their native language as an essential part of their national identity. Gearoid O’Caireallain’s summing up was a superb sleight of word as he insisted on his theme that a holistic political independence had to include a cultural independence. What had not really been discussed was whether the association of the Irish language with an Irish identity, not in a protected farmers’ republic but in a global economy, might not indeed prove to be a remarkable exception to Reg Hindley’s finding that there was little correlation between language and nationality.
The debate ended on a somewhat muted note of “well, it all depends on what you mean by the motion”. But there was no mistaking the main thrust of the message coming out of the clearcut victory for the proposers of the motion: the fifty or so people present at the Conference felt that the revival of the Irish language would probably become an essential characteristic of a fully independent Ireland in the global context of the 21st century.
In Forest Gate, there was a strong sense of the important role of local Irish communities in building a better future for Irish people throughout the diaspora. In Hammersmith, there was a strong sense of the present outward growing role of Irish culture in making a significant contribution to politics and the culture of the world, always on the condition that the Irish can live at peace with themselves. A striking overall optimism, at the turn of this century, characterised both absorbing events.
A NEWSLETTER FEATURE
THE BRITISH LIBRARY'S MODERN IRISH COLLECTIONS, 1915-
The British Library is the national library of the United Kingdom with collections built up over the last two centuries. It contains over 150 million items representing every age of written civilisation. Every printed and written format is represented, every written language and every aspect of human thought included. The Library exists to serve scholarship, research and innovation. The British Library was established in 1973 bringing together a number of bodies, the oldest and most important of which being the British Museum Library, the British Museum itself being founded in 1753. The Modern Irish Collections, in the British Library's Reader Services & Collection Development directorate, encompass a wide range of subjects in the humanities and social sciences areas in mainly book, journal and pamphlet form. Coverage of historical and literary subjects is particularly strong. The output of academic publishers and institutions in the Irish Republic and Northern Ireland is well represented.
Under the Republic of Ireland's (and previously the Irish Free State's) legal deposit legislation publishers in the Republic are required to send a copy of each item published to the British Library, in return for Trinity College Dublin Library having the right to claim material published in the United Kingdom. Publishers in the Republic are also required to provide copies of works, if claimed, to the other four UK copyright libraries (Cambridge University Library, Bodleian Library Oxford, National Library of Scotland, National Library of Wales). Publishers in the Republic are also required to deposit copies of works with the National Library of Ireland, Trinity College Dublin Library and six other university libraries in the Republic. In common with publishers in Great Britain, publishers in Northern Ireland are required to deposit a copy of each work published with the British Library and, if claimed, with the other UK copyright libraries and Trinity College Dublin Library.
Historical and literary material:
Works on all periods of Irish history published during the twentieth century are held, including works on the Great Famine, the debate and discussion on revisionism in Irish history, Irish women's history and social conditions, the history and political and social conditions of Ulster in particular, the history of Irish economic and social conditions, Irish emigration, the connections, disconnections and upheavals in Irish-British relations on political and social levels. Literature is also one of the strengths of the collections with a representative range held of works by Irish (Northern and Southern) authors, playwrights and poets published in Ireland (North and South) and in Great Britain, including the Nobel prizewinners W.B. Yeats, George Bernard Shaw, Samuel Beckett and Seamus Heaney, as well as other writers such as James Joyce, Flann O'Brien, Brian Friel, John Montague, John Hewitt, Eavan Boland, Roddy Doyle, Colm Toibin, Mary Lavin, Paul Muldoon, Medbh McGuckian.
Irish language material:
Material is also held in the Irish language, including works published by Conradh na Gaeilge (Gaelic League), the Irish Texts Society, Clo Iar-Chomhachta, An Clochomhar, and works by individual writers such as Mairtin O Direain, Mairtin O Cadhain, Nuala Ni Dhomhnaill.
Literary, historical and cultural societies:
The published output of literary, historical and cultural societies is also an important part of the collections. The Library holds material produced
by, for example: the Irish Historical Society, Economic and Social History Society of Ireland, Irish Labour History Society, Ulster Society, Ulster Society for Historical Studies, Ulster Archaeological Society, as well as by societies focusing on a particular Irish author, such as the Oscar Wilde and James Joyce societies.
**Irish studies in the United Kingdom:**
Works published on Ireland (North and South) and the Irish Diaspora by academic publishers and research institutions in the United Kingdom, are also held including: *The Irish Studies Review*, produced at Bath College of Higher Education for BAIS, *The Irish World Wide Series*, published by Leicester University Press, works published by the Irish Studies Centre (University of North London), Institute of Irish Studies (University of Liverpool), Institute of Irish Studies (Queen’s University of Belfast), Manchester University Press, Centre for the Study of Conflict (University of Ulster at Coleraine).
**Periodicals:**
Major academic and literary periodicals are held including: *Irish Historical Studies, Studies, Poetry Ireland Review, The honest Ulsterman, Krino, The Bell, The Irish Review*. An important resource for research on Northern Ireland, *Northern Ireland Political Literature: Periodicals*, is also held. This microfiche set has been produced by the Linen Hall Library in Belfast from its renowned Northern Ireland Political Collection. Daily, weekly, fortnightly publications (such as *The Irish Times, The Irish Independent, The News Letter [Belfast News Letter], Irish News, Belfast Telegraph, Fortnight*) are held in the British Library’s Newspaper Library, Colindale Avenue, London NW9 5HE (Tel: 0171 412 7353).
**Catalogues:**
There is no separate catalogue for the Modern Irish Collections. Works, in English and Irish, are listed in the British Library’s *General catalogue of printed books* to 1975 and the *Current catalogue* (for items received after 1975), both now available on the world wide web at: [http://opac97.bl.uk/](http://opac97.bl.uk/). Copies of the British Library’s catalogues (usually in printed form) are also often available for consultation in larger public reference libraries in the UK and in national libraries and major research libraries abroad. For information about local access to the Library’s catalogues and databases, please consult the librarian in your own institution or your nearest public library.
**Access:**
The British Library is now in the process of moving its collections into its new building at St Pancras in central London. Book moves began in December 1996 and are scheduled to finish in 1999. During this period the Library will move some 12 million books, manuscripts and other items and transfer nearly one thousand staff from a large number of London sites. The first St Pancras reading room (Humanities) will open in November 1997. Until October, Irish material in the humanities and social sciences can be consulted in the British Library’s Main Reading Room in the British Museum building on Great Russell Street, London WC1B 3DG. Access is by pass only and intending readers should contact the Library’s Reader Admissions Office (0171 412 7677). The British Library’s world wide web site at: [http://www.bl.uk/](http://www.bl.uk/) gives details on the Library’s collections and services and is also updated regularly with information on the move to the new building. Text on the Modern Irish Collections is in the process of being prepared for the web site and should appear there later this year.
**Enquiries:**
Enquiries about the Modern Irish Collections may be made, in the first instance, to the Main Reading Room Enquiry Desk (0171 412 7676). For detailed help enquiries may be made in writing to the Curator for the Modern Irish Collections at the British Library, Russell Street, London WC1B 3DG, or fax: 0171 412 7557, or telephone: 0171 412 7710.
Mary Doran, Curator for Modern Irish Collections.
REPORT
IRISH STUDIES PROJECTS IN BRITAIN
AT THE UNIVERSITY OF NORTH LONDON
This year’s Irish in Britain Research Forum ran from 20 February to 13 March and consisted of four seminars covering a broad range of issues currently being debated within the Irish community in Britain.
The Forum was organised by the Irish Studies Centre and launched by Sarah Morgan, a researcher working in the Centre. Sarah delivered an engaging talk (culled from her current doctoral thesis) about press representations of the Irish in Britain and provoked an animated discussion afterwards. This was followed by papers about Irish identity. Dr. Joseph Bradley from Glasgow Caledonian University revealed the complex issues at work among supporters of Celtic Football Club and how this relates to the particular nature of Irish and religious identity north of the border. Onagh O’Brien reported on the recent research she has been conducting into the question of HIV/AIDS and the Irish in Britain. She explained the differences in epidemiology compared to the host community and highlighted the continuing need for culturally specific responses from the relevant agencies in Britain. The Forum was closed by Breda Gray of Lancaster University who gave a thought-provoking talk about the differing senses of identity amongst Irish woman in Ireland and Britain and the way in which prevailing ideas of Irish motherhood inform such ideas.
The Irish Studies Centre recently learnt that it was successful in its bid for a research project on the Irish community in the London borough of Lewisham. The Project will consist of an investigation into the current position of the Irish community in the borough. The research will assess how far council policies and service provisions (e.g. education, employment, community safety) cater for and impact on the Irish as an ethnic minority and will make recommendations as required. The programme runs from 1 April to 30 September, 1997 and Dr. Mary Hickman, Sarah Morgan and Dr. Bronwen Walter (Anglia Polythenic University) will make up the research team.
The Irish in Britain Forum has met regularly since 1986. The Forum act as a means by which researchers of Irish Studies in Britain can network and mutually benefit each other’s work. Postgraduates working on masters or doctoral dissertations are especially welcome to present their work. Please contact Tony Murray at the Centre 166-220 Holloway Road, London N7 8DB (tel.no: 0171-753-5018)
WOMEN ON IRELAND ACADEMIC NETWORK
A new network of women academics who are researching issues relating to Ireland or Irishness has recently been established here in Britain. The first meeting of the Group took place in the Camden Irish Centre on 10 May. It was evident from contributions at the meeting that researchers in this field often feel isolated through being the only one in their University or Institution working on this theme. This applies especially in Universities in the North of England and Scotland. The network aims to provide opportunities for these researchers to exchange ideas and information through study groups, conferences and newsletters. The next network meeting will be on Saturday 19 July.
For further information, contact Kathy Cremin (University of York) 01274-549053 or Louise Ryan (University of Central Lancashire) 01772-893982 or Clare Bonnington 0171-235-8483).
STOP PRESS
NOTICEBOARD
The Irish and Britain
The Sixth Biennial BAIS Conference at the European Studies Research Institute, University of Salford: 5 – 7 September. A Multi-disciplinary conference on the general theme “The Irish in Britain”. Subsidiary themes include: The Northern Ireland Question, Ethnic Identity, The Irish in Britain, Irish Women in Britain, Irish Writers in Britain, the Irish in Scotland, the Irish in London, Writing Ireland Abroad, the Irish in the North West of England, the Irish and the Media. There will be Irish films on Friday evening and Irish music on Saturday evening.
CONTACT: Wendy Pickles, Conference Administrator for further details concerning the programme, bookings, accommodation, fees etc.
Tel: 0161-745-5615/ 5275
Email: w.a. pickles @ esri.salford.ac.uk
Women’s Academic Network
Study Day at the University of York during November. Women from all disciplines are invited to bring questions and thoughts arising out of work in progress. There will be a guest speaker and informal structures.
CONTACT: Kathy Cremin – 01274-549053
Or Louise Ryan – 01772-893982 for further information.
Irish Emigration
A conference at University College, Cork during September about Irish Emigration entitled “The Scattering”.
CONTACT: Marianne Elders, Conference Administrator, for further information.
Tel: 3532-1902898
Fax: 3532-1271980
Social Exclusion
Conference at Queen’s University, Belfast; September 10 –12 on the theme of “Social Exclusion, Disadvantage and Discrimination in Ireland”.
CONTACT: Dr. Rob Kitchin for information
Fax: 01232-321280
Email: r.kitchin @ qub.ac.uk
Organisations and institutions with programmes of conferences, seminars, symposia, public lectures, cultural events etc. with a significant dimension of Irish Studies on offer are invited to draw attention to their work on our Noticeboard. and to give a named contact to deal with further enquiries.
NEW IRISH STUDIES CENTRE AT BATH
At the launching of the new Irish Centre at Bath College of Higher Education. From left: Dr. Frank Morgan (the college director), Owen Dudley Edwards, Dr. Neil Samuells, Dean of the Faculty of Humanities.
On 22 April, the Faculty of Humanities at Bath College of Higher Education hosted a reception to inaugurate the college’s new Irish Studies Centre. Although Dr. Garret Fitzgerald, the intended guest of honour and one of the distinguished patrons of the Irish Studies Centre, was unfortunately unable to attend the launch, the occasion nevertheless attracted a large attendance from staff and students of Bath College of Higher Education and guests from outside the college, including representatives from the Irish Embassy, the British Association of Irish Studies and the Irish Post. The inaugural lecture by Owen Dudley Edwards, another of the Centre’s patrons (who also include Professor Terry Eagleton, University of Oxford; Joanna Bourke, Birkbeck College; Professor Paul Bew, Queen’s University, Belfast; and Van Morrison, singer and songwriter) was on the theme of “What is Irish Studies?” In his wide-ranging and lively lecture, which touched on such diverse subjects as British and Irish attitudes to Europe, Garret Fitzgerald’s foreign policy and the portrayal of Irish history in film, and particularly in Neil Jordan’s recent “Michael Collins”. Dudley Edwards reminded the captivated audience of both the eclectic nature and the relevance of Irish Studies inside and outside of academia. The inaugural lecture was followed by a buffet reception.
The opening of the Centre marks a new stage in the development of Irish Studies at Bath College of Higher Education. The Centre will provide a recognised focus for Irish Studies nationally and internationally. In particular, it will be the focus for the further development of a range of facilities and activities for those interested in studying Irish history, politics and culture at undergraduate and postgraduate level.
BG
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|
AN ORDINANCE OF THE CITY OF STANWOOD, WASHINGTON,
AMENDING STANWOOD MUNICIPAL CODE (SMC) CHAPTER 17.151,
IMPACT FEES – PUBLIC FACILITIES TO DELETE PARK AND FIRE
IMPACT FEE PROVISIONS AND BE RETITLED AS SMC 17.151 IMPACT
FEES – TRANSPORTATION; ADOPTING NEW CHAPTER 17.152,
IMPACT FEES – PARKS; ADOPTING NEW CHAPTER 17.154, IMPACT
FEES – FIRE; ESTABLISHING SEVERABILITY AND AN EFFECTIVE
DATE.
WHEREAS, impact fees are one-time charges assessed by a local government
against new development projects to help pay for new or expanded public facilities that
directly address the increased demand for services created by that development; and
WHEREAS, cities have the authority to adopt impact fees under Chapter 82.02
RCW; and
WHEREAS, currently the City's transportation, parks and fire impact fee
provisions are combined into a single chapter in the Municipal Code; and
WHEREAS, for clarity, the City desires to create separate, independent chapters
for transportation, parks and fire mitigation fees in the Stanwood Municipal Code; and
WHEREAS, in addition, the Stanwood City Council has directed that impact fees
should be reviewed annually or biennially to reflect the most current capital
improvement plan (CIP) and those costs associated with the acquisition and
development of projects listed on the CIP; and
WHEREAS, the city desires to update the park impact fee consistent with the
2022-2027 Capital Improvement Plan; and
WHEREAS, the City of Stanwood SEPA Responsible Official has reviewed the
proposed amendments to the Stanwood Municipal Code and issued a Determination of
Non-Significance on February 18, 2020; and
WHEREAS, the Stanwood Planning Commission held a public hearing on the draft
ordinance on February 14, 2022 and has recommended that the City Council adopt the
ordinance as presented; and
WHEREAS, the City Council Community Development Committee reviewed the proposed language and amendments set forth in this Ordinance at their February 27, 2020 and November 18, 2021 meetings; and
WHEREAS, the City Council held their first reading of the draft code amendment on March 10, 2022 and their second and final reading on March 24, 2022 and accepted public comment; and
WHEREAS, pursuant to RCW 36.70A.106, the City has notified the Washington State Department of Commerce of the City’s intent to adopt the proposed amendments to the Stanwood Municipal Code regarding impact mitigation fees, and
WHEREAS, the City Council of Stanwood has authority under Title 35A, RCW to adopt plans and regulations related to development and operations within the City of Stanwood; and
NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF STANWOOD, WASHINGTON, DO ORDAIN AS FOLLOWS:
Section 1. Transportation Impact Fees. Stanwood Municipal Code, Chapter 17.151, Impact Fees – Public Facilities is hereby amended to delete park and fire impact fee provisions and be retitled as SMC 17.151 Impact Fees – Transportation which specifically addresses the application and processing of traffic mitigation impact fees as provided in Exhibit “A” attached to this ordinance and incorporated herein by reference as if set forth in full.
Section 2. Adoption of New Chapter 17.152, Park Impact Fees. New Stanwood Municipal Code, Chapter 17.152, Impact Fees - Park and Recreation, is hereby adopted to read as set forth in Attachment B, incorporated by reference as though fully set forth herein.
Section 3. Adoption of New Chapter 17.154, Fire Impact Fees. New Stanwood Municipal Code, Chapter 17.154, Impact Fees - Fire, is hereby adopted to read as set forth in Attachment C, incorporated by reference as though fully set forth herein.
Section 4. Findings of Fact and Conclusions. In support of the code provisions provided in this Ordinance the Stanwood City Council adopts the Findings of Fact and Conclusions attached hereto as Exhibit “D” and incorporated herein by reference and the analysis contained in the Staff Report on the amendments.
Section 5. Severability. The various parts, sections and clauses of this ordinance are hereby declared to be severable. If any part, sentence, paragraph, section or clause is adjudged unconstitutional or invalid by a court of competent jurisdiction, the remainder of the Ordinance shall not be affected thereby.
Section 6. Authority to Make Necessary Corrections. The City Clerk and the codifiers of this Ordinance are authorized to make necessary corrections to this Ordinance including, but not limited to, the correction of scrivener's clerical errors, references, ordinance numbers, section/subsection numbers and any references thereto.
Section 7. Effective Date. This Ordinance shall take effect five days after its passage and publication as required by law.
PASSED AND APPROVED by the Stanwood City Council this 24th day of March 2022.
CITY OF STANWOOD
Sid Roberts
Sid Roberts (Mar 25, 2022 15:56 PDT)
Sid Roberts, Mayor
ATTEST:
By: Lisa Sokolik
Lisa Sokolik, City Clerk
APPROVED AS TO FORM:
By: Nikki Thompson
Nikki Thompson (Mar 25, 2022 15:34 PDT)
Nikki Thompson, City Attorney
Date of Publication: April 5, 2022
Effective Date: April 5, 2022
Chapter 17.151
IMPACT FEES – PUBLIC FACILITIES-TRANSPORTATION
Sections:
17.151.010 Authority and Purpose
17.151.020 Findings
17.151.030 Definitions
17.151.040 Imposition of Impact Fees
17.151.050 Establishment of Service Areas
17.151.055 Imposition of Transportation Impact Fees
17.151.060 Calculation of Transportation Impact Fee
17.151.070 Park and Recreation Impact Fee Component
17.151.080 Fire Facility Impact Fee Component Formula
17.151.090 Calculation of Impact Fee
17.151.100 Collection of Impact Fee
17.151.110 Impact Fee Credits
17.151.115 Impact Fee Deferral System
17.151.120 Appeals
17.151.130 Accounting
17.151.140 Expenditure
17.151.150 Refunds
17.151.160 Impact Fee as Additional and Supplemental Requirement
17.151.010 Authority and Purpose
The ordinance codified in this chapter is enacted pursuant to this provisions of Chapter 82.02 RCW, and is intended to accomplish the following purposes:
1. To ensure that adequate facilities are available to serve new growth and development;
2. To promote orderly growth and development by requiring that new development pay a proportionate share of the cost of new transportation facilities need to serve growth; and
3. To ensure that impact fees are imposed through established procedures and criteria so that specific developments do not pay arbitrary fees or duplicate fees for the same impact.
17.151.020 Findings
The city council finds and declares that:
1. New residential and nonresidential development causes increased demands on public roads, streets and other transportation facilities, including streets, roads, parks, open space, recreational facilities, fire facilities and schools;
2. Projections indicate that new development will continue and that it will place ever-increasing demands on the city to provide necessary public transportation facilities;
3. To the extent that new development places demands on the public facility infrastructure, those demands should be partially financed by shifting a proportionate share of the cost of such new facilities from the public at large to the developments actually creating the demand; and
4. The imposition of impact fees upon residential and nonresidential development in order to finance specified public facilities, the demand for which is created by such development, is in the best interest of the general welfare of the city and its residents, is equitable, does not impose an unfair burden on such development by forcing developers and builders to pay more than their fair or proportionate share of the cost and is reasonably necessary to provide the necessary public facility infrastructure to serve new development as planned for in the city Comprehensive Plan and the city capital facilities plan.
17.151.030 Definitions
As used in this chapter:
1. “Building permit” means the permit required for new construction and additions pursuant to SMC Title 14. The term “building permit” as used herein shall not be deemed to include permits required for the remodeling, rehabilitation, or other improvement to an existing structure, or rebuilding a damaged or destroyed structure; provided there is no increase in the applicable unit of measure for nonresidential construction or the number of dwelling units for residential construction.
2. “Capital facilities plan” means the capital facilities element of the Stanwood Comprehensive Plan. Any reference to the capital facilities plan shall include the city of Stanwood six-year capital improvement program adopted as an amendment to the Comprehensive Plan by the city council.
3. “Development activity” means any construction or expansion of a building, structure or use, any change in the use of a building or structure, or any changes in the use of land, that creates additional demand and need for public facilities, except for the reconstruction or renovation of an existing single-family residential structure on an existing lot.
4. “Impact fee” means the payment of money imposed upon development as a condition of development approval to pay for public facilities needed to serve new growth and development that creates additional demand and need for public facilities, that is a proportionate share of the cost of the public facilities and that is
used for facilities that reasonably benefit the new development. “Impact fee” does not include a reasonable permit application or plant investment fee. The impact fee imposed shall consist of a traffic impact fee component, a park and open space impact fee component, a fire facility impact fee component, and a school impact fee component.
5. “Owner” means the owner of record of real property, although when real property is being purchased under a real estate contract, the purchaser shall be considered the owner of the real property if the contract is recorded.
6. “Project improvements” means site improvements and facilities that are planned and designed to provide service for a particular development project and that are necessary for the use and convenience of the occupants or users of the project and that are not system improvements. No improvement or facility included in a capital facilities plan approved by the city council shall be considered a project improvement.
7. “Public facilities” means the following capital facilities owned or operated by governmental entities:
a. Public streets, roads and appurtenances;
b. Publicly owned parks, open space and recreational facilities;
c. School facilities; and
d. Fire protection facilities of the city.
8. “Service area” means a geographical area defined by the city in which a defined set of public facilities provides service to development within the area.
9. “System improvements” means public facilities that are included in the capital improvement program of the capital facilities element in the city’s comprehensive plan and are designed to provide service to service areas within the community at large, in contrast to project improvements.
17.151.040 **Imposition of Impact Fees**
There is imposed upon all new development activity within the city an **a traffic** impact fee which shall be calculated by adding the impact fee components as **according to the traffic mitigation fee formula contained** herein, after provided for that are applicable to each such new development activity.
17.151.050 **Establishment of Service Areas**
The city hereby establishes as the service area for development **traffic** impact fees all areas in which development may occur that would impact the city’s transportation system, including all property located within the corporate limits of the city as now existing or may be amended by annexation or any surrounding properties within the city’s urban growth area that would normally use city transportation facilities.
17.151.055 Imposition of Transportation Impact Fees
1. All development projects within the city shall be assessed a transportation impact fee based on average daily trips as computed in accordance with the most current edition of the Institute of Transportation Engineers’ Trip Generation Manual as applied to the city’s transportation element of the adopted comprehensive plan.
It is hereby declared that such impact fees shall:
a) Only be imposed for system improvements that are reasonably related to new development; and
b) Not exceed a proportionate share of the cost of the system improvements, including the costs of previously constructed system improvements, reasonably related to new development; and
c) Be used for system improvements that will reasonably benefit new development; and
d) Not be imposed to make up for deficiencies in any previously constructed system improvements. Such impact fee is based upon the formula for calculating the proportionate share of the cost of the system improvements, including the costs of previously constructed system improvements, necessitated by new development to be borne by impact fees, which formulas are described in SMC 17.151.060, Calculation of transportation impact fee.
2. A transportation impact fee and schedule, setting forth the amount of the transportation impact fees to be paid by new development, shall be adopted by resolution of the city council.
3. For redevelopment of a site, a credit shall be given for trips generated by the previous use on the site.
4. A credit, not to exceed the impact fee otherwise payable, shall be provided for the value of any dedication of land for, improvement to, or new construction of any system improvements provided by the developer, to facilities that are identified in the capital facilities plan and on the six-year capital improvement program and that are required by the city as a condition of approving the development activity. The determination of “value” shall be consistent with the assumptions and methodology used by the city in estimating the capital improvement costs.
5. The city administrator or designee may adjust the amount of the impact fee otherwise imposed hereby with respect to specific projects requiring a building permit upon determining that:
a) Unusual circumstances require such adjustment to ensure that such impact fees are imposed fairly consistent with the impact of the building and proportionality; and
b) Studies and data submitted by the owner regarding the impacts of such owner’s proposed development activity require such adjustment. Impact fees shall not be adjusted unless such studies and data support a finding that the impact fees
otherwise imposed hereby allocate to the specific project in question a share of the cost of the systems improvements that is greater than or substantially less than such project’s allocable proportionate share of such costs.
6. Commercial Development Incentive. Commercial uses as defined in SMC 17.20.040, “C” definitions, shall be eligible for a 10 percent reduction in the transportation impact fee.
7. Reuse of Existing Structures Incentive. The community development department shall not impose the transportation impact fee on commercial projects in the MB-I and MB-II zones that meet the criteria set forth below; provided, that this waiver shall not apply to new buildings or to new projects that include demolition of the existing building and shall not affect the imposition and collection of any other applicable city impact fees, hook-up fees, or application fees.
a) The project utilizes an existing building constructed prior to 1980 according to the Snohomish County assessor’s database, and requires building permits for remodel, expansion, and/or improvement;
b) The original structure must be intact before and after the improvements;
c) The total building square footage of the project, following remodel, expansion or improvement, including any new additions and all buildings on the property, is less than 10,000 square feet;
d) The valuation of work on the building must exceed 25 percent of the assessed value of the building according to the Snohomish County assessor’s database; and
e) The project must include improvement of any adjacent street frontage, including curb, gutter, sidewalks, and street trees to current code and/or standards, and must include a connecting walkway meeting ADA standards to the main entrance of the building. Any or a portion of these improvements may be waived or modified, if the community development director determines that existing conditions meet the current standards for these improvements.
8. Historic Single-Family Lot Incentive. Individual single-family zoned lots and parcels created prior to the effective date of Chapter 58.17 RCW on July 1, 1969, shall be eligible for a 35 percent reduction in the transportation impact fee on application for a building permit. This incentive is limited to development of one single-family residence per lot or parcel existing prior to July 1, 1969.
9. Low-Income Housing Incentive. Traffic impact fees for low-income housing shall be eligible for an eighty percent reduction of the transportation impact fees subject to the following requirements:
a) To qualify for the low-income housing fee reduction allowed under this section the developer must record a covenant that prohibits using the property for any purpose other than for low-income housing. At a minimum, the covenant must address price restrictions and household
income limits for the low-income housing, and that if the property is converted to a use other than for low-income housing, the property owner must pay the applicable impact fee in effect at the time of conversion; and
b) The covenant must be recorded with the Snohomish County auditor or recording officer.
c) For purposes of this section, "low-income housing" means housing with a monthly housing expense, that is no greater than thirty percent of eighty percent of the median family income adjusted for family size in Snohomish County as reported by the United States department of housing and urban development.
17.151.060 Calculation of Transportation Impact Fee
1. The impact fee shall be based on the growth related transportation projects contained in the adopted six-year capital improvement program as presented in the capital facilities element of the city's Comprehensive Plan.
2. The actual impact fee shall be calculated based on the total cost of growth related system improvements divided by the total number of projected trips generated by new development as anticipated in the adopted future land use map (FLUM) for an adopted six-year capital improvement program period.
\[
\text{Actual Cost/Trip} = \frac{\text{Total cost per six-year growth related system improvements}}{\text{Total new trips}}
\]
3. The actual impact fee shall be adjusted to provide a fee equal to 66.6 percent of the actual cost of the system improvements necessitated by new development as calculated in subsection (2) of this section.
4. The impact fee may include system improvement costs previously incurred by the city to the extent that new growth and development will be served by the previously constructed improvements and to the extent not already funded; provided, that such fees shall not be imposed to make up for any existing system deficiencies.
5. The city shall annually review the city’s capital facilities plan and transportation projects included in the adopted six-year capital improvement program, and shall:
a) Identify each project in the comprehensive plan that is growth related and the proportion of each such project that is growth related;
b) Forecast the total monies available from taxes and other public sources for street improvements over the next six years;
c) Calculate the amount of impact fees already collected; and
d) Identify those Comprehensive Plan projects that have been or are being built but whose performance capacity has not been fully utilized.
6. The following information shall be considered in updating the capital improvement program:
a) The projects in the Comprehensive Plan that are growth related and that should be funded with forecasted public monies and the impact fees already paid;
b) The projects already built or funded pursuant to this chapter whose performance capacity has not been fully utilized; and
c) An update of the estimated costs of the projects listed.
7. After the city council amends the capital improvement program, it may by resolution establish a new impact fee.
8. Once a growth related project is placed on the capital improvement program, a fee shall be imposed on every development that impacts the project until the project is removed from the list by one of the following means:
a) The project may be administratively removed by the community development director from the impact fee calculation after it is constructed; or
b) The council by ordinance may remove the project from the capital improvement program, in which case the fees already collected will be refunded if necessary to ensure that impact fees remain reasonably related to the traffic impacts of development that have paid an impact fee; provided, that a refund shall not be necessary if the council transfers the fees to the budget of another project that the council determines will mitigate essentially the same traffic impacts.
17.151.070—Park and Recreation Impact Fee Component
The impact fee component for parks and recreational facilities shall be calculated using the formula described below, however the resulting fee will be implemented at 50 percent:
\[
PIF = \frac{C \times S \times U \times A}{P}
\]
1. “PIF” means the park and recreational facility component of the total development impact fee.
2. “C” means the average cost per acre for land appraisal and acquisition plus an average development cost of $320,075 per acre for neighborhood and community parks. Such cost may be adjusted periodically, but not more often than once every year. Park development costs shall be based on actual, recent comparable construction.
3. “S” means the parks standard of 2.5 acres per 1,000 residents each for neighborhood parks and community parks (total of five acres) as established in the city comprehensive park and recreational plan.
4. “P” means 1,000 people.
5. “U” means the average number of occupants per dwelling unit, or 2.77 occupants for a single-family/duplex dwelling unit, 2.17 occupants for any other multifamily dwelling unit.
6. “A” means an adjustment of rate portion of anticipated tax revenues resulting from a development that is proratable to system improvements contained in the capital plan facilities. The adjustment for park impacts is determined to be 40 percent, so that “A” equals 60 percent.
17.151.080 Fire Facility Impact Fee Component Formula
1. Applicability. The provisions of this section shall be applicable to all property development within the city. “Property development” shall mean any application for a building permit for commercial or for a single-family dwelling, mobile home, duplex or multifamily dwelling; and any application for approval of a mobile home park, mobile home subdivision or residential planned unit development; and any application for approval of a short plat or long plat subdivision.
2. Basis for Mitigation Assessment. All mitigation assessments shall be made on a per unit basis or square foot basis. “Unit” shall mean for residential development each dwelling unit, mobile home or lot as applicable and as defined in this title. Where the number of dwelling units or mobile homes is not precisely known at the time of the development, “unit” shall mean at least one dwelling unit or mobile home for each lot, to be increased when the number of dwelling units or mobile homes becomes known or fixed through application for a building permit or other applicable permit. Impact fee assessment shall not be imposed so as to have the effect of imposing more than the cost of one unit for any dwelling unit or mobile home. These requirements are not intended to have the effect of requiring new fire service facility assessments for units which have previously been subject to dedication or assessment individually or as part of a large project. “Unit” for nonresidential development shall mean each additional square foot added to an existing structure or each square foot of building in a new structure, such as commercial or industrial buildings.
3. Impact Fee Assessment Formulas. The formulas used to calculate impact fee assessments for fire facilities are as found in “Exhibit A Section 4 – Impact Fees,” attached to the ordinance codified in this section. These formulas shall be reviewed and revised as determined by the city council to reflect changes in development and acquisition baseline costs. Impact fee assessments under this section shall be due and payable for subdivisions and short plats at final approval. All other additions, buildings and structures shall be due and payable at time of building permit.
4. Administration of Cash Payments to City. There is hereby created and established a special purpose nonoperating fire facilities impact fee, to which all impact fee assessments are paid. Fund administration shall be as follows:
a) Separate Account. Any cash made shall be deposited in the fund and administered as a separate account for fire capital expenditures and the account balance shall be applied only to completion of improvements or acquisition projects specified in the fire facilities capital improvement plan as approved or amended by the city council.
b) Interest Earned. Interest and investment income earned by the fund shall be redeposited in the fund and allocated proportionally to each subaccount.
c) Time Limit for Expenditures. Any funds remaining for a development shall be refunded with interest to the property owner of record when the time periods for expenditure of those funds have passed, as provided in applicable state laws.
5. Appeals and Adjustments. Any person desiring to appeal from a decision made in the enforcement of the provisions of this section or any person seeking an adjustment to the dedication for impact fee assessments required by this section due to unusual circumstances in specific cases shall submit, in writing, a request for a hearing before the city council and determination of the matter appealed within 10 days after receiving written notice of the specific dedication or impact fee assessments required by this section. The city council shall consider such item at its next available meeting and shall issue such determination as it deems fair and equitable.
6. Violation of this section is a gross misdemeanor punishable by a fine of not more than $1,000 and a jail term of not more than one year. Each day that such violation is allowed to continue shall be considered a separate and additional violation of this section.
17.151.090 Calculation of Impact Fee
1. The impact fee for nonresidential development shall be computed by applying the traffic impact fee component formula and the fire facility impact fee component formula and then totaling the results. The impact fee for each residential dwelling unit shall be computed by applying the traffic impact fee component formula, the park and open space impact fee component formula, the fire facility impact fee component formula and the school impact fee component formula, contained in Chapter 17.153 SMC, and then totaling the results.
1. If the development for which approval is sought contains a mix of residential and nonresidential uses, then the impact fee must be separately calculated for each type of use.
2. The city council shall have the authority to adjust the standard impact fee at the time the fee is imposed to consider unusual circumstances peculiar to specific development activity to ensure that impact fees are imposed fairly.
3. Upon application by the developer of any particular development activity, the city council may consider studies and data submitted by the developer and if warranted, may adjust the amount of the impact fee. Such adjustment shall be deemed warranted if:
a) The public facility improvements would not reasonably benefit the proposed development;
b) The public facility improvements identified are not reasonably related to the proposed development;
c) The formula set forth for calculating the impact fee components does not accurately reflect the associated traffic, park and open space, fire facility or school impacts generated by the development.
17.151.100 Collection of Impact Fee
The impact fees imposed under this chapter, and under Chapter 17.153 SMC, may be paid at the time of preliminary plat approval for subdivisions and short subdivisions. When fees for subdivisions are not paid at preliminary plat approval they shall be due and payable prior to the issuance of a building permit. When paid the fee paid shall be the fee due as of the date of payment. For single-lets or parcels All development, impact fees shall be paid prior to the issuance of a building permit or site plan approval.
17.151.110 Impact Fee Credits
The owner shall be entitled to a credit against the applicable traffic impact fee component for the value of any dedication of land for, improvements to, or new construction of any system improvements to facilities that are identified in the capital facilities plan and that are required by the city as conditions of approval for the development. That portion of the open space network and related improvements used as a credit for required open space for a project is not eligible for this credit. The amount of the credit shall be determined upon recording of a final plat for a subdivision, recording of a short plat, issuance of a building permit, or upon site plan approval, whichever shall first occur. The amount of the credit shall be indicated on any final plat recorded for a subdivision and on any recorded short plat. In the event the amount of any credit exceeds the amount of the impact fee due, the city shall not be required to reimburse the difference to the developer.
17.151.115 Impact Fee Deferral System
1. The city hereby establishes a deferral system by which an applicant for a building permit for a single-family detached or attached residence may request a deferral of the full impact fee payment to the time of final inspection.
2. The city will withhold certification of final inspection until the impact fees have been paid in full.
3. The term of an impact fee deferral under this section shall not exceed 18 months from the date of building permit issuance. If impact fees are not paid by the end of the 18 months, then city shall withhold future inspection until such time impact fees are paid in full.
4. The community development department shall allow an applicant to defer payment of the impact fees when, prior to submission of a building permit application for deferment or prior to final inspection for deferment under subsection (1) of this section, the applicant:
a. Submits a signed and notarized deferred impact fee application and acknowledgement form for the development for which the property owner wishes to defer payment of the impact fees; and
b. With regard to deferred payment under subsection (1) of this section, records a lien for impact fees against the property in favor of the city in the total amount of all deferred impact fees for the development. The lien for impact fees shall:
i. Be in a form approved by the city attorney;
ii. Include the legal description, tax account number and address of the property;
iii. Be signed by all owners of the property, with all signatures as required for a deed, and recorded in the county in which the property is located;
iv. Be binding on all successors in title after the recordation; and
v. Be junior and subordinate to one mortgage for the purpose of construction upon the same real property granted by the person who applied for the deferral of impact fees.
5. In the event that the impact fees are not paid in accordance with subsection (1) of this section, the city shall institute foreclosure proceedings under the process set forth in Chapter 61.12 RCW, except as revised herein. In addition to any unpaid impact fees, the city shall be entitled to interest on the unpaid impact fees at the rate provided for in RCW 19.52.020 and the reasonable attorney fees and costs incurred by the city in the foreclosure process. Notwithstanding the foregoing, prior to commencement of foreclosure, the city shall give not less than 30 days' written notice to the person or entity whose name appears on the assessment rolls of the county assessor as owner of the property and to the site address via certified mail with return receipt requested and regular mail advising of its intent to commence foreclosure proceedings. If the impact fees are paid in full to the city within the 30-day notice period, no attorney fees, costs and interest will be owed.
6. In the event that the deferred impact fees are not paid in accordance with this section, and in addition to foreclosure proceedings provided in subsection (5) of this
section, the city may initiate any other action(s) legally available to collect such impact fees.
7. Upon receipt of final payment of all deferred impact fees for the development, the department shall execute a separate lien release for the property in a form approved by the city attorney. The property owner, at their expense, will be responsible for recording each lien release.
8. Compliance with the requirements of the deferral option shall constitute compliance with the conditions pertaining to the timing of payment of the impact fees.
17.151.120 Appeals
Any person aggrieved by the amount of the impact fee calculated and imposed upon a particular development activity may appeal such determination to the hearing examiner by filing written notice of appeal with the planning-director Community Development Director within 20 days of the issuance of the determination of the impact fee consistent with SMC 17.151.055. Pending completion of the appeal process as set forth herein, no building permits shall be issued for any development activity for which the impact fees about which appeal is being sought were imposed. Such appeal to the hearing examiner shall be conducted in accord with Chapters 17.80-81B and 17.87 SMC 17.80, Permit Review Procedures SMC.
17.151.130 Accounting
All impact fees collected shall be deposited in the Growth Management Act capital projects fund. The clerk-treasurer shall establish a separate designated reserve accounts for transportation impact fees public roads and streets, for fire facilities, for school facilities and for public park, open space and recreational facilities, and shall maintain records for each such account. All interest earned by the fund shall be allocated to the separate designated reserve accounts in the same proportion that the balance of each reserve account bears to the total fund balance. All interest shall be retained in the account and expended for the purposes for which the impact fees were imposed. The clerk-treasurer shall provide an annual report on each the impact fee account showing the source and amount of the moneys collected, earned or received and system improvements that were financed in whole or in part by impact fees.
17.151.140 Expenditure
Impact fees for system developments shall be expended only in conformance with the capital facilities plan. Impact fees shall be expended or encumbered for a permissible use within six ten (10) years of collection, unless there exists an extraordinary and compelling reason for fees to be held longer than six ten (10) years. Such extraordinary or compelling reasons shall be identified in written findings by the city council.
17.151.150 Refunds
1. The current owner of property on which an impact fee has been paid may receive a refund of such fee if the city fails to expend or encumber the impact fees within six ten (10) years of collection or such greater time as may be established in written
findings by the city council documenting extraordinary or compelling reasons for extension beyond six ten (10) years. In determining whether impact fees have been encumbered, impact fees shall be considered encumbered on a first-in, first-out basis. The current owner likewise may receive a proportionate refund when the public funding of applicable service area projects by the end of such six-ten (10) year period has been insufficient to satisfy the ratio of public to private funding for such service area as established in the capital facilities plan. The city shall notify potential claimants by first class mail deposited with the United States Postal Service at the last known address of each claimant.
2. The request for a refund must be submitted to the city council in writing within one year of the date the right to claim a refund arises or within one year of the date notice is given, whichever is later. Any impact fees that are not expended within these time limitations and for which no application for refund has been made as herein provided shall be retained and expended on the indicated capital facilities. Refunds of impact fees under this subsection shall include any interest earned on the impact fees.
3. A developer may request and shall receive a refund, including any interest earned on the impact fees, when the developer does not proceed with the development activity and no impact has resulted.
17.151.160 Impact Fee As Additional And Supplemental Requirement
The impact fee is additional and supplemental to, and not in substitution of, any other requirements imposed by the city on the development of land or the issuance of building permits; provided, that any other such city development regulation which would require the developer to undertake dedication or construction of a facility contained within the city capital facilities plan shall be imposed only if the developer is given a credit against impact fees as provided for in this chapter.
Chapter 17.152
IMPACT FEES – PARKS, OPEN SPACE AND RECREATIONAL FACILITIES
Sections:
17.152.010 Authority and Purpose
The ordinance codified in this chapter is enacted pursuant to this provisions of Chapter 82.02 RCW, and is intended to accomplish the following purposes:
4. To ensure that adequate facilities are available to serve new growth and development;
5. To promote orderly growth and development by requiring that new development pay a proportionate share of the cost of new parks, open space and recreational facilities need to serve growth; and
6. To ensure that impact fees are imposed through established procedures and criteria so that specific developments do not pay arbitrary fees or duplicate fees for the same impact.
17.152.020 Findings
The city council finds and declares that:
5. New residential and nonresidential development causes increased demands on parks, open space, recreational facilities;
6. Projections indicate that new development will continue and that it will place ever-increasing demands on the city to provide necessary public park, open space and recreational facilities;
7. To the extent that new development places demands on the public facility infrastructure, those demands should be partially financed by shifting a proportionate share of the cost of such new facilities from the public at large to the developments actually creating the demand; and
8. The imposition of impact fees upon residential and nonresidential development in order to finance specified public facilities, the demand for which is created by such development, is in the best interest of the general welfare of the city and its residents, is equitable, does not impose an unfair burden on such development by forcing developers and builders to pay more than their fair or proportionate share of the cost and is reasonably necessary to provide the necessary public facility infrastructure to serve new development as planned for in the city Comprehensive Plan and the city capital facilities plan.
17.151.030 Definitions
As used in this chapter:
10. “Building permit” means the permit required for new construction and additions pursuant to SMC Title 14. The term “building permit” as used herein shall not be deemed to include permits required for the remodeling, rehabilitation, or other improvement to an existing structure, or rebuilding a damaged or destroyed structure; provided there is no increase in the applicable unit of measure for nonresidential construction or the number of dwelling units for residential construction.
11. “Capital facilities plan” means the capital facilities element of the Stanwood Comprehensive Plan. Any reference to the capital facilities plan shall include the city of Stanwood six-year capital improvement program adopted as an amendment to the Comprehensive Plan by the city council.
12. “Development activity” means any construction or expansion of a building, structure or use, any change in the use of a building or structure, or any changes in the use of land, that creates additional demand and need for public facilities, except for the reconstruction or renovation of an existing single-family residential structure on an existing lot.
13. “Impact fee” means the payment of money imposed upon development as a condition of development approval to pay for public facilities needed to serve new growth and development that creates additional demand and need for public facilities, that is a proportionate share of the cost of the public facilities and that is used for facilities that reasonably benefit the new development. “Impact fee” does not include a reasonable permit application or plant investment fee. The impact fee
imposed shall consist of a traffic impact fee component, a park and open space impact fee component, a fire facility impact fee component, and a school impact fee component.
14. “Owner” means the owner of record of real property, although when real property is being purchased under a real estate contract, the purchaser shall be considered the owner of the real property if the contract is recorded.
15. “Project improvements” means site improvements and facilities that are planned and designed to provide service for a particular development project and that are necessary for the use and convenience of the occupants or users of the project and that are not system improvements. No improvement or facility included in a capital facilities plan approved by the city council shall be considered a project improvement.
16. “Public facilities” means the following capital facilities owned or operated by governmental entities:
a. Public streets, roads and appurtenances;
b. Publicly owned parks, open space and recreational facilities;
c. School facilities; and
d. Fire protection facilities of the city.
17. “Service area” means a geographical area defined by the city in which a defined set of public facilities provides service to development within the area.
18. “System improvements” means public facilities that are included in the capital improvement program of the capital facilities element in the city’s comprehensive plan and are designed to provide service to service areas within the community at large, in contrast to project improvements.
17.152.040 Imposition of Impact Fees
There is imposed upon all new residential development activity, including commercial mixed-use developments, within the city a park, open space, and recreational facility impact fee which shall be calculated according to the park impact fee formula contained herein.
17.152.050 Establishment of Service Areas
The city hereby establishes as the service area for park impact fees all areas in which development may occur that would impact the city’s park, open space and recreational system, including all property located within the corporate limits of the city as now existing or may be amended by annexation or any surrounding properties within the city’s urban growth area that would normally use city park facilities.
17.152.060 Imposition of Park Impact Fees
All development projects within the city shall be assessed a park impact fee based on the number and type of residential dwelling units permitted at the time of building permit issuance.
1. The formula used to develop the park impact fee as identified in SMC 17.152.070 shall be reviewed and revised periodically to reflect changes in development costs and the adopted Capital Improvement Plan listed in the Comprehensive Plan. The actual fee shall be adopted by City Council resolution.
2. The following development activities shall be exempt from payment of the park impact fee:
a) A credit shall be provided for redevelopment sites or subdivisions for the number of residential units existing on the site prior to redevelopment.
b) The reconstruction, remodeling, or replacement of existing buildings, structures, mobile homes, or manufactured homes, which does not result in any new units.
c) Conversions of apartment complexes to condominium ownership where no new dwelling units are created.
3. Historic Single-Family Lot Incentive. Individual single-family zoned lots and parcels created prior to the effective date of Chapter 58.17 RCW on July 1, 1969, shall be eligible for a 35 percent reduction in the transportation impact fee on application for a building permit. This incentive is limited to development of one single-family residence per lot or parcel existing prior to July 1, 1969.
4. Low-Income Housing Incentive. Traffic impact fees for low-income housing shall be eligible for an eighty percent reduction of the transportation impact fees subject to the following requirements:
a) To qualify for the low-income housing fee reduction allowed under this section the developer must record a covenant that prohibits using the property for any purpose other than for low-income housing. At a minimum, the covenant must address price restrictions and household income limits for the low-income housing, and that if the property is converted to a use other than for low-income housing, the property owner must pay the applicable impact fee in effect at the time of conversion; and
b) The covenant must be recorded with the Snohomish County auditor or recording officer.
c) For purposes of this section, "low-income housing" means housing with a monthly housing expense, that is no greater than thirty percent of eighty percent of the median family income adjusted for family size in Snohomish County as reported by the United States department of housing and urban development.
17.152.070 Park and Recreation Impact Fee Component
The impact fee for parks and recreational facilities shall be calculated using the formula described below:
\[
PIF = \frac{C \times S \times U \times A}{P}
\]
1. “PIF” means the park and recreational facility component of the total development impact fee.
2. “C” means the average cost per acre for land appraisal and acquisition plus an average development cost per acre for neighborhood and community parks as identified in the most recent 6-year Capital Improvement Plan. The construction cost per acre is then multiplied by the percent of projected new population growth as identified in the Comprehensive Plan. Such cost may be adjusted periodically, but not more often than once every year. Park development costs shall be based on actual, recent comparable construction.
3. “S” means the parks standard of 2.5 acres per 1,000 residents each for neighborhood parks and community parks for a total of five acres per 1,000 people as established in the city Comprehensive Park and Recreational Plan.
4. “P” means 1,000 people.
5. “U” means the average number of occupants per dwelling unit as provided by the Washington State Office of Financial Management for the City of Stanwood.
6. “A” means an adjustment of rate portion of anticipated tax revenues resulting from a development that is proportional to system improvements contained in the capital plan facilities. The adjustment for park impacts is determined to be 40 percent, so that “A” equals 60 percent.
17.152.080 Calculation of Impact Fee
1. If the development for which approval is sought contains a mix of residential and nonresidential uses, then the impact fee must be separately calculated for each type of use.
2. The city council shall have the authority to adjust the standard impact fee at the time the fee is imposed to consider unusual circumstances peculiar to specific development activity to ensure that impact fees are imposed fairly.
3. Upon application by the developer of any particular development activity, the city council may consider studies and data submitted by the developer and if warranted, may adjust the amount of the impact fee. Such adjustment shall be deemed warranted if:
d) The public facility improvements would not reasonably benefit the proposed development;
e) The public facility improvements identified are not reasonably related to the proposed development;
f) The formula set forth for calculating the impact fee does not accurately reflect the associated park and open space impacts generated by the development.
17.152.090 Collection of Impact Fee
The impact fees imposed under this chapter, may be paid at the time of preliminary plat approval for subdivisions and short subdivisions. When fees for subdivisions are not paid at preliminary plat approval they shall be due and payable prior to the issuance of a building permit. When paid the fee paid shall be the fee due as of the date of payment. For all other developments, impact fees shall be paid prior to the issuance of a building permit or site plan approval.
17.152.100 Impact Fee Credits
The owner shall be entitled to a credit against the applicable park impact fee for the value of any dedication of land for, improvements to, or new construction of any system improvements to facilities that are identified in the capital facilities plan and that are required by the city as conditions of approval for the development. That portion of the open space network and related improvements used as a credit for required open space for a project is not eligible for this credit. The amount of the credit shall be determined upon recording of a final plat for a subdivision, recording of a short plat, issuance of a building permit, or upon site plan approval, whichever shall first occur. The amount of the credit shall be indicated on any final plat recorded for a subdivision and on any recorded short plat. In the event the amount of any credit exceeds the amount of the impact fee due, the city shall not be required to reimburse the difference to the developer.
17.152.110 Impact Fee Deferral System
9. The city hereby establishes a deferral system by which an applicant for a building permit for a single-family detached or attached residence may request a deferral of the full impact fee payment to the time of final inspection.
10. The city will withhold certification of final inspection until the impact fees have been paid in full.
11. The term of an impact fee deferral under this section shall not exceed 18 months from the date of building permit issuance. If impact fees are not paid by the end of the 18 months, then city shall withhold future inspection until such time impact fees are paid in full.
12. The community development department shall allow an applicant to defer payment of the impact fees when, prior to submission of a building permit application for deferment or prior to final inspection for deferment under subsection (1) of this section, the applicant:
a. Submits a signed and notarized deferred impact fee application and acknowledgement form for the development for which the property owner wishes to defer payment of the impact fees; and
b. With regard to deferred payment under subsection (1) of this section, records a lien for impact fees against the property in favor of the city in the total amount of all deferred impact fees for the development. The lien for impact fees shall:
i. Be in a form approved by the city attorney;
ii. Include the legal description, tax account number and address of the property;
iii. Be signed by all owners of the property, with all signatures as required for a deed, and recorded in the county in which the property is located;
iv. Be binding on all successors in title after the recordation; and
v. Be junior and subordinate to one mortgage for the purpose of construction upon the same real property granted by the person who applied for the deferral of impact fees.
13. In the event that the impact fees are not paid in accordance with subsection (1) of this section, the city shall institute foreclosure proceedings under the process set forth in Chapter 61.12 RCW, except as revised herein. In addition to any unpaid impact fees, the city shall be entitled to interest on the unpaid impact fees at the rate provided for in RCW 19.52.020 and the reasonable attorney fees and costs incurred by the city in the foreclosure process. Notwithstanding the foregoing, prior to commencement of foreclosure, the city shall give not less than 30 days’ written notice to the person or entity whose name appears on the assessment rolls of the county assessor as owner of the property and to the site address via certified mail with return receipt requested and regular mail advising of its intent to commence foreclosure proceedings. If the impact fees are paid in full to the city within the 30-day notice period, no attorney fees, costs and interest will be owed.
14. In the event that the deferred impact fees are not paid in accordance with this section, and in addition to foreclosure proceedings provided in subsection (5) of this section, the city may initiate any other action(s) legally available to collect such impact fees.
15. Upon receipt of final payment of all deferred impact fees for the development, the department shall execute a separate lien release for the property in a form approved by the city attorney. The property owner, at their expense, will be responsible for recording each lien release.
16. Compliance with the requirements of the deferral option shall constitute compliance with the conditions pertaining to the timing of payment of the impact fees.
17.152.120 Appeals
Any person aggrieved by the amount of the impact fee calculated and imposed upon a particular development activity may appeal such determination to the hearing examiner by filing written notice of appeal with the Community Development Director within 20 days of the issuance of the determination of the impact fee consistent with SMC 17.152.060 Pending completion of the appeal process as set forth herein, no building permits shall be issued for any development activity for which the impact fees about which appeal is being sought were imposed. Such appeal to the hearing examiner shall be conducted in accord with Chapter 17.80, Permit Review Procedures SMC.
17.152.130 Accounting
All impact fees collected shall be deposited in the Growth Management Act capital projects fund. The clerk-treasurer shall establish a separate designated reserve accounts for park impact fees, and shall maintain records for each such account. All interest shall be retained in the account and expended for the purposes for which the impact fees were imposed. The clerk-treasurer shall provide an annual report on the impact fee account showing the source and amount of the moneys collected, earned or received and system improvements that were financed in whole or in part by impact fees.
17.152.140 Expenditure
Impact fees for system developments shall be expended only in conformance with the capital facilities plan. Impact fees shall be expended or encumbered for a permissible use within ten (10) years of collection, unless there exists an extraordinary and compelling reason for fees to be held longer than ten (10) years. Such extraordinary or compelling reasons shall be identified in written findings by the city council.
17.152.150 Refunds
4. The current owner of property on which an impact fee has been paid may receive a refund of such fee if the city fails to expend or encumber the impact fees within ten (10) years of collection or such greater time as may be established in written findings by the city council documenting extraordinary or compelling reasons for extension beyond ten (10) years. In determining whether impact fees have been encumbered, impact fees shall be considered encumbered on a first-in, first-out basis. The current owner likewise may receive a proportionate refund when the public funding of applicable service area projects by the end of such ten (10) year period has been insufficient to satisfy the ratio of public to private funding for such service area as established in the capital facilities plan. The city shall notify potential claimants by first class mail deposited with the United States Postal Service at the last known address of each claimant.
5. The request for a refund must be submitted to the city council in writing within one year of the date the right to claim a refund arises or within one year of the date notice is given, whichever is later. Any impact fees that are not expended within these time limitations and for which no application for refund has been made as
herein provided shall be retained and expended on the indicated capital facilities. Refunds of impact fees under this subsection shall include any interest earned on the impact fees.
6. A developer may request and shall receive a refund, including any interest earned on the impact fees, when the developer does not proceed with the development activity and no impact has resulted.
17.152.160 Impact Fee As Additional And Supplemental Requirement
The impact fee is additional and supplemental to, and not in substitution of, any other requirements imposed by the city on the development of land or the issuance of building permits; provided, that any other such city development regulation which would require the developer to undertake dedication or construction of a facility contained within the city capital facilities plan shall be imposed only if the developer is given a credit against impact fees as provided for in this chapter.
Chapter 17.154
IMPACT FEES – FIRE FACILITIES
Sections:
17.154.010 Authority and Purpose
17.154.020 Chapter Reservation
17.154.010 Authority and Purpose
Washington State laws pursuant to Chapter 82.02 RCW provides that cities may adopt fire impact fees based on an identified need and adoption of a six year capital facilities plan.
17.154.020 Chapter Reservation
North County Regional Fire Authority provides fire service to the City of Stanwood. No fire impact fee is imposed on development permit applications at this time. However, if in the future, North County Regional Fire Authority determines that there is a need for a fire impact fee the following shall be required:
1. The Fire District shall adopt a 6-year capital improvement plan identifying existing facilities and deficiencies needed to provide fire service to the City of Stanwood;
2. The City and Fire District shall enter into a Interlocal Agreement on the imposition and processing of fire impact fees; and
3. This chapter shall be updated with the fire impact fee formula along with all associated management and procedural requirements to impose an impact fee.
A. GENERAL INFORMATION
File Number(s): Code Amendment 2019-159
Project Summary: Impact Mitigation Fees Code Amendment
Applicant: City of Stanwood
Location: The code amendment applies city wide.
Public Hearing: February 14, 2022
Location: Zoom Virtual Meeting
Staff Contact: Patricia Love, Community Development Director
B. BACKGROUND AND DESCRIPTION OF PROPOSAL
One of the City’s 2021 / 2022 work items is to review and potentially update the City’s park impact fees. Staff and the Planning Commission have been working on the park impact fee since July of 2019; this evaluation period has resulted in the following amendments:
1. Traffic, park, fire and school impact fees are listed in their own independent chapters of the Municipal Code; and
2. The park impact fee and been updated to reflect costs associated with the acquisition and development projects listed on the 2022-2027 Park Capital Improvement Plan.
Key elements of the proposed ordinance include:
- **Traffic**: Revised SMC Chapter 17.151; removes references to park and fire impact fees; and amends the time period to expend fees from 6 years to 10 years in accordance with state law.
- **Parks**: New SMC Chapter 17.152; adopts a new chapter of the municipal code specific code park impact fees; removes specific construction cost and person per
household hold figures from the formula; amends the time period to expend fees from 6 years to 10 years in accordance with state law, and describes how to apply the growth factor.
- **Schools**: Existing SMC Chapter 17.153; this chapter remains unchanged.
- **Fire**: New SMC Chapter 17.154; deletes all reference to the fee and formula and provides that if the fire authority requests that the city adopt a fee that the formula be developed and an amendment to the code be adopted. This change reflects recent vote by city residents to annex into the North County Regional Fire Authority.
- **Park Impact Fee**: The Park Impact Fee has been updated by applying the park impact fee formula to the 2022-2027 Park Capital Improvement Project list and updating the “persons per household” figure as provided by the Washington State Office of Financial Management;
**C. COMPLIANCE WITH THE COMPREHENSIVE PLAN**
The 2015-2023 Comprehensive Plan include goals and policies for implementing the 6-year Capital Improvement Plan (CIP). The CIP includes a list of projects, with their financing structure, for road, utility, park projects. Financing of projects includes a combination of public tax dollars, grants, and use of impact fees.
The Capital Facilities Element of the Comprehensive Plan includes the following goals and policies regarding the financing of projects and use of impact fees:
**Capital Facilities Goal – 7:** To ensure that new growth and development pay for a proportionate share of the cost of new facilities needed to serve such growth and development.
**Capital Facilities Goal – 8:** To consider a range of financial resources, including grants and REET funds, to pay for capital facility improvements. Augment local funding with outside sources whenever possible for the most efficient use of revenues.
Capital Facilities Policy 8.1: Develop and adopt new impact fees or refine existing impact fees in accordance with the Growth Management Act as part of the financing for public facilities. Such financing shall provide for a balance between impact fees and other sources of public funds and shall not solely rely on impact fees. Public facilities for which impact fees may be collected shall include public streets and roads, public-owned parks, open space, and recreation facilities, school facilities, and fire protection facilities.
Comprehensive Plan Parks, Recreation and Open Space Element:
The Stanwood Parks, Recreation and Open Space (PROS) was adopted in 2018. This plan provides the vision for developing and financing the City’s park system. Equitable application of park impact fees is an essential component of acquiring and developing parks in the city.
The proposed Park Impact Fee ordinance is consistent with the following PROS goals and policies:
Goal PROS 8 Finance: Secure equitable and sustainable funding for implementation.
Objective PROS 8.1: Create effective and efficient methods of acquiring, developing, operating and maintaining facilities.
Objective PROS 8.2: Equitably distribute costs and benefits to public and private users, and match user benefits with interests and need.
Policy PROS 8.2.2: Develop a methodology for determining park impact fees that considers the potential impacts on park facilities caused by a development project, and results in an equitable mitigation assessment that is in accordance with local park and recreation standards.
Policy PROS 8.2.3: Assess impact fees only for growth-related deficiencies, not existing deficiencies.
D. FINDINGS OF FACT
1. Impact fees are one-time charges assessed by a local government against new development projects to help pay for new or expanded public facilities that directly address the increased demand for services created by that development.
2. Cities have the authority to adopt impact fees under Chapter 82.02 RCW.
3. The Growth Management Act requires regular updates to impact fee programs so that fees accurately reflect projects listed in adopted Capital Improvement Plans. Regular updates to impact fees are essential for the following reasons:
- Projects listed on the CIP change every few years because they are either completed or policy direction removed projects from the 6-year CIP list
- Construction and acquisition costs change over time
- Community desires change over time
- Project lists are updated based on Park Plan updates
4. Currently the City’s transportation, parks and fire impact fee provisions are combined into a single chapter in the Municipal Code.
5. For clarity, the City desires to create separate, independent chapters for transportation, parks and fire mitigation fees in the Stanwood Municipal Code.
6. The proposed ordinance creates new chapters of the Municipal Code as follows:
- **Traffic**: Revised SMC Chapter 17.151; removes references to park and fire impact fees; and amends the time period to expend fees from 6 years to 10 years in accordance with state law.
- **Parks**: New SMC Chapter 17.152; adopts a new chapter of the municipal code specific code park impact fees; removes specific construction cost and person per household hold figures from the formula; and amends the time period to expend fees from 6 years to 10 years in accordance with state law.
- **Schools**: Existing SMC Chapter 17.153; this chapter remains unchanged.
- **Fire**: New SMC Chapter 17.154; deletes all reference to the fee and formula and provides that if the fire authority requests that the city adopt a fee that the formula be developed and an amendment to the code be adopted. This change reflects recent vote by city residents to annex into the North County Regional Fire Authority.
7. In addition, the Stanwood City Council has directed that impact fees should be reviewed annually or bi-annually to reflect the most current capital improvement plan (CIP) and those costs associated with the acquisition and development of projects listed on the CIP.
8. The process of updating the Park Impact Fee included applying the most recent Park Capital Improvement Project list with updated construction cost estimates, applying the most recently available city demographic information, and considering the appropriate proportional cost share based on local growth rates. Level of service ratio remains the same as it is the LOS adopted in the Parks, Recreation and Open Space Plan.
9. The 2022 Park Impact Fee was developed by applying the following methodologies. A Park Impact Fee Methodology Report has been prepared that details the fee calculation.
- Apply the 2022-2027 Parks CIP total cost estimate to the formula and subtracts non-eligible projects and grant funding.
- Multiplies the final cost of construction and acquisition by the city’s growth factor of 35 percent thereby creating a nexus between existing residents and future residential growth.
- Updated the persons per household factor with the Office of Finance Managements most recent numbers for Stanwood. This created four (4) residential categories versus the existing two (2) categories. Fees will now be applied as follows: Single Family Residential Units, Duplexes, 3 / 4 Unit Townhouses and 5+ Multifamily Complexes.
- Multiplied the resulting figure by the City’s adopted level of service (5 acres / 1000 population) and the adjustment rate of 60%.
10. The proposed fee provides a clear nexus between future growth and need.
11. The City of Stanwood SEPA Responsible Official has reviewed the proposed amendments to the Stanwood Municipal Code and issued a Determination of Non-Significance on February 18, 2020.
12. The Community Development Committee of the City Council reviewed the ordinance at their February 27, 2020 and November 18, 2021 meetings. They felt that the methodology was reasonable, directly related to the Capital Improvement Plan and supported the concept of breaking the fee into the four residential categories.
13. The Stanwood Planning Commission held a public hearing on the draft ordinance at their February 14, 2022 regular meeting and has recommended that the City Council adopt the ordinance as presented.
14. Notice of the public hearing was published in the Stanwood Camano News on February 1, 2022.
15. Staff prepared a report summarizing the proposed code amendment. This report is part of the public record and was presented to the Planning Commission on February 14, 2022 and the City Council at the public hearing on March 10, 2022 for their consideration.
E. CONCLUSIONS OF LAW
1. The City Council of Stanwood has authority under RCW Title 35A, to adopt plans and regulations related to development and operations within the City of Stanwood.
2. The proposal is consistent with the Comprehensive Plan and meets the requirements and intent of the Plan, including the Capital Facilities and Parks and Recreation Elements of the 2015 Comprehensive Plan.
3. The City Council has determined that it is in the best interest of the City to adopt current impact fees reflecting the most currently adopted Capital Facilities Plan to support the design and construction of park facilities in the City of Stanwood.
4. After considering staff comments and public testimony the Stanwood City Council determined the draft code amendment is consistent with the Comprehensive Plan and should be adopted.
Now therefore the City Council of the City of Stanwood hereby ADOPTS the Findings of Fact and Conclusions of Law contained herein as recommended by the Planning Commission.
Dated this 24th date of March 2022.
Sid Roberts, Mayor
City of Stanwood
"Signature for Ordinance 1503 - 2022 PIF Code Amendment that was passed last night. Thank you - Lisa" History
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“drawing from the experience of Helix Nebula: collaboration between private sector and data providers in the scientific domain”.
ECMWF Workshop on improving the socio-economic impact of NWP data
01 March 2017
Wolfgang Lengert (ESA)
This document produced by Members of the Helix Nebula consortium is licensed under a Creative Commons Attribution 3.0 Unported License. Permissions beyond the scope of this license may be available at http://helix-nebula.eu/.
Addressing the experience of the “Helix Nebula – the Science Cloud” initiative with respect to:
- the collaboration between private sector and data providers,
- benefits from this collaboration,
- advantages for the private sector,
- the underlying business model of “Information as a Service”
1.1
8th August 2011
- Establish a sustainable multi-tenant cloud computing infrastructure in Europe
- Initially based on the needs for the European Research Area & space agencies
- Based on commercial services from multiple IT industry providers
- Adhere to internationally recognised policies and quality standards
- Governance structure involving all stakeholders
Dr. Maryline Lengert
ESA - European Space Agency
Senior Advisor
email@example.com
Tel +39 06 941 80430
Dr. Bob Jones
CERN – European Organization for Nuclear Research
IT department
firstname.lastname@example.org
Tel. +41 22 767 14 82
Copyright © 2011 by CERN and ESA. This work is made available under the terms of the Creative Commons Attribution-Non-Commercial-No Derivative Works 3.0 Unported license, http://creativecommons.org/licenses/by-nc-nd/3.0/.
The European cloud public-private partnership
Strategic Plan
- Establish multi-tenant, multi-provider cloud infrastructure
- Identify and adopt policies for trust, security and privacy
- Create governance structure
- Define funding schemes
Additional Users:
Suppliers
Adopters
Building the hybrid cloud
Connecting commercial cloud providers to GÉANT/NRENs
GEANT Association offering free IP connectivity in GÉANT for research traffic during the pilot phase.
NRENs have different commercial agreements (usually they apply a fee).
The Helix Nebula initiative has brought together research organisations, data providers, publicly funded e-infrastructures and European commercial cloud service providers to develop a hybrid cloud model with procurement and governance approaches suitable for the dynamic cloud market.
The preferred model for public research organisations is a hybrid cloud that combines in-house resources with public e-infrastructures and commercial cloud services.
HN derived business model:
Information as a Service: Science interfacing with private sector
- Lower upfront investment
- Fast access to EO and other geodata resources
- Disruptive technology
Risk and profit sharing
Sustainability
InfoaaS Overall Model
INFOaaS Service Provider
- Satellite and other Data
- Data storage including meta data (A)
- Data retrieval and analysis (B)
- Data into Information service (C)
- Service delivery including SLA (D)
- Customer uses the information (E)
Challenge: Contracting and liability throughout the value chain
Earth Observation Data to build a value chain from science to business
4 parallel INFOaaS Stimulus project:
- Prove that InfoaaS in the HNX environment provides sustainable revenues,
- Analyze the InfoaaS potential to create new jobs addressing modern information sector needs,
- Analyze and/or demonstrate if existing EC investments (e.g. Copernicus downstream services) can be reused. This project should provide indications how EC funded downstream service projects could become attractive to be picked up in a business environment.
- To provide evidence that the value adding chain works (price/cost throughout the value creation)
- Consider cross-domain (space & in-situ) use case developments
INFOaaS Stimulus examples:
• Agriculture
• Hydro-power
3D Nutrient Management (N-Smart)
- Fertilization as applied
- Remote Sensing Data (e.g. Copernicus)
- Crop Growth Monitoring
- Meteorology
- PROMET
- Vegetation
- Soil Parameters
- GIS Database (Terrain Model, Soil Map, ...)
- In-Situ Probing
Intersection
N demand Map
Validation
- Yield Maps
- Nutrient probing
Inputs to Connected Nutrient Management
Connected Nutrient Management
The added-value (satellite map-overlay approach)
Yield Potential + Actual Biomass = Smart Fertilization (Map Overlay)
| Fertilization Strategy | Yield | Nitrogen applied | Net Profit: Revenue – N-costs |
|-----------------------|--------|------------------|------------------------------|
| Uniform (conventional) | 84.1 dt/ha | 246 kg N | 1 294 €/ha |
| Map-Overlay Site-specific | 87.1 dt/ha | 242 kg N | 1 353 €/ha |
Yield increase of 3% - 6% could be achieved even on best soils
= 60 – 120 €/ha more net profit
Scientifically approved by multi-year research results of the TU Munich (Maidl, 2012)
Value Chain 2
T-System
with IPR from VISTA (SME)
European Facts
• Hydroelectric power is the most efficient and planable renewable energy source
• Around 16% of Europe’s electricity comes from hydroelectric power
• Annual turnover in the EU in 2011: more than € 137 billion
• Hydroelectric power production is highest in the Northern and Alpine countries
• Optimizing the design and management of the energy grid as challenge
HEPTech Academia Meets Industry on Big Data ICT1, Budapest, 31 March 2015
HEPTech Academia Meets Industry on Big Data ICT1, Budapest, 31 March 2015
HEPTech Academia Meets Industry on Big Data ICT1, Budapest, 31 March 2015
HEPTech Academia Meets Industry on Big Data ICT1, Budapest, 31 March 2015
HEPTech Academia Meets Industry on Big Data ICT1, Budapest, 31 March 2015
HEPTech Academia Meets Industry on Big Data ICT1, Budapest, 31 March 2015
Window of opportunity
“The workshop is aimed at policy makers and professionals interested in the evolution of the meteorological industries”
• Digital Single Market
– European Open Science Cloud (EOEC started 2015)
– “Building a Data economy” (https://ec.europa.eu/digital-single-market/en/building-european-data-economy) (Q4 2016, Q1 2017)
– General Data Protection Regulation (GDPR) (Regulation (EU) 2016/679) of EU parliament, European Council, EC (Q4 2016, active 2018)
– 10 R&D agencies are elaborating a new Public Procurement model (CERN lead HNSciCloud.eu - PCP project, open for adopters) (2016; )….
– ….
– ….
– ….
– ….
– GEO collaboration and Copernicus services and uptake
summary
• Building on a common strategy & vision collaboration of R&D, private sector, Public Infrastructure, and support of policy makers/implementers works! (In overall, no common project and budget)! The “team of teams” has delivered:
– outcome which is of policy relevance,
– a concept, building on diversity of data and the associated global community, which is capable to initialize a “data ecosystem” going cross-domain opening new markets (dynamic creation of value chains using clouds)
– the confirmation that the R&D, whatever domain they are working in, are all facing the same digital challenge.
• Teaming-up of such a diversity of R&D agencies is encouraging to think beyond domain borders, at all levels (science, IT, structures, business, ...). It supported exploitation of synergies and leveraging. ➔ see HNSciCloud.eu where 10 R&D agencies elaborate together a new public procurement model for cloud ecosystems.
• An enormous momentum at policy level is existing, targeting the transition to a “data economy” in Europe.
– European Open Science Cloud, in support for a “Digital Single Market”
– General Data Protection Regulation (2016/18) [GDPR]
– & ….
– EC European Political Strategy Centre (https://ec.europa.eu/epsc/publications/strategic-notes/enter-data-economy_en)
• Step 1: Understanding value creation in the data ecosystem
• Step 2: Building a data-friendly regulatory framework
• Step 3: Active public policies to support the digital transition
Backup slides
“The workshop is aimed at policy makers and professionals interested in the evolution of the meteorological industries”.
Step 1: Understanding value creation in the data ecosystem
- The data generators
- Data services
- Data business users
- End customers
Step 2: Building a data-friendly regulatory framework
- Tackling restrictions to data flows
- From data ownership to open data
- Data portability and interoperability
- A fair allocation of data liability
Step 3: Active public policies to support the digital transition
- Understanding the data phenomenon by creating a better evidence base
- Setting the right targets
- Promoting a mentality shift
- Developing the right skills sets
- Financial support and incentives
What is the European Open Science Cloud?
Hybrid – link public research organisations, e-Infrastructures & commercial cloud services
- Use GEANT network to link Research Infrastructures, repositories (EUDAT, OpenAIRE), EGI, PRACE etc. to commodity commercial cloud services (multiple providers)
- A cornerstone of the Open Science Commons*
Trust - Researchers keep control of the cloud and their data
- Guarantee a copy of all the data is kept on public resources
- Ensure long-term preservation of the data
- Insulate users from changes of service supplier and technology
Economy - Must be cheaper than the ‘build our own’ approach
- Avoid separate ‘silos’ for each Research Infrastructure/Community
- Profit from the economies of scale in commercial data centres
* [http://go.egi.eu/osc](http://go.egi.eu/osc) [http://dx.doi.org/10.5281/zenodo.16140](http://dx.doi.org/10.5281/zenodo.16140)
Why a European Open Science Cloud?
- Europe’s researchers have access to super-fast networks, common data storage facilities, and shared computing resources. The challenge now is to link them all together into a single science cloud.
- Mature open source technologies exist but integration, policy and governance requires careful attention.
- A European Open Science Cloud will promote public-private innovation to satisfy the needs of the research communities and increase the global competitiveness of European ICT providers.
HNSciCloud Joint Pre-Commercial Procurement
Procurers: CERN, CNRS, DESY, EMBL-EBI, ESRF, IFAE, INFN, KIT, STFC, SURFSara
Experts: Trust-IT & EGL.eu
The group of procurers have committed
- High Energy Physics
- Astronomy
- Life Sciences
- Photon/Neutron Sciences
- Long Tail of Science
To procure innovative IaaS level cloud services integrated into a hybrid cloud model with
- Data centres operated by the procurers
- European e-Infrastructures
Resulting services will be made available to end-users from many research communities
Co-funded via H2020 Grant Agreement 687614
Total procurement budget >5M€
Pre-Commercial Procurement Process and Timeline
R&D (Product Driven Research + Pre-commercial Development)
- **Solution Exploration**
- Jan
- Project Starts
- **Solution Design**
- June
- TENDER LAUNCH
- **Solution Prototyping**
- Dec
- TENDER AWARD
- **Pilot**
- June
- Project Finishes
**UPTAKE/COMMERCIALISATION**
Commercialisation of products/services
PICSE
PROCUREMENT INNOVATION FOR CLOUD SERVICES IN EUROPE
- Cloud services are suitable for scientific workloads performed by public research organisations and they are now prepared to consider procuring commercial cloud services on a significant scale.
- Public research organizations have experience of cross-border procurements.
- The cloud service suppliers within Helix Nebula, have developed a set of draft contractual agreements for an initial procurement of IaaS services with multiple suppliers via a broker-based model.
- Research organisations are working to ensure that the draft contract agreements conform to their independent procurement processes.
- Preparation of a crossborder PCP or PPI for at least one shared common procurement need.
|
Water Level measurement using COSMO-SkyMed Synthetic Aperture Radar
Filippo Biondi
*University of L’Aquila*
Angelica Tarpanelli
*Consiglio Nazionale delle Ricerche (CNR)*
Pia Addabbo
*Università degli studi “Giustino Fortunato”*
Carmine Clemente
*University of Strathclyde*
Danilo Orlando
*Università degli Studi “Niccolò Cusano”*
Abstract—In this work, temporal series of Synthetic Aperture Radar (SAR) data are used to estimate water elevations. The proposed method is based on a Sub-Pixel Offset Tracking technique to retrieve the displacement of the double-bounce scattering effect of man-made structures along the course of the water body. The experimental setup is focused on the cases of the Mosul dam in Iraq and the Missouri river in Kansas city. The proposed approach is applied to real data from the COSMO-SkyMed program. Results validated with in-situ and satellite radar altimeter measurements prove the effectiveness of the proposed method in measuring the water levels.
Index Terms—Synthetic Aperture Radar, COSMO-SkyMed, Water Elevation, Sub-Pixel Offset Tracking
I. INTRODUCTION
The flow of water in rivers and streams is of great interest because it represents the easiest access to water, considered to be a fundamental natural resource. The ability to quantify the flow of water in terms of river discharge and flow volume depends on the capability to monitor water surface height of water bodies. Even more important is to monitor the water level of dams which represent critical infrastructure for security with social, economic, and environmental implications. Unfortunately, a shared and worldwide database containing the historical and reliable data concerning water levels is not available and satellite remote sensing represents a valid observation tool to solve this lack of information.
In fact, in-situ gauges, installed along surface water bodies course, can be used to measure the water height and to describe its variation both in space and time; but the ground network is not globally and uniformly distributed, i.e., many rivers in developing countries are still unmonitored, and, since the 1980s, the decline of gauge stations, also in the developed countries, gets worse and worse the in-situ measurements availability [1]. For this reason, the advanced capability of satellite sensors to monitor inland water and the direct access to their data motivated scientists to integrate and reinforce the traditional monitoring of surface water with this new source of measurements. Thus, the satellite remote sensing may represent a valid observation tool to solve the lack of information as before explained, especially when different data sources are combined [2].
Nadir altimetry has been largely used in the past for measuring the river surface height from space [3]–[8]. From the first studies carried out with Geosat [3] to the more recent analyses with Jason-2 and SARAL [8], [9], the improved capability of the altimeters allowed to monitor even narrow rivers, e.g. the Po river (∼300 m wide) or the Garonne River (∼200 m wide). Despite these encouraging results, the use of radar altimetry for narrow rivers is still limited because of uncertainty in the evaluation of the water surface elevation due to the local topography that contaminates the returned radar signal. With the synthetic aperture radar (SAR) technology applied to the altimeters, reliable measurements of water level are obtained for rivers of 200 m width [10] and according to the requirements of the next SWOT mission, rivers of 100 m width will be accurately observed by the new Karin sensors [11]. However, the nominal orbit of the satellites often does not guarantee the global coverage of all narrow rivers. The designed inter-track diamond distances and the revisit time represent obstacles to the monitoring of water courses. To overcome these issues, low cost satellite constellations are investigated in order to provide global coverage and finer temporal resolution. Moreover, the use of high resolution measurements is fundamental to ensure the level information of small water bodies. In literature, some examples show the use of SAR images to derive information of water level. For example, [12] showed the use of SAR images from ENVISAT and RADARSAT to indirectly estimate water level of the Severn River (UK) and the Red River (US).
On the other hand, the GNSS monitoring systems, combined with geotechnical, hydraulic and structural ones, could allow the monitoring of real-time dam displacements, with high accuracy, to ensure the correct functionality and the durability over time. Recent efforts in monitoring of dams using InSAR can be found in [13]–[15]. For a whole understanding of the dam’s infrastructure deformation it is worth to study the relation between water levels and displacements. In this context, InSAR measurements allow possible continuous investigation of water levels over a wide area that includes the entire reservoir as well as the surrounding area, offering a clear picture of the dynamics of deformations.
The main objective of this work is to contribute in solving the information-gap problem of water levels monitoring, for rivers or dam’s reservoirs, through a SAR signal processing technique. Particularly, a pixel tracking technique, proposed in [16] and based on the localized spectral analysis, is here used with the objective to track in time the water level temporal variations. To achieve water level measurements, the proposed method exploits the measurement of the distance between bridges or other man-made objects on the embankments. The height estimation is obtained by measuring the cross-slant-range distance between the edge of the structure and the echo of second bounce reflected by the water surface. This physical phenomenon is tracked in time allowing observations of the trend of water level variations. The two analysed case studies prove the effectiveness of the method in estimating water levels both over dams and rivers.
The remainder of this paper is organized as follows. In Section II, the proposed methodology is presented, whereas in Section III, the performance of the proposed method are assessed. Finally, in Section IV the conclusions are drawn.
II. THE PROPOSED METHODOLOGY
In this section, the proposed methodology is described. The geometry of the observation is depicted in Figure 1. The essential element for the estimation is represented by a man-made structure, a bridge in Figure 1 located in the proximity of the water surface (i.e., the river). The correspondence between the height-range coordinates and the azimuth range is also shown in the figure. Without loss of generality the water is supposed to flow along the range direction from left to right. A reference point, indicated in figure as “Ref” represents the focused single-bounce backscattered echo, which is constituted by the front-edge of the bridge that is visible on the SAR image. Its position is supposed constant during the entire time series measurements. The positions of points P1, P2 and P3 on the projection screen, represent the double-bounce backscattered echoes of the same target. The distance of the two-way propagation system depends on the heights of the water levels L1, L2 and L3, which are variable and depending on the time.
The architecture of the whole proposed estimation technique is depicted in Figure 2. Input data consist in a long temporal series of InSAR measurements and the processing scheme is composed by four processing blocks. The co-registration stage is performed at first. After co-registration, the second step exploits the range shifts for an initial coarse estimation of the double-bounce shifts and error correction. To extract range shifts, the offset components of the sub-pixel normalized cross-correlation is considered, which, according to [17], is given by
\[
D^i_{\text{tot}} = D^i_{\text{displ}} + D^i_{\text{topo}} + D^i_{\text{orbit}} + D^i_{\text{control}} + D^i_{\text{atmo}} \\
+ D^i_{\text{noise}}, \quad i = 1, \ldots, G,
\]
(1)
for each interferometric complex pair, indexed by \(i\) and belonging to a time series of length \(G\). The offset terms comprises \(D^i\) that is the component generated by the variation of the water level and detected as a sub-pixel misalignment existing between the first SAR image (master) and the slave SAR image. \(D^i_{\text{topo}}\) is the offset component generated by the earth displacement when located on highly sloped terrain, \(D^i_{\text{orbit}}\) is the offset caused by residual errors of the satellite orbits, \(D^i_{\text{control}}\) is the offset component generated by general attitude and control errors of the flying satellite trajectory, \(D^i_{\text{atmo}}\) and \(D^i_{\text{noise}}\) are the contributions accounting for change in the atmospheric and ionospheric dielectric constant and for decorrelation phenomena (spatial, temporal, thermal, etc.), respectively. After the compensation of the different offset terms, the displacement component can be isolated.
The region of interest (ROI) extraction is, then, performed by the third block and the last step consists in range shifts and water level estimation.
The interested reader can refer to [16] for further details about the estimation procedure.
III. PERFORMANCE ANALYSIS
The procedure is tested processing two long temporal series of CSK data. The processed data belongs to the COSMO-SkyMed mission, conceived by ASI (Agenzia Spaziale Italiana), and funded by the Italian Ministry of Research and the Italian Ministry of Defense, Italy. For the analysis, a long temporal dataset of CSK images are considered based on two case studies whose locations are shown in Figure 3 superimposed to the optical images over the two areas of interest: the Mosul dam in Iraq (on the left) and the Missouri river in Kansas city (on the right).
The specifications of the datasets used for study areas are reported in Table I. The number of images varies from 83 images for the study area at Kansas City and 113 for Mosul, and, the temporal interval of the images is different, ranging from about 6 to 8 years, respectively.
The water levels estimated by the proposed method are validated by comparison with the supposed ground-truths
available over the study areas during a consistent period with respect to the CSK orbits. Specifically, for the Missouri river at Kansas city, the water levels ground-truths are provided by the United States Geological Survey (USGS) dataset [18]. For the Mosul dam, because of the lack of the in-situ data, water levels from satellite radar altimetry, derived by Hydroweb dataset [19], are supposed as ground-truth in this case.
The trend of the estimated water levels are depicted in Figure 4. The blue lines represent the water-levels measured by using the proposed approach on CSK data ($W_i^{obs}$) and the red ones are the supposed ground-truths ($W_i^{truth}$).
In Figure 5, the scatterplots are reported for both case studies representing the comparison between the water levels estimated using CSK and the supposed ground truths. For both cases, a good agreement is found because the scatter points lie in the proximity of the linear regression represented by the red line in the figure. This is confirmed by the performance parameters (reported in Table II):
- the Pearson correlation coefficient (R)
$$R = \frac{\sum_{i=1}^{N} (W_i^{obs} - \mu_{obs}) (W_i^{truth} - \mu_{truth})}{\sqrt{\sum_{i=1}^{N} (W_i^{obs} - \mu_{obs})^2} \sqrt{\sum_{i=1}^{N} (W_i^{truth} - \mu_{truth})^2}},$$
with
$$\mu_{obs} = \frac{1}{N} \sum_{i=1}^{N} W_i^{obs}$$
and
$$\mu_{truth} = \frac{1}{N} \sum_{i=1}^{N} W_i^{truth},$$
### Table I
Satellite datasets used in the analysis and corresponding ground truths
| Location | Ground truth | COORDINATES (WGS-84) | Time of obs. [yyyy/mm/dd] | Images number |
|--------------|----------------|-------------------------------|---------------------------|---------------|
| Kansas City | USGS | 39° 6' 42.20" N, 94° 35' 17.30" W | 2012/12/31 - 2019/03/30 | 83 |
| Mosul | Hydroweb | 36° 40' 49.67" N, 42° 54' 6.36" E | 2011/06/07 - 2019/09/09 | 133 |
### Table II
Performance indicators
| Location | R | NS | RMSE [m] |
|--------------|------|------|----------|
| Mosul | 0.97 | 0.93 | 1.71 |
| Kansas City | 0.96 | 0.93 | 0.67 |
Fig. 4. Water levels for the analysed case studies: the Mosul dam in Iraq (on the top) and the Missouri river at Kansas city (on the bottom). Red lines are the retrieved values of water levels whereas the blue lines represents the ground-truths.
- the Nash-Sutcliffe efficiency (NS) [20]
\[
NS = 1 - \frac{\sum_{i=1}^{N} (W_i^{obs} - W_i^{truth})^2}{\sum_{i=1}^{N} (W_i^{obs} - \mu_{obs})^2},
\]
- the root-mean square error (RMSE)
\[
RMSE = \sqrt{\frac{1}{N} \sum_{i=1}^{N} (W_i^{obs} - W_i^{truth})}.
\]
IV. CONCLUSIONS AND FINAL REMARKS
This research demonstrated that the information-gap problem of river flow monitoring could be solved through water flow elevation estimation with a synthetic aperture radar (SAR) signal processing technique.
This paper proposed the application of a robust technique for tracking the double-bounce reflections of some reference structure crossing the water surface and to measure the gap space existing between the water surface and the structure. Specifically, the difference in position between the single and
double bounce is suitably measured over the time.
The experiments have been evaluated processing real data consisting of a long temporal series of COSMO-SkyMed data. Two case studies are analysed in this paper: the Mosul dam in Iraq and the Missouri river at Kansas city.
Finally, the high correlation between the estimated CSK results and the ground-truths confirms the effectiveness of the proposed method in both the case studies.
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|
CHARTER
OF
WEST TENNESSEE LEGAL SERVICES, INCORPORATED.
THE UNDERSIGNED NATURAL PERSON OR PERSONS, HAVING
CAPACITY TO CONTRACT AND ACTING AS THE INCORPORATOR OR INCORPOR-
ATORS OF A CORPORATION UNDER THE TENNESSEE GENERAL CORPORATION
ACT, ADOPT THE FOLLOWING CHARTER FOR SUCH CORPORATION:
1. THE NAME OF THE CORPORATION IS WEST TENNESSEE LEGAL
SERVICES, INCORPORATED.
2. THE DURATION OF THE CORPORATION IS PERPETUAL.
3. THE ADDRESS OF THE PRINCIPAL OFFICE OF THE CORPOR-
ATION SHALL BE WATKINS TOWERS, P. O. Box 2385, JACKSON,
MADISON COUNTY, TENNESSEE.
4. THE CORPORATION IS NOT FOR PROFIT.
5. THE CORPORATION WILL NOT HAVE MEMBERS.
6. THE PURPOSES FOR WHICH THE CORPORATION IS ORGANIZED
ARE AS FOLLOWS:
A. To employ attorneys, paralegals, and other personnel
to provide legal and paralegal representation, counseling
and other services for the indigent of West Tennessee -
through advocacy of all types with funds provided by
both public and private sources; and through voluntary
services. Such assistance shall at all times comply
with the statutes of Tennessee, the Code of Professional
Responsibility for Attorneys, and the Legal Services
Corporation Act.
B. To accumulate knowledge towards ascertaining the
most effective method of bringing the aid of the law and
the assistance of lawyers to the economically disadvan-
taged people of West Tennessee.
C. To sponsor education and research in the areas of
procedural and substantive law which affect the causes
and problems of poverty.
D. To acquaint the practicing Bar of West Tennessee
with its important role in combating poverty and to
inspire the members of the Bar to become involved in
the rendition of legal services to the poor through
this corporation.
E. To conduct programs to teach the poor and those
who work with them to recognize problems which can be
resolved best by the law and lawyers.
F. To cooperate with all other public and private
agencies whose services relate to the rendition of
legal services to the poor.
G. To do any and all other things necessary to accom-
plish the purposes listed above.
7. THE CORPORATION'S SERVICE AREA SHALL CONSIST OF ALL TENNESSEE COUNTIES WEST OF THE TENNESSEE RIVER WITH THE EXCEPTION OF THE FOLLOWING COUNTIES: FAYETTE, LAUDERDALE, SHELBY, AND TIPTON. THE INITIAL SERVICE AREA SHALL BE LIMITED TO THE FOLLOWING COUNTIES: CHESTER, CROCKETT, GIBSON, HARDERMAN, HAYWOOD, HENDERSON, AND MADISON. THIS INITIAL SERVICE AREA MAY BE EXPANDED TO INCLUDE OTHER SERVICE AREA COUNTIES AS PROVIDED IN THE BY-LAWS.
8. PROVISIONS FOR THE REGULATION OF THE INTERNAL AFFAIRS OF THE CORPORATION, EXCEPT AS PROVIDED IN THIS CHARTER, SHALL BE AS DETERMINED BY THE BY-LAWS ADOPTED BY THE BOARD OF DIRECTORS. NO PROXY VOTING SHALL BE ALLOWED.
AT ALL TIMES, NOTWITHSTANDING ANY CHANGE OF NAME, MERGER, CONSOLIDATION, REORGANIZATION, TERMINATION, DISSOLUTION, OR WINDING UP OF THIS CORPORATION, VOLUNTARY OR INVOLUNTARY OR BY OPERATION OF LAW, OR ANY OTHER PROVISIONS HEREOF:
A. The corporation shall not possess or exercise any power or authority either expressly, by interpretation or by operation of law that will prevent it at any time from qualifying and continuing to qualify, as a corporation described in Section 501 (c) (3) of the Internal Revenue Code of 1954, as amended, (hereinafter referred to as "the Code"), contributions to which are deductible for federal income tax purposes; nor shall it engage directly or indirectly in any activity which would cause the loss of such qualification.
B. No part of the assets or net earnings of the corporation shall be used, nor shall the corporation ever be organized or operated, for purposes that are not exclusively charitable or educational within the meaning of Section 501 (c) (3) of the Code.
C. The corporation shall never be operated for the primary purpose of carrying on a trade or business for profit.
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E. At no time shall the corporation engage in any activities which are unlawful under the laws of the United States of America, the State of Tennessee, or any other jurisdiction where its activities are carried on; nor shall it engage in any transaction defined at the time as "prohibited" under Section 503 of the Code.
F. No compensation, loan, or other payment shall be paid or made to any officer, board member, creator, or organizer of the corporation, or substantial contributor to it, except as reasonable compensation for services actually rendered and required by law; a reasonable allowance for authorized expenditures incurred on behalf of the corporation; and no part of the assets of net earnings, current or accumulated, of the corporation shall ever be distributed to or divided among such persons, or inure to, be used for, accrue to, or benefit any such person, or private individual, except as provided in Section contained in Section 501 (c) (3) of the Code.
G. No solicitation of contributions to the corporation shall be made, and no gift, bequest, or devise to the corporation shall be made, and no gift, bequest, or devise to the corporation shall be made, upon any condition or limitation which, in the opinion of the corporation, may cause the corporation to lose its federal income tax exemption.
H. The corporation shall distribute its income for each taxable year at such time and in such manner as not to subject the corporation to tax under Section 4942 (a) of the Code.
I. The corporation shall not engage in any act of self-dealing, as defined in Section 4941 (d) of the Code.
J. The corporation shall not retain any excess business holdings, as defined in Section 4943 (c) of the Code.
K. The corporation shall not make any investments in such a manner as to subject the corporation to tax under Section 4944 of the Code.
L. The corporation shall not make any taxable expenditures as defined in Section 4945 (d) of the Code.
9. IN THE EVENT OF TERMINATION, DISSOLUTION OR WINDING UP OF THE CORPORATION IN ANY MANNER FOR ANY REASON WHATSOEVER, THE DIRECTORS SHALL, AFTER PAYING OR MAKING PROVISION FOR THE PAYMENT OF ALL THE LIABILITIES OF THE CORPORATION, DISPOSE OF THE REMAINING ASSETS OF THE CORPORATION TO SUCH ORGANIZATION OR ORGANIZATIONS AS SHALL BE DESIGNATED BY THE BOARD OF DIRECTORS OF THE CORPORATION WHICH ARE EXEMPT ORGANIZATIONS UNDER 501 (c) (3) OF THE INTERNAL REVENUE CODE OF 1934, AS AMENDED, (OR THE CORRESPONDING PROVISIONS OF ANY FUTURE INTERNAL REVENUE LAW), TO BE USED FOR CHARITABLE AND PUBLIC PURPOSES. IF THE BOARD OF DIRECTORS SHALL FAIL TO MAKE SUCH DESIGNATION, ALL OF THE REMAINING ASSETS SHALL BE DISPOSED OF TO ANY PRIVATE OR PUBLIC NON-PROFIT ORGANIZATION TO BE USED FOR PUBLIC AND CHARITABLE PURPOSES.
10. OTHER PROVISIONS: NONE
DATED: April 6, 1977
STATE OF TENNESSEE
COUNTY OF MADISON: I, BEN RUSHING, Register of said County, do hereby certify that the foregoing instrument with Proper Signature thereon, was filed in my office for registration on the 10 day of May, 1977 at 2:40 P.M. and so noted in Nara Book No. 44 on page 130 and was duly registered this day.
WITNESS MY HAND at Office this 10 day of May, 1977
BEN RUSHING, Register
By Max Ben Kinlaw, D.R.
ARTICLE I
DIRECTORS
Section 1. General Powers. The affairs of the corporation shall be managed by the Board of Directors, and all of the powers of the Corporation shall be vested in said Board. It shall have the power to appoint an Executive Director of the Corporation, to delegate responsibilities and functions to him or her and other subordinate officials and employees and to fix their compensations, limited, however, to the exercise of such powers within the guidelines of the Legal Services Corporation or any other funding agencies. In addition to the foregoing, the Board of Directors shall have all of the powers granted to it by the Tennessee Corporation Act except as hereinabove limited and the powers specifically herein stated shall be exercised in the manner provided by said Tennessee Corporation Act unless otherwise herein stated.
Section 2. Number. The Board of Directors shall consist of eleven persons. The number of Directors may be changed by amendment to these by-laws at any time.
Section 3. Composition of the Board of Directors. (a) At least 60% of the members of the Board of Directors shall be licensed attorneys. There shall be seven (7) such attorney representatives on an eleven member Board. Three attorneys shall be elected or appointed by the organized Bar Association in Madison County. One each shall be elected or appointed by the organized Bar Associations or informal associations of attorneys in Chester, Hardeman, Haywood and Henderson counties. (b) One member of the Board of Directors shall be a representative of the client community in Haywood County to be selected by the Douglass Community Health Council or some other successor client organization to be selected by the Board of Directors. (c) One member of the
Board of Directors shall be a representative of the client community in Hardeman County to be selected by the Mt. Zion Temple Home for Senior Citizens or some other successor client organization selected by the Board of Directors. (d) One member of the Board of Directors shall be a representative of the client community in Madison County to be selected by the Salvation Army or some other successor client organization selected by the Board of Directors. (e) One member of the Board of Directors shall be a representative of the client community in Chester and Henderson Counties to be selected by the Chickasaw Community Action Agency or some other successor client organization selected by the Board of Directors. (f) At least one member of the Board of Directors shall be, when selected, an eligible client, and at least one-third of the members shall be either eligible clients, or representatives of associations, groups, or organizations of eligible clients.
Section 4. Terms of Directors. The terms of the attorney Directors shall be of two years' duration. In the initial selection of attorney Directors, three shall be given one year's terms and then two years' upon the expiration of the initial terms. The terms of the client representative Directors shall be on one year's duration. Each director shall hold office until his or her successor is selected and qualified, and shall be eligible for reselection or reappointment.
Section 5. Removal of Directors. Any Director may be removed from the Board by the affirmative vote of two-thirds of the full Board of Directors at any regular or special meeting called for that purpose, whenever in the Board's judgment the best interests of the corporation would be served thereby. Any such Director proposed to be removed shall be entitled to at least five days' notice in writing by mail of the meeting at which such removal is to be voted upon and shall be entitled to appear before and be heard at such meeting, at which time he or she may present such witnesses and make such defense as he or she shall deem advisable. Failure to attend three consecutive meetings without valid excuse shall constitute cause for removal of a Director.
Section 6. Vacancies. Upon the resignation or removal of a Director, such Director shall be replaced on the Board of Directors by a person designated by the organization or authority which designated the removed or resigned Director. If a Board organization or agency under Article I, Section 3, hereof without good cause fails to designate a representative within 30 days from the commencement of a new term, the Board may designate a temporary representative to serve in the place of such representative until the Board organization or agency makes its designation. The Board in making the temporary designation shall consider the purpose and structure of the agency or organization. If a Board organization or agency designated in Article I, Section 3, hereof ceases to function or is dissolved, then the Board may designate successors or individuals, organizations, or agencies by amendment to these by-laws.
Section 7. Meetings of the Directors. Regular meetings of the Board of Directors shall be held at least six times annually, the time and date determined by the Board of Directors. Special meetings of the Board may be called by the President or Secretary upon the written request of three Directors.
Section 8. Notice of Meetings. Notice of all meetings of the Board of Directors shall be given by regular mail to each director at least five days before the date therein designated for such meeting. The notice shall specify the time and place of such meeting, and the business to be brought before the meeting.
Section 9. Quorum. The presence of six directors shall be necessary at any meeting of the Board to constitute a quorum to transact business. The act of a majority of Directors present at a meeting when a quorum is present shall be the act of the Board of Directors.
Section 10. Voting. Proxy voting is not permitted as a way of voting at meetings of the Board of Directors. At all meetings or acts of the Board of Directors, each Director is to have one vote.
Section 11. Action Without Meeting. Any action required or permitted to be taken at a meeting of the Board of Directors may be taken without a meeting if a consent in writing, setting forth the action so taken,
shall be signed by all of the Directors entitled to vote with respect to the subject matter thereof or by all of the members of the Board as the case may be. Signing such consent shall constitute waiver of notice.
Section 12. Employees and Agents. The Board of Directors may employ and discharge such employees and agents of the corporation as it may deem necessary. Authority to hire and discharge may be delegated in whole or in part by the Board of Directors to such person or persons as it may designate. In the event that the Board of Directors shall cause to be hired one or more fulltime employees, it shall adopt a formal Personnel Policy establishing the terms of employment.
Section 13. Executive Director. The Executive Director of the Corporation shall be an ex-officio member of the Board of Directors.
ARTICLE II
OFFICERS
Section 1. Officers. The officers of the Corporation shall consist of a President, a Secretary, and a Treasurer and may include one or more Vice-Presidents and such other officers and assistant officers as may be deemed necessary by the Board. All officers shall be elected annually by the Board of Directors and shall hold office until their successors are elected. No two offices may be held by the same person. Officers need not be Directors.
Section 2. President. The President shall preside at all meetings of the Board of Directors. He or she shall have and exercise general charge and supervision of the affairs of the Corporation and shall do and perform such other duties as may be assigned to him or her by the Board.
Section 3. Vice-President. When such office exists, at the request of the President, or in his or her absence or disability, the Vice-President shall perform the duties and possess and exercise the powers of the President.
Section 4. Secretary. The Secretary shall keep a complete record of
all meetings of the Corporation and of the Board and shall have general charge and supervision of the books and records of the Corporation. The Secretary shall sign such papers pertaining to the Corporation as he or she may be authorized or directed to sign by the Board. The Secretary shall serve all notices required by law and these by-laws and shall make a full report of all matters and business pertaining to his or her office to the Board on an annual basis. When the office of Vice-President does not exist, at the request of the President, or in his or her absence or disability, the Secretary shall perform the duties and possess and exercise the powers of the President.
Section 5. Treasurer. The Treasurer shall have the custody of all funds, property and securities of the corporation, subject to such regulations as may be imposed by the Board of Directors. The Treasurer may be required to give bond for the faithful performance of his or her duties, in such sum and with such surety as the Board of Directors may require. When necessary or proper he or she may endorse on behalf of the Corporation for collection, checks, notes and other obligations and shall deposit the same to the credit of the Corporation at such bank or banks or depository as the Board may designate. The Treasurer shall sign all receipts and vouchers and together with such other officer or officers, if any, as shall be designated by the Board, he or she shall sign all checks of the Corporation and bills of exchange and promissory notes issued by the Corporation, except in cases where the signing and execution thereof shall be expressly designated by the Board or by these by-laws to some other officer, employee; or agent of the Corporation. The Treasurer shall make such payments as shall be necessary or proper to be made on behalf of the Corporation. He or she shall enter regularly on the books of the Corporation to be kept by him or her for the purpose, full and accurate account of all monies and obligations received and paid by him or her for or on account of the Corporation, and shall exhibit such books at all reasonable times to any Director on application at the offices of the Corporation. The Treasurer shall, in general, perform all the duties incident to the Office of the Treasurer, subject to the control of the Board of Directors. The Treasurer may delegate any of his or her duties of a
routine or bookkeeping nature to any employee, or agent of the Corporation without approval of the Board. The Board may direct the delegation of any duty of the Treasurer to an employee or agent.
Section 6. Removal. Any Officer may be removed from office by the affirmative vote of two-thirds of the full Board of Directors, at any regular or special meeting called for that purpose, whenever in the Board's judgment the best interests of the Corporation would be served thereby. Any such Officer proposed to be removed shall be entitled to at least five days' notice in writing by mail of the meeting at which such removal is to be voted upon and shall be entitled to appear before and be heard at such meeting, at which time he or she may present such witnesses and make such defense as he or she shall deem advisable. Unless so stated in the notice to the Officer, a Director who is an Officer shall not be removed as Director upon removal from Office.
Section 7. Vacancies. Vacancies may be filled at any meeting of the Board of Directors.
ARTICLE III
COMMITTEES
Section 1. Executive Committee. The Board of Directors shall have the power to appoint an Executive Committee by a resolution adopted by a majority of the number of Directors fixed by the by-laws. Such Executive Committee shall consist of three or more Directors, at least one of which is a client representative. The President shall be an ex-officio member of the Executive Committee.
Section 2. Powers of the Executive Committee. The Executive Committee shall have and exercise all authority of the Board of Directors except as provided otherwise by law. The Executive Committee shall report at the next meeting of the Board of Directors all actions which the Executive Committee has taken since the last meeting of the Board.
Section 3. Other Committees. Other Committees with limited authority may be designated by a resolution adopted by a majority of the Directors.
present at a meeting at which a quorum is present. The Board may also create committees which include non-board members to serve in an advisory capacity.
Section 4. Proxy Voting. Proxy voting shall not be allowed as a way of voting at any committee meeting.
ARTICLE IV
OTHER PROVISIONS
Section 1. Seal. The Corporation shall not have a corporate seal.
Section 2. Fiscal Year. The fiscal year of the Corporation shall commence on the first day of October and end on the last day of September.
Section 3. Procedure. "Robert's Rules of Order Revised" shall be the parliamentary authority for all meetings and matters of procedure not specifically covered by these by-laws.
Section 4. Amendments to By-Laws. The Board of Directors may make, amend, revise, alter or rescind these by-laws, from time to time, in whole or in part, by a vote of a majority of the number of Directors fixed by these by-laws present at any meeting of the Directors duly called and convened provided that a reasonable advance notice thereof shall have been given in writing to each Director prior to such meeting.
ADOPTED: July 20, 1977 4:30 p.m.
AMENDMENTS PROPOSED TO ARTICLE I:
Delete Section 3 in its entirety and substitute the following:
Section 3. Composition of the Board of Directors. (a) At least 60% of the members of the Board of Directors shall be licensed attorneys. There shall be seven (7) such attorney representatives on an eleven member Board. Three attorneys shall be selected from the organized Bar Association in Madison County. One each shall be selected from the organized Bar Associations or informal associations of attorneys in Chester, Hardeman, Haywood and Henderson counties. In the event that no attorney can be selected to represent a count, after the exercise of reasonable diligence, an attorney from anywhere in the service area may be selected to serve on the Board. (b) At least one-third of the members of the Board of Directors shall be eligible clients under the guidelines established by the Legal Services Corporation. There shall be four (4) such client representatives on an eleven member Board. Eligible client representatives shall be selected after consultation with community organizations, including but not limited to the following: Douglass Community Health Council, Mt. Zion Temple Home for Senior Citizens, Salvation Army, and the Chickasaw Community Action Agency.
Delete Section 6 in its entirety and substitute the following:
Section 6. Vacancies. Upon the resignation, removal, or disqualification of a Director, such Director shall be replaced by the Board of Directors as provided in Article I, Section 3.
Delete Section 7 in its entirety and substitute the following:
Section 7. Meetings of Directors. Regular meetings of the Board of Directors shall be held at least four times annually, the time and date determined by the Board of Directors. Special meetings of the Board may be called by the President at any time, and shall be called by the President or Secretary upon the written request of three Directors.
ADOPTED: March 30, 1978 6:30 p.m.
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Knijnenburg et al., 2018, Cell Reports 23, 239–254
April 3, 2018 © 2018 The Author(s).
https://doi.org/10.1016/j.celrep.2018.03.076
Highlights
- DNA damage repair (DDR) gene alterations are prevalent in many human cancer types
- Homology-dependent recombination (HR) and direct repair were most frequently altered
- Loss of DDR function is linked to frequency and types of cancer genomic aberrations
- Altered HR function can be associated with better or worse outcomes by cancer type
SUMMARY
DNA damage repair (DDR) pathways modulate cancer risk, progression, and therapeutic response. We systematically analyzed somatic alterations to provide a comprehensive view of DDR deficiency across 33 cancer types. Mutations with accompanying loss of heterozygosity were observed in over 1/3 of DDR genes, including *TP53* and *BRCA1/2*. Other prevalent alterations included epigenetic silencing of the direct repair genes *EXO5*, *MGMT*, and *ALKBH3* in ~20% of samples. Homologous recombination deficiency (HRD) was present at varying frequency in many cancer types, most notably ovarian cancer. However, in contrast to ovarian cancer, HRD was associated with worse outcomes in several other cancers. Protein structure-based analyses allowed us to predict functional consequences of rare, recurrent DDR mutations. A new machine-learning-based classifier developed from gene expression data allowed us to identify alterations that phenocopy deleterious *TP53* mutations. These frequent DDR gene alterations in many human cancers have functional consequences that may determine cancer progression and guide therapy.
INTRODUCTION
DNA damage repair (DDR) genes play key roles in maintaining human genomic stability. Loss of DDR function, conversely, is...
Figure 1. Cancer Types Display Variable DNA Damage Repair Gene Somatic Alterations
(A) DDR gene alterations are frequent and non-uniformly distributed by type and frequency across cancer types. Clustered heatmap indicates the percentage (%) of samples in a cancer type (rows, with cancer types listed right; number of samples between parentheses) altered for at least one core gene in a given DDR pathway (columns, with core gene numbers indicated in parentheses at the top/bottom, right). Color intensity indicates the percentage altered, with the percentage given as a number in each cell. RGB color indicates mutations (red), deep deletions (blue), or epigenetic silencing through methylation (green). Gray scale indicates equal contribution from all three alteration types. A “u” symbol in cells indicates a statistically significant enrichment (FDR [false discovery rate] < 10%, difference in alteration percentages > 2%) in alterations. A “co” or “me” symbol in cells indicates a statistically significant (FDR < 10%) co-occurrence or mutual exclusivity of samples altered by mutation, deep deletion, or silencing. Only “co” relations were observed. The two rightmost columns, Mut.load and SCNA load, indicate average mutation frequency (non-silent mutations/Mb) and copy-number burden (number of copy-number segments) by cancer type.
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an important determinant of cancer risk, progression, and therapeutic response (Jeggio et al., 2016). DDR genes can be grouped into functional pathways defined by genetic, biochemical, and mechanistic criteria. Proteins in the same pathway often work in concert to repair specific types of DNA damage (Friedberg et al., 2004). Base excision repair (BER), nucleotide excision repair (NER), and the direct damage reversal/repair (DR) pathways repair DNA base damage, while mismatch repair (MMR) corrects base mispairs and small loops often found in repetitive sequence DNA. Homology-dependent recombination (HR), non-homologous end joining (NHEJ), the Fanconi anemia (FA) pathway, and translesion DNA synthesis (TLS) act alone or together to repair DNA strand breaks and complex events like interstrand crosslinks (Friedberg et al., 2004; Kass et al., 2016). All of the major DDR pathways, with the exception of the FA pathway, have been identified in virtually all organisms. This reflects the universal need to counter the chemical instability of DNA and repair additional damage (Aravind et al., 1999; Eisen and Hanawalt, 1999; Friedberg et al., 2004).
The consequences of DDR deficiency are becoming better understood through analyses of DDR gene alterations in cancer (Alexandrov et al., 2013; Forbes et al., 2017; Garroway and Lander, 2013; Martincorena and Campbell, 2015). For example, frequent TP53 somatic mutations in many cancer types can disrupt the DNA damage response, apoptosis, or senescence pathways active in many early-stage cancers (Bartkova et al., 2005; Fischer, 2017; Gorgoulis et al., 2005; Pfister and Prives, 2017). DDR deficiency may also lead to specific mutational “signatures,” e.g., the short tandem repeat instability linked to the inactivation or silencing of DNA MMR in colorectal, ovarian, or endometrial cancer (Alexandrov et al., 2013; Helleday et al., 2014; Kass et al., 2016).
The therapeutic implications of altered DDR function are becoming better known. Many anti-cancer agents act by generating DNA damage that, if unrepaired, may lead to cell death or senescence. DNA interstrand crosslinks (ICLS) and double strand breaks may be particularly difficult to repair, requiring coordination of the NER, BER, FA, and HR pathways (Duxin and Walter, 2015; Michi et al., 2016; Pearl et al., 2015). The loss of one or more DDR pathway, once recognized, can also be therapeutically targeted through synthetic lethality (Brown et al., 2017; Kaelin, 2005; Srivastava et al., 2016). Examples include loss of expression of the DR pathway protein O6-methylguanine-DNA methyltransferase (MGMT), which sensitized cancer cells to alkylating chemotherapy agents (Soll et al., 2017; Weller et al., 2015); and BRCA mutant, HR-deficient breast- and ovarian cancers, which are sensitive to inhibition of PARP1, a central protein in the BER pathway (Biyani et al., 2005; Farmer et al., 2005; Lord and Ashworth, 2017). Epigenetic silencing may phenocopy these DNA events.
The Cancer Genome Atlas (TCGA) DNA Damage Repair Analysis Working Group (DDR-AWG) used newly standardized Pan-Cancer Atlas (PanCanAtlas) data to systematically analyze potential causes of loss of DDR function and the resulting consequences across 33 different human cancer types. The loss of specific DDR pathways in cancer, in contrast to other cellular “hallmarks” of cancer (Hanahan and Weinberg, 2011), often generates stable—and thus more readily interpretable—“footprints” in cancer genomes, detected as an increased mutation burden, altered mutational signatures, or copy-number alterations including loss of heterozygosity (LOH). We provide below the most comprehensive analysis to date of DDR pathway gene alterations and their consequences in human cancer. Our results provide a useful resource to guide both mechanistic and therapeutic analyses of the role of DDR in cancer.
RESULTS
We performed analyses with a curated list of 276 genes encompassing all major DNA repair pathways: 208 genes were annotated to one or more specific DDR pathway, with an additional 68 genes annotated to key DDR-related pathways such as nucleotide pool maintenance (e.g., RRM1/2, the regulatory and catalytic subunits of ribonucleotide reductase); critical DNA damage response kinases (e.g., ATM, ATR, CHEK1/2, and WEE1); and genes recurrently mutated in cancer that modulate DDR (e.g., TP53, IDH1, and PTEN). We defined a “core DDR” gene set of 71 DNA repair pathway-specific and 9 DNA damage response genes that were used to facilitate parsimonious pathway representations and analyses (Table S1; Figures S1A and S1B).
Prevalent DDR Alterations across Cancer Types
We first determined the prevalence of DDR alterations across PanCanAtlas cancer types by integrating data on somatic truncating and missense mutations (Figures S1C and S1D), deep copy-number deletions defined by GISTIC (Merrel et al., 2011), and epigenetic silencing events. Binary calls for each event class for the 276 DDR genes across 9,125 PanCanAtlas samples are available through Data and Software Availability. The frequency of these somatic DDR gene alterations is shown in Figures 1A–C (core DDR genes) and Figures S1E–S1G (all 276 DDR genes). For a complete list of TCGA cancer type abbreviations, please see https://gdac.broadinstitute.org/resources/tcga-users/tcga-code-tables/tcga-study-abbreviations. Cancer types with a higher global mutation burden (e.g., in UCEC [uterine corpus endometrial carcinoma], COAD [colon adenocarcinoma], and...
READ [rectum adenocarcinoma] cancers) also had a higher mutation frequency in DDR pathways. Similarly, cancer types with a large number of somatic copy-number alterations (SCNAs; e.g., OV [ovarian serous cystadenocarcinoma], SARC [sarcoma], ESCA [esophageal carcinoma], and STAD [stomach adenocarcinoma]) also had a larger number of SCNAs in DDR pathways.
Pathway enrichment analysis based on the core DDR gene list revealed several DDR pathways that were statistically enriched for alterations within a specific cancer type, e.g., HR pathway alterations in OV and BRCA (breast invasive carcinoma) cancers (Figure 1A). Nearly three-quarters (20/28, 71%) of associations among DDR pathways and cancer types were also observed using our more inclusive DDR gene set (Figure S1E). Some DDR genes were affected predominantly by one type of alteration, e.g., *ALKRBH3* and *MGMT* by epigenetic silencing. Other genes were altered in two or more ways, e.g., mutations in *TP53*, *PTEN*, *PER1*, and *BRCA1/2* were frequently accompanied by LOH (Figure 1D). Gene-level mutation frequencies varied widely by cancer type and subtype. For example, mutations in *TP53*, *PTEN*, *ERCC5*, and *IDH1* were highly enriched, while other genes such as *SOX4*, *SLX1A*, and *GTF2H2* were much less frequently mutated (Figure S1J).
We next investigated the association of DDR gene alterations with overall mutation burden. It is already well established that cancers with somatic *POLE* and *POLD1* mutations in their exonuclease domains or with microsatellite instability (MSI) exhibit a substantially higher mutation burden (Barbari and Shcherbakova, 2017; Ionov et al., 1993; Shinbrot et al., 2014; Tibhodeau et al., 1993). Here, we observed only two DDR genes (*TP53* and *POLE*), that demonstrated a substantially different association between alterations and overall mutation burden when compared against a background of all other non-DDR genes (Figure S1K).
One intriguing question is whether DDR genes would be identified as cancer drivers using mutation frequency-based prediction methods. To address this question, we analyzed 276 DDR genes in non-hypermutated cancer samples using five driver prediction tools: 20/20+ (Takhejian et al., 2016), MutSig2CV (Lawrence et al., 2014), OncoDriveFML (Mularoni et al., 2016), MuSiC2 (Dees et al., 2012), and CompositeDriver (https://github.com/khuranaLab/CompositeDriver). Our analysis used data and best practices from the PanCanAtlas Drivers/Essentiality Working Group (Baley et al., 2018) and identified 48 DDR genes as potential drivers by at least one driver identification algorithm. Among these, 8 putative DDR driver genes were unique to a cancer type, and 18 were identified only as part of a PanCanAtlas analysis. The remaining 23 putative drivers were identified in analyses of one or more individual cancer type as well as in PanCanAtlas analyses (Table S2). These identifications are intriguing, though tentative in light of the challenge of identifying drivers against a background of biological heterogeneity. For example, *TCEB1*, which forms a complex with *VHL*, was identified as a prominent driver gene in KIRC (kidney renal clear cell carcinoma) (Sato et al., 2013).
In order to assess potential genomic consequences of DDR gene alterations, we performed a mutation signature correlation analysis focusing on loss-of-function alterations in the 48 genes we identified as putative cancer drivers (Table S2). This analysis used 21 mutational signatures derived by the PanCancer Signature group (Covington et al., 2014). Significant associations are displayed in Figure S2A. We confirmed that mutational signature #19 (*POLE* signature, corresponding to COSMIC Catalog of Somatic Mutations in Cancer) signature #10) is increased by over 4-fold in *POLE*-altered cancers (p = 1.0e–6) at the PanCanAtlas level, and in UCEC with greater significance (fold change = 10.3 and p = 4.8e–7, Figure S2B). We also confirmed the association of signature #15 (temozolomide signature, corresponding to COSMIC signature #11) with *MGMT* alterations (Figure S2C).
**Frequent Epigenetic Silencing of DDR Genes and Pathways**
Epigenetic silencing was identified as an alternative prominent mechanism leading to recurrent gene deficiency. Stringent calling criteria (detailed in STAR Methods) led to the identification of 12 DDR genes exhibiting strong and consistent methylation-driven transcriptional silencing (Figures 2A and 2B). The most frequently silenced DDR genes were core DR (direct repair) pathway genes *MGMT* (11% of all the samples) and *ALKRBH3* (8%), followed by the core MMR genes *MLH3* (5%) and *MLH1* (4%) (Figure 2C). Epigenetic silencing was less often observed for genes in the HR and FA pathways, e.g., *BRCA1*, *RAD51C*, *NSMCE3*, and *FANCF*. Methylation silencing was the dominant alteration in *MGMT* (92.4% of all alterations) and was significantly associated with signature #15 through mutation signature analysis (Figure S2C).
The high frequency of *EXO5* silencing (94.5% of all *EXO5* alterations) was both unexpected and intriguing. Loss of function of this single strand-specific DNA exonuclease sensitizes cells to DNA base adduct and crosslink damage and UV, but not ionizing radiation, and leads to chromosomal instability (Sparks et al., 2012). *EXO5* silencing was frequent in GBM (glioblastoma multiforme) (~46%) though not in LGG (brain lower grade glioma) (~4.5%) (Figure 2D). When broken down by cancer subtype, *EXO5* silencing was exclusively observed in *IDH* wild-type GBM and LGG (50% and ~27%, respectively) and in a small fraction of HNSC (head and neck squamous cell carcinoma) human papillomavirus (HPV)-negative cancers (~4%). Other cancer subtypes with a high frequency of *EXO5* silencing included STAD (HM-indel, i.e., MSI, ~57% and Epstein–Barr virus [EBV]-positive ~57%, HM-indel, i.e., MSI, COAD (44%), CIN (chromosomal instability) ESCA (~39%), and MSI UCEC (~28%) (Figure 2E). Of note, both EBV-positive (Cancer Genome Atlas Research Network, 2014) and MSI (Cancer Genome Atlas Network, 2012; Kandath et al., 2013) cancer subtypes have been tightly linked to an extensive CpG island methylator (CIMP) phenotype (Hinoue et al., 2014; Toyota et al., 1999), whereas *IDH* wild-type, CIN, and HPV-negative cancer subtypes were not CIMP associated. Furthermore, *EXO5* deficiency was significantly linked to signature #1 (Figure S2E). The consistent observation of *EXO5* silencing in *IDH* wild-type brain cancers suggests *EXO5* may play a role in the pathogenesis of subsets of these cancers.
Frequencies of epigenetic silencing also varied at the pathway level, as defined by silencing of at least one gene in a pathway. Frequent silencing of core DR, HR, and MMR pathway genes was observed in gastrointestinal cancers (ESCA, COAD, STAD, and READ), HNSC, and GBM (Figure 2D). We also observed frequent DR pathway silencing in DLBCL (lymphoma) neoplasm diffuse large B cell lymphoma and in UCEC (with *MGMT* + *ALKBH3* silencing in >60% or ~40%, respectively), SKCM (skin cutaneous melanoma), ACC (adrenocortical carcinoma), LGG, and UCEC were characterized by a high frequency of MMR pathway silencing, whereas OV, UCS (uterine carcinosarcoma), CESC (cervical squamous cell carcinoma and endocervical adenocarcinoma), and TGCT (testicular germ cell cancers) all showed high-frequency DR and HR pathway silencing that was reflected in altered gene expression data (Figures S3A and S3B) and in limited reverse-phase protein array (RPPA) data on 23 DDR genes (Figures S3C–S3E).
**Genomic Instability Linked to HR Deficiency and Prognosis**
We observed positive correlations among six different SCNA scores that were used to characterize the extent of aneuploidy, LOH, and homologous recombination deficiency in PanCancer Atlas samples (Figure 3A). We also found moderate, statistically significant positive correlations between mutation burden and SCNA scores, contrary to a previously reported inverse correlation between SCNA and mutation frequency in 12 cancer types (Cinello et al., 2013). A likely explanation for this
discrepancy is our use of a much larger and more inclusive set of samples across more cancer types and including all mutation and SCNA data, as opposed to the restricted subset of ~500 selected functional events as in the previous study.
SCNA burden (determined from the frequency of SCNA segments) and mutation burden (measured as non-silent mutations per Mb) were positively correlated across all PanCanAtlas samples ($p = 0.36$, $p < 1e^{-16}$, Figure S4A), while hypermutated
Figure 3. Somatic Copy-Number Alteration Scores in Relation to Clinical Outcomes and DDR Gene Alterations
(A) Matrix heatmap of mean Spearman correlation between SCNA scores and mutation load across 33 cancer types.
(B) Forest plot of association between homologous recombination deficiency (HRD) score and progression-free interval (PFI). Results are shown for 28 cancer types with valid outcomes data. Cancer type symbols to the left are followed by sample number (N) included in the model and the number of PFI events. Hazard ratios (HR) and HR 95% confidence intervals are shown to the right. The “P Value” represents the Cox proportional hazards model p value for differences in survival between high versus low HRD score samples. *, a statistically significant association after applying a false discovery correction (threshold 10%).
(C) Representative Kaplan–Meier (KM) survival curves for PFI of four cancer types as a function of high versus low HRD Scoring. Cancer samples in GBM, ESCA, PRAD, and ACC were defined as high HRD scoring if the HRD score was above the median within a cancer type. Log rank test p values are displayed in the top right-hand corner of each plot.
(D) Volcano plot of significance and magnitude of DDR gene ridge regression coefficients. Our ridge regression model fitted the alteration status of 276 DDR genes to HRD score across 8,464 cancer samples. Homologous recombination repair (HR) genes above a significance threshold of FDR < 0.2 are plotted and labeled in red.
(E) HRD scores of two cancer types stratified by BRCA1 and RAD51B alteration status. The two cancer types with the largest number of BRCA1 or RAD51B alterations are plotted to show HRD score distributions as a function of gene alteration status. Mann–Whitney U test p values are displayed above the bracket for each cancer-type-specific comparison. See also Figures S4 and S7.
Figure 4. Rare, Recurrent DDR Gene Mutations Differentially Alter Protein Structural Stability
Key DDR genes (listed in C as column labels) were selected for protein modeling based on the frequency of rare and recurrent mutations and experimentally determined structures that covered a majority of amino acid residues.
(A) *POLE* mutations are clustered in protein functional domains. Spheres represent mutations colored by mutation frequency (boxed key top right) overlaid on a POLE structural model. 3D mutation hotspots are present in both the exonuclease (blue) and polymerase (green) domains.
(B) Most *MGMT* somatic mutations likely alter protein structure. The location of mutations shown on a structural model as spheres, colored by predicted effect. Mutations with protein folding energy ($\Delta \Delta G_{\text{fold}}$) $\geq 3$ kJ/mol are predicted to be strongly destabilizing, whereas those altering stability by less than $\Delta \Delta G_{\text{fold}} < 1$ kJ/mol were considered not significant (NS).
(C) Many DDR gene somatic mutations are predicted to destabilize protein structure. Structure-based calculations of the effect of 1,380 mutations on $\Delta \Delta G_{\text{fold}}$ are plotted, with the number of unique mutations per protein given in parentheses below each protein name.
(D) Altered protein stability is associated with greater burden of genomic alterations. Plot uses standardized Z scores (see STAR Methods) across cancer types to compare samples harboring strongly destabilizing versus non-destabilizing mutations. Association strength depended on the DDR gene, e.g., destabilizing mutations in *POLB* were associated with lower SCNA and higher mutation burdens, while mutations in *PARP1* were associated with a higher SCNA and lower mutation burden.
(E) Altered stability in four proteins was associated with a large shift (Z > 0.5) in SCNA burden. Split violin plots show the different distributions of SCNA burden among samples with a destabilizing versus non-destabilizing mutations in each gene.
(F) Altered stability in five proteins was associated with a large shift (Z > 2.0) in mutation burden. See also Figure S5.
samples and hypersegmented samples were largely mutually exclusive.
Genomic scarring with large-scale genome instability has been attributed to homologous recombination deficiency (HRD) (Watkins et al., 2014). We calculated a HRD score, combined from HRD-LOH (Abkevich et al., 2012), LST (large-scale state transitions) (Popova et al., 2012), and NRI (number of telomeric allelic imbalances) scores (Birkbak et al., 2012), for all PanCanAtlas samples using SCNA calls generated from ABSOLUTE (Figure S4B). This analysis also substantially extends earlier analyses using 15 cancer types (Marguerat et al., 2015). HRD scores varied widely across cancer types, with the highest scores in ovarian cancer (OV) and the lowest in KICH (kidney chromophobe), KIRP (kidney renal papillary cell carcinoma), LAML (acute myeloid leukemia), and THCA (thyroid carcinoma). Many cancer types also had small subsets of samples with high HRD scores.
HRD scores were significantly associated with progression-free interval (PFI) in eight cancer types (Figures 5B and 3C). Higher HRD scores were often associated with shorter PFI (Figure 3C). Notable exceptions were higher HRD scores associated with better clinical outcomes in GBM and OV (Figure 3C), and with overall survival in OV (Figures S7B and S7C). This may reflect the use of potent, DNA-damaging platinum-based compounds as standard-of-care therapy for OV (Figure S7) (Mills et al., 2016). The association of a higher HRD score with better outcomes in GBM may be linked to IDH mutations. These have been associated to higher HRD (data not shown; Suklowski et al., 2017) and better outcomes (Brat et al., 2015) than IDH wild-type GBM cancers. We identified additional contributions of DDR gene alterations to HRD scores by using a Bayesian linear regression to model HRD scoring as a function of DDR gene alterations while controlling for cancer type as a covariate (Table S3). This analysis, performed in 8,464 samples, excluded potentially confounding *POLE* mutants and MSI-high cancers (Figures 4B–4D).
HR pathway genes with significant positive HRD associations included *BRCA1*, *BRCA2*, *RAD51B*, and *RAD51C*. *BRCA1* alterations had the largest positive weight for predicting higher HRD scores. Alterations in either *BRCA1* or *RAD51B* increased HRD score in most cancer types including the top two cancer types with the greatest number of
alterations in either gene (Figure 3E). TP53 alterations were also associated with higher HRD scores, consistent with previous observations of a higher SCNA burden in TP53-mutated cancers (Ciriello et al., 2013). Other alterations in several MMR and NER genes had significant negative associations with HRD score, e.g., MLH1, TCEB3, and MSH2, suggesting a potential mutually exclusive relationship between HR and MMR or NER deficiencies.
Gene fusions with the potential to disrupt DDR function were identified using ChimerDB 3.0 (Lee et al., 2017) and TCGA Fusion Gene Data Portal (Yoshihara et al., 2015), then manually checked for read alignments to identify 188 high-confidence fusion events that involved 108 DDR genes in 205 cancer samples (Figure S4C). The most frequently affected DDR genes were SMARCA4, PTEN, RAD51B, and SMARCA1 (Figure S4D). A majority of the fusions, including 18 in HR and 5 in MMR genes, had breakpoints in DDR functional domains that were predicted to disrupt function with readily predictable therapeutic consequences, e.g., for the HR gene fusions involving RAD51B and BRCA1 (Figure S4E). Fusions also often had multiple partners, as well as breakpoints; e.g., RAD51B had three recurrent breakpoints with five different fusion partner genes (CEP170, ENOX1, NPC2, ZFYVE26, and PCNX) (Figure S4F).
**Protein Structure Modeling of Recurrent DDR Mutations**
We further examined potential functional consequences of relatively rare, recurrent mutations in 22 DDR genes by protein structural analyses and modeling. These included MGMT, PARP1, TOP3A, BLM, ERCC2, HFM1, POLE, POLD1, and POLO, which collectively harbored 1,380 unique rare, recurrent non-synonymous mutations. Many of these mutations were found at domain interfaces or along solvent-accessible surfaces, and a substantial fraction ($n = 370$ or $26.8\%$) were predicted to be strongly destabilizing ($\Delta \Delta G_{\text{total}} \geq 3 \text{kT}$) (Figures 4A and 4B; Figure S5). An additional small number ($n = 26$ or $1.9\%$) were predicted to be strongly stabilizing ($\Delta \Delta G_{\text{total}} \leq -3 \text{kT}$) and thus might affect function by restricting protein conformational changes (Figure 4C).
POLE exonuclease domain mutations are positively associated with a higher mutation burden ($p = 0.02$) and negatively associated with SCNA burden ($p = 0.006$). Structure-based modeling predicted an additional subset of POLE mutations that may destabilize POLE structure and reduce catalytic efficiency. In similar fashion, most MGMT somatic mutations are likely to affect MGMT activity by destabilizing protein structure. Molecular dynamics simulations of a subset of mutations ($n = 86$) in six proteins (POLE, POLD1, POLO, ERCC2, HFM1, and BLM) revealed many additional mutations that were not predicted to be destabilizing but did alter protein dynamics (Figure S5). Thus, molecular modeling and protein dynamics in concert may reveal mechanisms by which somatic mutations alter DDR protein function.
In order to link other destabilizing DDR mutations to genomic instability, we compared both mutation and SCNA burden scores for genes with predicted strongly destabilizing versus non-destabilizing mutations (Figure 4D). The majority of predicted destabilizing mutations showed a positive association with either higher mutation and SCNA or mutation burden scores. Many genes displayed an *inverse* relationship between these two burden scores, with, e.g., destabilizing mutations in POLB associated with higher mutation and lower SCNA burden, whereas destabilizing PARP1 mutations were associated with lower mutation and higher SCNA burden (Figures 4D–4F). Thus, predicted destabilizing mutations may be directly influencing downstream burden scores by altering or abolishing DDR function.
**Machine-Learning-Derived Expression Signature Predicts TP53 Inactivation**
The loss of TP53 function across many cancer types has significant functional consequences as measured by genomic instability in association with a higher SCNA burden and increased HRD scores (Figures 1D and 3D). Cancer-associated TP53 mutations may promote these consequences through simple loss of function, as well as by altering transcription or through dominant-negative, gain-of-function mechanisms (Bouaoun et al., 2016; Kastenhuber and Lowe, 2017; Olivier et al., 2010; Pfister and Prives, 2017; Stracquadanio et al., 2016). A subset of these consequences can also be phenocopied by other genomic alterations. In order to better predict the consequences of TP53 inactivation and identify potential phenocopies of TP53 loss, we constructed a TP53 classifier that predicts inactivation status from RNA sequencing expression data, adjusted for cancer type and mutation burden (details in STAR Methods), then used this to analyze cancer types with comparable numbers of TP53 alterations. The resulting classifier was highly sensitive and specific (Figure 5A), and when trained using PanCanAtlas data, it outperformed individual cancer models in 14 out of 19 cases (Figures S6A and S6B).
Individual weights of the TP53 classifier identified 10 top negative-weighted genes, of which 9 are confirmed TP53 target genes (Kastenhuber and Lowe, 2017) (Figure 5B). The remaining gene, MPDU1, may have been identified by virtue of being located $\sim 80$ kb downstream of TP53 and thus sensitive to TP53 copy loss. Of note, our classifier was able to predict TP53 deficiency independent of cancer type with a high AUROC (area under the receiver operating characteristic curve; 0.94), and in samples initially removed from training. These included cancer types with few TP53 events (THCA and UVM [veal melanoma] cancers), as well as those dominated by TP53 events (OV and UCS cancers) (Figures S6C–S6F). The classifier was also able to distinguish TP53 mutant from wild-type BRCA and UCEC, with nearly all basal-subtype BRCA cancers predicted to be TP53 deficient (Figures S6G and S6H). An analogous approach has been used to predict RAS pathway activation in PanCanAtlas cancers (Wey et al., 2018).
The classifier enabled the identification of phenocopying mutations both in TP53 and in other functionally related genes. Consistent with previous pan-cancer analyses (Zack et al., 2013), we observed that predicted TP53 loss-of-function samples, including cancers with synonymous TP53 c.375G>T mutation, had an increased SCNA burden when compared with wild-type samples (Figure 5C). This synonymous mutation may act by altering a splice donor to produce alternatively
Figure 5. Machine Learning to Predict TP53-Inactivating Mutations in Cancer
(A) Robust classifier performance by receiver operating characteristic (ROC) and area under the ROC curve (AUROC). Training data, cross validation assessment, and held out test set (10%) for 19 cancer types were used.
(B) Model-derived gene weighting. Classifier weights indicate individual gene influence on classification accuracy. Negative weights indicate increased gene expression in TP53 wild-type samples.
(C) SCNA burden is correlated with known/predicted TP53 status. Plots show SCNA/CNV burden as fraction altered for known or predicted TP53 status. The SCNA profile for TP53 mutation c.375G>T in TP53 exon 4 appears similar to other TP53 loss events.
(D) SCNA of TP53-interacting genes MDM2 and CDKN2A phenocopy TP53 loss. Results shown are for PanCanAtlas TP53 wild-type samples.
(E) TP53 non-syn gene alterations phenocopy TP53 deficiency. Mutations were manually curated and selected a priori. All mutation tests including only TP53 wild-type/non-hypermutated cancers are indicated by orange edges. Node color indicates event class (red, mutation; blue, copy-number loss; and purple, copy-number amplification); edge values indicate Cohen’s d effect size. Thin blue edges indicate predicted interactions from the STRING database. NS is “not significant” with p > 0.005. See also Figure S6.
Spliced transcripts that compromise TP53 function (Collado-Torres et al., 2017). Samples with c.375G>T or c.375G>A mutations were also enriched for a ‘200 base pair truncation in exon 4 when compared with wild-type TP53 samples (OR [odds ratio] = 61.9, p < 2.2e−16). This mutation/truncation pairing was previously observed in a pancreatic cancer cell line and as a SNP (rs55863639) likely pathogenic for Li-Fraumeni syndrome (Leroy et al., 2014).
Significantly increased classifier scores were also noted for cancers with MDM2 copy-number amplification and CDKN2A copy-number deletion in an analysis including only non-hypermutated cancers without deleterious TP53 mutation (Figure 5D). We had observed a copy-number dosage effect for CDKN2A copy-number deletions, where loss of the CDKN2A-encoded P14ARF protein can phenocopy TP53 alterations (Sherr, 2001). Among eight other tested genes, MDM4 and PPM1D copy-number amplification and ATM and CREBBP gene mutations were associated with increased TP53 classifier scores, while ATR, CHEK1/2, or RPS6KA3 mutations were not (Figure 5E). These results suggest the general utility of this approach, even in circumstances where a diversity of molecular events and potential downstream consequences might occur.
DDR Alterations Are Associated with Clinical Outcomes
We computed multiple DDR footprint scores based on quantitative estimates of DNA damage and investigated their association with clinical outcomes. These aggregated 43
DDR footprint scores such as mutation burden and copy-number burden and extended other published scores, e.g., repair proficiency scoring (RPS) (see Data and Software Availability for per-sample estimates). We tested DDR footprint score associations with overall survival (OS) and progression-free interval (PFI) across 28 cancer types by fitting Cox proportional hazards models, using survival outcome data generated by Liu et al. (2018).
SCNA-based scores were more strongly associated with survival outcomes, compared with mutation- and expression-based DDR footprint scores (Figure S7A). LOH burden (number of genomic segments with LOH), combined HRD score, and HRD component scores (HRD-LOH [Abkevich et al., 2012], LST [Popova et al., 2012], and NAI [Birkbak et al., 2012]) were significantly associated with OS and PFI for six to ten cancer types (ACC, BRCA, ESCA, GBM, KIRP, MESO [mesothelioma], PRAD [prostate adenocarcinoma], OV, UCEC, and UVM) (Figure S7B). In all but two cancer types (GBM and OV; Figures 3B and 3C), higher HRD or LOH burden scores were associated with poorer prognosis (Figure S7B). These associations remained statistically significant in multivariate Cox proportional hazard models after accounting for known covariates such as patient age, cancer type, and stage (Figure S7C).
Fewer mutation-based associations with clinical outcomes were identified: e.g., a high mutation burden was associated with better prognosis in UCEC and STAD cancers, but worse prognosis in LGG and ACC cancers (Figure S7C). Of note, expression-derived DDR footprint scores (e.g., expression Cumulative Density Function trAnSform of Rank Distribution or eCARD scores [Zimmermann et al., 2016]) derived for a single cancer type (OV) had significant prognostic associations in 7 cancer types for OS and for 6 cancer types for PFI (Figure S7A) that were the opposite of associations observed in OV and STAD (Figure S7B). Low repair proficiency scores were associated with a worse OS as previously reported (Pitroda et al., 2014), though for PFI in only a subset of cancer types (Figure S7B). These associations between DNA damage consequences and survival across 28 human cancer types confirm previously reported survival associations and provide a rationale for extending these analyses to additional cancer types.
DISCUSSION
We used TCGA PanCanAtlas data to systematically analyze the prevalence, nature, and consequences of DDR gene and pathway alterations across 9,125 samples representing 33 different cancer types. DDR gene alterations were ubiquitous: approximately 1/3 of TCGA PanCanAtlas cancer types showed significant enrichment of somatic mutations in DDR genes, often accompanied by SCNA/LOH events. The functional consequences of these alterations could often be readily inferred. For example, the HR pathway was altered in nearly 40% of cancers, e.g., in BRCA1/2-mutated ovarian and triple-negative breast cancers, where HR is a key determinant of platinum chemotherapy as well as PARP inhibitor response.
DNA methylation-dependent epigenetic silencing was also surprisingly frequent—though more variable—than mutation or deletion calls and encompassed one-third of TCGA cancer types. Nearly three-quarters (20 of the 28, or 71%) of statistically significant associations observed using our comprehensive annotation of DDR pathways (Figure S1E) were driven by silencing of genes in the MMR, HR, and DR pathways. Some of the recurrently silenced genes we have identified have been previously identified, e.g., *MGMT* (Esteller et al., 1999), *MLH1* (Cancer Genome Atlas Research Network, 2014; Kuismann et al., 2000; Simpkins et al., 1999), *MLH3* (Lhotska et al., 2015), *BRCA1* (Esteller et al., 2000), and *HLTF* (SMARCA3) (Moinova et al., 2002). Epigenetic silencing of DR pathway genes in gastrointestinal, central nervous, and lymphoid cancers were all associated with a high mutation burden.
We also identified new, epigenetically silenced genes including *DDB2* and *EXO5*. *DDB2* is a NER pathway gene necessary for UV damage repair, whereas *EXO5 (DEM1)* is a little-studied single-stranded exonuclease that has been linked to genetic instability and DNA damage hypersensitivity especially to DNA crosslinking agents (Sparks et al., 2012). These findings highlight the role of epigenetics in shaping the DDR deficiency landscape in cancer and may provide useful biomarkers for enhanced response to, e.g., alkylating agent therapy. Three additional significant pathway enrichments were also identified when we excluded epigenetic silencing: the DR pathway in LGG cancers, the NER pathway in BLCA (bladder urothelial carcinoma) cancers, and the BER pathway in LIHC (liver hepatocellular carcinoma) cancers (Data and Software Availability).
Analyses of loss-of-function alterations within DDR pathways identified co-occurring alterations (largely consisting of mutations and epigenetic silencing) in the MMR pathway in UCEC and STAD cancers, though no pathway by cancer-type-specific, mutually exclusive combinations. We found little evidence for somatic mutation co-occurrence between MMR and NER pathways (Figure S1H), or MMR and HR pathways (Figure S1I). MMR and NER can repair DNA base pair mismatches, bulky-DNA base damage, and small DNA loops. Thus, the loss of both MMR and NER might markedly sensitize cancer cells to alkylating agent therapy and provide a starting point to identify effective treatment combinations (Srivas et al., 2016). Of note, 1/5 (22%) of DDR genes participate in more than a single DDR pathway (Table S1; Figures S1A and S1B). Thus, alteration of these “pathway-promiscuous” DDR proteins may have a disproportionately large effect on genomic instability.
The detailed understanding of DDR genes and pathways provides immediately plausible mechanisms by which many DDR gene alterations might increase specific mutation types, as well as overall mutational burden. Mutational signature analyses provide a second way to identify potential mutation sources and mechanisms (Alexandrov et al., 2013; Rogozin et al., 2017). For example, we found a previously undefined signature B was strongly associated with BRCA deficiency, especially *BRCA1* (Figure S2D). EXO5 deficiency, identified here as an often epigenetically silenced DDR gene, was associated with signature 1 across multiple cancer types (Figure S2E) and has
been associated with poor clinical outcomes (Gingras et al., 2016; Totoki et al., 2014). Co-occurrence plots of mutations and SCNA/LOH for the top 50 mutated DDR genes in TCGA samples (Figure 1D) and genome-wide DNA damage scores that further encompass LOH and aneuploidy (Figure 3A) suggest the potential for additional complex interactions among DDR gene alterations.
We extended the insights gained from analyzing the type and distribution of DDR gene alterations in cancer by using additional approaches. For example, a combination of protein structural modeling and molecular dynamics simulations were used to predict the functional consequences of rare, recurrent nonsynonymous mutations in 22 DDR genes. We found that *POLD1* mutations, despite being less common than the *POLE* or *POLO* mutations that contribute to hereditary colorectal cancer risk (Bellido et al., 2016) and the hypermutated phenotype (Briggs and Tomlinson, 2013; Church et al., 2013), were as strongly associated with genomic instability. Molecular dynamics simulations further identified a subset of DDR gene mutations with the potential to alter protein conformational changes independent of effects on protein stability (Figure S5), raising the provocative question of whether destabilizing mutations alone contribute to genomic instability in cancer.
A second extension of PanCanAtlas genomic data was to use machine learning to predict *TP53* inactivation status from gene expression data. This approach identified both *TP53* mutant and *TP53* mutant phenocopies, as well as potential *TP53* tissue-specific roles in, e.g., ESCA and CESC cancers. This approach was developed using *TP53* but is general and thus could be applied to other DDR genes. These and additional approaches may have their greatest value in annotating rare mutations where there may be few or no clinical or experimental data from which to predict mutation functional consequences.
In light of the central role played by DDR pathways in ensuring cell survival after DNA damage, we reasoned that DDR deficiency scores might be broadly predictive of both therapeutic response and clinical outcomes. When tested against PanCanAtlas survival data encompassing 28 cancer types (Liu et al., 2018), we identified associations among most DDR footprint scores and clinical outcomes after controlling for covariates such as age, cancer grade, and stage (Figure S7). These associations were consistent in linking a high mutation burden or genomic instability with worse clinical outcomes across almost all cancer types. We also identified HRD-high cancers including subsets of ovarian, uterine, lung squamous, esophageal, sarcoma, bladder, lung adenocarcinoma, head and neck, and gastric carcinomas. Virtually all of these subsets of cancer may have enhanced responsiveness to platinum-based compounds that are given as standard-of-care therapies. This extends the recognition of a bimodal distribution of HRD scores in breast and ovarian cancers and the enrichment of *BRCA1/2* mutant or methylated cancers among HRD-high cancers that are more likely to respond to platinum-containing therapy (Tellii et al., 2016). These results indicate the potential of HRD scoring to predict both platinum response and PARP inhibitor sensitivity.
The high frequency of DDR gene and pathway alterations in TCGA PanCanAtlas cancer samples identifies opportunities to improve cancer therapy. For example, HR defects are common in many cancer types and may compromise successful DNA replication and genome stability (Macheret and Halazonetis, 2015; Zeman and Cimprich, 2014). Thus, combination therapies that induce or potentiate replication stress or impair replication fork protection may be particularly effective in killing HR-deficient cancers (Ray Chaudhuri et al., 2016; Rondinelli et al., 2017; Taglialatela et al., 2017).
The many different cancer types that show epigenetic silencing of DR pathway genes such as *MGMT* and *ALKBH3* may be especially vulnerable to types of DNA damage normally repaired by these proteins (Soll et al., 2017; Wang et al., 2015). DDR pathway deficiencies are also mechanistically linked to mutation burden and mutational diversity. Thus, DDR pathway deficiencies in cancer may potentiate immune-based therapies by driving neoantigen production to enhance immune recognition and targeting (Balachandran et al., 2017; Germano et al., 2017; Le et al., 2017) and thus may identify subsets of patients with a higher likelihood of responding to immune-based therapies.
Our analysis of DDR pathways across the 9,125 cancers of 33 types included in PanCanAtlas data identified associations among genomic data types; confirmed and extended several previously reported findings; and provided insight into the mechanistic origins and consequences of DDR deficiency in cancer. These results collectively reinforce the importance of DDR gene function in shaping cancer risk, progression, and therapeutic response.
**STAR METHODS**
Detailed methods are provided in the online version of this paper and include the following:
- KEY RESOURCES TABLE
- CONTACT FOR REAGENT AND RESOURCE SHARING
- EXPERIMENTAL MODEL AND SUBJECT DETAILS
- METHOD DETAILS
- DNA Damage Repair Pathway Curation
- Alteration summary for DDR pathways across cancer types
- Filtering and functional annotation of somatic mutations in DDR genes
- DDR gene epigenetic silencing events
- Determination of deep deletions of DDR genes and SCNA-based DDR scores
- Computation of homologous recombination deficiency (HRD) scores
- Ridge Regression Analysis
- Survival Analysis
- Curation and Examination of DDR Fusion Events
- Generating Protein Structural Models at Atomic Resolution
- Molecular Dynamics Simulations
- In-silico expression-based predictor of TP53 inactivation
- DATA AND SOFTWARE AVAILABILITY
SUPPLEMENTAL INFORMATION
Supplemental Information includes seven figures and three tables and can be found with this article online at https://doi.org/10.1016/j.celrep.2018.03.076.
ACKNOWLEDGMENTS
This work was supported by the following grants from the NIH: U54 HG003273, U54 HG003067, U54 HG003079, U24 CA143799, U24 CA143835, U24 CA143840, U24 CA143843, U24 CA143845, U24 CA143848, U24 CA143858, U24 CA143866, U24 CA143867, U24 CA143882, U24 CA143883, U24 CA144025, P30 CA016672, U24 CA010549, and U24 CA010590. Investigators were supported in part by U24CA143843 (N.C., L.L.), U24CA143845 (R.J.M.), CA217891 (T.A.K., N.D., and J.S.), R35GM124985 (Y.S., M.K., and H.C.), GBMF 4652 (C.S.G.), T32 HG000046 (G.P.W.), R01LM012806 (Z.Z., P.K., and P.J.), DOD WB1XWH-12-2-0050, HU001-16-2-0004 (J.L.), and H.H.), WB1XWH-16-1-0237 (R.A.), U24 CA210990 (C.Y.), CA90635 and P01CA193124 (L.L.), P50 CA136393 (C.W.), and the Mayo Clinic Center for Individualized Medicine (M.T.Z. and C.W.). We are grateful to Dr. Allison Kudia (Institute for Systems Biology) for her contributions in forming the graphical abstract.
AUTHOR CONTRIBUTIONS
DDR genes and pathways, T.A.K., L.W., L.L., G.B.M., P.W.L., D.A.W., L.S., R.J.M., and Y.X. Mutations, L.W., C.M., E.S., S.Z., and D.A.W. SCNA, G.F.G., B.F., Y.X., and A.D.C. DNA methylation/gene expression, N.C., H.F., H.S., and A.D.C. Pathway, L.L., G.B.M., R.J.M., and J.N.W. DDR footprint studies, T.A.K., L.W., M.T.Z., N.C., G.F.G., C.M., Q.I., S.Z., S.E., S.G., B.F., C.Y., and D.W. Protein structure, M.T.Z., Y.S., M.K., and H.C. Fusions, P.K., P.J., and Z.Z. TP53 classifier, G.P.W., C.S.G., and L.A.D. Driver analysis, M.H.B. and L.D. Clinical associations, N.C., J.L., and H.H. Editing team, T.A.K., L.W., M.T.Z., N.C., G.F.G., A.D.C., H.F., R.J.M., Y.X., and C.W. Project leadership, R.J.M., Y.X., and C.W.
DECLARATION OF INTERESTS
Michael Seiler, Peter G. Smith, Ping Zhu, Silvia Buonamici, and Lihua Yu are employees of H3 Biomedicine, Inc. Parts of this work are the subject of a patent application: WO2017040526 titled “Splice variants associated with neomorphic sf3b1 mutants.” Shouyoung Peng, Anant A. Agrawal, James Palacinio, and Teng Teng are employees of H3 Biomedicine, Inc. Andrew D. Cherniack, Ashton C. Berger, and Galen F. Gao receive research support from Bayer Pharmaceuticals, GlaxoSmithKline, and Merck based on their External Scientific Review Board of Astrotherapeutics. Anil Sood is on the Scientific Advisory Board, Kiyatec and is a shareholder in BioPath; Nathan S. Serody receives funding from Merck, Inc. Kyle R. Covington is an employee of Castle Biosciences, Inc. Preethi H. Gunaratne is founder, CSO, and shareholder of NextmirRNA Therapeutics. Christina Yau is a part-time employee/consultant at NantOmics. Franz X. Schaudt is an employee and shareholder of SEnigne Precision Medicine, Inc. Carla Grandori is an employee, founder, and shareholder of SEnigne Precision Medicine, Inc. Robert N. Hartmann is a member of the Scientific Advisory Boards and shareholder of SEnigne Precision Medicine and Konica Minolta. John J. Weisenberger is a consultant for Zymo Research Corporation. Joshua M. Stuart is the founder of Five3 Genomics and shareholder of NantOmics. Marc T. Goodman receives research support from Merck, Inc. Andrew J. Gentles is a consultant for Cibere med, Charles M. Perou is an equity stock holder, consultant, and Board of Directors member of BioClassifier and GeneCentric Diagnostics and is involved as an inventor on patents related on the Breast Cancer and Lung Cancer Subtyping areas. Mark A. Meyerson receives research support from Bayer Pharmaceuticals; is an equity holder in, consultant for, and Scientific Advisory Board chair for OrkidMed; and is an inventor of a patent for EGFR mutation diagnosis in lung cancer, licensed to LabCorp; Eduard Porta-Pardo is an inventor of a patent for domainXplorer. Han Liang is a shareholder and scientific advisor of Precision Scientific and Eagle Nebula. Da Yang is an inventor on a pending patent application describing the use of antisense oligonucleotides against specific lncRNA sequence as diagnostic and therapeutic tools. Yonghong Xiao was an employee and shareholder of TESARO, Inc and is employed by Genoscope. Bin Feng is an employee and shareholder of TESARO, Inc. Carter Van Waes received research funding for the study of IAP inhibitor ASTX680 through a Cooperative Agreement between NIDDK and Astex Pharmaceuticals. Richard Ashenhurst is an employee and shareholder of Synapse Bridge, Inc. Peter J. Laird serves on the Scientific Advisory Board for AnchorDX. Joep Terpstra is a consultant at EMD Serono. Kenneth Wang serves on the Advisory Board for Boston Scientific, Microtech, and Olympus. Andrea Califano is a founder, shareholder, and advisory board member of DarwinHealth, Inc. and a shareholder and advisory board member of Tempus, Inc. Toni K. Choueiri serves as needed on advisory boards for Bristol-Meyers Squibb, Merck, and Roche. Lawrence Kwong receives research support from Array BioPharma. Sharon E. Pion is a member of the Scientific Advisory Board for Baylor Genetics Laboratory. Beth Y. Karlan serves on the Advisory Board of Invitae.
Received: August 1, 2017
Revised: March 7, 2018
Accepted: March 19, 2018
Published: April 3, 2018
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## STAR METHODS
### KEY RESOURCES TABLE
| REAGENT or RESOURCE | SOURCE | IDENTIFIER |
|---------------------|--------|------------|
| **Deposited Data** | | |
| Pan-cancer mutations | TCGA MC3 AWG | https://gdc.cancer.gov/about-data/publications/mc3-2017 |
| ABSOLUTE-based SCNA scores | TCGA aneuploidy AWG | Taylor et al., 2018 |
| Gene expression data | TCGA PanCanAtlas | https://gdc.cancer.gov/about-data/publications/pancanatlas |
| Methylation | TCGA PanCanAtlas | https://gdc.cancer.gov/about-data/publications/pancanatlas |
| RPPA | TCGA PanCanAtlas | https://gdc.cancer.gov/about-data/publications/pancanatlas |
| Clinical annotation | TCGA PanCanAtlas | Liu et al., 2018 |
| Replication timing | Chen et al., 2010; Yue et al., 2014 | N/A |
| ChimerDB 3.0 | Lee et al., 2017 | ercsb.avha.ac.kr/fusiongene |
| Tumor fusion gene data portal | N/A | http://www.tumorfusions.org |
| **Software and Algorithms** | | |
| NAMD | Phillips et al., 2005 | http://www.ks.uiuc.edu/Research/namd |
| CHARMM27 with CMAP | Mackerell et al., 2004 | N/A |
| FoldX | Schymkowitz et al., 2005 | http://foldxsuite.crg.eu |
| Birewire | Gobbi et al., 2014 | N/A |
| EPEPT | Knijnenburg et al., 2009, 2011 | N/A |
| CompositeDriver | N/A | https://github.com/khuranalab/CompositeDriver |
| TP53 classification | this article | https://github.com/greenelab/pancancer |
| NibFrag | | http://users.soe.ucsc.edu/~kent/src/ |
| STRING database (version 10.5) | Szklarczyk et al., 2017 | https://string-db.org/ |
| **Other** | | |
| Online Resource with detailed data tables, gene and pathway annotations, and additional supplementary data | this article | see Data and Software Availability |
| MSigdb v5.0 | N/A | http://software.broadinstitute.org/gsea/msigdb/collections.jsp |
| DNA repair gene list | N/A | https://www.mdanderson.org/documents/Labs/Wood-Laboratory/human-dna-repair-genes.html#Human%20DNA%20Repair%20Genes |
### CONTACT FOR REAGENT AND RESOURCE SHARING
Further information and requests for additional analysis details should be directed to and will be fulfilled by the Lead Contact: Chen Wang (firstname.lastname@example.org).
### EXPERIMENTAL MODEL AND SUBJECT DETAILS
We used TCGA PanCanAtlas cancer samples defined by the whitelist commonly agreed upon by TCGA Analysis Working Groups (AWGs) ([Data and Software Availability](#)) for all analyses. These 9,125 samples encompassed 33 different histopathologic cancer types representing most major classes of human adult cancer. Some analyses were performed for 32 cancer types, with a 33rd type, AML (LAML) excluded in selected analyses as indicated. While a complete analysis of this cohort’s overall demographics are beyond the scope of this paper, relevant demographic factors such as biologic gender, patient age and disease characteristics were accounted for and are noted when reporting the results of specific analyses.
METHOD DETAILS
DNA Damage Repair Pathway Curation
DNA damage repair (DDR) gene list including 276 genes was assembled from relevant gene lists including MSigDB v5.0 (see Key Resources Table), an online catalog of DDR genes from recently published resources (Pearl et al., 2015; Key Resources Table), and knowledge-based curation of information on specific DNA repair pathways or subpathways (see, e.g., Bell and Kowalczykowski, 2016; Kowalczykowski, 2015) on HR and HR-associated subpathways). Three-quarters (n = 211, 76%) of these 276 genes encompassed nine major DDR pathways: base excision repair (BER), nucleotide excision repair (NER), mismatch repair (MMR), the Fanconi anemia (FA) pathway, homology-dependent recombination (HR), non-homologous DNA end joining (NHEJ), direct damage reversal/repair (DR), translesion DNA synthesis (TLS), and nucleotide pool maintenance (NP) (Brown et al., 2017; Friedberg et al., 2004; Jeggo et al., 2016; Pearl et al., 2015; Tubbs and Nussenzweig, 2017). The remaining 65 genes have been linked to more than one DDR pathway, or coordinate cellular and molecular responses to DNA damage, and thus may represent an important focus for DDR pathway-associated therapeutic development (Brown et al., 2017; Pearl et al., 2015). The complete gene list is contained in Table S1.
Alteration summary for DDR pathways across cancer types
In order to provide a comprehensive overview of alterations in DDR genes, we combined three data sources of binary alteration calls in terms of loss-of-function events: 1), Deleterious mutations from exome sequencing; 2), Deep deletions from GISTIC calls; and 3), Epigenetic silencing through methylation versus expression analysis. Aggregation of the three data types and integration with whitelisted samples resulted in binary calls across 9,125 samples (see Data and Software Availability).
Overall alteration scores were computed by merging three binary calls, i.e., a sample was called altered for a gene if it was mutated, deleted and/or epigenetically-silenced. A sample was called altered for a DDR pathway if at least one gene in the pathway was altered. A permutation test was performed to analyze whether the alteration percentages in the DDR pathways were enriched or depleted (higher or lower than expected) using a null model for which the genes were randomly assigned to each of the pathways. A gene-pathway graph is used to denote gene to pathway membership relationship. A total of 1,000,000 permuted gene-to-pathway graphs were generated using Biwire (Gobbi et al., 2014) Permutated alteration percentages were then compared to the actual percentages using the standard permutation test (Knijnenburg et al., 2009, 2011). Additionally, we analyzed whether alterations of different types tended to be mutually exclusive or co-occurring. For each combination of a cancer type and DDR pathway, we have three binary vectors that indicate for the samples of that cancer type whether at least one gene in a DDR pathway was mutated, deleted or silenced. These vectors were randomly permuted 100,000 times, after which the original alteration percentage is compared with the permuted percentages.
Filtering and functional annotation of somatic mutations in DDR genes
A total of 313,497 somatic mutations in 276 curated DDR genes were selected from the MC3 MAF (v0.2.8) and underwent the following stepwise filtering process (Figure S1C). In brief, “PASS” filter mutations were selected and supplemented manually with mutations called in whole-genome amplified (wga) samples and by gap-filler assays that were not marked with the “PASS” filter tag. Mutations with low mutant allelic fractions and mutations that had a low variant coverage were then removed. Thereafter, common variants reported in ExAC, the Phase-3 1000 Genomes Project or in the ESP6500 databases were removed. The intronic mutations, the mutations in 3’ or 5’ UTR regions or UTR flanking regions, silent mutations, and small, in-frame insertions and deletions were also removed. Mutations were removed if samples were duplicate-sequenced, marked as PanCanAtlas “Do not use” samples, or not included in the MC3 exome bam free best pairing samples. Approximately 89% of raw mutation calls were filtered out by this process, leaving a final list of 279,002 mutations that were used for further analysis.
To estimate the probability of missense mutations being damaging, we further annotated these missense mutations using six commonly used functional prediction algorithms (Figure S1D): PolyPhen-2 (Azizhubei et al., 2013), SIFT (Kumar et al., 2009), Mutation Taster (Schwarz et al., 2014), Mutation Assessor (Reva et al., 2011), LR and LRT (Chun and Fay, 2009). The missense mutations that were called as “deleterious” or “damaging” by four or more algorithms were defined as “deleterious” mutations. TP53 hotspot mutation substitutions such as R175H and R273H that didn’t meet this threshold were manually rescued.
DDR gene epigenetic silencing events
Illumina Infinium DNA methylation bead arrays, including both HumanMethylation27 (HM27) and Human Methylation450 (HM450), were used to assay 9,106 cancer samples (i.e., 8,588 primary solid cancers, 361 metastatic cancers and 159 blood malignancies) across 33 different cancer types, together with 1,066 adjacent normal samples. We excluded 19 normal prostate samples for potential label switching as identified by the Working Group and confirmed by pathology re-review. An external HM450 brain dataset containing 58 sorted neuronal and glial cells (Guinivanlo et al., 2013) from post-mortem frontal cortex of normal individuals was introduced as a normal control as GBM had only two adjacent normal samples, as were 60 sorted blood samples from 6 healthy individuals examined by HM450 (Reinius et al., 2012)). Data from HM27 and HM450 were then combined and normalized using a probe-by-probe proportional re-scaling method to yield a common set of 22,601 probes with comparative methylation levels. Briefly,
we modeled the difference between HM27 and HM450 by two different technical replicates (TCGA-07-0227/TCGA-AV-A03D, measured 44/198 times and 12/169 times on HM27 and HM450, respectively), and applied a proportional rescaling method to remove platform effects.
Probes located within potential promoter regions (upstream and downstream 1500bp flanking regions of Transcription Start Sites (TSSs) of all annotated transcripts by UCSC) of the 276 DDR genes were examined for evidence of epigenetic silencing. We started with such probes that are consistently unmethylated (median beta value < 0.2) in each of the normal tissue types as well as sorted blood cells. Within each cancer type, for each probe/gene pair, the gene expression was first Z-score transformed using the mean and standard deviation calculated with the unmethylated cancer samples (i.e., sample with a beta value of (0, 0, 1)). Samples across all cancer types were then pooled together. We chose the probes that exhibited epigenetic silencing using the following criteria: 1) at least 5 samples were observed with a beta value of 0.3 or above (defined as the methylated group); 2) mean Z score of the methylated group was lower than –1.65; 3) FDR-corrected p value according to one-side t test on Z scores was lower than 1e–2 between unmethylated and methylated group; and 4) the maximum beta value of the methylated group was higher than 0.75. Probes meeting these standards were retained to summarize epigenetic silencing events at the gene level. For genes with only one retained probe, a beta value cutoff of 0.3 was applied to call their silencing status, while genes with multiple probes left, the cutoff was relaxed to 0.2 but requiring that greater than half of the probes consistently silenced for that gene.
For DDR gene *RAD51C*, there were no common probes located in the promoter region. However, probe cg14837411 on HM27 and probe cg27221688 on HM450 were only 100bp apart and both correlated with gene expression. We manually added these back based on a beta value cutoff of 0.2 or above and combining both probes to call *RAD51C* epigenetic silencing.
**Determination of deep deletions of DDR genes and SCNA-based DDR scores**
Binary deep deletion calls were made using output from a PanCan GISTIC2.0 run on the samples (Merrem et al., 2011). GISTIC calls of –2 (indicating a loss of more than half of baseline ploidy) were called as deep deletions. Deep deletion calls were transformed into binary matrix format and made available in the (see Data and Software Availability).
The two SCNA burden scores (number of segments and fraction of genome altered) were computed using relative copy number segment data (see Data and Software Availability). For the first score, we counted the number of segments present in the copy number profile for each TCGA sample, and for the second score, we took the percentage of base pairs present in the copy number profile for each sample that belonged to segments with either greater than 0.1 or less than −0.1 log2 fold-change from baseline ploidy. All SCNA burden scores are available in Data and Software Availability.
The aneuploidy score reports the total number of arm-level amplifications and deletions in each cancer and was computed using ABSOLUTE (Carter et al., 2012) and an arm-level clustering algorithm, as described in Taylor et al. (2018). The two LOH scores (total number of segments with LOH events and fraction of genome containing LOH events) were computed directly using output from ABSOLUTE (Carter et al., 2012). All aneuploidy and LOH scores are available online (see Data and Software Availability).
**Computation of homologous recombination deficiency (HRD) scores**
We calculated HRD scores following previous published 3 components of HRD/genome scarring scores: HRD-LOH (Abkevich et al., 2012), LST (Popova et al., 2012), NIAL (Birkbak et al., 2012) and the implementation of a sum of the three (Marquard et al., 2015). Segment LOH and SCNA were generated by TCGA Network Aneuploidy AWG using ABSOLUTE (Carter et al., 2012)
**Ridge Regression Analysis**
Bayesian ridge regression was performed on 276 DDR genes using alteration status and encoding tumor type as 33 additional binary variables. HRD scores were modeled for 8464 tumor samples (MSI-high and POLE mutant samples were excluded from this analysis). Maximally uninformative gamma-distributed priors with shape and rate parameters equal to 0.1 were used for the precision of coefficients weighting and regularization factor. Coefficient significances were computed by first dividing the coefficient values by the square roots of the diagonal elements of the variance-covariance matrix of the weights to obtain coefficient t-statistics, and then by performing two-tailed t tests with 8326 degrees of freedom on these values. The regression was performed in Python-3.6.3 using the linear_model module in scikit-learn-0.19.1.
**Survival Analysis**
We evaluated clinical outcomes associations using newly developed, well-validated clinical data for each cancer type by the PanCanAtlas Survival Working Group’s paper and following their recommendations (Liu et al., 2018). Their analysis was based on clinical outcomes data from primary sources that were analyzed with extensive quality control and validation.
We considered two primary clinical outcomes: overall survival (OS), defined as “the period from date of diagnosis until death from any cause”, and progression free interval (PFI), defined as “the period from date of diagnosis until the occurrence of an event in which the patient with or without the tumor does not get worse.” Within each cancer type, we dichotomized the cohort according to the median score of each DNA damage footprint score to create two groups (high versus low) for survival comparisons. For a given cancer type, we fit univariate and multivariate Cox proportional hazard models using the DDR footprint score group as a predictor.
For multivariate models, we considered age, tumor grade, and tumor American Joint Committee on Cancer pathology stage as covariates. We divided cancer grade into two categories of “low-grade” for grades 1-2, and “high-grade” for 3-4. Cancer stages were grouped as “early” for stages I and II, and “late” for stages III and IV. Additional covariates such as subtype, gender and race were considered but not used because of sparsity or convincing evidence for inclusion. For each set of DDR footprint Cox models, we applied the Benjamini-Hochberg correction to control the false discovery rate for DNA damage footprint scores.
**Curation and Examination of DDR Fusion Events**
We downloaded 30,001 fusion gene (FG) transcript candidates from the ChimerSeq module of ChimeraDB 3.0 (December 2016) (Lee et al., 2017). By overlapping these putative fusion genes with 276 DDR genes, we identified 889 fusions involving 224 DDR genes. Among these, 464 FGs including 173 DDR genes were derived from TCGA cancer samples. To reduce false positives, we used read count information together with FusionScan, TopHat-Fusion, and PRADA. Following their filtering criteria, we used fusion transcripts having $\geq$ 2 seed/junction reads for FusionScan and PRADA analyses, and those with $\geq$ 100 spanning pairs for TopHat-Fusion analyses that identified 289 FGs. We were able to augment these with 343 additional FGs involving 141 DDR genes by downloading putative FGs from TCGA Fusion Data Portal using our 276 DDR genes as a query (September 2016) (Yoshihara et al., 2015). Combining these two FG datasets we identified 488 FGs involving 174 DDR genes in 477 cancer samples.
We next checked the read alignments for each DDR fusion gene. RNA-seq data of 477 samples were downloaded using gdc-client. BAM files were processed to obtain unmapped reads only using Bowtie2. We created fusion transcript composed of 100 bp sequences before and after break points using nibFrag, one of the BLAT Suite of programs. After creating a 200 bp length index of each fusion transcript, we aligned the unmapped reads to this fusion sequence index, then manually checked the read alignments. If a FG had at least one 20nt-20nt seed spanning read at the break point with a stair-shaped mapping of all reads we considered this a high likelihood gene fusion. This analysis identified 192 high likelihood FGs involving 108 DDR genes in 209 cancer samples.
**Generating Protein Structural Models at Atomic Resolution**
We began our structure-based analysis from UniProt canonical isoform sequences, and searched the PDB (Berman et al., 2000) for existing experimental structures. Experimental structures exist for human POLO domains including the DEAD-box, Helicase, Sec63, and polymerase. The first three domains were solved in a single crystal structure, 5A9J (Newman et al., 2015). The polymerase domain is available in 4X0P (Zahn et al., 2015). We will abbreviate these POLOQ structures as DHS and Pol, respectively, that together encompass 65% of the POLOQ protein. No experimental structure exists for full-length human POLE. Thus we utilized the high-resolution experimental structure from yeast (4MBO (Hogg et al., 2014); 57% sequence identity) to generate our initial model (Roy et al., 2010) of the first 1155 amino acids of POLE that encompasses the polymerase and exonuclease domains.
Experimental structures for full-length human POLD1 and HMF1 are also lacking. Thus we utilized homology modeling using as templates 3IAY (Swan et al., 2009) (52% identical), and 4KT (Mozaffari-Jovin et al., 2013) (31% identical), respectively. The structure of human BLM was taken from 4CGZ (Newman et al., 2015) and TOP3A from 4CGY (Bocquet et al., 2014). ERCC2 has been solved (5IVW (He et al., 2016)), but at 94% sequence identity. Thus homology modeling was used to update the experimental structure to the target wild-type sequence.
The remaining proteins for which we applied molecular modeling (Figure 4) are available in the PDB at > 95% sequence identity. We used homology modeling to revert protein to wild-type sequences and to fill in missing loops. FoldX (Schymkowitz et al., 2006; Van Durme et al., 2011) was used to perform *in silico* mutagenesis and side chain rotamer optimization, and to calculate $\Delta \Delta G_{\text{fold}}$ for each variant. Results are summarized and visualized in Figure 4 and Figure S5.
**Molecular Dynamics Simulations**
In order to provide a detailed assessment for the most recurrent variants in selected DDR proteins ($n = 86$; observed in at least 2 samples for POLO or 3 samples for others), we utilized Generalized Born implicit solvent molecular dynamics (MD) simulations, which were carried out using NAMD (Phillips et al., 2005) and the CHARMM27 with CMAP (Mackerell et al., 2004) force field. We utilized an interaction cutoff of 12Å with strength tapering (switching) beginning at 10Å, a simulation time step of 1fs, and conformations recorded every 2ps. Each initial conformation was used to generate 2 replicates that were each independently energy minimized for 10,000 steps, followed by heating to 300K over 0.5ns via a Langevin thermostat and a further 6ns of simulation, generated at 2fs/step with the final 5ns analysis. Implicit solvation accelerates system kinetics due to lack of explicit motion by the solvent required for solute motion. For POLE we studied in greater depth the recurrent V411A/D/I/L/M and P286R substitutions. For each, 30ns of simulation trajectory was generated after minimization and heating, for each variant in triplicate, and the final 20ns analyzed. Across the 6 variants plus the WT, 640ns of MD trajectory was generated. All proteins were modeled without substrate (as apo structures). In total, 1118ns of MD trajectory was generated and used to better understand the differences in effect of different protein variants on dynamics.
All MD trajectories were first aligned to the initial wild-type conformation of each protein using C$^{\alpha}$ atoms. Root Mean Squared Deviation (RMSD) was calculated using C$^{\alpha}$ atoms. Principal Component (PC) analysis was performed in Cartesian space. Analysis
was carried out using custom scripts, leveraging VMD (Humphrey et al., 1996) and the Bio3D R package (Grant et al., 2006). Protein structure visualization was performed in PyMol (The PyMOL Molecular Graphics System, Version 18.104.22.168, Schrödinger, LLC) and VMD.
We used wild-type simulations as a benchmark for determining if variants altered the intrinsic dynamics of each protein ($\Delta P_C$). We first identified the region of PC space sampled by the densest 90% of each protein WT simulation (Figure S5). If the median PC coordinate for a variant was outside of this region, we considered the variant to have altered the activation of the corresponding PC motion. Differences in folding energy were classified as moderately ($\Delta \Delta G_{\text{fold}} \geq 1 \ k_B T = 0.6 \ \text{kcal/mol}$) or strongly ($\Delta \Delta G_{\text{fold}} \geq 3 \ k_B T = 1.8 \ \text{kcal/mol}$) destabilizing.
**In-silico expression-based predictor of TP53 inactivation**
We trained a classifier to use RNA-seq expression data to predict *TP53* functional status. In brief, we trained a logistic regression classifier with an elastic net penalty using the Scikit-learn implementation of stochastic gradient descent (Pedregosa et al., 2010). The labels ($y$) for the supervised task included samples with MC3 annotated deleterious *TP53* mutations (samples with silent mutations were considered *TP53* wild-type) and samples with *TP53* deep copy number loss as predicted by the GISTIC2.0 algorithm (Mermel et al., 2011). We included cancer-types in the model that had greater than 15 samples in each class, and between 5% and 95% of samples in both classes. Other samples were removed (see Figure S6A). The features ($X$) consisted of the 8,000 most variably expressed genes by median absolute deviation (MAD). We dropped expression of *TP53* itself from the features to prevent the model from relying on target gene data. MAD genes were z-scored and concatenated with binarized dummy variables for all cancer types and mutation burdens (total log10 mutation count) to adjust for potential confounding factors. To reduce the effect of mutation burden confounding, we also removed outlier samples with the most extreme hypermutation phenotypes (> 5 standard deviations above the mean log10 mutation count). The goal of the classification scheme was to determine the weights ($w$) that minimize the following objective function:
$$P(y_i = 1 | X_i) = f(X_i; w) = \frac{1}{1 + e^{-w \cdot x_i}}$$
$$L(w | X) = - \sum_{i=1}^{n} y_i \log f(X_i; w) + (1 - y_i) \log(1 - f(X_i; w))$$
$$w = \argmin_w L(w | X) + \lambda \sum_i ||w||_1$$
Where $i$ indexes samples, $p$ indexes genes, $\lambda$ and $\lambda$ are regularization and elastic net mixing hyperparameters, respectively. We selected optimal hyperparameters by balanced 5-fold cross validation with the goal of inducing a sparse solution. We also used a balanced 10% held out set to test the performance of the classifier on data that was not used for training or hyperparameter optimization. We fit the final model on the remaining 90% of the data and report performance using receiver operating characteristic (ROC) curves and area under the ROC curve (AUROC) metrics.
We manually selected an *a priori* set of genes known to interact with *TP53* for our phenocopying experiment (L.A. Donehower, unpublished data). We tested *MDM2*, *MDM4*, and *PPM1D* amplifications, *CDKN2A* deletions, and *ATM*, *ATR*, *CHEK1*, *CHEK2*, *CREBBP*, and *RPS6KA3* mutations. For the copy number tests, we included both deep and shallow alterations in the altered set compared to cancers with wild-type profiles only. We removed tumors with deleterious *TP53* mutations or deep copy number loss ($n = 4,037$). From the remaining 5,629 tumors, we removed 219 hypermutated cancers leaving an analytic set of 5,410 cancer samples. We performed independent t-tests and calculated Cohen’s D effect sizes comparing the assigned *TP53* classifier scores for wild-type against altered cancers. We considered variations significant if they were less than a Bonferroni adjusted p value ($p > 0.005$). We visualized the results in a network diagram presented in Figure 5E. The underlying interaction network was downloaded from the STRING database (version 10.5) (Szklarczyk et al., 2017). The thickness of edges in the STRING network display interaction confidence and were generated by experimental data. Note that there are no direct interaction edges between *RPS6KA3* and *TP53* and *PPM1D* and *TP53*.
We provide materials under an open source license to reproduce and expand upon this analysis at https://github.com/greenelab/pancancer. Additional details, including benchmarking analyses, are provided in Way et al. (2018).
**DATA AND SOFTWARE AVAILABILITY**
The raw data, processed data and clinical data can be found at the legacy archive of the GDC (https://portal.gdc.cancer.gov/legacy-archive/search/) and the PanCanAtlas publication page (https://gdc.cancer.gov/about-data/publications/pancanatlas). The PanCanAtlas publication page includes a dedicated data resource related to this manuscript. This resource contains alteration
calls for the 276 DDR genes as well as the 43 DDR footprint scores across all TCGA samples. The mutation data can be found here (https://gdc.cancer.gov/about-data/publications/mc3-2017). TCGA data can also be explored through the Broad Institute FireBrowse portal (http://gdac.broadinstitute.org) and the Memorial Sloan Kettering Cancer Center cBioPortal (http://www.cbioportal.org). Details for software availability are in the Key Resource Table.
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CURRENT BANKING PROBLEMS
An Address Delivered By
Hon. LEO T. CROWLEY
Chairman, Federal Deposit Insurance Corporation
Before the
NEBRASKA BANKERS ASSOCIATION
LINCOLN, NEBRASKA
NOVEMBER 4, 1937
CURRENT BANKING PROBLEMS
Mr. Chairman, ladies and gentlemen:
I was gratified to receive an invitation to meet with you today. Not only is it a pleasure for me to be in Nebraska and to visit with you bankers; I appreciate, too, the opportunity to discuss some of our mutual problems and to bring you up to date on what the Federal Deposit Insurance Corporation is trying to accomplish. I have long felt that bank supervisors were far too secretive about their problems and their policies and that as a consequence bankers either lost all interest in the aims of supervision or attached to supervisory moves an air of mystery. It is my hope, therefore, by a frank presentation and a free discussion of our problems to remove any cloak of mystery that still may surround the activities of the Federal Deposit Insurance Corporation, to give you a clear conception of the problems which face the Corporation, and to ask your help in the solution of these problems.
Federal deposit insurance compared with old State guaranty plans
The existence of your Deposit Guarantee Fund in Nebraska from 1911 to 1930 indicates an early realization in this State that something had to be done to prevent losses to depositors. It is true that the Fund was not as successful as had been hoped, but its creation showed a desire to end the economic waste and the individual suffering which the loss of depositors' funds had caused through the years. Further, as was the case with other Statewide attempts at deposit insurance or guaranty, the experience with the Nebraska plan served as a guide to framers of the Federal deposit insurance scheme and enabled them to avoid many pitfalls which had worked to the detriment of State-wide plans.
There can be little question but that the localization of risk, discrimination among classes of banks, insufficient powers of control over banking practices, the lack of discretion over bank chartering, inadequate income, and untimely assessments, were the chief causes for collapse of the State insurance or
guaranty systems. An attempt has been made in creating the Federal Deposit Insurance Corporation to overcome these fundamental sources of weakness.
The Statewide plans were vulnerable to the effects of such local catastrophes as drought, flood, and insect plagues. In every instance the plans were inaugurated in States which had suffered severely from similar disasters and which, being predominantly agricultural, were most likely to suffer again. By encompassing in its membership banks throughout the entire nation the Federal Deposit Insurance Corporation is better protected against the calamitous effects of these local catastrophes and of the regional economic recessions which occur periodically. The Corporation has been and should continue to be able to meet these occasional emergencies as part of its routine operations and so to keep the country's banking structure as a whole constantly healthy and capable of withstanding adverse movements of the business cycle.
A further source of weakness in the State plans lay in the inability of national banks to cooperate. As a consequence of this discrimination, it was not unusual for State banks to participate in the benefits of the plans until the going became difficult and the benefits expensive, when they converted to national charters and so increased still further the load upon the banks which had to pay the bill. Federal deposit insurance is predicated upon the participation of all banks all of the time. Although membership is not required of State banks not members of the Federal Reserve System, the vast majority of these banks have joined the Corporation voluntarily. Efforts to avoid responsibility in times of stress by withdrawing from insurance will be discouraged by the provision that insurance of deposits in withdrawing banks shall continue for two years after their withdrawal and that the banks must continue to pay assessments during this period.
There can be no insurance on a sound basis without the power to select the insured risk. In Nebraska, as in most of the other States which attempted deposit guaranty, the Superintendent of Banks had, during most of the life of the plan, no discretion with respect to the chartering of new State banks. He was required by law to grant charters to all applicants who complied with the minimum provisions set up by law. As a consequence, there occurred between the inception of the plan
and the agricultural collapse of 1920 and 1921 an unwarranted and a thoroughly unhealthy expansion in the number of State banks. While the FDIC has no direct control over the chartering of banks, it does have the power to pass upon the admission of banks to insurance. In effect this power discourages the organization of institutions which cannot qualify for insurance. This situation has been further improved through the acquisition by nearly every State banking supervisor of discretionary authority over the issuance of charters.
The actual corrective powers of bank supervisory officials have always been somewhat less than is commonly believed. For the most part, the only statutory weapon granted supervisors to enforce observance by banks of legal requirements and sound banking practices has been to place the offending bank in liquidation. Naturally, authorities have hesitated to apply so drastic a measure. The obvious results of this lack of corrective power were the abuses perpetrated by a few unscrupulous bankers, the accumulation of unsound assets, the payment of unearned dividends, and similar practices which made so many of our institutions vulnerable and sent them to the wall when economic developments took an unfavorable turn. The Federal Deposit Insurance Corporation does have power to influence the banking practices of its members through its authority to terminate insurance for cause. We are exerting that influence with notably beneficial results.
The arrangements for financing the various State insurance or guaranty schemes varied widely but were generally inadequate and illogical. In cases where a regular income from assessment upon insured banks was provided, the assessment bore no relation to previous loss experience or to the ability of banks to pay. In all of the guaranty States except one the only means provided for meeting unusual demands upon the funds was by levying special assessments upon participating banks to meet losses as they arose. Naturally, the losses were greatest following catastrophes or periods of declining values when banks were uniformly hard pressed and therefore least able to bear an additional drain upon their profits or reserves. It is quite likely that this method of financing pushed into insolvency many banks which otherwise might have been able to pull through. It is true that the Corporation's assessment income is only one-third as great as would have been required
to cover losses occurring during the seventy years preceding its creation. Congress has felt, however, that the improved condition of the banking structure and higher standards of bank supervision will compensate for this difference. In case of necessity arising from an accumulation of deposit insurance losses the Corporation is empowered to issue its debentures to a maximum of more than one billion dollars, with a par market for $500,000,000 of these obligations guaranteed by the Treasury and the Reconstruction Finance Corporation. Exercise of its borrowing power, should the need arise, will enable the Corporation to avoid placing a heavier load upon insured banks during difficult times.
**Current FDIC payoff and loan statistics**
As you all know, the Federal Deposit Insurance Corporation is charged by popular and Congressional mandate with responsibility for protecting from loss the funds of depositors in insured banks. From the beginning of deposit insurance to October 1, 1937, 151 insolvent insured banks were placed in receivership or merged with the aid of loans by the Corporation. The 210,219 depositors in these banks, having total deposits of $59,237,000, were protected to the extent of $55,786,000, or more than 90 percent of their claims by insurance, offset, pledge of security, preferment, or through loans and purchases of assets by the Corporation. All but 574, or less than one-half of 1 percent of the depositors in the suspended banks, were fully protected against loss. Of the 151 banks 108, with deposits of $31,050,000, were placed in receivership and 43, with deposits of $28,187,000, were merged with other banks with the aid of loans and purchases of assets by the Corporation amounting to $12,709,000.
**Need for building and maintaining sound banking system**
Should the loss record of the last seventy years recur, however, neither the Corporation nor the banks could bear the cost that insurance of deposits would involve. The alternative lies in building and maintaining a strong, well managed banking system, capable of withstanding adverse turns of the business wheel and sound enough to keep losses at an irreducible minimum. It is towards achievement of this alternative that the Corporation is directing its most earnest efforts. It is only through achievement of this alternative that deposit insurance can succeed at a reasonable cost to banks. Finally, since the collapse of deposit insurance would almost certainly result in drastic revision of our present system of banking, I do not hesitate to say that it is only through achievement of this alternative that you bankers can hope to perpetuate the system of independent unit banking which you profess to hold so dear.
The channels through which the Corporation is directing its efforts to build for better banking are shaped by our three broad supervisory powers, namely: control of the admission of banks to insurance, control of the activities and practices of insured institutions, and the power to terminate a bank's insured status for cause.
**Admission of new banks to insurance**
The Directors of the Corporation are determined to approve for insurance only institutions which can be justified on the basis of real need, which have reasonable earnings prospects, which are adequately capitalized for their probable volume of business, and which are to be managed by men of proven ability. We are unalterably opposed to the chartering of institutions which are economically unsound and likely to fail. There is no doubt that some communities, now bankless, could support and should have banks. On the other hand, many communities even today have more banks than they can support. I believe that the issuance of new charters should occupy a place on the agenda of supervisors quite subordinate to their efforts to strengthen and make profitable the institutions which are already in existence.
I am confident you will agree with the desirability of restricting the number of new institutions chartered, and I believe you will endorse the factors upon which we base our approval or disapproval of proposed new banks for insurance. It is essential for the welfare of our banking system that the excesses of the past be not repeated. Certainly no deserving community should be deprived of banking facilities, but just as certainly no new institution should be chartered unless the chances for successful operation are heavily in its favor.
Provision for unprofitable existing banks
The Corporation is equally concerned with the problem of existing institutions which are operating unprofitably and drifting steadily into an unsecure position. In cooperation with the several State supervisors of banking we are undertaking a survey of the banking needs and of the banking facilities of each State. We propose, when this survey is completed, to use its findings as a basis for recommending consolidation or relocation of unprofitable banks in an effort to strengthen the structure within each State and so to serve the best interests of both depositors and stockholders.
Branch banking no answer
It might be pertinent to state here that I do not believe the sort of branch banking which is currently so general a topic of conversation and resolutions represents a solution to the problem of our bankless and marginal towns. Any town that can support a full-time branch can support a unit bank. Iowa, Wisconsin, and several other States have found a partial answer to this problem through the installation of paying and receiving windows which can be operated at a nominal cost or part-time banking offices, which serve bankless towns two or three times a week. Whatever the proper answer may be, I firmly believe that the extent of branch or bank office banking is a matter for determination by each State, and that regulations adopted by a State should govern the status of all banks within its boundaries.
So much, then, for the Corporation's interest in changes in the banking structure.
Supervision of insured institutions
Supervision of the operations and practices of its membership is naturally a vital concern of the Corporation. Bankers would have little respect for a fire insurance company which did not periodically check the condition of buildings it insured. It is just as necessary that the Corporation follow closely the condition and the trends of institutions composing its membership.
Our supervision of insured banks is predicated upon fundamental principles which the years have proved sound and with which bankers can have no quarrel.
We contend that losses should be taken as they arise and that strong capital cushions should be provided to absorb losses and fluctuations in value which cannot be anticipated. Look at the thousands of institutions which failed during the last fifteen years because they refused to follow this fundamental rule. We assert that there is no justification for banks distributing as dividends profits they may have made on the sale of assets at a price greater than cost, and that all such profits should be set aside as reserves against the time when it may be necessary to dispose of assets at a price less than cost. Is there one of you who would countenance a write-up of his inventory by one of your borrowers? We insist that unsafe and unsound practices have no place in the business of banking. Show me a good banker who thinks otherwise.
These are fundamental principles, the very rudiments of sound banking, and they should form part of the credo of every banker in this country. The bank that cannot operate profitably by following these rules and by investing only in sound assets has no place in our banking system. The banker who speculates with the funds of his depositors and stockholders or who otherwise abuses his position of trust is directly responsible for the unpleasantly notorious reputation of bankers in recent years. I say that every such man should be drummed out of the profession. There is no reason why sound banking and profitable banking cannot be reconciled. Neither is there any reason why sound and profitable banking should not become the rule in this country. The cooperation of you bankers is indispensable, however, if we are to reach this goal.
An address I delivered recently before the Kentucky Bankers Association stressed the desirability of keeping the supervisory structure of laws and regulations governing bank operations at a minimum. I favor leaving as wide a field as possible open to the exercise of their judgment and discretion by bankers. Yet, as I pointed out in Kentucky, the boundaries of this field are actually determined by the results of this exercise of initiative by bankers, as reflected in the soundness of their institutions and the safety of their depositors' funds. More stringent regulation of the banking business has been brought about principally through misuse of their privileges by bankers. The course of future regulation will depend chiefly upon how bankers meet their responsibilities.
Termination of insured status
It has fortunately been necessary for the Corporation to use its power to terminate a bank's insurance in only a very limited number of cases. Most insured banks promptly correct objectionable practices which are discovered by the Corporation's examiners. In obdurate cases the intervention of the State or national supervisory authority has generally sufficed to hasten corrective action. The power of expulsion enables the Corporation to protect both itself and well managed insured banks from the losses which follow unrestrained indulgence in unsafe and unsound practices. This power rounds out the prerogatives granted the Corporation in order that its insured membership may constantly be maintained at a quality consistent with the principles of insurance, and in order that depositors may be adequately protected against loss at a reasonable cost to insured banks.
Some aspects of banking situation in Nebraska
Turning now to the banking situation in your own State, I should like to discuss with you a few of the problems which seem to me most vitally to affect the course of banking improvement in Nebraska. By way of approach, let me say immediately that my sympathy with the problems of Nebraska extends much farther back than my connection with the Federal Deposit Insurance Corporation. I believe I can understand the sentiments and the point of view of your Nebraskans. I grew up in a frontier State, and I appreciate fully the impetus given to our national economic development by those courageous pioneers, the country bankers. I believe that the merits of our dual system of independent unit banking by private enterprise outweigh its weaknesses, and I shall support that system so long as it functions with the safety of depositors' funds as the primary controlling factor.
I should like also to draw your attention to the fact that no other agency or group of people has so great a financial concern with the wellbeing of the banking system as has the Federal Deposit Insurance Corporation. The Corporation's potential twenty billion dollar liability in insured banks ranks it far ahead of stockholders and individual depositors as the principal beneficiary of soundness for this country's banks. Our concern
with the banking problems which still exist in various States is therefore, easy to understand. It is logical that this concern should be shared by you bankers who, in the last analysis, pay the bill when our liabilities become payable as a result of bank closings.
The Corporation's experience in Nebraska has been characterized by splendid cooperation on the part of your Department of Banking. To your Superintendent of Banks, Mr. Saunders, to his very capable Deputy, Mr. McLain, and to the other members of the Department's staff I voice our thanks for their invaluable aid and our hope that this friendly relation will long continue.
Recent chartering history
The principal problem of banks everywhere is that of profitability. No bank can long survive unless it is a profitable enterprise. I have stated already our determination that profits shall be obtained only through sound bank operations which do not imperil depositors' funds. Speculative ventures cannot be tolerated. Neither can we look with favor upon the tendency of many banks to capitalize upon their local monopoly by charging exorbitant rates of interest upon extensions of credit to their customers.
In order to protect their opportunities for legitimate profit, Nebraska banks should encourage extreme care in authorizing additional banks in the State. New banks will generally aggravate an already thin situation. A total of sixteen new State charters were granted in Nebraska between January 1, 1934 and October 1, 1937. Three of these institutions have already ended their brief careers through voluntary liquidation.
Two points seem to me worthy of comment in connection with recent chartering history in Nebraska. In the first place seven of the sixteen institutions I mentioned came into being as noninsured banks. I believe that no bank should be chartered unless it is admitted to insurance at the time it begins business. However strong and however lucky the management of an individual institution may be, it is absolutely unfair to depositors to accept risks which are beyond the control of the bank manager concerned. The sins of our neighbors can react potently upon our own institutions, and it behooves bankers to provide all available protection for their depositors.
Second, I must express my extreme regret that it was found expedient in 1934 to lower the minimum capital required for the establishment of a new bank in Nebraska from $25,000 to $10,000. I had imagined that the frantic efforts in 1933 to obtain additional capital and to reorganize, usually at the expense of depositors, had demonstrated clearly the difficulties that can be encountered even by banks with large capital accounts. When State banks in Nebraska required $2,000,000 of capital from the RFC, another $500,000 through the sale of preferred stock to the public, capital contributions, assessments, and deposit waivers aggregating another $6,000,000, reduction in the beginning capital of new banks seems the very last course indicated. I hope that an upward revision of these requirements will be forthcoming at an early date, since the Federal Deposit Insurance Corporation cannot, in justice to the sound banks composing its membership, admit to insurance new banks which are inadequately capitalized.
Nebraska banks enjoy sound asset position
It is pleasant to be able to report that State banks in Nebraska currently hold an asset position which compares favorably with the record of any other State in the country. The portion of total assets of Nebraska State banks classified by our examiners as loss and doubtful is less than half as great as for the country as a whole. The capital ratios of these banks likewise compare favorably with the nation’s average, though some banks still require additional capital if they are to be adequately cushioned against unfavorable developments.
Attainment costly, however
Let me urge, however, that you not forget the sacrifices that were necessary to attain this strong position. I reviewed previously the capital rehabilitation that Nebraska State banks underwent to repair their shaky positions after the banking holiday. National banks in the State sold an additional $6,000,000 of preferred obligations during this period of reconstruction. During 1934, 1935, and 1936 State Banks in Nebraska wrote off losses and depreciation totaling more than $5,000,000, while national banks in the State eliminated assets with a carrying value of about $15,000,000 during the same period. This was truly a great price to pay for the privilege of continuing in business. When we add to it the $240,000,000 of deposits in Nebraska banks which failed between January 1, 1921 and the inception of Federal deposit insurance on January 1, 1934, the figure assumes staggering proportions.
**Repetition of outlay can be avoided**
I believe that a repetition of this wholesale dissipation of wealth can be avoided. Certainly it must be avoided if our present system of banking is to continue. All bank supervision today is aimed at safeguarding bank depositors from loss. But the efficacy of supervision is seriously impaired if bankers do not cooperate whole-heartedly in the attempt to create and to maintain a sound banking structure. In retrospect, it is possible to trace the losses I cited above to their sources in the practices supervision is now trying to combat. Losses were allowed to accumulate during good times. In hundreds of cases dividends were paid regularly when the bank's earnings' record forbade any at all. Individual bank capital accounts were allowed to shrink or to remain static, so that even nominal fluctuations in values could result in severe impairment or even insolvency for these institutions. Finally, and not least important, the courage and consistency of supervisory policies in most jurisdictions was not above criticism.
**Through improved supervision**
I believe it is generally agreed that supervision today is more constructive and more consistent than has ever before been the case. I can assure you that the FDIC's liability in the nation's banks makes it incumbent upon that agency to continue its policy of thorough surveillance of the activities of insured banks, making no concessions to political or personal expediency, building constantly for a sounder banking system, and giving to depositors the protection and sense of security they deserve but have seldom had.
**And improved standards of bank management**
Good bankers can have no quarrel with our objectives, since they are identical with the aims of good bankers. The conscientious banker can analyze his own institution and remedy defects in its organization or procedure quite as effectively as a
bank examiner, if he will take the time and retain an open mind. Curiously enough, the complaints we receive about the severity of our examiners come almost without exception from banks which most need severe scrutiny and constructive help. Fortunately, most bankers are as conservative as our most critical examiners. I have not yet given up hope that this majority will someday approach unanimity.
I stated earlier in my remarks that I favored continuation of our traditional system of independent unit banking. I neglected then to remind you that the destiny of that system is entirely in your hands. Deposit insurance will, I believe, help to perpetuate the system, but even with deposit insurance a keener awareness of their responsibilities by bankers and a more deserving tenure of their stewardship will be required. I hope we may rely upon each of you to support our efforts to promote sound banking. If you will abjure guesswork, work as a part of the system rather than as isolated units, strive constantly to improve the quality of your assets and the ability of your managements, I am confident that the system will survive and that it will prove worthy of the trust of depositors.
|
Ceccarelli, F. and Mahmoud, M. (2021) Multimodal temporal machine learning for bipolar disorder and depression recognition. *Pattern Analysis and Applications*, (doi: 10.1007/s10044-021-01001-y)
There may be differences between this version and the published version. You are advised to consult the published version if you wish to cite from it.
http://eprints.gla.ac.uk/259854/
Deposited on 17 December 2021
Enlighten – Research publications by members of the University of Glasgow http://eprints.gla.ac.uk
Multimodal temporal machine learning for Bipolar Disorder and Depression Recognition
Received: date / Accepted: date
Abstract Mental disorder is a serious public health concern that affects the life of millions of people throughout the world. Early diagnosis is essential to ensure timely treatment and to improve the well-being of those affected by a mental disorder. In this paper, we present a novel multimodal framework to perform mental disorder recognition from videos. The proposed approach employs a combination of audio, video and textual modalities. Using recurrent neural network architectures, we incorporate the temporal information in the learning process and model the dynamic evolution of the features extracted for each patient. For multimodal fusion, we propose an efficient late fusion strategy based on a simple feed forward neural network that we call adaptive non-linear judge classifier. We evaluate the proposed framework on two mental disorder datasets. On both, the experimental results demonstrate that the proposed framework outperforms the state-of-the-art approaches. We also study the importance of each modality for mental disorder recognition and infer interesting conclusions about the temporal nature of each modality. Our findings demonstrate that careful consideration of the temporal evolution of each modality is of crucial importance to accurately perform mental disorder recognition.
Keywords multimodal · mental disorder · recurrent neural network · machine learning
1 Introduction
Mental disorder affects the well-being of millions of people throughout the world. The exact number of individuals who suffer from some form of it is...
hard to quantify, but the World Health Organization (WHO) [1] reported that almost 800 million people lived with a mental health disorder in 2017. Mental disorders are generally associated with high mortality as well as cardiovascular and respiratory diseases, diabetes, and some forms of cancer [2,3]. They are also reported to be the primary drivers of disability worldwide and they negatively impact the length and quality of life [4]. Early detection is of crucial importance in improving the overall well-being of those affected by a mental disorder [5,6]. Unfortunately, despite the existence of several Mental Health Assessment Protocols (MHAPs), there is a significant delay in the diagnoses [7–9]. Such delays are highly associated with negative health outcomes and they usually lead to sub-optimal treatments. The use of computational models for the identification of mental disorders has gathered significant attention in recent years [10–13]. These tools could be used to assist experts in the diagnostic process, hence increasing the possibility to detect disorders at their onset. However, some important aspects have not been fully addressed in the current literature: 1) the natural language spoken by the interviewed subjects is rarely incorporated in the final diagnosis, 2) the sequential (i.e temporal) information provided in the video recordings is not fully exploited and 3) current approaches are rarely validated on multiple datasets. In this paper, we handle the aforementioned limitations by proposing a multimodal temporal framework exploiting audio, video and textual modalities. The main contributions of the paper can be summarised as follows:
1. A novel multimodal framework for human behavior analysis capable of accurately performing bipolar disorder and depression recognition. The proposed approach aims at modelling the temporal evolution of the participants’ behaviours using recurrent machine learning models.
2. Experimental evaluation on two different datasets of mental disorders demonstrating that the proposed framework outperforms other state-of-the-art models.
3. A detailed analysis of the importance of each modality using a formulation based on a classical question in computer science and combinatorics: the Set Cover Problem.
2 Related Work
In this section, we present a literature review of the most common techniques used for multimodal fusion. We also review the frameworks proposed in the AVEC2018 [14] challenge which address the problem of mental disorder recognition.
2.1 Multimodal fusion
Generally, a modality indicates the way in which something is perceived or experienced [15]. For instance, we are able to characterise the world around us by hearing sounds, seeing objects, smelling odors, and so on. Similarly, multimodal machine learning [16] tries to fuse together, in a coherent and efficient way, information originated from different modalities. There are different ways in which multimodal fusion of data can be achieved: feature fusion (i.e vector concatenation), decision fusion (i.e majority voting), hybrid fusion which exploits both, and deep learning fusion. In the context of deep learning fusion, there are two main schemes: early fusion and late fusion. The former is defined as a fusion scheme that integrates the individual modalities before learning the concept. The latter is instead a fusion scheme where the modalities are first reduced to separate concept scores, which are then integrated to learn the final concept [17]. For instance, Song et al. [18] combined body movements, facial micro-expressions, and audio signals to perform emotion recognition. They compared three fusion schemes: early fusion, early fusion with kernel CCA [19], and late fusion with voting. In their work, the late fusion approach consistently outperformed the two early fusion approaches. Dibeklioglu et al. [20] achieved audio-visual fusion by performing feature concatenation. Min-Redundancy Max-Relevance algorithm [21] was then used on the concatenated features to select the most relevant ones based on mutual information. Alghowinem et al. [22] used hybrid fusion to combine features from different modalities. In detail, they first concatenated feature vectors and then performed majority voting. Two SVM classifiers [23] were used for single modality classification and one SVM classifier for feature fusion classification. Huang et al. [24] fused features from different modalities by separately training long-short-term memory (LSTM) models and concatenating estimates from different feature sets using Support Vector Regression (SVR) [25]. Their method was able to obtain promising results in the Audio-Visual Emotion Challenge [26].
2.2 Mental disorder recognition
Several mental recognition pipelines have been presented in the AVEC2017 [26] and AVEC2018 [14] challenges. Yang et al. [13] proposed two novel features: a histogram based arousal feature to characterize the mood swings typical of bipolar patients, and a Histogram of Displacement (HDR) which describes the speed of the upper body during movements. Along with these novel features, they also employed Action Units and Geneva minimalistic acoustic parameter set (GeMAPS) descriptors. Each feature was fed into a Deep Neural Network (DNN) model where the output layer was discarded to concatenate all the last hidden layers’ outputs into a single representation. After feeding the concatenated features into multiple tree-based classifiers, the final outcome was obtained through a majority vote. Unfortunately, this approach fails to take
into account the temporal information of the inputs; while the histograms are able to correctly model the distribution of arousal and gestures for the single frames, they do not capture the temporal relationships between frames. In addition, the lack of any cross validation and the drop of performances on the test set of this framework are clear symptoms of overfitting. Inspired by the successes of DepAudioNet [27] and Inception Networks [28, 29], Du et al. [30] proposed a new architecture, named IncepLSTM, for bipolar disorder recognition. By applying kernels of different sizes (1, 3 and 5) on the temporal audio sequences, they were able to demonstrate the effectiveness of IncepLSTM. However, by only taking into account the audio modality, the proposed approach did not fully incorporate the multimodal information provided by the audio-visual recordings. Xing et al. [31] proposed a multimodal hierarchical recall framework. It is composed of three layers, from “easy” to “hard”. That is, starting in the first layer, subjects whose classification confidence is higher than a predetermined threshold are directly assigned to the corresponding category. Alternatively, the sample, named “unrecall sample”, is sent to the next layer for further judgement. Each layer contains a Gradient Boosted Decision Tree (GDBTs) [32] that uses different subsets of all features. In this approach, all the modalities, audio-visual-textual, are used. Despite the high accuracy on the training set, the poor performances on the testing set seem to suggest that the model suffers from overfitting and it is unable to generalize well to unseen data. Syed et al. [33] introduced the concept of “turbulence features”. Turbulence features are used to capture the sudden, erratic changes in the behaviour of individuals with bipolar disorder [33]. As input signals, both visual and audio modalities were employed. They used Fisher Vector (FV) to create descriptors able to provide global information about the recordings and fed these descriptors into a Weighted Extreme Learning Machine (WELM) classifier [34]. Despite the use of features able to capture the evolution of different modalities, the proposed approach scored the lowest accuracy in the AVEC2018 challenge. Finally, Zhang et al. [35] proposed a deep learning multimodal framework based on early fusion strategy. Specifically, they used a Multimodal Deep Denoising Autoencoder in order to learn a shared representation of audio-visual modalities. As in [33], Fisher Vector was used in order to produce global descriptors for each video and Paragraph Vector (PV) was employed to embed the natural language spoken by the patients during the interviews. Final classification was obtained using a Multitask Deep Neural Network capable of integrating bipolar disorder stage classification with Young Mania Rating Scale (YMRS) regression prediction. Despite obtaining promising results, the framework proposed in [35] does not explicitly model the temporal evolution of the frames in each video. Furthermore, the use of early fusion strategy increases overfitting and reduces the generalisability of the proposed framework.
3 The Datasets
This section describes the two datasets used in this paper: the Bipolar Disorder Corpus [12] and the Well-being dataset [36].
In [12], the Audio-Visual Bipolar Disorder (BD) Corpus was introduced. The dataset, which was collected to shed light upon the personalized treatment of BD patients, contains audio-visual recordings of patients with BD as well as healthy controls. In detail, 35 male and 16 female patients were recruited from the mental health department of a hospital [12]. Clinical information, including identity, age, disease severity, and used treatments, were collected using semi-structured interviews. The recordings are annotated for BD state (mania, hypo-mania, depression) as well as for Young Mania Rating Scale (YMRS) [37] by psychiatrists. During hospitalization, in every follow up day ($0^{th}$ - $3^{rd}$ - $7^{th}$ - $14^{th}$ - $28^{th}$ day), the presence of BD was annotated and interviews recorded. In each video, the participant is asked to explain the reasons to participate in the activity, to describe happy and sad memories, and to interpret the emotions evoked by two paintings: one painting meant to inspire sadness (Van Gogh’s Depression) and one meant to inspire happy feelings (Dengel’s Home Sweet Home). Table 1 shows the number of samples, for each BD state, in the training and development sets.
Orton [36] collected a non-clinical dataset designed to enable investigation of the body modality for mental distress recognition named Well-being dataset. Participants, recruited through the University of Cambridge, were interviewed in face-to-face sessions by one researcher. To ensure a natural behaviour, participants were not aware of the main research question of the study and they were instead told that the recordings would be used for building models that can help in mental well-being. Labels were assigned using self-evaluation questionnaires. In detail, the questionnaires used were: the PHQ-8 [38, 39] for depression, GAD-7 [40] for anxiety, SSS-8 [41] for somatic symptoms, and the PSS [42] for perceived stress. The dataset contains facial expressions, body motion information, gestures, and audio recordings for a total of 35 interviewed subjects.
\begin{table}[h]
\centering
\begin{tabular}{l c c c}
\hline
BD State & Number of recordings in Train/Development Sets & Average Time (s) & Standard Deviation \\
\hline
Mania & 41 / 21 & 276.4 & 246.3 \\
Hypo-mania & 38 / 21 & 221.1 & 171.4 \\
Depression & 25 / 18 & 151.9 & 65.4 \\
\hline
\end{tabular}
\caption{Statistics for the Train and Development sets of the Bipolar Corpus.}
\end{table}
\footnote{the test set is not accessible as it is reserved for evaluation in the AVEC 2018 Workshop and Challenge [14].}
4 Methodology
In this section, we describe our proposed multimodal temporal framework for mental disorder recognition. In the following subsections, audio and visual modalities are grouped together as they are extracted at frame-level while the text modality is processed on session-level. Figure 1 shows an overview of the proposed framework.
**Fig. 1** Overview of the proposed framework. The audio and visual modalities are encoded using bidirectional LSTM models. The descriptors for the whole videos are generated using Fisher Vector. For the textual modality, Paragraph-Vector is proposed. A final deep classifier is used to combine the unimodal predictions.
4.1 Audio-Visual modalities
Bidirectional Long Short-Term Memory autoencoders are proposed for the audio and visual modalities. Since a video is described by a sequence of frames, each of these frames is highly correlated to the previous and next ones. As such, LSTM autoencoders (and even more bidirectional LSTM autoencoders) are a suitable solution to reduce the dimensionality of these modalities while taking into account the temporal/sequential nature of the inputs. To avoid normalisation which could wrongly corrupt the input modalities, the LSTM autoencoders were trained using mean absolute error (MAE) and linear activation function in the output layer (Figure 2). Before feeding the audio and visual modalities to the LSTM autoencoders, we propose two processing steps: dynamic computation and feature serialisation.
4.1.1 Dynamic computation
Firstly, inspired by [43] and [35], we compute the dynamic changes between subsequent frames. Let us consider a modality represented as a matrix $H \in \mathbb{R}^{n \times d}$, where $n$ is the number of frames and $d$ the feature dimension. Denoting each column in $H$ as $H_i$ with $i \in \{1, 2, \ldots, d\}$, we compute the first order dynamic, $V$, as $V_i = \frac{dH_i}{dt} \approx H_i - H_{i-1}$. Hence, $V$ represents the velocity of change between subsequent frames. The use of dynamic changes rather than static features allows to emphasise the temporal evolution of audio and visual modalities.
4.1.2 Feature serialisation
In 1992, Ambady et al. [44] introduced the concept of thin-slicing. Thin-slicing is an established concept in psychology and philosophy which describes the ability of identifying patterns or extracting relevant information in thin slices of experience. Thin slices of individuals’ behaviours could reveal important aspects of their personalities like cognitive ability [45], sexual preference [46] and personality disorders [47]. Using the idea of thin-slicing, in the next preprocessing step, we serialise the (dynamic) audio and visual features using a stride of one and experimenting with several sliding windows. Focusing on smaller segments of the videos (thin slices) allows for more accurate identification of patterns and permits to study the extent to which different modalities have to be observed to produce accurate predictions.
4.1.3 Fisher Vector
The encoded representation learned by the dynamic autoencoders only provides a per-frame description. However, patient labels (i.e presence of depression, bipolar state, and so on) are usually provided for an entire video. In order to unify these per-frame representations into a coherence whole-video descriptor, we propose the use of Fisher Vector (FV) [48]. FV characterises a sample by its deviation from a generative model of the data (in most cases a Gaussian Mixture Model). The deviation is defined as the gradient of the sample log-likelihood with respect to the parameters of the generative model [48]. In addition, inspired by [49], we implement power normalization and L2 normalization to generate the Improved Fisher Vectors (IFVs) as the session-level descriptors in the proposed framework. Using the information gain given by Equation (1) and a tree-based model (Random Forest), we perform feature selection to reduce the redundancy of each modality.
Finally, we use a RF model on the audio and visual features (separately) for the final classification.
$$Gain(S, A) = Entropy(S) - \sum_{v \in Values(A)} \frac{|S_v|}{|S|} Entropy(S_v),$$ \hspace{1cm} (1)
4.2 Textual modality
Using the Speech-to-Text Google API\(^2\), we convert the audio of the interview sessions to transcripts. Paragraph Vector (PV) [50] is proposed to learn a fixed-length representation from these variable-length pieces of texts. PV consists of two main architectures: Distributed Memory Model Paragraph Vector (PV-DM) and Distributed Bag of Words Paragraph Vector (PV-DBOW). The former aims at predicting the current word using its surrounding word and its paragraph vector, while the latter tries to predict randomly sampled words from that document given the document ID as input. Experimental results in [50] demonstrated that PV-DM works well for most of the tasks and it consistently outperforms PV-DBOW. Moreover, the authors suggested that a combination of PV-DBOW and PV-DM might reach better performances on some tasks. The hyperparameters explored for the textual modality are reported in Table 2. The PV embeddings are fed to a Random Forest Classifier to perform mental disorder classification.
---
\(^2\) \url{https://cloud.google.com/speech-to-text}
4.3 Multimodal fusion
For the multimodal fusion, we develop a novel temporal framework based on late fusion. Given the predictions of each modality, a simple feed forward neural network (NN) is employed for multimodal integration. This network takes as input the class probabilities predicted from each modality using the Random Forest models. Specifically, the probabilities estimated by each modality for the same sample are concatenated and they form the representation for that sample in the NN. As such, the dimensionality of the input matrix to the NN is \((N \times P)\), where \(N\) is the number of samples, and \(P\) is the product between the number of classes of the target variable and the number of modalities used. This formulation allows to represent each sample with few, albeit useful, features. Using adaptive learning of the weights, the NN is able to learn more complex non-linear functions that map the input to the output. We call this NN, which integrates the different modalities to produce the final prediction, adaptive non-linear judge classifier.
5 Experimental evaluation
In this section, we present the results of the proposed framework on the Bipolar Disorder Corpus and on the Well-being dataset. For every dataset, we present the features extracted and the evaluation metrics used. We firstly evaluate our model using every modality separately then combining all modalities using the late fusion strategy proposed in 4.3. We also analyse the dynamics of each modality in the different datasets and study the relevance of each modality for mental disorder recognition.
5.1 Bipolar Disorder Recognition
5.1.1 Features
The BD Corpus contains 104 recordings for training purpose, 60 recordings for development (validation) purpose, and 54 recordings for testing. The label for each patient is his/her bipolar status: remission, hypomania, or mania. Since the labels for the 54 testing recordings are not publicly available, we only focus on the training and validation samples. Specifically, while the training set is used (as usual) for the estimation of parameters, the development set is employed for testing. For each video, facial landmarks, head pose, eye gaze, and action units are extracted as visual features using OpenFace 2.0 [51] at a rate of 30 frame-per-second (fps). Mel Frequency Cepstral Coefficients (MFCCs) and extended Geneva minimalistic acoustic parameter set (eGeMAPS) are extracted as separate acoustic features using openSMILE [52] at 10 fps. Due to the different nature extraction of MFCCs and eGeMAPS, we hypothesised that these acoustic features could provide complementary, useful information for our task. For more insight on these features, the interested reader is referred
to [53–55]. We aligned acoustic and visual modalities to make sure they are extracted from the same time window by concatenating three contiguous audio features (as they have the same duration as one visual feature). The audio and visual features in the BD Corpus, along with their dimensions, are reported in Table 3.
After computing the dynamic changes, we generated sequences of audio and visual features experimenting with different slides. Specifically, we implemented a moving window with a stride of one and slides of 10, 30 and 60 frames (corresponding to $\frac{1}{3}$ of a second, 1 second and 2 seconds, respectively). For the autoencoders, the amount of shrinkage depends on the size of the hidden layer(s) connecting the encoder and decoder (defined as *hidden ratio*). Given an input modality whose dimension is $d$, we experimented with three-layers autoencoders which produce an encoded representation of size $0.2d$ or $0.3d$. We choose to compute the Fisher Vector (FV) using 16 and 32 kernels in the Gaussian Mixture Models (GMM) as in [33, 35, 43]. Finally, for feature selection, 50 and 100 features have been empirically evaluated and five-fold cross validation was used for the final classification.
### 5.1.2 Metrics
We scored each classifiers using common multiclass metrics: accuracy, unweighted average recall (UAR), unweighted average precision (UAP), and $F1$ score. In the following tables, the model which exhibits the best performance, as an average of these four metrics, is shown in **bold**.
### 5.1.3 Unimodal results
Table 4 shows selected unimodal results for facial landmarks, eye gaze, head pose, action units, MFCC and eGeMAPS. Overall, the use of 32 kernels for the Fisher Vector resulted in better performances for all the visual modalities. On the other hand, the hidden ratio and the number of features were usually influenced by the length of the input. Longer sequences of frames usually required more features and a bigger hidden ratio in order to be accurately reconstructed. However, the most interesting finding is probably related to the
| Index | Modality | Timesteps | Hidden ratio | GMM kernels | Feature number | Accuracy | UAR | UAP | F1 |
|-------|--------------|-----------|--------------|-------------|----------------|----------|-------|-------|-------|
| (1) | Landmarks | 30 | 0.3 | 32 | 50 | 0.5333 | 0.5370| 0.5489| 0.5321|
| (2) | Landmarks | 30 | 0.3 | 32 | 100 | **0.6167**| **0.6190**| **0.6226**| **0.6173**|
| (3) | Eye Gaze | 30 | 0.2 | 32 | 50 | **0.5833**| **0.5847**| **0.5873**| **0.5826**|
| (4) | Eye Gaze | 30 | 0.2 | 32 | 100 | 0.5333 | 0.5344| 0.5417| 0.5372|
| (5) | Head Pose | 10 | 0.2 | 32 | 50 | **0.5500**| **0.5423**| **0.5578**| **0.5405**|
| (6) | Head Pose | 10 | 0.2 | 32 | 100 | 0.5000 | 0.4841| 0.5429| 0.4606|
| (7) | AUs | 60 | 0.3 | 32 | 50 | 0.6000 | 0.5794| 0.6022| 0.5411|
| (8) | AUs | 60 | 0.3 | 32 | 100 | **0.6500**| **0.6323**| **0.6972**| **0.6167**|
| (9) | MFCC | 60 | 0.2 | 16 | 50 | 0.6167 | 0.6032| 0.6760| 0.5953|
| (10) | MFCC | 60 | 0.3 | 32 | 100 | **0.8000**| **0.7989**| **0.8151**| **0.8040**|
| (11) | eGeMAPS | 10 | 0.2 | 16 | 50 | 0.5500 | 0.5397| 0.5761| 0.5358|
| (12) | eGeMAPS | 10 | 0.3 | 16 | 100 | **0.6167**| **0.6005**| **0.6728**| **0.5833**|
**Table 4** Selected results for the evaluation of audio-visual modalities. Different timesteps result optimal for the different visual modalities suggesting diverse temporal intervals required for each modality to display. Facial Action Units (AUs) and MFCC exhibited the best performance as visual and audio modalities, respectively.
nature of the modalities themselves. Experimenting with different sequences of frames and evaluating their performances suggested that different visual features are displayed in different temporal intervals. For instance, since the strongest association between facial landmarks and bipolar disorder was found when using landmark sequences of 1 second (30 frames), this temporal interval is probably the accurate window for a “landmark action” to take place\(^3\). While 1 second is also optimal for capturing an “eye gaze action”, in our experiments, only \(\frac{1}{3}\) of a second (10 frames) was needed for a “head pose action” and 2 seconds (60 frames) for an “AU action”. Similarly, 2 seconds were needed to identify an “MFCC action” and \(\frac{1}{3}\) of a second (10 frames) for an “eGeMAPS action”.
Compared to audio and visual performance, the results in Table 5 suggests the textual modality is less predictive of bipolar disorder. The poor performance of the textual modality for bipolar disorder recognition is probably linked to the limited size of the BD corpus. Although the natural language spoken by the patients could be strongly associated to mental health disorders, pre-training on external, large-scale textual resources is usually deemed necessary for improving the model performances [56].
### 5.1.4 Multimodal results
Table 6 (1\(^{st}\) and 2\(^{nd}\) rows) shows the results of late fusion aggregation using the 7 modalities (landmarks, eye gaze, head pose, facial action units, MFCC,
---
\(^3\) Analogously to the concept of thin-slice, we used the word “action” to refer to a piece of relevant information – or change – about a modality (for instance an eyebrow raise or an head shake) which can be captured in a small fragment of a video. We refer to “temporal interval” as the (minimum) amount of time the video fragment has to last for in order to capture that information.
| Index | Text Model | Vector size | Window size | Negative words | Accuracy | UAR | UAP | F1 |
|-------|---------------------|-------------|-------------|----------------|----------|------|------|------|
| (1) | PV-DBOW | 50 | – | 10 | 0.4333 | 0.4206 | 0.4500 | 0.4014 |
| (2) | PV-DBOW | 75 | – | hs | 0.5333 | 0.5212 | 0.5575 | 0.5125 |
| (3) | PV-DM (av) | 75 | 5 | hs | 0.4833 | 0.4788 | 0.4799 | 0.4785 |
| (4) | PV-DM (av) | 100 | 5 | 10 | 0.5333 | 0.5265 | 0.5333 | 0.5254 |
| (5) | PV-DM (conc) | 25 | 10 | hs | 0.5167 | 0.5000 | 0.4952 | 0.4730 |
| (6) | PV-DM (conc) | 50 | 5 | 10 | 0.3667 | 0.3492 | 0.2424 | 0.2855 |
| (7) | DBOW + DM (av) | 50 | 10 | 10 | 0.5333 | 0.5185 | 0.5487 | 0.5005 |
| (8) | DBOW + DM (av) | 100 | 10 | hs | 0.4833 | 0.4815 | 0.4861 | 0.4821 |
| (9) | DBOW + DM (conc) | 50 | 10 | 10 | 0.4000 | 0.3810 | 0.2775 | 0.3182 |
| (10) | DBOW + DM (conc) | 100 | 10 | hs | 0.5167 | 0.5026 | 0.5556 | 0.4860 |
Table 5 Selected results for the evaluation of textual modality. hs = hierarchical softmax. av and conc refer to the type of aggregation method: average or concatenation.
| Integration Method | Accuracy | UAR | UAP | F1 score |
|--------------------|----------|------|------|----------|
| Mean | 0.8667 | 0.8545 | 0.8984 | 0.8562 |
| Majority-voting | 0.8667 | 0.8624 | 0.8722 | 0.8649 |
| Adaptive Classifier| **0.9167** | **0.8836** | **0.8857** | **0.8831** |
Table 6 Late fusion aggregation with mean, majority-voting, and adaptive non-linear judge classifier. While mean and majority-voting exhibit similar performance, the adaptive non-linear judge classifier is able to learn more complex mapping functions which result in better performances.
eGeMAPS and textual embeddings) and two simple fusion methods: mean and majority voting. These two non-adaptive aggregation methods show similar performances on all the metrics. However, these methods are unable to dynamically assign weights to the input modalities according to their relevance for the target predictions. As shown in Table 6 (3rd rows), the adaptive non-linear judge classifier neural network (NN) is able to learn more efficient, albeit more complex, mapping functions which exhibit better performance. By allocating appropriate parameters during the learning phase, the NN selects the modalities to “trust” more and shows good predictive power of bipolar status.
5.1.5 Modality importance
To study the dependencies of the modalities in the BD Corpus and their relevance for prediction, we employed a simple formulation based on a classical question in computer science and combinatorics: the Set Cover Problem (SC). The problem is simple: given a set of elements \( \mathcal{U} = \{1, \ldots, n\} \), called universe, and a collection \( \mathcal{S} \) of \( m \) sets whose union is equal to the universe, find the smallest sub-collection of \( \mathcal{S} \) which equals the universe. Formally:
\[
\begin{align*}
\text{minimize} & \quad \sum_{S \in \mathcal{S}} x_S \quad \text{(minimize the number of sets)} \\
\text{subject to} & \quad \sum_{S: e \in S} x_S \geq 1, \forall e \in \mathcal{U} \quad \text{(cover every element of the universe) and} \\
& \quad x_S \in \{0, 1\}, \forall S \in \mathcal{S} \quad \text{(every set is either in the set cover or not)}
\end{align*}
\] (2)
For our classification problem, we set the universe to be the union of all the samples which were correctly classified by each modality and employed a brute-force approach to find all the optimal solutions. Table 7 shows the sets of modalities that have been identified as solutions for the SC problem. Out of the 7 modalities, the minimal subset which allows for the correct classification of all the samples in the universe only requires 4 modalities (although different combinations of these are possible). From Table 7 it is evident that facial landmarks allow for correct classification of samples for which all the other modalities fail. As such, landmarks have been identified as a necessary modality in all the SC solutions. For audio modality, MFCC is chosen in 8 out of the 9 optimal solutions. The importance of MFCC is a reflection of the good classification performance reported in Table 4. It is also interesting to notice that one of the solutions only includes visual modalities (1st row of Table 7). This suggests that visual features are complementary and their diversity allows to capture useful, non-redundant information. Since 4 of the solutions in Table 7 employed an audio-visual combination, and other 4 employed an audio-visual-textual combination, it is possible to conclude that aggregation of features originated from different communication channels usually benefits the performance of prediction. Nonetheless, our evaluation suggested that a careful combination of modalities is an important step to reduce redundant information and lower the computational burden of processing non-informative modalities.
5.1.6 Comparison with state-of-the-art
We evaluated the proposed model against the baseline of the AVEC2018 Challenge [14] as well as the frameworks in Du et al. [30], Yang et al. [13], Xing et al. [31], Šyed et al. [33] and Zhang et al. [35]. All the aforementioned frameworks, including the proposed one, were scored on the same test set, suggesting the fairness of the following comparisons.
Table 8 shows that the proposed approach outperforms all the previous state-of-the art methods reaching an accuracy of 0.916 and UAR of 0.883. From Table 8, it is clear that the best performing frameworks employ an audio-visual-textual combination. For instance, the works in [30] and [33] made use of audio and audio-visual features respectively and they scored the lowest UARs in the AVEC 2018 Challenge [14]. However, differently from the proposed model, other frameworks only employed static features and failed to capture
| Model | Architecture | UAR | Accuracy |
|-----------------------|----------------------------|------|----------|
| Baseline [14] | audio-visual SVM | 0.635| NA |
| Du et al. [30] | audio LSTM | 0.651| 0.650 |
| Yang et al. [13] | audio-visual DNN | 0.714| 0.717 |
| Xing et al. [31] | audio-visual-textual GDBT | 0.868| NA |
| Syed et al. [33] | audio-visual WELM | 0.635| NA |
| Zhang et al. [35] | audio-visual-textual DDA | 0.709| 0.717 |
| **Proposed** | **audio-visual-textual LSTM** | **0.883** | **0.916** |
Table 8: Comparison with the state-of-the-art on the BD Corpus. SVM = Support Vector Machine. LSTM = Long Short Term Memory. DNN = Deep Neural Network. GDBT = Gradient Boosted Decision Tree. WELM = Weighted Extreme Learning Machine. DDA = Deep Denoising Autoencoder. The proposed approach exhibits better accuracy and UAR compared to all the other frameworks on the same test set.
the temporal evolution of the modalities. Due to the lack of cross validation and the use of early fusion schemes, the models proposed in [35] and [31] are prone to overfitting and they poorly generalise to new data. Compared to the AVEC2018 Challenge baseline [14], our model improves upon UAR by 26.84%. The good classification performance of the proposed framework suggests that modelling the dynamic and temporal information of the video recordings and using an adaptive late fusion strategy can be successfully used for predicting bipolar disorder status.
5.2 Depression Recognition
5.2.1 Features
For the 35 participants in the Well-Being dataset, we used the same features as extracted by [57]. Table 9 shows the modalities and their dimensions. The target variable for this dataset is a continuous value of self-reported depression (in the range \([0, 19]\)). Similarly to [57], we converted these continuous values into binary classes using a threshold of 7. The textual modality is not used to fairly compare the proposed framework and the work in [57].
| Modality | Dimensionality |
|----------------|----------------|
| Fidget | 9 |
| Gaze | 8 |
| Action Units | 35 |
| MFCC | 13 |
Table 9: Features in the Well-Being dataset and their dimensions.
5.2.2 Metrics
We evaluated each classifiers using common binary metrics: accuracy, recall, precision, and \(F1\) score. All results on the Well-Being dataset are calculated as the mean of three-fold cross validation results.
5.2.3 Unimodal results
Overall, all the modalities exhibited good predictive performance for the binary depression label. From Table 10, it is evident that the performances are generally worse when the number of selected features is high (\(\geq 200\)). Indeed, all the modalities reached the best performance when using 50 or 100 features. This is probably due to the overfitting of the models when many non-informative features are used. Similarly to the results on the Bipolar Corpus, the use of more GMM kernels was beneficial for the predictions. All the highest scores in Table 10 were obtained with 32 kernels. More interestingly, action units, eye gaze, and MFCC exhibited best performances with window sizes of 60, 30, and 60 frames respectively. These findings match the results obtained on the Bipolar Corpus for the same modalities (\$5.1.3). This further indicates that different features are displayed in different temporal intervals, and careful consideration of such intervals is crucial for good predictions. Moreover, these results have allowed identifications of different quantitative intervals which seemed to be optimal for each modality. No existing work, that we are aware of, analytically quantified the time required for distinctive features to display, especially in the mental health domain.
| Index | Modality | Timesteps | Hidden ratio | GMM kernels | Feature number | Accuracy | Recall | Precision | F1 |
|-------|------------|-----------|--------------|-------------|----------------|-----------|---------|-----------|--------|
| (1) | AUs | 60 | 0.4 | 32 | 50 | **0.7489** | **0.6136** | **0.7350** | **0.7818** |
| (2) | AUs | 60 | 0.4 | 32 | 100 | 0.7027 | 0.7652 | 0.7474 | 0.8056 |
| (3) | Fidget | 10 | 0.4 | 32 | 50 | 0.6724 | 0.6162 | 0.8197 | 0.6938 |
| (4) | Fidget | 10 | 0.4 | 32 | 100 | **0.7359** | **0.5934** | **0.8463** | **0.6431** |
| (5) | Eye Gaze | 30 | 0.4 | 32 | 50 | **0.6869** | **0.7980** | **0.6379** | **0.7621** |
| (6) | Eye Gaze | 30 | 0.4 | 32 | 100 | 0.6241 | 0.5934 | 0.7167 | 0.6551 |
| (7) | MFCC | 60 | 0.4 | 32 | 50 | **0.7179** | **0.7096** | **0.6530** | **0.7652** |
| (8) | MFCC | 60 | 0.4 | 32 | 100 | 0.6378 | 0.7071 | 0.7835 | 0.6858 |
Table 10 Selected results for the evaluation of modalities on the Well-Being dataset. Different timesteps result optimal for the different modalities suggesting diverse temporal intervals required for each feature to display. In line with the findings reported for the BD Corpus, action units (AUs), eye gaze, and MFCC exhibited best performances with window sizes of 60, 30, and 60 frames respectively. Among all the features, Facial Action Units (AUs) had the best performance.
| Integration Method | Accuracy | Recall | Precision | F1 |
|--------------------|----------|--------|-----------|----|
| Mean | 0.8438 | 0.8451 | 0.8438 | 0.8436 |
| Majority-voting | 0.7812 | 0.7882 | 0.7976 | 0.7804 |
| Adaptive Classifier| **0.858**| **0.883**| **0.867**| **0.870** |
Table 11 Late fusion aggregation with mean, majority-voting, and adaptive non-linear judge classifier. The adaptive non-linear judge classifier is the best performing feature aggregation method due to its ability to dynamically assign weights to each modality according to their relevance for the final predictions.
### 5.2.4 Multimodal results
As baseline, we first computed the multimodal results using majority-voting and mean as feature aggregation methods. Results are shown in Table 11 (1st and 2nd rows). Using the mean of the probabilities computed by the unimodal models seems to perform better compared to majority-voting. As before, we further evaluated the performance of the adaptive non-linear judge classifier neural network (NN) for multimodal fusion (Table 11 3rd row). The use of an adaptive classifier exhibited better results compared to simple aggregation methods like mean and majority voting. With accuracy of 0.858, recall of 0.883, precision of 0.867 and $F1$ score of 0.870, this NN outperforms the other fusion approaches on all metrics.
### 5.2.5 Modality importance
As for the Bipolar Disorder Corpus, we studied the importance of modalities in the Well-Being dataset. However, since in this case we only employed 4 modalities, a simple visualisation allows to assess the relevance of each modality for distress classification. Figure 3 shows the percentage of samples that
each modality was able to correctly classify as a Venn diagram. It is clear that all the modalities capture complementary information and each modality uses its diversity to correctly classify samples which all the others fail to classify. From Figure 3, it appears that fidget features are the most successful (4.7%) in extracting information which the other modalities fail to associate to psychological distress. This emphasises the importance of features extracted from the body modality and it demonstrates the complementary of diverse modalities (facial, body and audio features).
**Fig. 3** Venn diagram for modality importance. Each modality captures useful information that other modalities fail to associate to mental disorder (i.e each modality has a non-overlapping percentage of samples which are correctly classified by that modality only).
### 5.2.6 Comparison with state-of-the-art
The current state-of-the-art approach is described in [57]. Since in [57] the only reported metric is $F1$ score, we include the performance of the proposed framework as measured by the same metric in Table 12 (for more complete information about the performances the reader is referred to Table 11). Also for distress recognition, with $F1$ score of 0.870, the proposed framework exhibited very good performances and it outperformed the state-of-the-art approach by 10.34%. Similar to [35], the framework in [57] uses early fusion and static features. By modelling the dynamic evolution of the modalities, the proposed model is able to extract more useful information and accurately perform depression recognition.
| Model | Architecture | F1 |
|---------------|------------------|-----|
| Lin et al. [57] | audio-visual DDA | 0.787 |
| Proposed | audio-visual LSTM | **0.870** |
Table 12: Comparison with the state-of-the-art on the Well-Being data. LSTM = Long Short Term Memory. DDA = Deep Denoising Autoencoder. The proposed approach exhibits better F1 score compared to the state-of-the-art model on the Well-Being data.
6 Conclusion and future work
In this paper, we presented a novel dynamic and multimodal framework to perform bipolar disorder and depression recognition from video recordings. Combination of audio, video and textual modalities is suggested to fully exploit all the information from the videos. By emphasising the dynamic context and using LSTM models, we aimed at including the temporal information in the learning process. Experimental evaluations on two different datasets showed that the proposed framework outperforms other state-of-the-art approaches. Since it successfully identified two types of mental disorder, bipolar disorder and depression, the proposed framework could be easily generalised to other datasets. Moreover, experimental evaluation allowed us to infer interesting temporal properties of each modality. Specifically, by exploiting feature serialisation with multiple timesteps, we identified temporal intervals in which each modality is most likely to be displayed. To the best of our knowledge, such findings were never reported in the literature and could demonstrate useful for future research in related fields.
In this paper, we experimented with simple three-layers LSTM autoencoders. However, it is worthwhile to explore the use of more sophisticated architectures like Attention-based LSTMs. Furthermore, since most datasets are composed of multiple video recordings of the same patient at different points in time, it would be useful to augment the final neural network with constraints that incorporate this domain knowledge. By informing the learning about “different samples being the same patient” and constraining the output to be relatively close for each of those samples could demonstrate beneficial for the final predictions.
7 Declarations
7.1 Funding
Part of this research is funded by King’s College Cambridge.
7.2 Conflicts of interest/Competing interests
The authors declare no conflict of interest.
7.3 Availability of data and material
The Bipolar Disorder Corpus was part of the AVEC2018 challenge and it can be accessed by contacting the authors. The Well-Being dataset is a private dataset collected at University of Cambridge by Dr Marwa Mahmoud.
7.4 Code availability
Code can be found at https://github.com/cecca46/MentalDisorderRecognition.
7.5 Ethics approval
Not applicable.
7.6 Consent to participate
Not applicable.
7.7 Consent for publication
Not applicable.
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When people begin to love their Creator, they want to know what will please Him. The teaching of most Christian churches is that "God wants only your faith and adoration." How tragic it is that they ignore the many scriptures that tell us the truth! Our Father Yahweh has given a detailed set of instructions to His children. These instructions are called the Law of Yahweh or in Hebrew the Torah. Not only does it please Him when we follow this law, but Yahshua the Messiah explained that we cannot gain eternal life if we reject it (Matthew 19:17).
This article will explain the most popular scriptures that are erroneously used to support the no-law doctrine. With a little research and common sense we can sort out all the problems.
By Elder Dave Ganton
A cursory reading of many scriptures seems to imply that the law was done away. Do these scriptures all add up to the ultimate conclusion that the law is truly cancelled? Could this vast majority of religions be mistaken? Could the numerous scholars who have studied this subject and arrived at this conclusion be in error? Isn't it probable that the majority is right and the minority is wrong? Let's turn to Revelation 12:9 to find the answer to this question: "And the great dragon was cast out, that old serpent, called the Devil, and Satan, which deceiveth the whole world: he was cast out into the earth, and his angels were cast out with him," According to this scripture, the whole world has been deceived by Satan. This is the majority. Could this include the scholars and highly trained teachers?
TRUTH HIDDEN FROM THE WISE
The answer to this question is also in Yahweh's word, Matt.11:25 Yahshua says the deeper truths of Yahweh's word have been hidden from the wise and scholarly and have been revealed to babes. The word babe in Greek is nepios meaning unlearned, simple thinking people. Yahweh said that He would confound the scholarly and those who propose to be great. He tells us that the majority (including the scholarly) are deceived; they are mistaken. "But Elohim hath chosen the foolish things of the world to confound the wise; and Elohim hath chosen the weak things of the world to confound the things which are mighty," 1 Corinthians 1:27.
Keep this in mind during this study, you don't need to be a scholar or highly learned to understand the deep things of Yahweh. His truth has always been believed by the simple minority, which has been right, while the majority was wrong. To cite a few examples: Noah, who Yahweh said was righteous, Gen.7:1, was the minority but he and his family were right and the rest of the world was wrong and were destroyed on account of it. Lot was the only righteous one in two whole cities. Remember Abraham, Isaac, Jacob, Eliyah, Elisha, the prophets and many, many others who were the minority in their time.
Let us not neglect to mention Yahshua, Who was the only right one in the whole world. His apostles who He taught were the minority. Yes, the majority can be mistaken. They can be deceived. With this in mind let us begin by understanding how the unlearned, simple thinking person can understand while the wise and scholarly cannot.
1 Cor. 2:1-16 answers the question to its fullest. The deep things of Yahweh are spiritually discerned. They don't come by the wisdom of man but are given us through the Spirit of Yahweh. The Holy Spirit will lead us into all the truth if we are receptive, John 16:13. Through the Holy Spirit we have access to the mind of the Messiah and His Father, 1 Cor. 2:16
Let us now allow Yahweh's Spirit to work in us as we begin to study deeper into the subject of the Law. It is commonly referred to as the law of Moses. This implies that the law originated with Moses. Let's clarify just where the law came from: "And it shall be for a sign unto thee upon thine hand, and for a memorial between thine eyes, that Yahweh's law may be in thy mouth: for with a strong hand hath Yahweh brought thee out of Egypt," Exodus 13:9. "Then said Yahweh unto Moses, Behold, I will rain bread from heaven for you; and the people shall go out and gather a certain rate every day, that I may prove them, whether they will walk in my law, or no," Exodus 16:4.
THE LAW IN GENESIS
These and many other scriptures confirm
that it is Yahweh's law. It originated and came from Him. No one will argue that point as it is self-evident. The setting of this groundwork is to show that these same laws that were given at the time of Moses were in force and known to the patriarchs and others even in pre-flood times and did not originate at the time of Moses. A careful study of the book of Genesis will reveal this truth.
A few of the more prominent scriptures on this topic start with Cain and Abel in Genesis, chapter four. Two things of note occur in this chapter. First, Cain and Abel both brought offerings to present to Yahweh. Abel's was accepted while Cain's was rejected. Cain was crestfallen over his rejection. He was angry. Yahweh asked him why he was angry, then declared Cain would be accepted if he did right. If he did not do right, sin was crouching at the door.
1 John 3:4 states, sin is the transgression of the law. Yahweh told Cain he did wrong. If he did wrong, there of necessity had to be a law defining what was right in that situation. The presence of sin necessitates a law must have been broken, else it would not be a transgression. If Cain had not transgressed a law concerning offerings and what was acceptable, his offering would have been accepted. Yahweh expected him to know what was right and what was wrong. Knowing this, his offering was rejected.
Following this, Cain was furious. He tricked Abel into travelling into the wilderness where he killed him and buried his body. Cain knew this was wrong and he was punished because he knowingly killed his brother. For there to be a penalty there had to be a transgression or breaking of the law. Paul said that where there is no law there is no transgression. It follows that if there is no law there can be no sin and no penalty, Rom.4:15. Did Cain know of a commandment that said, thou shalt not kill? It is obvious that he did.
Let's go forward to another prominent case before the time of Moses where it is evident that the Ten Commandments were known to Joseph, Gen. 39:6-10. Joseph, after being sold as a slave into Egypt found favour with Potiphar, a captain of Pharaohs guard and was given charge over all Potiphar's possessions. Potiphar's wife desired to lay with Joseph, but he resisted her advances, saying he could not do such a terrible thing and sin against Elohim, verse 9.
How did Joseph know it would be a sin to lay with her? He was very familiar with the Commandment, thou shalt not commit adultery evidently taught by his forefathers. It was said of Abraham by Yahweh Gen.26:5, Abraham obeyed my voice and kept my charge, my commandments, my statutes and my laws. It was not just the Ten Commandments that were known to the pre-flood followers of Yahweh. Noah knew about clean and unclean foods, Gen.7:1 -5. Tithing was also known and practised long before Moses, Gen.14:20; 28:22.
LAW ADDED DUE TO TRANSGRESSIONS
There are many more scriptures to verify that the law as given by the Ten Commandments was known and obeyed before it was given to Moses at Mt.Sinai. But these will suffice for the purpose of this study. To come to a correct understanding as to whether the law has been done away, we first need to know what the law is and what it does and how Yahweh uses it. Let's go backward in time to Paul's day and examine a scripture that most think says that the law was given as a punishment for sin committed by the Israelites. This question arises from time to time on the meaning of Gal.3:19: Why then the law? It was added because of transgressions
Is it really correct to say the law was added as punishment? Yahweh gave Moses the law to give to the Israelites. Can you think of a good reason why a written code of laws was necessary at that time? Let's go back to the very beginning of mankind to find the answer. Yahweh instructed Adam fully when he was created. Paul said sin entered the world through Adam, Rom. 5:12 (more on this scripture later.) Since sin is the transgression of the law (1 John 3:4) then Adam was fully instructed in the law of Yahweh. This law was handed down from father to son for many generations (as yet not a written code of ethics). Circumstances led Jacob (Israel) and his family to take up residence in Egypt.
Because of Joseph they found favour in the eyes of the Pharaoh. In due time a new Pharaoh came to power who did not know Joseph and was not disposed to be kind to the Israelites. They were forced into slavery where they remained for 430 years; they were not allowed to keep Sabbath, make offerings etc., to their Elohim. They gradually lost sight of who and what they were. They forgot Yahweh's laws, statutes, and commands, which their forefather Abraham had kept and handed down to his sons. Moses
questioned who it was He was talking to at the burning bush, *Exodus 3:16*. The Israelites would demand proof of whom Moses was speaking for they had lost contact with and had little memory of the Elohim of their fathers, being residents of pagan Egypt over 400 years.
They were ecstatic to leave Egypt and finally be free. However, the joy soon turned to complaining as they encountered numerous problems and did not know the power and loyalty of Yahweh. This attitude continued throughout the journey to Mount Sinai. When Moses went up to Sinai to receive Yahweh's instructions for the Israelites, he was gone forty days. They were so accustomed to the false deities of Egypt that they told Aaron to make them a deity, something they could see, something they could look at. Aaron complied, *Ex. 32:1-6*.
Take special note of this: they did not realise they were sinning. This was the deity which brought them out of Egypt as far as they were concerned, verse 4. They were following the practices of Egypt where they had been for 430 years. That is why they were given the law, to identify sin for them, *Gal. 3:19*, not for punishment as some think, but to identify sin for the Israelites. The law was now written in stone to identify clearly what Yahweh's principles are. The law was etched in stone for Israel because of their sins, their transgressions.
This has not changed. The law still identifies sin, *Rom. 3:20*, last part. Paul says, through the law comes the knowledge of sin. He says, also, (*Rom. 7:12*) he didn't know he was coveting until the law identified it for him. He sees the law as a Holy thing and the Commandment is Holy, just and good, *verse 12*. He agreed totally with Moses on this subject, *Deut. 4:5-8*. He saw the law as bringing wisdom to the Israelites. He saw the righteous concepts that the law teaches, *verse 8*.
Remember, the Israelites had been without law and any moral principles for hundreds of years while in Egypt. Yahweh could not in good conscience hold them responsible for their actions in this situation. Paul understood the concept, where there is no law there is no transgression *Rom. 4:15*. Yet he said in *Romans 5:13*: sin was in the world before the law was given referring to the written code given to Moses at Mount Sinai. Yahweh in His goodness and fairness could not impute a penalty without first outlining the transgression which He did through publishing and codifying the law.
**PURPOSE OF THE LAW**
Therein lies the purpose of the law. It instructs. It tells us the difference between right and wrong. The law does not make us righteous. It does not give us salvation. It guides. Let me qualify these statements. The law does not make us righteous. It has no power to do that. It instructs us in righteous behaviour. It does not give us salvation. It is a mirror, rule and guide. It monitors our behaviour. It establishes rules to live by. It instructs us in the righteous behaviour that leads to the salvation process. That is what the law does. It instructs. That is what it did for the Israelites and that is what it does for us. Let us proceed with the law in force and Yahshua not yet in the picture. The law defines sin. Sin is the transgression of the law, *1 John 3:4*. The wages of sin is death. *Rom. 6:23*, first part. Therein lies the curse of the law, *Gal. 3:13*.
**DEATH IS A CURSE**
Death is a permanent condition that lasts for all eternity. There is no provision in the law for a resurrection. There is no provision in the law for eternal life. There are just temporal rewards pertaining to this life for obedience and a death sentence for disobedience, death-eternal. If we obey the law it is powerless in regard to us in that we are not under the penalty of death. We empower the law when we disobey. When we sin we give the law power over us, and it can now demand a penalty to be paid. That penalty (wages of sin) is our death, *Rom. 6:23*. This is eternal death from which there is no escape.
Remember, there is no provision in the law for a resurrection. If we have sinned but once, the death penalty stands against us. There is no provision in the law for our forgiveness. From that point on, if we obey the law to perfection the death penalty for that one infraction still stands against us. It must be paid before we are right with Yahweh. It requires us to be dead forever. That is the state we are in with the law and without Yahshua.
Dead for all eternity. What would we gain by paying the penalty for our own sins? We are dead forever and still separated from Yahweh. What would Yahweh gain from this? Nothing. Just billions of eternally dead people whose whole existence was pointless from both positions. Question: can the law make us righteous? Answer: no, it can only instruct us and demand
a penalty if we fail to heed its instructions. Can you see how pointless it would be for us to pay the penalty for our sins? We would be dead for all eternity with no hope of living again.
Therein lies the curse of the law that Paul speaks about in Gal. 3:13: the death penalty that hangs over everyone. He said in Col. 2:13 that we were dead in our trespasses. Paul fully understood the condition of mankind without Messiah. In Col. 2:14 he talks about a cheirographon or legal bond which stands against us. This scripture has been translated in various ways: King James: handwriting of ordinances, New International: having cancelled the written code with its regulations, Revised Standard: having cancelled the bond which stood against us. All these phrases are translated from a single Greek word, cheirographon. It means a legal bond of indebtedness This cheirographon stood against us. This legal bond of indebtedness was the penalty that the law demanded to be paid, the death penalty for our sins. Yahweh held this bond that was against us. We could not pay this debt ourselves. We have already seen the futility in that.
**SALVATION IN YAHSHUA**
Enter Messiah Yahshua! He became cursed on our behalf Gal. 3:13. He paid the cheirographon or Bond that was against us and set us free from the law’s curse. This cheirographon was marked paid and (symbolically) nailed to the tree with Messiah. Col. 2:14. Messiah accomplished what we on our own could not do. We are now justified before Yahweh. Rom. 5:9-10. We are reconciled to the Heavenly Father.
**Take special note:** This is not a completed salvation process! This is the beginning of the salvation process only! Give attention to the last part of verses 9 and 10. It says that now being justified or reconciled by the death of His Son we shall be saved by His life, 1 Cor. 15:17.
If Messiah has not been raised your faith is futile and you are still in your sins wrote the Apostle Paul. We are reconciled to the Father by the Death of Yahshua but we are saved by His life. Paul understood this and explains how this can be in Gal. 2:20. it is no longer I who live but Messiah lives in me. It is the resurrection and life of Yahshua that will save us. The salvation process began at the torture stake and the Savior continues that process in us throughout our lives. Now that Yahshua has paid the penalty the law demanded which began the salvation process in us, the law is still required to show us what is right in Yahweh’s eyes. Those who love Yahweh still want to do His will after they are converted and baptized.
**FORGIVENESS FOR BREAKING THE LAW**
Yahshua saw that the law was an instructor. He saw that it identified sin for us. He saw that it was powerless if we obeyed it. We give it power over us if we disobey its instructions. We give it the power to demand our death. Is this still the case? Can we still come under the curse of the law?
To begin to understand our current relationship with the law let’s use an example from our era. When Queen Elizabeth was coronated she granted pardons to many criminals. Some were convicted murderers with life sentences. They did not pay the penalty for their crimes. The Queen forgave them and set them free. They were under her grace.
Did she cancel the law that convicted them? No, she cancelled the penalty. Could the law possibly convict them again? Could they fall from the Queen’s grace? Were they now free to do whatever they desired with no further consequences? Could the law no longer touch them? They remain under the Queen’s grace as long as they obey the law. If they break the law, they fall from the Queen’s grace and can once again be convicted by the law. The law still identifies criminal activities just as it did before the Queen was coronated. She cancelled the **penalty** not the law.
It is no different today with Yahweh’s laws. Yahweh granted us pardon through the death of His Son Who paid the penalty in our place. The law remains as it was before. It is still an instructor and identifies sin. We are under Yahweh’s grace. We remain in this state as long as we obey the law. Yahweh’s plan is superior to the Queen’s plan.
Yahweh has inserted a forgiveness clause in the new covenant. He will reapply Yahshua’s blood as atonement for our sin if we do transgress the law. 1 John 1:9 also 1 John 2:1-2. If we do sin, transgress the law (1John 3:4), He is faithful and just and will forgive our sins. When sin exists, it needs to be forgiven and the law must also exist to identify it.
**LAW DONE AWAY - NO SIN**
As was stated in the beginning of this study, the general erroneous teaching of those religions
professing Christianity is the law was done away and nailed to the stake. Let's take this concept to its ultimate conclusion. Assume for a moment that this is true, that the law is done away. 1 John 3:4 says sin is the transgression of the law. If, then, there is no law there can be no sin. Then there can be no penalty. Paul said, where there is no law there is no transgression, Rom. 4:15; 5:13.
Where does that leave us in relation to Yahshua and His sacrifice? If there is no law, then sin was cancelled at the stake. Since sin is the transgression of the law and it was cancelled, then every one born after that time has not sinned and has incurred no penalty needing forgiveness because there is no law.
Therefore, Yahshua did not die for your sins or mine as we haven't committed any, as we were born after He died and got rid of the law, and to this day we have not sinned, according to the "no law teachers." That is the ultimate conclusion to the law done away concept. In that case we are not under grace because it is not necessary. There can be no other conclusion. How does this concept square with scripture? 1 John 1:8 says, if we say we have no sin we deceive ourselves and the truth is not in us. John wrote this statement some 50 to 65 years after the death of Yahshua. He also said sin was still in the world, (1 John 1:10) if we say we have not sinned we make Him a liar and the truth is not in us. So what are we saying by the law done away statement? We are calling Yahshua a liar and the truth is not in us. Read the scripture again. **That is what it says!!!**
**SIN IS STILL WITH US**
What about the many scriptures that are quoted that seem to say the law was done away? Most of these scriptures are in the writings of Paul. The first thing we need to know is Paul's attitude toward the law. A good place to start is with Paul's own words in Acts 24:14: but this I admit to you, that according to *The Way*, which they call a sect, so I worship the ELOHIM of our fathers, believing everything laid down by the law or written in the prophets.
If you read the preceding chapter you will find that Paul was being accused by the Jews of preaching against the law, Acts 23:29. Isn't that what people say, even today, that Paul teaches against the law? Read again his response to this charge in Acts 24:14. In Acts 25:8. Paul says, neither against the law of the Jews nor against the temple nor against Caesar have I offended at all. Paul was innocent of the charges brought against him at that time and is still innocent of the same charge that is brought against him today by most of the Christian professing world. Paul taught the law is Holy and the Commandments are Holy, just and good. Rom. 7:12.
We have seen previously that Paul recognised that the law identifies sin. Rom. 3:20. Remember, Yahshua had died and was resurrected many years before Paul wrote this. But Paul said the law still identifies sin. It is still doing what it had done since creation, defining what sin is. It still instructs.
Notice especially that Peter warns us to be careful of Paul's writings: "As also in all his [Paul's] epistles, speaking in them of these things; in which are some things hard to be understood, which they that are unlearned and unstable wrest, as they do also the other scriptures, unto their own destruction," 2 Peter 3:15-16 AV.
**YAHSHUA'S WORDS**
Let's go now to the person who was supposedly the head of the Jerusalem assembly of believers. He is writing to the twelve tribes in the dispersion. In James 2:8-12, he discusses the royal law. You shall love your neighbour as yourself. That is the second part of the royal law. Let's turn to Matt. 22:35-40 to find the complete royal law. You shall love Yahweh your ELOHIM with all your heart and with all your soul and with all your mind verse 38. This is the first and great Commandment and the second is like it: you shall love your neighbour as yourself verse 40. On these two Commandments hang the law and the prophets. The first four of the Ten Commandments tell us how to love Yahweh and the last six tell us how to love our neighbour.
In James 2:8-12, we read in verse 10: if you break one point of the law you become guilty of it all. He adds that the one who said do not commit adultery also said thou shalt not kill. Can you see how the royal law we are to live by encapsulates each of the Ten Commandments? They are the full embodiment of Yahweh's law. James wrote many years after the death and resurrection of Yahshua. Even so, James is still talking about the law as being binding.
Let's go now to the Head of the assembly, Yahshua, [Eph. 5:23] and see what He has to say about the notion that the law was done
away. It should be the only scripture needed to settle the subject. His words are clear and concise. However, in spite of the clarity, a garbled understanding has been wrung from it. That Scripture is **Matt. 5:17**: “Think not that I have come to abolish the law and the prophets, I have come not to abolish but to fulfil them.” Through His Son Yahshua we have the Supreme ruler of the universe telling us not to think something.
**PERVERTED UNDERSTANDING**
Yet, in spite of that warning, that is exactly what the Christian thinking is today. Yahshua fulfilled the law so we don’t have to! The word fulfil is understood in this way: I have fulfilled my duty so the duty no longer exists. It is understood in the sense of bringing something to an end. This is not the meaning it had in the old English of the 1611 translation of the King James Bible. At that time it meant to make replete or to cram to the fullest. In other words, to fill full. Fill to the brim.
This is an example of the way word meanings change over the centuries. Another example of this is **1 Thes. 4:15**: for this I say unto you by the word of the Master, that we who are alive and remain unto the coming of the Master shall not prevent them which are asleep. Notice the word PREVENT. In the King James Translation of the Bible it means to precede or go before. The word does not have that meaning in today’s English. It means to stop something from happening or to stop someone from doing something. It is the same with the word fulfil.
**MAGNIFIED THE LAW**
Returning to **Matt. 5:17**, let us understand exactly what Yahshua said and meant by His statement. We must turn to the Greek language from which the King James was translated. The Greek word for abolish is “kataluo” It means to loosen down, to destroy, demolish. The Greek for fulfil is “pleroo” It means to cram full, to make replete, to level up. Yahshua said He didn’t come to kataluo (to destroy) but to pleroo (build up or magnify) the law. He came to expand the law to encompass its fullest spiritual meaning. Isn’t that just what He went on to do in **verses 18 to 48**? He took the law from thou shalt not do, to the spiritual thou shalt not WANT to do. Was it not to show that sin begins in the mind and heart? Yahshua magnified the law and made it honourable, **Isaiah 42:21**. Since Yahshua went on to expand the law to its fullest, should we honestly think that it was done away under the new Covenant? Was He not preparing the way for writing the law in the hearts and minds of His people? **Heb. 8:8-10** quoted from **Jer. 31:31-34**. Something to note here is that the major difference in the old and the new covenant is where and how it is written. The old covenant was written on tables of stone by the finger of Yahweh and presented to Moses in person. The New Covenant is written in the hearts and minds of Yahweh's people by the Holy Spirit. One was a hand-to-hand presentation. The other was a mind-to-mind transfer from Yahweh's mind to ours through the Holy Spirit. Compare **Ex. 31:18** and **Jer. 31:31-34** and also **Heb. 8:8-13** and **Heb. 10:16-17**.
The Old Covenant was obeyed from compulsion. The new covenant is obeyed from the desire to be close to and to please Yahweh and Yahshua. There are many other scriptures that are used in an attempt to prove that the law was done away. This is done mainly by changing the subject of a statement to something it is not. An example of this mindset is the attempt to do away with the Sabbath by using **Rom. 14** and also **Col. 2:16-17**.
**THE SABBATH QUESTION**
First, let's examine **Rom.14**. The attempt is made to make the Sabbath the subject of this chapter when it is not. The subject of this chapter is judgment of those who are new to or weaker in the faith. The subject is set forth in **verse 4**. Those who were stronger in the faith and understood the deeper meanings of Yahweh's word were passing judgment by their actions and words on their fellow brethren. Some felt that it was okay to eat meat while those weaker in knowledge felt that they should eat only vegetables. Why would they think this? Why was it not right to eat meat?
To find the answer we must understand the pagan culture surrounding them. There were false gods by the hundreds. Every animal that was killed for food was routinely sacrificed to one of these false gods. The meat was then often sold in the meat markets. Some believed that it was wrong to eat meat that was sacrificed to idols. Those stronger in the faith understood that an idol is really nothing, just a figment of someone's imagination, **1 Cor. 8:4**. As Paul said in **verse 7 through 10**, take care lest this
knowledge causes a weaker brother to stumble as referred to in Romans 14.
Suffice it to say that the Sabbath was not the subject being discussed by Paul, for it is nowhere mentioned in this entire chapter. This is confirmed by verses 5 & 6. He is talking about the observance of a day for fasting, whether to eat or abstain from eating on it. Both were done in honour of Yahshua, so don't pass judgment on one another over such a trivial matter. Verse 10.
Turning to Col. 2:1-7 let us first note that it is not the Jews who are judging or condemning the brethren concerning the matters of food and drink, festivals, new moons and Sabbaths. The erroneous belief is that the Jews were telling the followers of Yahshua that they should be observing these things and Paul is telling them that it is not necessary, as they are only a shadow of things to come. Is this really the case? We will see very clearly that this is not the case at all. Col. 2:8 clearly sets the stage in stating, see to it that no one makes a prey of you by philosophy and empty deceit according to human tradition. The Sabbath, new moons and festivals are not meant here, for they are not from human tradition but from Yahweh's clear commands. Verse 18 will further prove that the Jews were not the instigators here. "Let no one disqualify you insisting on self abasement and the worship of angels." These are not Jewish beliefs or teachings. You will not find them either in scripture or in Jewish tradition. Verses 20-22 will verify that it is the pagan culture around them that is causing the trouble. Verse 21: "Do not handle. Do not taste. Do not touch. This is alleged to be referring to the clean and unclean foods mentioned in the books of the law, but is in error as verse 22 will verify. The reference is according to human precepts and doctrines from the mind of man not Yahweh.
BODY OF MESSIAH TO JUDGE
Let's now begin to understand what Paul is talking about in Col.2:16-17. Who is doing the judging and why? We have already established that it is the pagan culture around the brethren at Colosse who are being judgmental. For what reason? Let's come forward to the same situation that still exists today. Nothing has changed. As Ecclesiastes 1:9 wisely states: There is nothing new under the sun. A great many religions of this age wrongfully insist Yahshua is just one of many ways to salvation when scripture specifically says that Yahshua is the only way to salvation. (Acts 4:12) And there is salvation in no one else, for there is no other name under heaven given among men by which we must be saved.) He is only one of many mediators between the Almighty and man. Are you shocked that this would be said?
There are many saints who supposedly intervene on our behalf with Yahweh. Angels are revered in many religions as having a part to play in our spiritual relationship with Yahweh. Penance and afflicting the body as in the days of Lent are said to enhance our standing with Yahweh. It is said that the Sabbath has been replaced with the Lord's day, Sunday. Yahweh's Holy days have been replaced by days of pagan origin. Has anything changed since Paul wrote to the Colossians?
What is said about those who believe that the law of Yahweh is still to be obeyed, including the Sabbath and Holy Days? Are we judged as doing wrong by those around us? The answer is evident every day.
This letter to the Colossians was written by Paul toward the end of his life some 60 years after the death of Yahshua and His resurrection. It is obvious that the culture around them was not observing the things mentioned in verse 16. Since Paul mentioned these things, it should be just as obvious that the Colossian brethren were observing them. Paul called these things a shadow or preview of things to come. He did not say a shadow of things that have come but a shadow of things yet to come, so he sees them as important. Col. 2:16-17 has been so butchered that it is not even recognisable when compared to the original statement of Paul.
From the literal Greek to English translation, it reads: therefore, Let no one judge you in eating and in drinking or in respect of a feast or of a new moon or of Sabbaths which are a shadow of things coming but the body of Messiah. Paul is simply saying let there be no judge but the body of Messiah. About what? Eating, drinking, new moon celebrations, festivals and Sabbaths. Why are these things important to followers of Yahweh? Because they preview things that are to come in the accomplishment of His plan. Those who study and know their Bible will comprehend the importance of clean food, improper imbibing, special Holy Days and Sabbaths.
PAUL WAS MISUNDERSTOOD
Paul said that all these other things being foisted on the Colossians by the Gnostics and Hellenists had the appearance of piety or holiness but were of no real value since they were from man and not from Yahweh. It is very difficult in a study such as this to expound to the fullest all of the scriptures that have been misrepresented as doing away with the law. It would take a large volume of books to do this. The purpose of this study is to begin to see the law from a positive viewpoint rather than a negative one. If a scripture is misrepresented then the true message is missed and one fails to understand what the Messiah and our Heavenly Father are telling us.
In this study we will cover one more misrepresented scripture because it has been quoted many times. First we will see the inconsistency of the argument against the law, Rom. 10:4, For Messiah is the end of the law, that everyone who has faith may be justified. This is misinterpreted as saying that Yahshua brought an end to the Law. The word in Greek translated end is “telos”
Let’s look at another scripture that uses the same Greek word when talking about Yahweh in the days of Job. James 5:11, Behold, we count them happy that endure. Ye have heard of the patience of Job and have seen the end of Yahweh: that Yahweh is very pitiful and full of tender mercy. Both use the same Greek word “telos” If end means the law has been brought to an end then the other means that Yahweh has been brought to an end. Is this really the case? Has Yahweh been brought to an end? What a silly concept! The truth is, neither has been brought to an end. The Greek word telos does not mean end in the sense of stopping or bringing something to its final conclusion. Telos means goal, purpose or aim. Paul says that Messiah is the goal, purpose or aim of the law. James says we saw the purpose or aim of Yahweh in His dealings with Job.
How then is Yahshua the Messiah the aim or purpose of the law? Remember, there is no clause in the law that offers eternal life. There is no provision in the law for forgiveness. The death penalty hung over us all apart from Messiah. The curse of the law is the penalty demanded by it that we can never pay. The writings of the prophets tell of One Who would pay that penalty demanded under the law on our behalf. The Jews missed it. That is why Paul is lamenting his people. They were attempting to achieve righteousness and a reconciliation to Yahweh through their own efforts and could not see the futility of their human works. They could not see that reconciliation and forgiveness comes only through the atoning sacrifice of the Messiah. The prophets tell of the Messiah.
MESSIAH THE END OF THE LAW
Therefore, the Messiah is the goal, objective, purpose, intention, reason, hope, desire, aim of the law so that all who will accept His atoning sacrifice on their behalf will be reconciled and justified before the Father. What a beautiful scripture when properly understood! See how misrepresenting such a scripture conceals its true message? What a sad thing to do. I pray this study will help in beginning to see the law as Paul really did from a positive perspective.
Rom. 7:12, So the law is Holy and the commandment is Holy, just, and good.
May Yahweh bless your studies. Elder David Ganton
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Trade Deficits and the Health of the U.S. Economy
Remarks before the Little Rock Rotary Club
Richard W. Fisher
President and CEO
Federal Reserve Bank of Dallas
Little Rock, Arkansas
February 14, 2006
The views expressed are my own and do not necessarily reflect official positions of the Federal Reserve System.
Trade Deficits and the Health of the U.S. Economy
Richard W. Fisher
As was just mentioned, I spent three years negotiating trade agreements around the world for President Clinton, whom I first met when he was governor, right here in Little Rock. My oldest son was an intern in Mack McLarty’s office when he was chief of staff to the president, and after my work as a trade representative, I had the pleasure of being Mack’s partner in his venture with Henry Kissinger.
This is all by way of saying that the president and Mack taught me a lot about Arkansas.
That Patmos, with a population, I recall, of 32, is the smallest town in Arkansas—unless two or three die or move out of Oakhaven.
That Hope is the state’s heart and Little Rock the brains and that Bentonville, as anybody who shops knows, has a whole lot of muscle.
That Blanchard Springs Caverns in Stone County ought to be one of the Ten Natural Wonders of the World.
That the Razorbacks ought to be another one.
I like Mack so much that I would always just grin at him and nod when he bragged on Arkansas. And no matter who the president is, Democrat or Republican, you almost always say, “Yes, sir, Mr. President.”
But I hope you will forgive me for telling you that I drew the line at their referring to the great state of Texas as “Baja Arkansas,” refusing to do so even when Mack would put me in a hammerlock and give me noogies.
Let’s just say that on a beautiful, springlike day like this, reading about those snowstorms up East in this morning’s Democrat-Gazette, Arkansans and Texans are one and the same at having been blessed to be joined at the hip, right here in the sweet spot of America.
I want to talk to you today about the global economy and America’s position within it. Before doing so, I’ll issue the standard disclaimer of all Federal Reserve officials and those who sit on the Federal Open Market Committee: My views are
just that—my own, assisted greatly by the magnificent research team I have backing me up in Dallas.
I will give you the bottom line up front: The U.S. economy is strong and very competitive. The economy is in a sweet spot of its own, thanks to private-sector leadership. One hundred and thirty-five million Americans are at work. Unemployment has dropped to 4.7 percent, the lowest rate in four years. We have faced terrorist attacks and natural disasters, and yet our economy continues to steam along at a pace that the consensus of economists estimates will be somewhere north of 4 percent in this current quarter, after netting out inflation, which we have maintained at or near the 2 percent level despite record-high energy prices.
The Federal Reserve, as your central bank, is and will remain ever vigilant in pursuing its mandate of providing the monetary policy required for sustainable non-inflationary growth.
That said, we all know what the threats are to our long-term prosperity and what needs to be done to prevent them from metastasizing. In addition to protecting our nation from Al Qaeda and other aggressors, on top of most lists would be the urgent need to rein in the fiscal deficits, solve the long-term imbalances built into our retirement and health care systems, and repair our educational system.
Some will argue that we also need to protect ourselves from new sources of competition, like China and India and Vietnam, and the nations liberated from Soviet dominance by the fall of the Berlin Wall.
Today, I am going to argue that that is precisely the wrong thing to do. Rather than protect ourselves from competition, we should embrace it and exploit it in order to make ourselves even stronger.
But first, let me put the United States in perspective.
The United States produces $12.6 trillion a year in goods and services. That is big.
How big? Well, let’s be conservative. Let’s assume that in 2006 we grow at what was estimated as last year’s rate of 3.5 percent (before the data for the last quarter are revised upward, which I expect they will be).
If we grew at 3.5 percent for a year, we would add $440 billion in incremental activity. That exceeds the entire output of all but 15 other countries. Every year, we
create the economic equivalent of a Sweden—or two Irelands, or three Argentinas. Year, after year, after year.
Nobody else has that heft.
In dollar terms, a growth rate of 3.5 percent in the U.S. is equivalent to growth surges of 16 percent in Germany, 20 percent in the U.K., 26 percent in China and 70 percent in India.
Of course, our growth is driven by consumption, a significant portion of which is fed by imports, which totaled $2 trillion last year. Our annual import volume—what we buy in a single year from abroad—exceeds the total output, the GDP, of all but four other countries: Japan, Germany, Britain and France.
We buy from the world a heck of a lot more than we sell. Last year, the trade deficit was estimated to have been $726 billion, a mighty big amount. A fourth of that was with China.
Some see this as a threat. After the recent trade deficit was announced, the *Financial Times* of London quoted one commentator as saying, “These exploding deficit numbers are not a sign of strength; they are a sign of weakness. They indicate a slow bleeding at the wrists economically for the United States.” Some of you in this audience might be tempted to agree.
Before you do so, let’s look at the numbers.
Let’s examine the assertion that trade deficits are a sign of weakness by going back to look at what has happened to the U.S. economy since we last ran a trade surplus, which was in 1975. After 1975, we began to run up trade deficits. In each successive year they have increased: to one-half of 1 percent of GDP in 1980, 1.3 percent of GDP in 1990, 3.9 percent of GDP in 2000 and 5.8 percent of GDP last year.
Has the economy weakened? You be the judge. Here are the numbers.
In 2005 dollars, per capita disposable personal income in 1975 was $17,019. Today, it’s $30,429.
In 2005 dollars, per capita GDP in 1975 was $22,383. Today, it’s $42,047.
In 2005 dollars, mean household net worth was $195,000 in 1975 (fourth quarter). Today, it’s $434,000.
What these numbers tell us is that since 1975, the American people have become better off by a factor of two, net of inflation.
What about those among you who are investors? How have you done?
The Standard & Poor’s 500 Index closed 1975 at 90. It closed yesterday over 14 times higher, at 1,263.
The Dow Jones industrial average closed at 852 in 1975. Last night the Dow closed at 10,892.
The purchasing power of consumers and investors has increased to a far greater degree than just their income levels and net worth, because many of the things you buy and use have become better at ever-cheaper prices since 1975.
In 1975, a 19-inch Sears color TV cost $359.95 and a 25-inch console was $599.95. Today, a 20-inch Magnavox is $118.99 and a Sharp 27-inch model is $200.99. Today’s models have a much better picture, last longer, use less electricity, and come with a whole host of added features such as remote control.
The first PC, the Apple I computer, sold for $667 in 1976. It ran at the speed of 1 to 2 megahertz and had a 4k memory. Just $500 spent today on, say, a Dell Dimension E310 with a Pentium 4 processor will get you 2.87 billion times the processing power and millions of times the memory, with a free flat-panel screen and lots of other features.
In 1975, when I graduated from Stanford Business School, they didn’t have very sophisticated handheld calculators for use by financial analysts. In 1981, I bought this little guy, an HP12C calculator, which most investors will tell you is all you need to do financial calculations for portfolio management; I use it to this day. It cost me $150. Yesterday, if you were to have looked on eBay at 11:32 a.m., you could have bought an HP12C for $5.
What the numbers tell you is that we are far richer as individuals and as a nation than when we last ran a trade surplus. We are hardly “bleeding at the wrists economically” or becoming weaker as we have incurred trade deficits.
This is not to say that we can sit back, indifferent to the future. Presently, the countries we buy from—oil from the OPEC countries, consumer electronics from the Asians, foodstuffs from Mexico—are not providing significant venues at home for investing their surplus savings. To be able to finance our external trade and current account imbalances, we have to remain a magnet for that surplus capital, attracting investments from those whom we buy goods and services, recycling what we pay out to make purchases abroad back into our economy in the form of investments that make us still richer and stronger, and meanwhile position us to compete more aggressively in trade markets.
That is a mouthful. Here is the point: To be able to afford what we consume, we must continually improve ourselves. We must continue moving up the value-added ladder while others replace the work we used to do on the lower rungs of that ladder.
One of my favorite economists was a Czech-born professor from my alma mater, named Joseph Schumpeter. He coined a term that appears to be a contradiction in terms but captures the essence of what is required to succeed in a fiercely competitive world: “creative destruction.” The United States has harnessed this process and made it work to constantly improve our global economic standing. Americans are masters of creative destruction.
What do I mean when I say that? Well, let’s go back to the original expression of the term.
In his book *Capitalism, Socialism, and Democracy*, Schumpeter wrote the following: “The fundamental impulse that sets and keeps the capitalist engine in motion comes from the new consumers’ goods, the new methods of production or transportation, the new markets, the new forms of industrial organization…[and] incessantly revolutionizes the economic structure *from within*, incessantly destroying the old one, incessantly creating a new one. This process of Creative Destruction is … what every capitalist concern has got to live in.”
In his book, *Business Cycles*, he wrote: “A railroad through new country, *i.e.*, country not yet served by railroads, as soon as it gets into working order upsets all conditions of location, all cost calculations, all production functions within its radius of influence; and hardly any ‘ways of doing things’ which have been optimal before remain so afterward.”
Here is where China and India and all the bristling new economic entrants come in. They are today’s equivalent of Schumpeter’s railroads. They and the phenomenon
of globalization are agents of creative destruction writ large. From now on, hardly any way of doing things which used to be optimal will ever be the same.
Or as that master of the creative destruction of syntax, Yogi Berra, would say, now that China and India and the others have entered the game, history just ain’t what it used to be.
Creative destruction is by no means painless. Let’s go back to 1975 again.
Since 1975, as we started down the path of running ever-larger trade and deficits, over 141 million Americans have filed unemployment claims. If you assume that there were more who either didn’t qualify to file or didn’t bother, you might reasonably conclude that 175 million jobs have been lost since 1975. That is the destructive side of creative destruction. That is the painful side for people like my dad who lost their jobs and more than once had to retrain for another one.
But then the creative side steps forward. Since 1975, the economy has replaced the jobs lost and more, adding another 57 million net new jobs to accommodate youth entering the workforce, a surge in immigrants and—very important—significant numbers of women who joined and enriched the workplace. This is the gratifying part of the process. This is the good news. If we create the conditions to let our private sector do what it does by its very nature—constantly adapt and reposition itself—then we have nothing to fear from competition from our trading partners, including those with whom we presently run big deficits.
We do, indeed, have some tough competitors out there.
But we have some unique advantages.
America’s economy encourages change. We provide a healthy environment to nurture entrepreneurs. We have not saddled the private sector with regulations that interfere with hiring and firing or dictate outmoded methods of production.
Consider this: Starting a business takes five days in the United States, compared with 45 days in Germany, 108 in Spain and no one knows how many in China. We let labor, capital and companies compete—within the country and with the rest of the world. Our economy continually reorganizes itself to take advantage of new technologies, freeing labor from old jobs so it can move to new, higher-value uses.
The agent of reorganization is not the government or the central bank but the talent of our business managers, something that economists rarely talk about. The
managers of our businesses are the key to our continued adaptation and growth. They are our greatest comparative advantage.
I like to say that the managers in our business community serve as the nerve endings in Adam Smith’s invisible hand, stretching capitalism’s fingers into every corner of the world to extract value at the lowest cost—in order to enhance productivity.
I am not talking just about CEOs who get paid big bucks. I am talking about the millions of middle managers who operate supply chains, control inventories and fine-tune operations.
Every day, these managers get up and go to work to exploit those competitors who come to market with cheaper products by buying those products and using them as inputs for providing better deals to their customers.
They are the masters of the best manifestation of “creative destruction.”
They are the folks who exert the gravitational pull for the recycling of those monies we pay out to secure cheaper inputs. Their ability to wring value out of all sources, everywhere, is what makes the United States the preferred risk-adjusted destination for surplus investment monies.
They are the people who enable us to finance our external deficits, and inevitably redress them.
They are the key to our transforming what some perceive as a weakness into a fundamental strength.
As long as the Federal Reserve does its job of holding inflation at bay, and as long as our political leaders resist protectionism and other forms of interference with creative destruction and let the private sector get on with its work, we will remain the world’s predominant economic machine.
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High-Definition Reconstruction of Clonal Composition in Cancer
Andrej Fischer,1,* Ignacio Vázquez-García,1,2 Christopher J.R. Illingworth,3 and Ville Mustonen1,*
1Wellcome Trust Sanger Institute, Wellcome Trust Genome Campus, Hinxton, Cambridge CB10 1SA, UK
2Department of Applied Mathematics and Theoretical Physics, Centre for Mathematical Sciences, University of Cambridge, Wilberforce Road, Cambridge CB3 0WA, UK
3Department of Genetics, University of Cambridge, Downing Street, Cambridge CB2 3EH, UK
*Correspondence: firstname.lastname@example.org (A.F.), email@example.com (V.M.)
http://dx.doi.org/10.1016/j.celrep.2014.04.055
This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/3.0/).
SUMMARY
The extensive genetic heterogeneity of cancers can greatly affect therapy success due to the existence of subclonal mutations conferring resistance. However, the characterization of subclones in mixed-cell populations is computationally challenging due to the short length of sequence reads that are generated by current sequencing technologies. Here, we report cloneHD, a probabilistic algorithm for the performance of subclone reconstruction from data generated by high-throughput DNA sequencing: read depth, B-allele counts at germline heterozygous loci, and somatic mutation counts. The algorithm can exploit the added information present in correlated longitudinal or multiregion samples and takes into account correlations along genomes caused by events such as copy-number changes. We apply cloneHD to two case studies: a breast cancer sample and time-resolved samples of chronic lymphocytic leukemia, where we demonstrate that monitoring the response of a patient to therapy regimens is feasible. Our work provides new opportunities for tracking cancer development.
INTRODUCTION
Cancer develops via the accumulation of genetic alterations during an evolutionary process (Stratton et al., 2009). Recent years have seen a torrent of genetic data from cancer genomes generated at different levels of resolution ranging from low-density genotyping array data for gauging copy-number profiles to whole-genome sequencing to capture all genetic aberrations. These data have been hugely informative in discovering driver mutations that are causally responsible for the development and progression of cancer (Garraway and Lander, 2013; Vogelstein et al., 2013; Wheeler and Wang, 2013). However, the ascent of cancer genomics has not been without formidable challenges. For instance, a breast cancer can harbor thousands of point mutations together with some smaller number of large-scale copy-number alterations (Nik-Zainal et al., 2012a; Stratton et al., 2009). Out of these variants, most are likely to be of no great relevance for the cancer phenotype of the cell and are considered passengers. Even focusing solely on nonsynonymous coding variants would leave tens to hundreds of mutations for further analysis depending on the cancer type (Garraway and Lander, 2013; Vogelstein et al., 2013; Wheeler and Wang, 2013). But such a drastic filtering would also carry the risk of missing some important mutations, as was underlined by a recent discovery of TERT promoter mutations driving melanoma (Horn et al., 2013; Huang et al., 2013). An obvious computational challenge is to prioritize candidate causal variants for follow-up functional validation (Gonzalez-Perez et al., 2013). The sheer volume of data is of help in achieving this aim in a virtuous cycle; for instance, it is now possible to determine region-specific mutation rates by pooling gene-activity data to construct a baseline model for subsequent driver-gene detection (Lawrence et al., 2013). These high-resolution statistical models are pushing forward the field of cancer genomics as a whole.
While progress has been made in understanding the vast number of mutations in sequenced tumor samples and the processes generating them (Alexandrov et al., 2013a, 2013b; Fischer et al., 2013; Lawrence et al., 2013; Nik-Zainal et al., 2012a), another layer of variability has been discovered in the form of subclonal population structure. It is often the case that a sample of cells from a single tumor cannot be considered as an isogenic lineage of cancer cells with stromal contamination, not even to a first approximation (Burrell et al., 2013). The fraction of cancerous cells rather consists of a collection of subclones, with private and shared mutations, related by their joint evolutionary history going back to the most recent common ancestor (Nik-Zainal et al., 2012b) (see Figure 1). Clonal heterogeneity can be detected using next-generation DNA sequencing (Shah et al., 2009) and has important biological and medical implications (Aparicio and Caldas, 2013; Bedard et al., 2013). First, naive sample extraction strategies will lead to an underestimation of real tumor heterogeneity. Second, subclones can be resistant to a particular therapy and are then amplified in a process called competitive release, whereby the drug eradicates any susceptible competitors (Greaves and Maley, 2012; Wargo et al., 2007). Rather than waiting for de novo resistance mutations to emerge, cancer likely escapes using existing subclonal variation (Buzic et al., 2012). As a result, clonal dynamics and changes in clonal composition can inform therapy, highlighting the importance of
monitoring cancer progression. While emerging single-cell technologies are showing great promise, it is still not possible to sequence individual cells routinely to capture the full information about their genotype and copy-number profiles (e.g., Navin et al., 2011; Potter et al., 2013; Shapiro et al., 2013). This leaves the field reliant on short-read sequencing as the main experimental assay for cancer genomics in the near future. Therefore, computational inference of subclonal population composition from short-read data is an important challenge.
Existing computational methods have so far mostly focused on the decomposition of the sample into tumor and normal cells, estimating its purity while trying to account for an aberrant ploidy of the tumor cells. Early attempts of purity and mean ploidy estimation were designed for SNP array data and used relative read depth and/or B-allele fractions (such as Raschke-Wagen et al., 2011; Song et al., 2012; Van Loo et al., 2010; Yau et al., 2010). The value of using correlations along the genome was realized in some methods employing hidden Markov models (HMMs) (Greenman et al., 2010; Li et al., 2011; Liu et al., 2010; Sun et al., 2009). Several methods for purity estimation have been reviewed and compared (Mosén-Ansorena et al., 2012). More recent computational methods try to leverage the large amount of information gathered in next-generation sequencing (NGS), to estimate tumor purity and characterize tumor ploidy (Carter et al., 2012; Chen et al., 2013; Larson and Fridley, 2013; Su et al., 2012). While these methods increasingly use probabilistic modeling, including HMMs (Ha et al., 2012), to account for noisy data, they do not infer individual subclonal fractions and copy-number profiles and often include only one or two of the available data types. If methods for purity estimation assume a fully clonal tumor population, they can give unreliable results—if there is considerable subclonality. Models that try to account for possible subclonality can produce more robust estimates (Carter et al., 2012; Chen et al., 2013; Larson and Fridley, 2013).
More recently, a few studies have started to infer the subclonal structure from NGS data. In the analysis of breast cancer genomes (Nik-Zainal et al., 2012b), the histogram of observed single-nucleotide variants (SNVs) has been explained with a small number of mutation clusters using a Dirichlet process. These clusters are then used to manually derive a consistent phylogenetic tree. This ansatz has recently been extended to the case of multiple samples (Elli et al., 2013). The THetA
algorithm (Oesper et al., 2013) uses genome-wide segmented read-depth information to find mixtures of subclonal copy-number profiles. For the limit case of a fully clonal tumor, THetA outperforms previous purity estimators and runs efficiently. Since the inference in THetA is based on read depth alone, there can be several equivalent copy-number profiles explaining the data. The PyClone algorithm (Roth et al., 2014), on the other hand, tries to deconvolve the tumor into subclones based on somatic SNVs from deep sequencing using a hierarchical Bayesian clustering model that can incorporate local copy-number information. Within the same category, the recent PhyloSub algorithm uses deeply sequenced SNVs and phylogenetic tree constraints to infer subclonal frequencies (Jiao et al., 2014).
We here describe a probabilistic algorithm, cloneHD, to perform subclone reconstruction from short-read data. Our algorithm offers three qualitatively new additions that differentiate it from existing methods.
First, our method addresses the clonal inference problem using data of multiple types, both at the level of copy-number aberrations (CNAs), using read depths and B-allele fractions (BAFs) (denoted cna-mode, cna-baf-mode) and at the level of somatic SNVs (denoted snv-mode). Inferences are performed with a set of coupled hidden Markov models jointly across all data types, which can greatly improve the evidence for one of several competing solutions. However, the resulting clonal decompositions need not be the same at the two levels. For instance, two clones with identical copy-number profiles can still have different somatic mutations. In snv-mode, cloneHD tries to find this alternative partitioning while respecting the overall copy-number status of the population. We can also perform an integrative analysis to seek a clonal decomposition jointly at the level of CNAs, BAFs, and SNVs (i.e., cna-snv-mode and cna-baf-snv-mode).
As a result of this, the method generates inferences of the number of clones detected in the sample, their population frequencies across time and/or space, and subclone-specific posterior probabilities of copy-number profiles and somatic variant genotypes. To our knowledge, the calculation of consistent locus- and subclone-specific posterior probabilities across all three levels, namely total copy-number, B-allele status, and SNV genotype, has not been done before. This reconstruction facilitates subclone-specific computational analyses at high definition and so opens new ground for exploration.
Finally, our algorithm is designed to take account of data where multiple samples have been sequenced from a single patient. Our approach exploits correlations across time (longitudinal data) or across space (multiregion and/or metastatic samples).
To achieve computational efficiency, the algorithm employs a fuzzy data segmentation scheme, which coarse-grains the data while retaining most of the correlation information (see Experimental Procedures, Supplemental Experimental Procedures, and Figure S1 for details). The inference of two subclones in a single whole-genome cancer sample at full data resolution (1 kb) with hundreds of segments can thus be performed within minutes running cloneHD on a standard personal computer.
In the following, we demonstrate the performance of the approach using simulated data and two case studies: a breast cancer sample (Nik-Zainal et al., 2012b) and time-resolved samples of chronic lymphocytic leukemia (Schuh et al., 2012).
RESULTS
Benchmarking against Simulated Data
We first measured the performance of cloneHD by running it against simulated data to demonstrate that the algorithm can successfully infer the number of subclones and their frequencies and reconstruct their copy-number and somatic SNV states. The simulation ensemble consisted of 100 data sets, where each sample had a purity of 0.7 (i.e., 30% of the DNA was derived from noncancerous cells) and further contained two cancer subclones of variable sizes. In our simulations, we constructed evolutionary trajectories where the initially smaller subclone gained in frequency over time while the other subclone decreased. Their copy-number profiles and SNV genotypes, and therefore their subclonal identity, remained the same at all times. Each simulated genome was composed of 20,000 loci, out of which a mean of 2,500 loci contained somatic mutations and a mean of 2,342 loci were germline heterozygous (generating B-allele counts). These simulated cancers were “sequenced” at a depth of 15X (fold coverage, the average number of reads representing a nucleotide) per haploid chromosome at up to three time points in their evolution (for detailed description of the simulations, see Supplemental Experimental Procedures). With real data, the effective sequencing depth is not exactly known. In cloneHD, this parameter is learned as a sample-specific mass, defined as the mean sequencing depth per haploid chromosome. Figure 2 shows one representative simulated data set and its particular explanation using cloneHD.
We considered two main performance measures for the inferences; reconstruction fidelity and mean error in clone frequencies per sample point. We defined the fidelity of an inference as the amount of posterior probability per locus assigned to its true state. For instance, fidelities close to one mean that the algorithm has correctly reconstructed the copy-number profile or somatic SNV genotypes for a subclone. Although this metric is a useful indicator for the overall performance of subclonal reconstruction it has some limitations. For example, even with perfect clonal frequencies, at low sequencing depths and/or a small number of samples, a substantial uncertainty about the hidden state remains and cannot be removed without more data. This is especially the case for the somatic SNV genotype state, which in general has no persistence along the genome. Such uncertainty reflects the inherent limits of inference rather than any shortcomings of the reconstruction algorithm. In Figure 3A, we show that cloneHD successfully reconstructed the clonal copy-number states and somatic SNV genotypes from the simulated data, obtaining fidelities close to the maximum achievable given the noise level. As expected, the performance increases when more samples (time points in the simulations) and/or data types (cna-mode, cna-baf-mode, cna-baf-snv-mode) are added.
We note that our model selection criterion (Bayesian information criterion [BIC]) undercalled the number of clones in up to 13 of 100 runs (cna-mode). With additional time points, this underestimate disappeared and there was some overcalling in up to 6 of 100 runs (cna-baf-mode). However, the clones that were identified in the miscalled runs have meaningful fidelities, while some smaller clones are missed. In analyzing real data, we suggest
that BIC be regarded as an informed heuristic, with emphasis being placed on the stability (or lack thereof) of the solution when changes are made to the total number of subclones or the copy-number range. Figure 3B shows that the mean error per sample between the true frequencies and the inferred ones is small and decreased as a function of sample points and with the addition of data types. This result is clearly not independent of the fidelity and shows how closely the underlying subclonal dynamics can be learned. We also note that inferences where the mass was not accurately captured often show poor fidelities because the solution found differs from the correct copy-number profile by an overall shift (typically by one copy).
In summary, cloneHD can successfully reconstruct subclonal frequencies and the underlying copy-number profiles and SNV genotypes from complex simulated mixtures. Although these simulated data sets provide a demanding test for our algorithm, they are not ideal; it is not clear how comparable they are to real cancer cell populations. Biological data sets cannot be expected to follow specific emission models verbatim. However, our choices for the simulations were set with the motivation...
Using more data types (e.g., cna-baf-mode instead of cna-mode) and using more samples each help achieve a higher performance.
(B) The mean errors of inferred frequencies per subclone, averaged over time points, show an increasingly accurate inference of subclonal trajectories.
**Inference from a Normal–Tumor Pair: Subclones in a Single Breast Cancer**
The 18BX breast cancer sample PD4120a has been used as a showcase data set, demonstrating that the cellular composition and evolutionary history of a tumor can be retraced from whole-genome sequencing (WGS) to considerable detail (Nik-Zainal et al., 2012a, 2012b). In this first extensive analysis, as many pieces of evidence from different data types as possible were collected to draw a comprehensive picture of its subclonal structure and the life history most compatible with it. The ambition of cloneHD is to automate some of the steps of this analysis, while being routinely applicable to whole-cancer-genome data at moderate sequencing depth. As compared to Nik-Zainal et al. (2012b), we note that we are currently not factoring in the phasing of somatic mutations to individual chromosomes using germline SNVs in conjunction with a large number of haplotypes from an external database, such as the 1000 Genomes Project (1000 Genomes Project Consortium, 2012). The special status of PD4120a suggests its use as a real data benchmark, as has been done in a previous attempt to resolve the subclonal structures of cancer samples (Oesper et al., 2013).
The data used for the inference consisted of (1) the integer mean read depth in each of the 2,727,971 windows of 1 kb genome-wide for both PD4120a and its matched normal sample, PD4120b; (2) read counts of both alleles at the 1,116,088 originally heterozygous loci; and (3) read counts of both alleles at the 70,690 somatic SNV loci. The matched normal sample was used to prefilter the data and to derive a read-depth bias field, reflecting technical rather than biological sources of variation in the read depth. This modulation was observed with high agreement in the tumor read-depth data and could be included in the cloneHD analysis (see Figure S1, where we also describe the heuristic prefiltering steps we used to mask out centromeric and telomeric regions as well as very short-scale variation). Coarse-graining the data in a way that neighboring segments are in different copy-number states with a probability of 1% or greater resulted in 580 segments genome-wide. We then performed the inference of subclonal structure incrementally adding data types (cna-mode, cna-baf-mode, cna-baf-snv-mode, snv-mode). We here report the findings for two and three subclones with up to four chromosome copies. Explanations with a single subclone could all be decisively ruled out.
In cna-mode, cloneHD consistently found two subclones at fractions of 0.65 and 0.096 with a mass of 107.7. The two subclones are mostly diploid with several single-copy gains and losses along the genome. Finding this solution, however, depends on penalizing states with zero total copies, for which the prior expectation is smaller on biological grounds. Without this penalty, the best solution (0.33, 0.096, and mass 107.7) finds the bigger subclone at about half the size and visiting states 0, 2, and 4 instead, suggesting a spurious solution.
In cna-baf-mode, cloneHD found two subclones at fractions of 0.69 and 0.11 (mass 102.1). The copy-number profile of the larger clone (shown in Figure 4) is the same as the one found in cna-mode, whereas the smaller subclone is shifted up by one copy and could plausibly be explained as tetraploid with losses of one and up to two copies in some of its chromosomes. This is in close agreement with the solution in (Nik-Zainal et al., 2012b) and further discussed in (Oesper et al., 2013). This solution also confirms the balanced and unbalanced loss of two copies of chromosomes 2 and 7 in the minor clone, respectively.
In cna-baf-snv-mode, trying to decompose the population across all data levels, cloneHD returned the cna-baf solution as the best explanation with almost identical fractions and mass. In the course of the inference, another solution was transiently visited with fractions of 0.62 and 0.092 (mass 103.4), which explained the SNV data slightly better at the expense of the first two data layers.
Finally, in snv-mode, using the local copy-number information from the best cna-baf-mode solution, cloneHD found support for three subclones at fractions 0.47, 0.23, and 0.084, summing to about the same purity as the cna-baf solution. This fact is not predetermined by using the copy-number constraint. In Figure 4E, the goodness of fit of this solution is shown, assigning each SNV to a genotype according to the cloneHD posterior probability and comparing the observed SNV allele fraction, corrected for local ploidy, to the one predicted by the model. An
interpretation of this result is that the larger cna-baf subclone is split in two smaller sets when considering also SNVs.
To compare our findings with the Theta result, we fixed the subclonal fractions found therein (0.619 and 0.101) in cloneHD. In cna-mode, the optimal mass was learned to be 113.2 (not penalizing zero-copy states), leading to a good explanation of the CNA data. The copy-number profile found in this case is in almost perfect agreement with Oesper et al. (2013). However, for both BAF and SNV data, this candidate is clearly a poor explanation. At closer inspection, we note that it differs from the minor-tetraploid solution by shifting the smaller subclone two copies downward. This shift-by-two operation could, in principle, leave both the CNA and BAF level unaffected if all chromosomes were balanced in the minor allele. The decisive
Table 1. Statistical Evidence for Different Subclones in the 188X Breast Cancer PD4120a
| Mode | $f_1$ | $f_2$ | $M$ | $-\mathcal{L}(CNA)$ | $-\mathcal{L}(BAF)$ | $-\mathcal{L}(SNV)$ |
|-----------------------|---------|---------|---------|---------------------|---------------------|---------------------|
| cna | 0.651 | 0.096 | 107.7 | 11,443,900 | 3,134,300 | 360,100 |
| cna$^a$ | 0.329 | 0.096 | 107.7 | 11,476,400 | 4,190,100 | 379,500 |
| cna-baf | 0.687 | 0.109 | 102.1 | 11,449,300 | 3,018,500 | 351,900 |
| cna-baf-snv$^b$ | 0.687 | 0.111 | 102.0 | 11,450,300 | 3,017,700 | 351,200 |
| cna-baf-snv$^c$ | 0.617 | 0.092 | 103.4 | 11,463,500 | 3,041,800 | 347,400 |
| THeta(cna)$^d$ | 0.619 | 0.101 | 113.4 | 11,447,000 | 3,046,900 | 376,441 |
Overview of several candidate explanations of PD4120a in terms of two subclones. The first columns show the way in which a particular solution was found, the subclonal fractions, and mass parameter. The next three columns show the log-likelihood values (rounded to 100 units) for the different data tracks. Note that the best cna-mode solution fails to explain the BAF data.
$^a$Not penalizing zero-total-copy states.
$^b$This is the solution shown in Figures 4A–4D.
$^c$This solution represents a recurring minor solution.
Chromosomes are 7 and 17p, which are much better explained with a copy-number-neutral loss of heterozygosity. It is a common feature that solutions that were strong competitors at one level are ruled out completely when trying to explain data at the next (see Table 1).
This analysis sheds some further light on this fascinating and highly complex cancer genome and the different explanations put forward in Nik-Zainal et al. (2012b) and Oesper et al. (2013). It also clearly demonstrates the added value of using all available data sets in a comprehensive and integrated inference framework.
Temporally Correlated Samples: Clonal Dynamics in Chronic Lymphocytic Leukemia
We next analyzed a chronic lymphocytic leukemia (CLL) whole-genome-sequence data set. CLL exhibits extensive clinical and biological heterogeneity, and none of the conventional treatments are curative (Alsolami et al., 2013). Furthermore, subclonality adversely affects clinical outcomes for CLL patients (Landau et al., 2013). Our case study data set consists of samples of a matched normal and five separate longitudinal tumor samples reported in Schuh et al. (2012) (patient ID CLL003). The time points correspond to changes in therapeutic regimen: (a) before chlorambucil; (b) before fludarabine, cyclophosphamide, rituximab; (c) immediately after six cycles of fludarabine, cyclophosphamide, rituximab; (d) before ofatumumab; and (e) after ofatumumab.
The patient CLL003 was studied by the authors in detail via targeted deep sequencing of the coding variants observed with WGS to a mean depth of 100,000X in order to reconstruct the clonal evolution of the tumor. Here, we used only the WGS data consisting of 4,406 SNVs and genome-wide read-depth data (in 20 kb windows with 10 kb overlap) to infer the clonal evolution of CLL003. Figures 5A and 5B show these SNV frequencies and read-depth profiles across time.
We first ran cloneHD on the data in cna-mode and identified three subclones (and a normal), as shown in Figure 5C. The inferred temporal evolution closely matches the one obtained from targeted deep sequencing and presented by Schuh et al. (who identified a fourth subclone that is at a very small frequency only at time point (a) before disappearing; Schuh et al., 2012).
Interestingly, running cloneHD with snv-mode, using the copy-number information from the cna-mode analysis, gave a very closely matching temporal evolution (see Figure 5C). The main difference to the cna-mode solution is that the small green subclone is here at slightly higher frequencies. Indeed, this snv-mode solution is even closer to the one reported by Schuh et al. with the green subclone present in a finite fraction at all time points. Such consistency across levels need not be the case, as the cell population can be split in different ways at the level of somatic CNAs and SNVs as shown in Figure 1. The importance of this consistency in terms of the respective roles of CNAs versus SNVs driving these subclones is not presently clear and suggests a direction for future investigation.
Finally, the result of the inference in cna-snv-mode is consistent with the other two being almost identical to the cna-mode solution. Inspection of the copy-number posterior for the green subclone, which is visible only in time points (a), (c), and (e), suggests that it represents a fitting of noise; these three time points possibly have a slightly different technical bias so that the bias field, derived from the matched normal sample, cannot fully correct for it. In Figure 5D, we show genome-wide copy-number profiles for the dominant red and blue subclones.
In Figure 5E, we also report the posterior genotype probabilities for each coding mutation predicted to have a functional effect (Ensembl Variant Effect Predictor was used to select these mutations; McLaren et al., 2010). We note that using snv-mode does not force the clone decomposition to be the same at the CNA and SNV levels, so the discrepancy of the role of the green subclone could be biological. However, owing to the greater weight of the CNA data in the combined inference, we suspect that the SNV data supporting the green subclone are overwhelmed and that subclone is used instead to fit the bias field discrepancy. This is further supported by the SNV part of the log likelihood, which is ~5,000 units better when the green subclone is at frequencies given by the snv-mode compared to those from the cna-snv-mode.
Assessing the Potential of Near-Real-Time Monitoring of Clonal Dynamics
The CLL003 results presented here demonstrate the power of cloneHD to quantify the subclonal evolution and the subclone
genotypes from a WGS data set, facilitating the interpretation of tumor progression under a variable drug regimen. Such subclone trajectories can potentially be used to quantitatively study the underlying fitness landscape of CLL evolution under drugs once more similar data sets are analyzed. However, the analysis presented so far was purely retrospective in nature and thus would not have been of direct clinical utility in providing decision-making support for the clinician. To have an idea of the potential clinical utility, we formed partial data sets consisting of all data up to a given time point to mimic a real-time monitoring scenario. Figure 6 shows the results of these inferences running cloneHD in snv-mode.
Figure 5. Clonal Dynamics in Chronic Lymphocytic Leukemia
(A and B) SNV trajectories for patient CLL003 (A) and genome-wide read-depth tracks (every 100th point shown) (B) across five time points together with a matched normal sample (not shown) form the input data.
(C) cloneHD identified three cancer subclones and a normal (white area) for this cancer. The evolutions inferred from SNV and CNA data are in close agreement.
(D) Genome-wide subclone-specific copy-number states for the major subclones red and blue have different aberration at chromosome 8 and shared ones at chromosomes 11 and 13.
(E) Subclone-specific SNV and locus copy-number state for variants that were identified as having a possible functional effect using the Ensembl Variant Effect Predictor.
Having only the first time point identifies the red subclone decisively with no further improvement with adding more data. For the green subclone, some point mutations (e.g., SEMA3E and ASXL1) are seen already at this early point, but most mutations have substantial uncertainty associated with them (Figure 6). Using data up to time point (c), it is apparent that the red subclone has substantially declined whereas the proportion of healthy cells in the third sample is larger (white area in the figure). In addition, there is a large fraction of the blue subclone present, and at this time point many of its coding mutations would already be correctly assigned. The last two time points further consolidate the genotype of the blue subclone and improve the green subclone, which is the smallest of all three.
**Figure 6. Mimicking a Near-Real-Time Monitoring Scenario by Performing Inference on Partial Data**
(A) The time-development of subclonal evolution using only partial data recapitulates faithfully what could be inferred using all the data.
(B) Posterior probabilities for candidate driver SNVs are fully fixed for the red subclone after the first observation. For the other two subclones, more observations are needed: using the time points (a–c) is enough to see the emerging blue subclone close to its complete data inference counterpart.
(C) Clustering genome-wide SNV posterior probabilities across all partial inferences quantifies the relationships between the subclones. The red subclone is identified from the beginning as a separate one, whereas the blue subclone is clustered with the green subclone after two time points. From time point (c) onward, the blue subclones form their own clade.
In summary, cloneHD was applied to a time-resolved genome-wide data set and recovered an evolutionary history as was inferred using targeted deep sequencing (Schuh et al., 2012). In this case, close agreement was found between the patterns of evolution inferred independently using copy-number alterations or somatic SNVs. However, this will not necessarily be the case in general. Interestingly, the blue subclone is not seen at time points (a) and (b) when using only SNV data but is clearly manifest (albeit at small frequency) once CNA data are included. This detection in an early time point seems to be driven by chromosome 8 loss and gain events (see Figures 5B and 5D). These loss/gain events are just about visible to the human eye from the read-depth track at time point (b). Finally, analyzing partial data sets to emulate a real-time monitoring scenario, cloneHD could reveal information of potential clinical relevance.
DISCUSSION
The difficult path from collecting mutational events using DNA-sequencing to elucidating subclonal cancer progression can be traversed. In contrast to the problem of identifying driver mutations, here the numerous passenger mutations are an asset. They faithfully report the evolution of a cancer genome, although they can sometimes be compatible with more than a single history. We have shown here that such degeneracy is greatly reduced when the tumor is observed at varying stages of its evolution, when subclonal frequencies are different. We have also shown the great benefit of performing a simultaneous analysis using several available data types (i.e., read depths, B-allele counts, and somatic SNV counts). Our reanalysis of the breast cancer sample PD4120a demonstrated the value of such an integrated analysis. Our analysis of a longitudinal data set of CLL demonstrates that its clonal progression could be deciphered using the whole-genome sequencing data without needing extra targeted deep sequencing as done by Schuh et al. (2012). For this patient, we also performed a mimic of a real-time monitoring scenario that could reveal clinically important information. Both of these results—whole-genome sequencing data suffices and real-time monitoring—is informative—are proofs of concept and should be used as an encouragement to design prospective studies where patients’ responses to therapies are monitored in real time via WGS.
We developed cloneHD in a way that user-specified constraints can be easily included, such that competing explanations can be ruled out using several distinct sources of information. For instance, external estimates for a lower bound on the sample purity could be used. In the case that histopathological image analysis has revealed cell fractions of different molecular phenotypes, cloneHD can assign somatic SNVs and copy-number variants to specific subclones according to these given fractions. Comparing the population fractions derived from image analysis, or any other phenotyping, to those obtained from the genetic data alone presents an interesting avenue for future research.
As a statistical inference program, cloneHD has some important limitations. The role of model complexity is central to most of them. While the real underlying complexity of a system (here, a tumor cell population) can be very large, noise in the observed data (due to finite sequencing depth) allows one to reconstruct only some major features of that complexity. One must find a balance between the need to explain all the structure visible in the data and the danger of overfitting it with a model that is too flexible. The BIC model selection criterion that we use in cloneHD tries to find this compromise and is validated with extensive simulations, where we know the true system complexity. For real data sets, however, this criterion should be regarded as an informed heuristic and should be supplemented with considerations of reconstruction quality and stability as well as biological consistency. For example, the algorithm might find a spurious solution with compensatory copy-number state changes across subclones, which is very unlikely on biological grounds but might serve to opportunistically maximize the total log likelihood.
To build intuition on the solution space, we have also included a systematic scan mode to cloneHD in order to visualize the log-likelihood landscape. This mode is practical for single samples with only few global parameters to be scanned over. For multiple samples and with increasing knowledge about the evolutionary dynamics of cancers, one could further constrain the subclonal fractions to follow trajectories that depend on much fewer parameters.
Another limitation comes with the use of explicit emission models, such as Poisson and Binomial distributions, to connect noisy data to the underlying genomic states (see Supplemental Experimental Procedures). Data for which these models are not valid approximations should not be included in cloneHD.
The computational efficiency of cloneHD is achieved with a fuzzy data segmentation scheme: HMMs are allowed to change their state only at loci where the data itself support a certain minimum jump probability. If this threshold is set too high, some true transitions might be missed, leading to incorrect reconstructions. If it is set too low, too many segments are introduced, slowing the algorithm down. We found a jump probability of 1% or greater to be a good compromise. Once all the parameters are learned, however, one can recalculate posterior distributions with cloneHD where every locus is allowed to be in every state. This is the highest definition achievable.
Lastly, cloneHD does not explicitly enforce a consistent tree structure for the subclones along the genome. Especially for SNVs, such a constraint might be very useful. In the present setup, this would, however, require integration over all possible trees, a calculation outside the current scope of cloneHD.
In the future, studies with both temporally and spatially resolved sequence data of tumor cell populations are likely to become ubiquitous. Computational methods able to exploit the information in such correlated samples are clearly needed. Until single-cell sequencing methods mature or disruptive technologies for bulk sequencing with very long reads emerge, inferences as performed here will be necessary. For this period, we hope that cloneHD will help to generate useful insights into subclonal cancer evolution.
Beyond cancer progression, subclonality is common to asexual evolution, potentially giving cloneHD a much broader scope for application. Many features in the evolution of cancer are shared with bacterial, viral, or parasitic populations, including asexual reproduction as well as clonal expansion and
competition. Clonal heterogeneity has been observed both in laboratory populations (e.g., Lang et al., 2013) and wild populations within the host (e.g., Bryant et al., 2013; Lieberman et al., 2014). cloneHD can also be useful in deciphering genotypes in fully clonal isolates with added complexity due to copy-number variation (e.g., see Figure S2).
We here presented cloneHD, an algorithm for the probabilistic inference of subclonal copy-number profiles, genotypes, and population frequencies. cloneHD can be used to perform an integrative analysis of somatic CNAs, B-allele variants, and somatic SNVs across multiple correlated samples. Using simulations, a single breast cancer, and time-resolved CLL data we have demonstrated the ability of cloneHD to quantify and track subclonal progression in cancers.
EXPERIMENTAL PROCEDURES
A full expose of the mathematical details and the implementation of the algorithm is given in the Supplemental Experimental Procedures, so we focus here on some key conceptual points only. cloneHD is a probabilistic framework to resolve the subclonal structure of a cell population from NGS data. This data usually comes at three levels: the read-depth data (number of reads mapping to different loci in the genome) contain information about the (aberrant) copy-number profiles that are present in the cancer cell population, the B-allele count data (number of reads reporting a minor allele at an originally heterozygous locus) contain information about the somatic copy-number changes by stratification between balanced and unbalanced copy-number changes, and the somatic mutation data (number of reads reporting a somatic nucleotide variant not seen in normal cells) contain further information about the size of subclonal fractions in the sequenced sample and their somatic mutation genotypes.
The cloneHD setup is capable of performing a joint inference on several samples of the same tumor, e.g., from longitudinal (Schuh et al., 2013) or multifocal (Gattinger et al., 2013) sequencing studies. It assumes that the same n subclones are present in all of these samples but at possibly different proportions $f^u_i$ ($i = 1...N_j, j = 1...n$). Having the same set of subclonal copy-number profiles and genotypes realized at different relative proportions can greatly help in resolving tumor structure.
Because most haplotypic information is lost in the sequencing process, cloneHD tries to leverage the correlations along the genome that remain in the read depth and minor allele count data by modeling these with hidden Markov models, where their emission properties couple the hidden, locus-and sample-specific copy-number posterior distributions $\gamma(c)$ and somatic SNV genotypes $g_i$ to all the observed data $u = 1...L$, where L is the number of observations in a data set. Global parameters that are jointly learned across all data types are the subclonal fractions $f^u_i$ and, for CNA data, the sequencing yield $M^u$ per haploid DNA (which we call mass). These cellular fractions and masses are sample specific. The global parameters are determined by maximizing the total log-likelihood of all the observed data. A given vector of f and M defines a posterior distribution over the hidden states c, b, and g for every single observation. This high-resolution information can then be used to perform further subclone-specific mutation data analysis.
The greatest improvement of cloneHD over existing methods is that it couples the different data layers and enforces a consistent explanation of all the data in a hierarchical fashion. Proposed estimates of f and M lead to a posterior distribution over total copy-number states per subclone along the genome, e.g., showing strong evidence for a deletion of one particular chromosome in a subclone $1 \leq i \leq n$. At the subclone level, however, in general, the minor allele genotypes must be consistent with this fact, e.g., $b_{1i} \leq 1$. In general, these consistency constraints are probabilistic, with the copy-number profile posterior distribution $\gamma(c)$ informing the BAF and SNV genotype prior distributions at each locus (see Supplemental Experimental Procedures).
Increasing the proposed number of subclones n and the maximum copy number $c^{max}$ that their respective copy-number profiles can visit greatly increases the model complexity of cloneHD, with the hidden state space dimensionality growing exponentially. We use the Bayesian information criterion (BIC) as a heuristic model selection scheme. The BIC penalty term below aims to capture model complexity not only by the number of free parameters but also by the number of states that are available to explain the data.
$$\text{BIC} = 2(L_{CNA} + L_{BAF} + L_{SNV}) - k \log(L_{CNA} + L_{BAF} + L_{SNV})$$
$$k \equiv (c^{max} + 1)^n + N_L(n + 1)$$
Additionally, the goodness of fit (the average geometrical distance of data points to the model prediction) can also be used as a model comparison criterion and is included in the output.
The sizeable model complexity of cloneHD requires the data to be efficiently organized to avoid wasting computational effort. Previous algorithms have chosen to segment the read-depth data in some meaningful form on usually large length scales (Oesper et al., 2013; Van Loo et al., 2010). With the aim to retain as much of the correlation information as possible, we have implemented a fuzzy data segmentation scheme that is scale-free. This is done by a stand-alone program, filterHD (described in Supplemental Experimental Procedures), which is a continuous-time HMM in the spirit of the well-known Kappa-filter (Klimm et al., 2010) but adapted for integer observations and employing a jump-diffusion approximation. FilterHD not only is a powerful probabilistic smoothing algorithm but also produces a posterior jump probability track, highlighting regions of the data where real jumps in the emission rate could have occurred. Allowing the HMM in cloneHD to make state transitions only at sites with nonnegligible posterior jump probability effectively segments the read-depth data into blocks that are still probabilistically connected.
The diffusive part of the filterHD dynamical model is used to learn a potential read-depth bias. This technological bias results in modulations of the read-depth profile, which are not caused by real discrete copy-number changes in some parts of the cell population. If sequencing data of a matched normal sample are available and if the read-depth bias in both normal and tumor samples is the same, then filterHD can produce a high-quality estimate of this bias field that can easily be included into the cloneHD inference. Since filterHD is a probabilistic framework, one can assert this assumption quantitatively in terms of likelihoods.
Code Availability
The latest version of the cloneHD software, including filterHD, as well as extensive documentation, can be found at: https://github.com/andrej-fischer/cloneHD.
SUPPLEMENTAL INFORMATION
Supplemental Information includes Supplemental Experimental Procedures and two figures and can be found with this article online at http://dx.doi.org/10.1016/j.celrep.2014.04.055.
ACKNOWLEDGMENTS
We would like to acknowledge the Wellcome Trust for support under grant numbers 098051 and 097678. A.F. is in part supported by the German Research Foundation (DFG) under grant number FI 1882/1-1. C.J. is supported by a Sir Henry Dale Fellowship jointly funded by the Wellcome Trust and the Royal Society under grant number 101239/Z/12/Z. We would like to thank A. Schuh, J. Becq, and J.-B. Gazer for help with the CLL data; P. Van Loo and D. Wegrzyn for help with the breast cancer data; discussions, and comments on an earlier version of the manuscript; F. Campbell for discussions; and C. Greenman, I. Tomlinsion, O. Krijgerman, and S. Schiffels for comments on an earlier version of the manuscript.
Received: December 19, 2013
Revised: March 26, 2014
Accepted: April 24, 2014
Published: May 29, 2014
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One of the many things separating the IRS from most potential creditors is that the IRS has the ability to assess taxes and collect taxes without having to sue the taxpayer, reduce the liability to an enforceable judgment and then proceed with collection activities. Subject to affirmative procedural options on behalf of the taxpayer, discussed further below, the IRS can make an assessment of taxes and simply begin collecting, including utilizing its substantial powers of lien and levy. In other words, if the taxpayer just sits there, the IRS can eventually show up and collect without ever having to file or set foot in front of a judge.
Take this CPE quiz online! Go to TSCPA’s website at http://bit.ly/cpequiz
The opportunity for a taxpayer to seek pre-payment judicial review in front of the Tax Court covers most potential tax liabilities. Many taxpayers assume that the opportunity for Tax Court jurisdiction and the procedural protections that generally come with it (e.g., a post-petition appeals conference if the matter has not had consideration by appeals, attention from IRS counsel individually assigned to the case and finally a trial in front of a Tax Court judge) are axiomatic. There are, however, circumstances in which Tax Court review is not available and there are even some situations in which the taxpayer may cut off the opportunity for Tax Court review by seeking an appeals conference prior to a collection due process (CDP) hearing.
A recent case out of the Seventh Circuit, *Our Country Home Enterprises, Inc. v Comm'r*, 855 F.3d 773 (7th Cir. 2017), highlights these issues as it takes a methodical walk through what the court refers to as “the abstruse world of federal-tax procedure.” The opinion starts with a big picture, macro take of tax procedure. It then winnows down to the question at issue in that case, namely whether a taxpayer was precluded from challenging liability for a penalty (§6707A failure to include reportable transaction information with return) in a CDP hearing, because the taxpayer previously challenged its liability in an appeals hearing that did not offer the potential for judicial review. The court answers the question in the affirmative, ostensibly leaving the taxpayer to walk the longer and more expensive road of paying the penalty and eventually filing a refund suit if the taxpayer chooses to challenge the IRS’ position.
In so doing, the opinion outlines the difference between (i) taxes and related penalties that are subject to deficiency procedures and consequently an opportunity for Tax Court review prior to assessment and collection and (ii) taxes or penalties that are not subject to the deficiency procedures, i.e., “non-deficiency taxes,” which do not provide the taxpayer with an opportunity for Tax Court review prior to assessment and collection. It also underscores some situations in which taxpayers might not want to request an appeal, as doing so may cut off an opportunity for Tax Court review.
**Deficiency Procedures – i.e., Notice of Deficiency and Potential for Tax Court Review**
The court observes that Congress enacted sections 6212 and 6213 to prohibit the IRS from assessing a deficiency in income, estate, gift and certain excise taxes until the IRS issues a notice of deficiency, giving the taxpayer access to Tax Court. A taxpayer then has 90 days (or 150 days if he/she lives outside the United States) to petition the Tax Court for review.
If the taxpayer does not timely file a petition in Tax Court after having received a notice of deficiency, the IRS can assess (or formally record) the deficiency under section 6203. The assessment “is given the force of a judgment,” authorizing the IRS to collect the tax. *Bull v. United States*, 295 U.S. 247, 260, 55 S. Ct. 695, 79 L. Ed. 1421, 81 Ct. Cl. 974, 1935-1 C.B. 310 (1935); *Matter of Carlson*, 580 F.2d 1365, 1368 (10th Cir. 1978).
Within 60 days of an assessment, the IRS must notify the taxpayer of the amount due and demand payment. IRC §6303(a). Failure by the IRS to follow the appropriate procedures regarding notice could result in invalidation of a lien or levy. If the taxpayer fails to pay what is due, the IRS can file a notice of federal tax lien, which places a lien on all of the taxpayer’s property. IRC §6321. The IRS can also levy on a taxpayer’s property, after giving the taxpayer 30 days prior notice. IRC §6331. Finally, the IRS may commence a civil case for collection purposes. *Anuforo v. Comm'r*, 614 F.3d 799, 805 (8th Cir. 2010).
**Certain Taxes Not Subject to Deficiency Procedures**
Some taxes are not considered deficiencies under the Internal Revenue Code. Certain penalties are, by statute, explicitly exempted from deficiency procedures. *Smith v. Comm'r*, 133 T.C. 424, 428 (2009). Other penalties, such as reporting penalties imposed for failing to report participation in various tax-shelter transactions, have been found to be exempt from deficiency procedures based on the fact that the Tax Court is a court of limited, statutory jurisdiction and an analysis of the penalty at issue. *Smith*, 133 T.C. at 429 (finding section 6707A taxes to be exempt from deficiency procedures). Our *Country Home* notes that, for these non-deficiency taxes, which are not subject to deficiency procedures like prepayment judicial review in Tax Court,“ the IRS can make an immediate assessment.
**Collection Due Process Hearings – Procedure and Scope**
Prior to 1998, the IRS could reach a delinquent taxpayer’s assets by lien or levy providing any sort of pre-attachment process or judicial oversight. In response to concerns about this expansive collection power without judicial oversight, Congress enacted sections 6320 and 6330, granting a taxpayer the right to a CDP hearing within the IRS Office of Appeals after the IRS issues a notice of federal tax lien (§6320) or before the IRS levies on the taxpayer’s property (§6330).
Importantly, pursuant to section 6330(d)(1), a taxpayer who disagrees with the Appeals Office’s decision in a CDP hearing can appeal that decision to Tax Court. When the issue involves liability for the penalty, the Tax Court reviews the Appeals Office’s determination *de novo*. *Goza v. Comm'r*, 114 T.C. 176, 181–82 (2000). However, that Tax Court review is only available for items that were at issue in the CDP hearing. Taxpayers or their representatives can be forgiven for often being confused about what may or may not be raised in a CDP hearing, as it is situation specific and even depends on the type of tax at issue. To wit:
- A taxpayer may raise “any relevant issue relating to the unpaid tax or the proposed levy,” including collection alternatives and challenges to the proposed collection action unless “the issue was raised and considered at a … previous administrative or judicial proceeding” and the taxpayer “participated meaningfully” in that proceeding.” IRC § 6330(c)(2)(A) & (c)(4)(A).”
- A taxpayer may also challenge liability for the tax, but only if the taxpayer “did not receive any statutory notice of
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deficiency for such tax liability or did not otherwise have an opportunity to dispute such tax liability.” IRC § 6330(c)(2) (B).
- “An opportunity to dispute the underlying liability includes a prior opportunity for a conference with Appeals that was offered either before or after the assessment of the liability.” Treas. Reg. § 301.6330-1(c) (3) Q&A-E2.
- However, “[a]n opportunity for a conference with [the] Appeals [Office] prior to the assessment of a tax subject to deficiency procedures is not a prior opportunity for this purpose.” *Id.*
In *Our Country Home*, the court affirmed the Tax Court’s refusal to entertain liability arguments by the taxpayer, because the taxpayer had previously participated in an appeals conference. Even though no judicial review had been available from the appeals conference, the court, upholding the pertinent regulations under a *Chevron* deference analysis, held that this presented two separate prohibitions for the taxpayer, even though there had been no opportunity for judicial review of that appeals conference: (i) a prior opportunity to argue liability and (ii) a prior conference in which the taxpayer meaningfully participated. This reading, upheld by the Seventh Circuit here, has also been recently upheld by the Tax Court and the Fourth Circuit.
Section 6330 and the IRS interpretation of the regulations, supported by the court in *Our Country Home*, raise some risks and considerations for taxpayers who would prefer the opportunity for Tax Court review (i.e., for any judicial review prior to collection). They also present some different and significant procedural considerations for taxpayers in a deficiency context versus taxpayers presented with a non-deficiency case.
**Considerations Relating to Non-Deficiency Taxes**
With respect to non-deficiency taxes, the regulations provide that any opportunity to go to appeals precludes consideration of liability at a CDP hearing. This means that, for non-deficiency taxes, taxpayers should be aware if they are provided an opportunity for an appeals conference prior to collections and a CDP hearing, they may not have an opportunity for judicial review unless they pay the amount and sue for a refund.
Pre-collection appeals opportunities are not provided in every non-deficiency case. This raises the somewhat perverse incentive for a taxpayer to hope against a pre-collection appeals conference and certainly not to raise the issue lest they be offered such a hearing in a pre-CDP context that provides no opportunity for Tax Court review. If the taxpayer’s first opportunity for an appeals hearing is in the CDP context, then Tax Court review of liability should be available. Pursuant to the IRS’ reading of the regulations, upheld in dicta by the Seventh Circuit in *Our Country Home*, for non-deficiency cases this would be the taxpayer’s only opportunity for pre-collection judicial review.
**Considerations Relating to Deficiency Cases**
With respect to taxes subject to the deficiency procedures, however, the opportunity for a pre-assessment appeals conference does not constitute a prior opportunity under the regulations. Nevertheless, it is still the case that CDP consideration of liability is unavailable under section 6330(c)(4)(A) if “the issue was raised and considered at a … previous administrative or judicial proceeding” and the taxpayer “participated meaningfully” in that proceeding. Therefore, where a taxpayer in a deficiency case is presented with an opportunity for appeals, but for some reason did not receive a statutory notice of deficiency or did not receive one in time to file a Tax Court petition, that taxpayer may still have the opportunity for judicial review through a CDP hearing.
If, however, the taxpayer had “meaningfully participated” in a prior appeals hearing, then the taxpayer has run into a separate prohibition. If the taxpayer had instead foregone participating in an appeals conference at that time, an appeals conference would likely be provided later, after the taxpayer had filed a Tax Court petition, without threatening the potential for Tax Court review on a CDP hearing. While this is probably an insufficient reason, standing alone, to forego pre-Tax Court petition appeals, it is at least one consideration when determining whether to request appeals pre-Tax Court petition or whether to forego appeals until after the Tax Court petition has been filed.
**Tax Court Review**
Taxpayers should be aware that Tax Court review is not axiomatic. When it is unavailable, or has been foregone, it leaves the taxpayer in the position of having to pay the tax and seek a refund in order to seek judicial review of the IRS’ determinations.
In deficiency cases, Tax Court review should be made available either pre-assessment or in a CDP hearing. However, if for some reason a notice of deficiency is not received in time for the taxpayer to seek Tax Court review, the taxpayer’s participation in a pre-assessment appeals conference might ultimately preclude pre-collection review by the Tax Court.
In non-deficiency cases, Tax Court review may only be available if the taxpayer pursues a CDP hearing and has not previously had the opportunity for an appeals hearing. An early awareness of these rules, and the identity of your case as a deficiency or non-deficiency case, is necessary in order to (i) set appropriate client expectations, (ii) make the appropriate strategic calls early in a case to save time/resources and (iii) not accidentally forfeit the opportunity for Tax Court review.
**Footnotes**
i. Internal citation to sections 6677(e), failure to file information with respect to foreign trust, 6679(b) failure to file returns, etc., with respect to foreign corporations or foreign partnerships, 6682(c) false information with respect to withholding, 6693(d) failure to provide reports on certain tax-favored accounts or annuities, 6696(b) rules applicable with respect to secs. 6694, 6695 and
6695A, 6697(c) assessable penalties with respect to liability for tax of regulated investment companies, 6706(c) original issue discount information requirements, 6713(c) disclosure or use of information by preparers of returns, 6716(e) failure to file information with respect to certain transfers at death and gifts.
ii. Internal citations to *Shaw v. United States*, 331 F.2d 493 (9th Cir. 1964) distinguishing section 6672 penalties not subject to deficiency proceedings from section 6651 additions subject to deficiency proceedings; *Medeiros v. Comm'r*, 77 T.C. 1256 (1981) this court lacks jurisdiction to review previously assessed section 6672 penalties, aff'd. 742 F.2d 1446 (2d Cir. 1983); *Judd v. Comm'r*, 74 T.C. 651 (1981) this court lacks jurisdiction to review assessment of section 6652 additions to tax.
iii. See *Internal Revenue Manual* §126.96.36.199.1 “When the Tax Court Lacks Jurisdiction” and internal cites therein for information regarding which penalties the IRS views as being outside Tax Court jurisdiction.
iv. It is worth noting that the IRS formerly interpreted section 6330(c)(4)(A) not to apply to liability issues in light of Section 6330(c)(2)(B)'s explicit discussion on that point. See Office of Chief Counsel, Internal Revenue Serv., Notice CC-2003-016, at 20 (2003). But the IRS' current interpretation, affirmed in *Our Country Home* and other cases cited *infra*, simply restates the statutory language. See Office of Chief Counsel, Internal Revenue Serv., Notice CC-2006-019, at 33 (2006).
v. *E.g.*, *Durda v. Comm'r*, T.C. Memo 2017-89 where taxpayer disputed the tax liabilities in a prior appeals hearing, §6330(c)(2)(B) barred him from contesting those liabilities during the CDP process; *James v. Comm'r*, 850 F.3d 160, 165 (4th Cir. 2017) finding the regulation to be a "straightforward interpretation of [s]ection 6330(c)(2)(B)."
vi. In *Our Country Home*, the Seventh Circuit stated: "Section 6330(c)(2)(B) speaks to opportunities to dispute liability, not opportunities that a taxpayer actually exercised. . . . Thus, a taxpayer need not pursue that opportunity to be barred from raising a liability challenge in a CDP hearing." 855 F.3d at 788. The Tax Court itself has not yet had to squarely answer the question of whether just the offer of an Appeals conference is enough to preclude review in a subsequent CDP proceeding if the taxpayer declined the offer. *See Bitter v. Comm'r*, T.C. Memo. 2017-46, at footnote 6 (declining to address the question and citing to *Lewis v. Comm'r*, 128 T.C. 48, 61 n.9 (2007); but also citing *Thompson v. Comm'r*, T.C. Memo. 2012-87 for the proposition that "[a] taxpayer has the opportunity to dispute his liability for a trust fund recovery penalty when he receives a Letter 1153" offering an appeals conference). This at least leaves open an opportunity to decline the appeals conference and argue that a CDP hearing and Tax Court review should still be available. However, the Seventh Circuit's opinion and Tax Court dicta raise questions about the strength of this argument.
vii. Treas. Reg. § 301.6330-1(e)(4) Example 2.
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Marcus J. Brooks is a shareholder with Winstead, PC, and a member of Winstead’s Taxation, Employee Benefits & Private Business Practice Group. His practice focuses on tax controversies and litigation and tax planning at both the federal and state levels. Brooks also serves as an adjunct professor at Baylor Law School.
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Into Winter
We wish you a Merry Christmas and hope that a joyful throng will join Santa at the Fort on December 28th.
Chris Wright has organised some fine talks and outings for the New Year. Our first speaker will be Chris Cockburn, RSPB Warden of Langstone Harbour. Although his talk will be primarily about Langstone and its breeding birds, this is also an opportunity for questions and comments about the Adur Estuary reserve, which Chris oversees as part of his duties, and wrote about in our last newsletter.
On February 8th, we will have a visit from John Eyre, who is Chairman of the Hampshire Ornithological Society. John’s varied programme of talks includes some on special Hampshire subjects and on this occasion we have asked him to speak on Gilbert White’s Birds. If you have read The Natural History of Selborne and visited The Wakes, you know you’re in for a treat. If you haven’t, come and find out why the book is so popular; it is said that more copies have been printed than of any work except the Bible.
Stephen Knapp will be returning to speak to us on March 8th. He last spoke to us in 1999 when the Reserva Ecológica de Guapi Assu (REGUA) was struggling to raise funds for its land purchase appeal. Stephen became its Project Director and last year the final and most important parcel of land was secured. Stephen’s work on this project is now complete and we have asked him to tell us more about this major conservation success story. For a look at the wonderful wildlife and landscapes of this Atlantic Rainforest reserve in Brazil, visit www.regua.co.uk.
Time for Committee changes
We were very pleased to welcome Keith Noble on the Committee this year, particularly as he offered to edit the Newsletter, which, as you can see, he is doing admirably.
Jim Steedman and Peter Whitcomb have said they would like to stand down as Report Editor and Recorder respectively in the coming year. Penny Green has said she would like to become more involved in the SDOS and is willing to take over as Report Editor. Clive Hope has been helping Peter in writing up some species records and again is willing to take on the Recorder’s role. We are most grateful to Penny and Clive and hope they will enjoy working their way into their duties during the year.
At the same time we acknowledge the immense amount of work put into the Reports for which they have been responsible by Jim and Peter. Jim has added several pages of information, including Tide Tables, the SDOS Map and Gazetteer, Useful Addresses and Websites, and Personal Checklist, which have increased the interest of the Reports. All the work done by the Committee demands a certain amount of dedication, Jim and Peter deserve our thanks for responsibilities carried out to the full.
Diane and Terry Hicks, though not standing down from the Committee, would like to hand over the preparation of the refreshments at Indoor Meetings to someone else. They have done this job cheerfully and efficiently for several years and we thank them for making our intervals at meetings a very pleasant break. We need two people to organise some food and drink to start in January.
INDOOR MEETINGS
Meetings are held on Tuesdays at 7.30 p.m. in St. Peter’s Church Hall, West Street, Shoreham.
January 11th
Langstone Harbour
Chris Cockburn, RSPB Warden
February 8th
Gilbert White’s Birds
John Eyre
March 8th
Reserva Ecológica de Guapi Assu (REGUA)
Stephen Knapp
April 12th
AGM
& Members’ contributions
FIELD OUTINGS
December 28th (Tue)
Stanley’s Seasonal Saunter
AM only—meet 09.00 in Fort Haven car park. OS sheet 198. GR TQ233046. Leader Santa!
January 16th (Sun)
Dungeness area
Leader Bernie Forbes
February 19th (Sat)
Pagham Harbour
Leader Paul Stevens
March 12th (Sat)
Newhaven Tidemills
Leader Chris Wright
More details of 2005 outings in your new programme
2005. This is not a difficult task but one which helps to spread the load of things to be done at each meeting. There are always willing hands to help clear up at the end! Any offers, please, to Diane 01273 591120, or Brianne 01273 452497.
As we come to the end of 2004, I should like to thank all those on the Committee who have given so much of their time to make sure the SDOS continues to thrive and is an enjoyable Society for all our loyal members.
Brianne Reeve, Chairman/Hon.Secretary
What was about?
Here are a few snapshots from recent weeks. I have adapted some from emails to the SDOS Internet User Group, so this will not all be news to all readers, but I think these items are worth repeating in print. SDOS members who would like to join the User Group, should contact: email@example.com.
October 30th
At Shoreham Beach, the last day of British Summer Time dawned grey but turned warm and bright, bringing out butterflies—a few Red Admirals, two Clouded Yellows and a Peacock. Six Swallows flew East, perhaps bound for a shorter Channel crossing at Beachy Head, or hunting flies more successfully by heading into the gentle breeze. Wagtails and Pipits were catching small insects off the shingle and breakwaters, probably kelp flies that breed in the washed-up seaweed. Crows scavenged the tideline; one repeatedly dropped a shell onto the stones, and another hacked open a mermaid’s purse and ate the fishy contents.
At least two hundred Greenfinches took off from their feeding on the seeds of sea kale when a Kestrel passed through. Some of them followed the hunter, just as the Starlings did later with a Sparrowhawk, removing the danger of being caught by surprise. Tinkling flocks of Goldfinches, mostly of about twenty birds, were coasting East at the rate of about three hundred per hour, and a hundred Wood Pigeons headed inland.
Turnstones and Sanderlings fed at the water’s edge and I found a small high tide roost of Dunlins and Ringed Plovers. Their numbers will increase in the coming weeks, and walkers and their dogs can help them survive the winter by not disturbing them as they rest on the Beach.
Two Egrets waded in the shallows at Widewater. A Kingfisher flew from a tamarisk bush, a Dabchick ducked under and disappeared, a Black Redstart gave only a glimpse, but a pair of Stonechats posed beautifully for my camera.
Keith Noble (originally for Beach News)
November 6th
Although the weather forecast was rather indifferent, I thought I would have another shot at mist-netting at the Sanctuary. Pam Mears and I met at the copse at 7.00 and, as it turned out, we remained dry and had an interesting session.
The 47 birds of 13 species included only the second Cetti’s Warbler to be trapped at the Sanctuary, (the other was a female ringed on 3/10/77 and retrapped on 7/10/77). Today’s bird was a male, but, like the last, remained quiet and skulking. In the final net round I found a Firecrest—not really surprising seeing how many have been reported in SE England this autumn. Once again it was a good morning for Goldcrests (8), and three each of Chiffchaffs and Blackcaps were the highest November day totals for these species. Today’s Blackbird total of 8 was the highest this year and all bar one were young males. The exception was an adult female weighing only 78g, the lightest November female recorded at the site.
Today’s catch brought the total up to 1000 for the Sanctuary this year, (sadly neither the Cetti’s nor the Firecrest had the honour of being number 1000).
John Newnham
November 7th
Phil, Val and I at Cissbury achieved what I think is a record catch for November of 76 birds, including 9 Goldcrests. Highlights were a Firecrest, a Redwing, a late Blackcap, and best of all a Woodcock, feeding along one of our paths and flushed into the net. This is a Cissbury first, although I have a feeling that, back in the dim and distant, we had one at the Mumbles.
Brian Clay
November 27th
I spent 30 minutes sea-watching this morning from Marine Gardens, Worthing. There was no movement but the calm and grey conditions made for a good count of birds on the sea—1 Slavonian and 98 Great Crested Grebes, 1 Common Scoter, 147 Red-breasted Mergansers, and 15 Razorbills.
The tide was high and there was a large roost of waders tucked under the shingle ridges at Marine Gardens. The steep beach makes them invisible from the promenade and very difficult to count, but an estimate was 70 Grey Plovers, 50 Ringed Plovers, 30 Sanderlings, 400 Dunlins and 10 Turnstones.
John Newnham
November 30th
First report from me, I have waited for something special to happen—10.50am two Sand Martins flew over my home in Lancing, followed by a Waxwing, which perched in a rowan tree.
Reg Bradbury, on the SOS website
Sales Department!
The Society has two products which may be of interest to members. These are always available at indoor meetings and usually on outings.
1. SDOS Car Sticker — £1 or £1.20 by post.
2. “SDOS Golden Jubilee” ball-point pen. Black ink. Black and white plastic pen with single commemorative inscription. Comfortable rubber grip. £1 or £1.25 by post.
John Maskell
Notices
SDOS subscriptions for 2005 are due on January 1st. The rates are unchanged: Single £10, Family £15, Junior £4, to the Hon. Treasurer, John Maskell, at 41 St. Lawrence Avenue, WORTHING, BN14 7JJ
Please send your remaining 2004 records for the annual Shoreham Bird Report to the Hon. Recorder, Peter Whitcomb, 99 Barnett Road, BRIGHTON, BN1 7GJ
The SDOS Anniversary Book
It could make a great Christmas present for someone you know - or for yourself. 'Fifty Years of Birdwatching' costs £15 plus £2.50 p&p from Terry Hicks, 7 Berberis Court, SHOREHAM BN43 6JA, phone 01273 591120.
Storks at Het Zwin
Early in 2004, my wife and I made plans to travel to Rossum on the east side of the Netherlands to meet a party of friends. Two weeks before our departure in late July, I read a magazine article about a bird reserve called Het Zwin near Knokke-Heist, and we decided to visit Het Zwin on the way in our motor caravan.
We took the auto route (free as well!) from Calais, past the coastal resorts of Flanders as far as Ostende, then wended our way on local roads past Zeebrugge and Knokke-Heist to a camp site. Very posh at Sande Platz, each pitch had its own shower and loo, what luxury! We were just in the Netherlands, but the cows over the fence were in Flanders.
Next morning we set off on our bikes on the 15 minute journey to the Zwin reserve. It was in two parts. The first resembled a zoo and contained a lot of the birds we prefer to see flying. However there were a number of injured birds, so the place acted as a hospital as well. We were impressed by the cleanliness, with running water through some enclosures and shallow pools for waders. Netted areas held an injured Gannet, various waders, a Spoonbill and a Night Heron. Swans and ducks were in the open areas, and there was a good range of owls and raptors in large cages. There were storks' nests everywhere, on trees, poles and chimney-stacks.
We moved on to the open part of the reserve. Although nowhere is really high in this part of the World, we emerged at a point high enough to look over a series of lagoons to the bank of a high dyke on the far side. Beyond this was the sea. Having our picnic lunch on a seat overlooking the viewpoint, we were soon accosted by one of the White Storks. Quite tame, he strutted around us, clattering his beak at intervals. Mid summer is probably not the best time to visit coastal sites like this, but we saw White Storks flying, Egrets, Whimbrel, Curlew, Oystercatcher and Brent and Grey Lag Geese.
(Het Zwin is also a major site for wild geese in winter, and could be fitted into a Eurostar break to the wonderful medieval city of Bruges. John has written more about Storks for use in a future issue.)
Tales out of School 9
A Dot on the Horizon
Since my last contribution to this self-induced series, I have attained my half century and, like many at this watershed, have examined my life style. By chance the opportunity of working part-time arose and it didn't take too much deliberation before I seized the opportunity. So in September my weekend became two and a half days longer! Suddenly there was more time for birding!
I have found myself taking a much greater interest in sightings posted on various websites and in mid-September a Peter Whitcomb note to the SDOS Internet User Group sent Shena and me to the Castle Hill area in search of a Pallid Harrier. The bird appeared to have flown but the discovery of this delightful stretch of the Downs, just East of Brighton, more than compensated for the disappointment.
A week later on September 21st, we decided to return to Castle Hill. At 3pm we were just about to set off when an inner voice said 'check your e-mails'. A note again from Peter—Dotterel at Kithurst Hill. Some readers will recall the lengths Shena and I went to in order to see our first examples in Hungary last year....and here was one apparently on our doorstep!
Shena says she has never seen anyone move so fast and within twenty minutes we were tumbling out of the car at the summit of Kithurst. Our excitement was tempered by the thought that our twitchers usually 'end in tears'. We all know the comments: "It was showing well until 10 minutes ago"; "Flew off West just now"; "Taken by a Sparrowhawk", etc. Three birders viewed us through their binoculars from the top of the ridge and we returned the compliment—familiar faces!
Initially the juvenile Dotterel skulked behind a ploughed furrow but over the course of the next three hours we were royally entertained. Interestingly, a Golden Plover was also present and gave the opportunity for comparison within the same telescope view. Thanks to the wonders of the mobile phone we were able to spread the news further to some people who hadn't yet read their e-mails.
A magical afternoon which would not have been possible had I still been fully employed at the chalk face.
John Maskell
Bird Table Notes
First came a male on November 6th, then two males and a female together on 10th. They have appeared singly since then, but I think that there is more than one female as the crowns seem different shades of tan. The birds that remind me of shoe polish, Blackcaps, have arrived early in my garden this autumn and found a new sort of food. A few years ago we planted a small Cordyline cabbage palm as a feature to be viewed through an arch. It has now grown taller than the arch and flowered for the first time. The big spherical spray of small white flowers was popular with bees. Now the flowers have turned to greenish-white berries. Sometimes Starlings tuck in vigorously, but the Blackcaps are more secretive, popping out from the crown of long strap-shaped leaves. So far, they have shown little interest in their usual favourite food, the apples which I hang in the trees on wire hooks. In other people’s gardens, I gather that they eat honeysuckle berries in Autumn and ivy in Spring, peanuts, fat, mealworms, and raisins, and visit the yellow blooms of Mahonia. Graham Roberts has written in the Hampshire Bird Report 1995 about the many Blackcaps which he has colour-ringed and studied in his Cosham garden, where they love home made sponge cake.
Ringing recoveries indicate that the Blackcaps which winter in England are not the same as those that nest here. They come instead from the Continent, including the Low Countries and Germany, and their numbers are growing.
Keith Noble
Are they in your garden this winter?
Barrie Watson, wearing his BTO hat, is promoting a new national survey of Blackcaps and other wintering warblers and ‘crests. It runs until March 31st and everyone is encouraged to submit observations, with a special effort over the Christmas and New Year period. The instructions and a recording form are at www.bto.org/birdtrack/
You could also contribute other bird lists to Birdtrack, so that the BTO and RSPB can add them to the sum of knowledge which supports bird conservation.
A tale of four nest boxes
Early in the year I positioned the usual three nest boxes on their familiar willow and alder trees. Very soon they were being actively inspected by the local Blue and Great Tits. However, after several days, I noticed the outlines of the holes were becoming markedly jagged, and soon discovered the culprit—a Great Spotted Woodpecker. He had obviously decided that these ready made homes were worth inspecting.
Some days later I was in the RSPB shop at Pulborough and found I could purchase metal hole covers to fix to nest boxes to deter such ‘wanton’ behaviour. I bought plates of various sizes, 28mm for Great Tits, 25mm for blue tits and another even smaller.
Having reinforced the entrances of the boxes, I felt guilty about barring the woodpecker from a potential, if rather cramped, home. Thus I decided to construct a larger box with a more appropriate hole size for ‘Woody’, whom I now envisaged bearing a rather crumpled bill. Following instructions, I made a much deeper box with the recommended 50mm hole. Then I duly filled the box with blocks of polystyrene—apparently it gives the bird something to excavate. Presumably it then feels it is a true ‘home maker’.
Within one day of my precarious climb up a ladder resting against a silver birch to fix the box, the woodpecker discovered it. Soon, the surrounding area was covered with tiny pieces of polystyrene—a result!
Unfortunately, despite the initial euphoria, the bird disappeared within a few days to be replaced by a pair of starlings. Whether he found a better site or was ousted by the starlings, I do not know. However, it was nice to know that the box was used, as indeed were the other three, one by Great and two by Blue Tits. To one of the boxes I had fitted a hole plate of slightly smaller size than recommended for Blue Tits, but this did not deter them and I watched them as they squeezed in and out, leaving like corks released from bottles.
It was good to have all four boxes used successfully and I will try again next year and maybe the ‘Woody’ will stay.
Martin Ford
Ecotours 2005
Following the November indoor meeting, SDOS members have shown great interest in Ecotours Holidays. So if you would like itineraries, and bird highlights of any of our holidays to see birds, bears, butterflies and lots more in Hungary, Slovakia, and the Danube Delta, please email me firstname.lastname@example.org or telephone me on 01903 200584.
Balazs Szigeti, Ecotours Director and Guide from Hungary would like to thank SDOS members for your warm reception. He very much enjoyed sea-watching, a rare event for a Hungarian birder!
Shena Maskell
AGM on April 12th
Please give advance notice of any questions, as this helps the Committee to prepare better answers.
After the AGM come the entertainments. Audrey Wende is preparing a light-hearted quiz, ‘Audrey’s Teasers’. Don’t worry, it won’t be The Weakest Link and I can’t imagine Audrey using the scowl and sneer.
Then it’s over to you, the members. You can have up to 10 minutes of fame, to show and tell us about your birding interests. Please think now about what you could contribute to enthral your friends.
Blackcap
Keith Noble
Items for next newsletter to the Editor,
Keith Noble,
19 Roman Road,
STEYNING,
BN44 3FN,
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by March 24th, please.
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County Durham
Strategic Cycling and Walking Delivery Plan
2019 - 2029
Case Studies
Case Study: Frankland Lane - opening up access
This 2 mile route links the key settlement of Newton Hall to the City Centre from Brasside (Frankland Prison) to the Sands. Previously unusable to anyone other than walkers and fit mountain bikers, the path was improved in 2013-14. Resurfacing the bridleway has opened it up to a wider audience including everyday cyclists and mobility scooter users who are now able to travel independently from home in Newton Hall to the City Centre and beyond. Therefore the benefits to quality of life are not just for cyclists but are extended to benefit whole communities who can then enjoy healthy and independent lives.
Approx. 1,800 people (1,318 pedestrians, 453 cyclists and 26 push or wheelchair users) now use the path every week (weekly average Aug 2016).
On site - path user in mobility scooter 13/11/13
“I’ve been all the way down into the City from Newton Hall now, which I couldn’t do before as the path was too uneven. I also do a shorter circuit twice a day and the paths are so easy to use now and I can get out with the dogs. It’s great and I really appreciate what’s been done.”
16/11/2013
“We cycled the newly-surface track from the prison down to Frankland Lane this morning, and I appreciated not having to swerve around massive potholes anymore!”
Between 2013-15, we delivered two Cycle Safety Schemes with DfT funding, in partnership with Sustrans. Both schemes had to include an element of innovation and ambition to demonstrate a broader commitment to provision for cycling. At Pelaw Leazes Lane we created a safer alternative route to the road route around Gilesgate roundabout. Space was reallocated from the carriageway car parking to create a dual direction cycle lane and wider footway. By segregating users the aim was to reduce conflict and give cyclists space to negotiate a steep hill.
Matthew, local resident
“It’s great that this route is no longer one-way only for bikes, as it opens up more journey opportunities away from the main roads. I hope other one-way streets will be reviewed to give more options for people cycling round Durham.”
The route will run from Blyth to Darlington passing through Tyne and Wear and County Durham. The concept for the 76km route was launched in June 2011. Around 35.5kms of the cycleway will run through County Durham forming a North-South spinal route roughly following the A167.
The route is classified as a Cycling Super Route. It will link key settlements and will serve the wider cycling network. Once completed it will become NCN 725.
Where there are low pedestrian numbers between towns, the route will be a shared use path. At busier locations the route will be on-road or separated.
Several sections have been completed and further works are planned in the coming years.
Matthew, local resident
“I have really appreciated being able to ride safely with my children down to Sunderland Bridge from Neville’s Cross. Next we need safer crossings at the junctions, especially the roundabouts which can be a big worry even for adults.”
We know that streets and public places are most successful when you involve local people and give them the opportunity to make decisions about them. We are working in partnership with Living Streets to engage with local schools and employers to assess and evaluate the quality of streets and spaces from the viewpoint of the people who use them, rather than those who manage them.
15 pupils from Park View School participated in a School Route Audit alongside Living Streets. Pupils wanted to identify the most popular walking routes to and from their school and assess the condition of footways, paths, roads, safety and convenience and propose ways of improving the routes to encourage more pupils to walk to school.
Prior to beginning the audit, pupils conducted research into the walking routes of students in years 7, 8 and 9. Pupils also visited two of the biggest feeder primary schools in the area to talk to them about walking to school.
With support from staff at Park View School, Living Streets and the local Councillor, pupils identified three main walking routes and conducted a School Route Audit by walking the main routes to school identifying, discussing and recording issues that encouraged or discouraged everyday walking. The issues identified were then discussed before agreement was reached on key short and longer term priorities that would improve the walking environment.
Pupils compiled a report outlining their findings and recommendations which was presented to Durham County Council for consideration. Durham County Council and Living Streets will work together to action viable recommendations and will feedback to the school community in due course.
“We will continue to work with Living Streets and involve local communities in evaluating the walking environment ensure our streets are fit for purpose and encourage everyday walking.”
Cycle parking is known to be one of the main ways of encouraging more participation in cycling. We are working with social enterprise ParkThatBike to install 400 cycle parking stands by March 2018. This £50,000 investment follows a successful trial in 2015. The trial lasted a few months and with a £5,000 budget we were soon oversubscribed with applications for the 35 free cycle parking stands (applicants pay for installation). With the waiting list proving further interest, we have been able to roll out the offer to other communities, workplaces, educational establishments, churches and businesses.
The scheme has had a great take up from a real variety of customers who will benefit from the offer. Durham Workspace (Arch Workspace) at Arnison Retail Park installed four Sheffield stands for the benefit of staff which are being regularly used by local cycle commuters.
Katie Mason, Assistant Manager, Durham Workspace said
“We are delighted to install bike stands here at Durham Workspace through the initiative with Durham County Council and ParkThatBike. The Initiative was designed to improve and promote sustainable transport and economic development within the area and is something that Arch is keen to support. The stands have already proven to be a good facility for both tenants and staff alike by supporting them to live healthier and more active lives.”
Walking for Health is England’s largest network of health walks with over 375 active schemes, helping people across the country lead a more active lifestyle. Their vision is for everyone to have access to a free, friendly short group walk, within easy reach of where they live, to help them become and stay active.
Walk Durham is an accredited Walking for Health scheme and our group walks are led by friendly, specially trained volunteers who are on hand to provide encouragement and support, and make sure no one gets left behind. The programme is free for all participants and targets the adult population. Our walks are short (30-90 minutes) over easy terrain, and are open to everyone.
**Review 2017/2018**
- **30** weekly led groups
- **1,576** people registered with the programme
- **11,083** attendances
- **369** new participants
- **4** new walking groups established
- **47** volunteers recruited and trained
Ann, volunteer walk leader at Esh Winning, says she has seen many participants greatly improve their wellbeing and fitness as well as making new friendships.
“I’ve been a leader for about four and a half years and it’s a real privilege to be involved in an activity which helps people with their physical and general health,” she said.
“It’s great to see people of all abilities spending time together and enjoying each other’s company, all while making the most of the stunning countryside we are lucky enough to have on our doorstep.”
*Ann*
“I’ve been a leader for about four and a half years and it’s a real privilege to be involved…”
Case Study: Engaging with the public to inspire and encourage every day walking
Durham County Council works with Living Streets to promote and encourage everyday walking. Working with employers, schools and local communities we encourage participation in walking events and work with individuals to set realistic goals to increase the amount of everyday walking they do.
During National Walking Month 2017, Living Streets worked with Durham Constabulary to engage employees in a month long celebration of walking. Employees were given the opportunity to discuss their walking habits with Living Streets and agree goals to increase their everyday walking.
Jennie, an employee at Durham Constabulary took part in National Walking Month during 2017, pledging to walk at least 20 minutes everyday throughout May. During National Walking Month 2018, Living Streets revisited Durham Constabulary to celebrate and inspire employees to again participate in the #Try20 campaign.
During the year since National Walking Month 2017, Jennie has gone from strength to strength and has embraced walking as part of her everyday routine. Previously fairly sedentary, Jennie set herself a target of walking at least 10,000 steps per day and now achieves 12,000 most days. Reporting benefits such as reduced headaches, weight loss, improved mobility and more energy through this simple lifestyle change; Jennie’s story is one that is sure to inspire others to embrace more walking as part of their everyday routine.
**Jennie**
“I just enjoy it. I’ve become so passionate about it! I don’t like the gym and this is something I can fit really well into my lifestyle. I’ve made new friends at work because of it and the compliments I’ve had from others have really helped my self esteem. I’ll never go back to the way I was.”
We will continue to work with our partners to engage, educate, promote, inspire, motivate and encourage people to walk more.
British Cycling’s Breeze is the biggest programme ever to get more women into riding bikes for fun. Set up in 2011 to address the growing gender gap in participation, Breeze tackles the main barriers women face to cycling by providing someone to ride with and information on bike maintenance, safety and where to ride.
Breeze champions are trained up to organise fun, social, local bike rides for women. Rides go at a speed that suits everyone and they often start or finish at a café so everyone can have a drink and a chat. The rides are free and go on accessible routes in small friendly groups where Breeze riders can enjoy the fun, freedom and fresh air of a bike ride.
Rides take place all year round and are ideal for women who are looking to get back on a bike and make new like-minded friends. Between 2011 and 2017, 150,000 women nationally have participated.
In County Durham, the Breeze rides are thriving. Starting in 2014, when 16 women cycled the 140 mile C2C route, having built up their fitness and skills over four months from 5-10 miles routes, to rides of over 50 miles. Since then women riders have pedalled the Hadrian’s Cycleway, Coast and Castles, Way of the Roses and London to Paris, as well as a number of other smaller weekend group rides.
For more information visit breezebikerides.com
Audrey Christie, Breeze Champion
“Although I’ve cycled all my life the recent increase and interest in women cycling has been inspirational and I’m proud to be part of it. I’ve never enjoyed cycling more. Women coming on our Breeze Durham rides have gained in strength and confidence and taken this into other parts of their lives. I’m continually amazed how cycling can be life changing and affirming.”
Cycle Durham provides a series of free weekly led cycle rides for competent adult cyclists across the County. It aims to increase levels of physical activity in adults (16+) by offering a range of recreational cycling opportunities across the county.
Cycle Durham also offers “Back on your Bike” courses designed for returning cyclists. The sessions cover the basics of starting cycling and progress onto a level where participants can join the weekly rides, led by volunteers.
Free fully maintained bikes and helmets are provided to give the opportunity of trying cycling without the outlay of purchasing any equipment.
**Review 2017/2018**
- **593** people registered to Cycle Durham
- **173** new participants
- **18** weekly rides, led by volunteers in local communities.
- **28** new volunteer cycle leaders recruited and trained
- **5,141** attendances
Alan joined the sessions to become more active and improve his health; “Since I joined the cycling group my fitness has improved dramatically. I can participate in far more activities now and regularly attend the longer ride on a Monday morning as well as play other sports. I’m now considering becoming a cycle marshal volunteer.”
Jan has seen amazing benefits to her health and confidence; “Before joining the sessions I had never ridden a bike – not even as a child. I now ride regularly with the group, but I also ride on my own on weekends and evenings during the summer – I have even bought my own bike! The rides are really inclusive and everyone made me feel so welcome. It has opened up new friendships and I look forward to the post ride coffee as much as going out on the ride”.
**Alan**
“Since I joined the cycling group my fitness has improved dramatically. I can participate in far more activities now and regularly attend the longer ride…”
Case Studies
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The posterior hypothalamus exerts opposing effects on nociception via the A7 catecholamine cell group in rats
Y. Jeong
*Kyung Hee University*
J. R. Moes
*Calvin University*
M. Wagner
*University of Michigan School of Nursing*
J. E. Holden
*University of Michigan School of Nursing*
Follow this and additional works at: [https://digitalcommons.calvin.edu/calvin_facultypubs](https://digitalcommons.calvin.edu/calvin_facultypubs)
Part of the Neuroscience and Neurobiology Commons
**Recommended Citation**
Jeong, Y.; Moes, J. R.; Wagner, M.; and Holden, J. E., "The posterior hypothalamus exerts opposing effects on nociception via the A7 catecholamine cell group in rats" (2012). *University Faculty Publications and Creative Works*. 403.
[https://digitalcommons.calvin.edu/calvin_facultypubs/403](https://digitalcommons.calvin.edu/calvin_facultypubs/403)
The Posterior Hypothalamus Exerts Opposing Effects on Nociception via the A7 Catecholamine Cell Group in Rat
Younhee Jeong\textsuperscript{2}, Jesse R. Moes\textsuperscript{3}, Monica Wagner\textsuperscript{1}, and Janean E. Holden\textsuperscript{1,2}
Monica Wagner: email@example.com; Janean E. Holden: firstname.lastname@example.org
\textsuperscript{1}The University of Michigan School of Nursing, 400 N. Ingalls Bldg, Ann Arbor, MI 48109-5482, Tel: 01-734-763 7667; Fax 01-734-936-5525
Abstract
Stimulation of the posterior hypothalamic area (PH) produces antinociception in rats and humans, but the precise mechanisms are unknown. The PH forms anatomical connections with the parabrachial area, which contains the pontine A7 catecholamine cell group, a group of spinally projecting noradrenergic neurons known to produce antinociception in the dorsal horn. The aim of the present study was to determine whether PH-induced antinociception is mediated in part through connections with the A7 cell group in female Sprague-Dawley rats, as measured by the tail flick and foot withdrawal latency. Stimulation of the PH with the cholinergic agonist carbachol (125 nmol) produced antinociception that was blocked by pretreatment with atropine sulfate. Intrathecal injection of the $\alpha_2$-adrenoceptor antagonist yohimbine reversed PH-induced antinociception, but the $\alpha_1$-adrenoceptor antagonist WB4101 facilitated antinociception. Intrathecal injection of normal saline had no effect. In a separate experiment, cobalt chloride, which reversibly arrests synaptic activity, was microinjected into the A7 cell group and blocked PH-induced antinociception. These findings provide evidence that the PH modulates nociception in part through connections with the A7 catecholamine cell group through opposing effects. Antinociception occurs from actions at $\alpha_2$-adrenoceptors in the dorsal horn, while concurrent hyperalgesia occurs from actions of norepinephrine at $\alpha_1$-adrenoceptors. This hyperalgesic response likely attenuates antinociception from PH stimulation.
1. Introduction
The posterior hypothalamic area (PH) has been shown to modulate nociception in both animal and clinical studies. In rat, electrical stimulation of the PH produces potent antinociception (Rhodes and Liebeskind, 1978) and chemical stimulation reduces facial pain in rats (Bartsch et al. 2004). Increases in c-fos positive (activated) cells in the PH are seen after administration of an electrical pain stimulus (Gavrilov et al., 2008) and destruction or deactivation of the PH increases pain responses (Millan et al., 1983; Manning and Franklin, 1998). MicroPET studies show PH activation and neuroplastic changes involving latent pain sensitization following surgery (Romero et al., 2011) and after application of a heat stimulus...
to an inflamed paw (Hess et al., 2007). Clinical stimulation of the PH has been done effectively for debilitating neurovascular cluster headaches, (Goadsby, 2007; Bartsch et al, 2008; May, 2008; Brittain et al., 2009; Jurgens et al., 2009; Leone and Bussone, 2009; Leone et al., 2010), intractable short lasting unilateral neuralgiform headache with conjunctival tearing, (Bartsch et al., 2011; Leone et al., 2005), chronic paroxysmal hemicranias (Walcott et al., 2009), and refractory paroxysmal pain for trigeminal neuralgia (Cordella et al., 2009). While these studies support the notion that the PH is involved in the descending modulation of nociception, they do not indicate the mechanisms of this involvement.
Recently, we reported that stimulating the PH with the cholinergic agonist carbamylcholine chloride (carbachol) significantly decreases neuropathic pain from constriction of the sciatic nerve, in part through mediation by orexin receptors in the spinal cord dorsal horn (Jeong and Holden, 2009). In other studies, we reported that stimulating the lateral hypothalamus with carbachol produces antinociception mediated in part by $\alpha_2$-adrenoceptors and facilitated by $\alpha_1$ adrenoceptors in a rat model of acute nociception (Holden and Naleway, 2001), via connections with the spinally-projecting A7 catecholamine cell group in the pons (Holden et al., 2002). During these experiments we observed that inadvertent placement of the microinjector in the PH also produced antinociception and that alpha-adrenoceptors in the dorsal horn may have been involved. This observation coupled with the observations of our orexin study led us to further investigate the mechanisms of PH-induced nociceptive modulation.
The involvement of the A7 catecholamine cell group in descending nociceptive modulation has been well documented over several decades. In Sprague-Dawley derived rats from Sasco (West et al., 1993), the A7 cell group is the major source of noradrenergic innervation to laminae I-IV in the dorsal horn (Clark and Proudfit, 1991; Proudfit, 1992). Laminae I-IV are the terminal field of primary afferent nociceptors and contain second order spinothalamic tract neurons (Light, 1992). Synaptic terminals that contain dopamine-$\beta$-hydroxylase appear to form synapses both with identified spinothalamic tract neurons (Westlund et al., 1990), and with unidentified dorsal horn neurons (Hagihira et al., 1990; Doyle and Maxwell, 1991a; Doyle and Maxwell, 1991b). Behavioral studies have shown that stimulating the A7 area using electrical or chemical applications produces nociceptive modulation (Yeomans et al., 1992; Yeomans, 1992; Holden et al., 1999; Nuseir et al., 1999; Nuseir and Proudfit, 2000; Holden and Naleway, 2001; Min et al., 2008; Bajic and Commons, 2010; Min et al., 2010).
While tyrosine hydroxylase immunoreactive neurons have been labeled in the PH, there is no evidence that these neurons are spinally-projecting noradrenergic neurons (Abrahamson and Moore, 2001), and it has been documented that the A5, A6 and A7 areas provide the only source of noradrenergic innervation to the spinal cord (Westlund et al., 1981; Westlund et al., 1983; Bruinstroop et al., 2011). However, the PH does send axonal projections to the parabrachial area, including the A7 area, in monkey (Vezzey et al., 1982) and in rat (Vertes and Crane, 1996). In rat, the connection appears to be reciprocal (Cavdar et al., 2001). These findings support the hypothesis that stimulating the PH produces antinociception in part by recruiting the A7 cell group.
To test this hypothesis, three experiments were conducted. In the first experiment, either carbachol or normal saline was microinjected into the PH of rats and nociceptive testing was done using the tail flick and foot withdrawal latency tests. To determine whether PH-induced antinociception is mediated by $\alpha$-adrenoceptors in the spinal cord dorsal horn, in the second experiment the PH was stimulated to obtain antinociception and then intrathecal (IT) injection of $\alpha$-adrenoceptor antagonists were given. In the final experiment, the PH was
stimulated and then cobalt chloride was microinjected into the A7 area to block synaptic activity. Taken together, these experiments provide behavioral evidence that PH-induced antinociception is mediated in part by the A7 cell group noradrenergic input to the spinal cord dorsal horn. A preliminary account of these results has been published as an abstract (Jeong and Holden, 2005).
2. Experimental Procedures
The Institutional Animal Care Committees at the University of Illinois at Chicago and the University of Michigan approved the experimental protocols used in this study. The experiments were conducted in accordance with the National Institutes of Health Guide for the Care and Use of Laboratory Animals (NIH Publications No. 80–23, revised 1996). All efforts were made to minimize animal suffering, reduce the numbers of animals used, and use alternatives to in vivo experiments.
Animals
Female Sprague-Dawley rats (250–350 g; Charles River, Portage, MI) were used in this study because our previous work was done in females. All rats were maintained on a 12-hour day/night schedule with free access to food and water. To reduce the possibility of estrous cycle influence, rats were randomly assigned to either experimental or control groups and no two rats were taken from the same cage on the same day. Seventy one rats were used for the study as reported, and each rat was used only once.
Analgesiometric testing procedures
To determine the effect of PH stimulation on thermal nociception, the tail flick and foot withdrawal tests were used. In these procedures, a focused beam of high intensity light from a suspended 250-W projection bulb was directed at the dorsal surface of the tail and the hairy surface of the hind feet. The distance from the light to the platform the rats lay on was maintained at 5 cm for all experiments. The tail and paws were blackened with India ink to facilitate even heating of the skin surface. The time interval between the onset of skin heating and the withdrawal response was measured electronically. In the absence of a response, skin heating was terminated after 8 sec to prevent burning. Three response latencies were measured in succession at three places on the tail. The average of the three tail latency values was defined as the nociceptive response latency. For the foot withdrawal, response latencies were measured at one place on the hairy surface of each hind foot. Baseline response latencies of the paws and tail were approximately 2–3 s, as used in previous studies.
Experiment 1: Carbachol or saline microinjection in the PH—Each rat was lightly anesthetized with sodium pentobarbital 35 mg/kg, IP, and the scalp was infused with the local anesthetic bupivacaine (0.25%; 0.10 ml). Supplemental doses of pentobarbital were given during the procedure if the rats vocalized or moved without stimulation, but were rarely required. Immediately after anesthesia, the midline scalp was shaved and the rats were immobilized in a stereotactic apparatus. Using aseptic technique, a 2-cm incision was made, and the muscle and fascia retracted. A 23-gauge stainless steel guide cannula was lowered through a burr hole into the region of the left PH defined by the following stereotactic coordinates: AP –3.1 mm from bregma, lateral –0.5 mm, vertical +2.1 mm, incisor bar set at –2.5 mm. A 30-gauge stainless steel injection cannula was connected to a 10 μl syringe by a length of PE-10 polyethylene tubing filled with either saline or a solution of carbachol 125 nmol in normal saline injected in a volume of 0.5 μl (Sigma Chemical Co., St. Louis, MO; All solutions were made fresh daily and filtered through a 0.2 μm syringe prior to use.). The injection cannula was then inserted and extended approximately 3 mm beyond the end of the
guide cannula. After a baseline response latency measurement was taken and recorded, either saline or carbachol was injected into the PH over a 1-min period using an electronic syringe pump. The injection cannula was left in place for an additional 60 s following completion of the microinjection to reduce flow of drug up the guide cannula. Response latencies were then measured at 5 min intervals until a return to baseline or for 45 min. A separate group of rats was prepared as above, but the PH was pretreated with the cholinergic antagonist atropine sulfate (5 μg/0.5 μl NS) microinjected over 1 min. Carbachol (125 nmol) was then injected and tail flick and foot withdrawal latencies were measured.
**Experiment 2: Carbachol microinjection in the PH followed by microinjection of IT α-adrenergic antagonists**—Female Sprague-Dawley rats (Charles River; 250–350 g) were randomly assigned to groups and prepared for microinjection in the PH as previously described. In addition, an intrathecal catheter constructed from PE-10 polyethylene tubing was inserted through an incision in the cisterna magna and the tip positioned near the lumbar enlargement. The drugs were dissolved in physiological saline and filtered through a 0.2-μm filter immediately before injection. All drugs were injected in a volume of 30 μl using an electronic syringe pump at a rate of 30 μl/min. Carbachol (125 nmol in a volume of 0.05μl) was microinjected into the PH and tail and foot withdrawal response latencies determined at 1, 5, and 10 min post injection. One of the following drugs was then injected intrathecally: The α₂-adrenoceptor antagonist yohimbine, the α₁-adrenoceptor antagonist WB4101 (97 nmol each, Sigma Chemical Co., or normal saline for control. Tail and foot withdrawal response latencies were measured at 1 min post injection and then every five minutes for 45 minutes. Additional groups of rats received intrathecal injections of one of the antagonists, as described, but without prior PH stimulation.
**Experiment 3: Carbachol microinjection in the PH followed by microinjection of cobalt chloride or normal saline in the A7 area**—In the third experiment, rats were prepared for PH cannulation as previously described. In addition, a second guide cannula was lowered into the A7 area at the following coordinates: AP +0.6 mm from the interaural line, lateral 2.1 mm, vertical +2.2 mm, incisor bar set at −2.5 mm. After a baseline response latency, carbachol (125 nmol) was microinjected into the PH in a volume of 0.5 μl and response latencies were measured at 1, 5, 10, and 15 minutes. Twenty min after carbachol injection, cobalt chloride (100 mM/0.5 μl) or saline was microinjected in the A7 area using an electronic syringe pump in the manner described above and response latencies measured at 1 min, and then every 5 min for 45 min. Additional controls were done in which saline or cobalt chloride, at doses described previously, was injected near the A7 area in the absence of PH stimulation.
**Histology**—Following testing, animals were overdosed with sodium pentobarbital and decapitated. The brains were taken and drop fixed in a solution of 10% neutral-buffered formalin. To determine the position of the microinjection sites relative to the PH and the A7 area, 40-μm transverse brain sections were cut from blocks of tissue that contained the visible injection cannula tract using a cryostat microtome. The sections were rinsed in cold phosphate-buffered saline PBS, (10 mM), mounted on gel-coated slides, stained with 0.05% neutral red, dehydrated through a series of alcohols and xylenes, and cover slipped. The placement of the microinjection cannula was determined by locating the most ventral position of the cannula tip in serial sections by brightfield microscopy. Tracings of the appropriate sections were then made using the Neurolucida imaging system (Microbrightfield, Colchester, VT). The tracings were compared with drawings from the atlas of Paxinos and Watson to verify that the cannula was within the PH or the A7 cell group (Paxinos, Watson, 2009).
Statistical analysis—Treatment groups consisted of between 6 and 13 rats. Tail and foot withdrawal response latencies are presented as the mean ± S.E.M. Statistical comparisons among treatment groups across multiple time points were made using two-way repeated measures ANOVA, and comparisons among means at specific time points were made using the Holm-Sidak test for multiple post-hoc comparisons. Student’s t-test was used to compare withdrawal latencies for left and right paws. Foot withdrawal latencies were not significantly different between left and right paws for any experiment, so response latencies were averaged for clarity.
3. Results
Portions of data collected for these experiments were done in laboratories at the University of Illinois at Chicago (UIC) and at the University of Michigan (UM). To determine whether there were significant effects of location or time, we compared tail and foot withdrawal latencies from rats done at UIC with those done at UM. Of the groups done in Experiments 1 and 2, only two differences were found. In Experiment 1, there was a statistically significant difference between UIC and UM rats for carbachol injection in the PH for tail flick latency only (4.23 ± 0.16 vs 5.06 ± 0.24 sec; p = 0.005; Student’s T-test). There was no significant difference for foot withdrawal latencies. In Experiment 2, only rats receiving IT yohimbine showed differences. For the tail flick latency, UIC rats had an average latency of 2.99 sec vs 3.40 sec for UM rats (Mann-Whitney Rank Sum test, p = 0.002). For the foot withdrawal test, UIC rats averaged 2.30 ± 0.09 sec vs. 3.13 ± 0.09 sec (p < 0.001; Student’s T-test). There were no significant differences found for the other Experiment 2 groups. All of Experiment 3 was done at UM. We determined that discarding data from rats done at UIC based on clinically insignificant differences comprising fractions of a second would go contrary to principles of ethical animal usage, so data collected from both laboratories were included in the analysis.
Effect of carbachol microinjection in the PH on nociception
Microinjection of carbachol in the PH at sites shown in Fig. 1 produced antinociception on the tail flick test compared to baseline response latencies. Comparisons among the groups showed a significant effect of carbachol compared to normal saline (two way repeated measures ANOVA, F = 6.65\(_{[2, 153]}\); p = 0.007) that was dependent on time, as evidenced by a significant interaction effect (p = 0.001). Post hoc comparisons showed significant differences between the two groups from 1 min through 25 min post carbachol injection (4.51 ± 0.25 vs. 3.23 ± 0.25 min; carbachol vs saline). Pretreatment of the PH with atropine significantly reduced the effect of carbachol microinjection at 1, 15, 20, and 25 min after injection (3.80 ± 0.22; atropine; Fig 2A).
For the foot withdrawal test, similar results were found. Microinjection of carbachol produced a significant increase in withdrawal latencies (F = 98.41 \(_{[2,152]}\); p < 0.001) that was dependent on time (interaction effect, p < 0.001). Post hoc tests showed a significant antinociceptive effect following carbachol microinjection compared to control rats (4.73 ± 0.22 vs. 2.31 ± 0.22; carbachol vs. saline, resp.) across all time points, but the results of the 45 min time point must be interpreted with caution, due to the higher baseline of the carbachol group (Fig. 2B). Atropine pretreatment blocked the antinociceptive effect of carbachol across the testing period (2.83 ± 0.19; p < 0.05).
Carbachol-induced antinociception: Effect of IT injections of α-adrenoceptor antagonists
Following microinjection of carbachol in the PH at sites similar to those in Fig. 1, IT injection of α-adrenoceptor antagonists significantly altered tail response latencies (two way RM ANOVA, F = 7.54\(_{[2,207]}\); p = 0.003). As can be seen in Fig. 3A, IT injection of the α\(_2\)–
adrenoceptor antagonist yohimbine blocked carbachol-induced antinociception (3.35 ± 0.36 vs 4.43 ± 0.38 sec normal saline; p < 0.05). Conversely, IT injection of the α₁-adrenoceptor antagonist WB4101 increased withdrawal latencies, or facilitated antinociception (5.32 ± 0.36, p < 0.05; Fig. 3A). Intrathecal injection of normal saline had no effect on carbachol-induced antinociception. There was a significant interaction effect (p = 0.035), demonstrating that the effect of the antagonists was based on time.
As with tail response latencies, IT injection of α-antagonists significantly altered foot withdrawal latencies following carbachol microinjection in the PH (two way RM ANOVA, F = 20.21_{(2,207)}; p < 0.001). Injection of yohimbine blocked carbachol-induced antinociception, and injection of WB4101 increased response latencies (2.78 ± 0.22 vs. 4.76 ± 0.22 vs. 3.69 ± 0.23 sec, yohimbine, WB4101 and saline resp. p < 0.05; Fig. 3B), which were dependent on time (interaction effect (p < 0.001). The greatest effect of yohimbine was seen at 5, 10, and 15 min post antagonist injection, and the strongest effect of WB4101 was seen at 5 and 10 min after antagonist administration.
Intrathecal α-adrenoceptor antagonists given in the absence of carbachol microinjection in the PH produced tail and foot withdrawal response latencies that were not significantly different from normal saline for control (not shown; p > 0.05). This finding indicates that the connection from the PH to the dorsal horn was not tonically active.
**Effect of cobalt chloride in the A7 area on carbachol-induced PH antinociception**
The third experiment tested whether blockade of synaptic activity in the A7 area would also block carbachol-induced antinociception. Figure 4 shows the approximate locations of carbachol microinjections made in the PH, and of cobalt chloride or normal saline in the A7 area.
PH-induced antinociception was blocked by microinjection of cobalt chloride into the A7 area as compared to saline controls for tail response latencies (two way RM ANOVA, F = 18.38_{(1,171)}, p < 0.001; Fig. 5A). Cobalt chloride blocked the effect of carbachol in the PH immediately compared to control (3.45 ± 0.37 vs. 5.73 ± 3.7 sec. resp.) and the effect was not based on time (interaction effect = NS). Interestingly, the baselines of both groups were somewhat higher than for previous experiments, but microinjection of cobalt chloride reduced latencies well below baseline levels (Fig. 5A).
Similar results were seen for the foot withdrawal response latencies. Microinjection of cobalt chloride into the A7 area significantly reduced PH-induced antinociception (Two way repeated measures ANOVA, F = 30.88_{(1,171)}, p < 0.001; Fig. 5B), within 10 min after cobalt chloride injection. The mean withdrawal latencies of rats receiving cobalt chloride were significantly shorter than rats receiving normal saline in the A7 area (3.04 ± 0.13 vs. 4.08 ± 0.14 sec, resp.), and were not dependent on time (interaction effect, p > 0.05).
Microinjection of either cobalt chloride or normal saline into the A7 cell group in the absence of PH stimulation resulted in tail and foot withdrawal response latencies that did not differ significantly from control rats (not shown; p > 0.05).
**4. Discussion**
Recent studies implicate the PH in nociceptive modulation, but have not examined the mechanisms through which the PH produces this modulation. Our previous report demonstrated that PH-induced antinociception in a model of neuropathic pain is mediated in part by orexins receptors in the spinal cord dorsal horn (Jeong and Holden, 2009). The present study is the first to examine the PH and its recruitment of spinally-projecting A7
cells in a nociceptive model of pain. The actions of PH stimulation on spinally projecting noradrenergic A7 neurons were examined through the use of relatively selective $\alpha_1$- and $\alpha_2$-adrenoceptor antagonists in doses and injection volumes shown to block the effects of activating spinally projecting noradrenergic neurons (Holden et al., 1999; Nuseir and Proudfit, 2000; Wen et al., 2010). One of the major findings of the current experiments was that microinjection of 125 nmol carbachol, a dose shown to produce antinociception (Holden and Naleway, 2001; Holden et al., 2002; Holden et al., 2005; Holden et al., 2009; Jeong and Holden, 2009), produced antinociception partially blocked by IT administration of the $\alpha_2$-adrenoceptor antagonist yohimbine, but facilitated by the IT administration of the $\alpha_1$-adrenoceptor antagonist WB4101.
Several lines of evidence support the conclusion that carbachol stimulation of the PH produces $\alpha$-adrenoceptor mediated modulation of nociception in the spinal cord dorsal horn via connections with the A7 area. First, in Sprague-Dawley rats derived from Sasco, as used in the present study, A7 noradrenergic neurons project to the spinal cord in a relatively dense innervation of the dorsal horn (Clark and Proudfit, 1991; West et al., 1993). Second, while the PH contains a direct projection to the spinal cord, it contains very few tyrosine-hydroxylase-immunoreactive neurons, and none of these have been shown to project to the spinal cord (Abrahamson and Moore, 2001). However, evidence exists that the PH does innervate the pontine parabrachial area, which contains the A7 cell group (Vezey et al., 1982; Vertes and Crane, 1996). Third, antinociception from stimulating the PH with carbachol was reduced or blocked by pretreatment of the PH with the cholinergic antagonist atropine sulfate, suggesting that carbachol-induced antinociception is mediated by cholinergic receptors in the PH. These results support and extend the findings of others that cholinergic receptors play a role in PH mechanisms. For example, injection of muscarinic and nicotinic antagonists into the PH affect hippocampal theta wave activity (Bocian and Konopacki, 2004), and choline-induced activation of the $\alpha_7$ nicotinic receptor in histaminergic tuberomammillary neurons of the PH affect cognition, alertness and sleep-wakefulness cycles (Uteshev and Knot, 2005; Gusev and Uteshev, 2010). Fourth, PH-induced antinociception was blocked by application of IT yohimbine, and facilitated by IT application of WB4101, suggesting that $\alpha_2$-adrenoceptors promote antinociception and $\alpha_1$-adrenoceptors promote nociceptive responses. This $\alpha$-adrenergic opposing response has been observed following application of morphine (Holden, 1999) or bicuculline (Nuseir and Proudfit, 2000) directly to the A7 area, and from stimulation of the lateral hypothalamus, an area that recruits A7 cells as part of the descending nociceptive modulatory system (Holden and Naleway, 2001; Holden et al., 2002). Furthermore, in the present study, PH-induced antinociception was blocked following microinjection of cobalt chloride into the A7 cell group. Cobalt chloride reversibly blocks all synaptic activity within the area of microinjection (Kretz, 1984). These lines of evidence provide converging support for our hypothesis that PH-induced antinociception is mediated in part by innervation of the A7 catecholamine cell group.
Our finding that yohimbine blocks PH-induced antinociception supports and extends the work of others that shows that $\alpha_2$-adrenoceptor antagonists interfere with antinociception, as yohimbine blocks electrical (Takeda et al., 2006, Wen et al., 2010) or formalin-induced diffuse noxious inhibitory controls (DNIC) in rat (Wen et al., 2010), the effect of gabapentin-mediated antinociception in sciatic nerve ligation (Tanabe et al., 2005), and the antinociceptive effect of tramadol in rat (Li et al., 2012). Atipamazole blocks nerve-injury neuropathic pain in rat (Bee et al., 2011). In a model of post-operative pain, idazoxan blocks the effects of milnacipran, a 5-HT and norepinephrine reuptake inhibitor effective for mechanical hyperalgesia (Obata et al., 2010), and completely reverses the antihyperalgesic and antiallodynic effects of clonidine, as well as its suppressive effect on ligated sciatic nerve NR1 phosphorylation in the spinal cord dorsal horn (Roh et al., 2008). It is welldocumented that $\alpha_2$-adrenoceptors play an important role in the endogenous descending nociceptive modulatory system with most $\alpha_2$-adrenoceptors residing on the terminals of descending fibers, local spinal neurons, or central terminals of primary afferent fibers in the dorsal horn (Fairbanks et al., 2009). While we did not test for the specific $\alpha_2$ receptor subtype, evidence is supportive for a strong role for the $\alpha_{2a}$ subtype (Wang et al., 2002; Fairbanks et al., 2009; Roh et al., 2010), and to a lesser extent, the $\alpha_{2c}$ subtype (Chen et al., 2008; Roh et al., 2010) in providing antinociceptive effects.
Unlike $\alpha_2$-adrenoceptors, $\alpha_1$-adrenoceptor antagonists do not mediate antinociception in herpes zoster-like skin lesions (Sasaki et al., 2003; Mantovani et al., 2006) or in noxious heat stimuli in awake monkeys (Thomas et al., 1993), but do potentiate foot withdrawal responses from microinjection of morphine in the ventrolateral periaqueductal gray (Fang and Proudfit, 1998). Recently, Zhang and Tan (2011) showed that pretreating cultured dorsal root ganglion (DRG) cells with either the $\alpha_1$-adrenocpetor antagonists phentolamine or prazosin inhibits enhanced firing of these cells induced by norepinephrine. Application of nerve growth factor to DRG cells induces a two-fold increase in $\alpha_{1b}$-adrenoceptor expression, but not $\alpha_2$ expression, augmenting neuronal responsiveness to norepinephrine acting at $\alpha_1$-adrenoceptors and contributing to the development of pain sensitization. Taken together, these findings lend support to the idea that $\alpha_1$-adrenoceptors facilitate nociception in the spinal cord.
A limitation of the present study is the difficulty in determining the precise microinjection size. The factors considered with size of microinjection are injection spread and amount of available solution relative to the injector location. Injection spread is affected by the molecular weight, concentration (Myers and Hoch, 1978; Nicholson, 1985) and water solubility of the solution, as well as injector tip size (Sakai et al., 1979) and neuroanatomical features of the injection site (Nicholson, 1985; Sakai et al., 1979; Lum et al., 1984). Microinjections of 0.5 µl or less limit the average spread of injection (Myers and Hoch, 1978). While recent findings indicate that a 0.5 µl injection of $[^{3}H]$muscimol into subcortical structures produces a labeled area of over 5 mm$^2$ 15 minutes after injection (Edeline et al., 2002), others have reported smaller areas of spread. For example, labeled atropine injected in the hypothalamus (Grossman and Stumpf, 1969), $[^{14}C]$dopamine injected into the brain stem (Myers and Hoch, 1978) and $[^{14}C]$lidocaine and $[^{3}H]$muscimol injected intracortically (1 µl over 4 min; Martin, 1991) produce average injection sites of about 1–1.5 mm within the first 20 min post injection. Our microinjections of 0.5 µl likely fall within these parameters.
The amount of available solution relative to the injection location also should be considered. For example, the amount of $[^{14}C]$dopamine recovered 0.5 mm from the injection site is only 25% of the amount injected, increasing to 45% 15 min post injection (Myers and Hoch, 1978). Nor does diffusion of solution necessarily equate with neuronal activation. Grossman and Stumpf (1969) found that labeled atropine at sites away from the immediate microinjection location is 2,000–10,000 times lower than that needed to effectively block carbachol-induced behavior changes. Thus, it cannot be assumed that efficacy of the agonist is uniform across the injection site and is most likely optimally effective nearest the cannula. Findings from our previous work support this idea, as microinjection of carbachol into the ventral thalamus just dorsal to the PH (Jeong and Holden, 2009; Holden and Pizzi, 2009), the nigrostriatal bundle adjacent to the PH (Holden et al., 2002), and the internal capsule adjacent to the lateral hypothalamus (Holden, Farah, et al., 2005; Holden et al., 2002) produced withdrawal latencies similar to baseline measurements. Microinjector placements within the PH and lateral hypothalamus produced longer withdrawal latencies. Finally, we showed previously that 62 nmol of carbachol, half of the dose used in the present study, produced response latencies similar to control rats when microinjected into the PH (Jeong
and Holden, 2009) or the lateral hypothalamus (Holden and Naleway, 2001). Given our use of a small microinjector tip, the evidence that neurons closer to the microinjector tip are more likely to be activated than neurons farther away, and the lack of response from a smaller dose of carbachol, the probability that our results came from stimulating neurons outside of the PH is small.
In the present study, unilateral microinjection of carbachol did not produce significant differences between left and right foot withdrawal latencies. The PH projection to the parabrachial area, including the A7 area, is predominantly unilateral, but there is a small contralateral projection (Vertes and Crane, 1996). Similarly, the A7 cell group sends axons to both the ipsilateral and contralateral dorsal horn (Clark and Proudfit, 1991). We found that unilateral microinjection of cobalt chloride in the A7 area completely blocked PH-induced antinociception for both feet. If the contralateral connection between the left PH and A7 area was significantly involved, such a blockade would not be expected for the right foot because the contralateral PH projection would activate descending input to the right dorsal horn. It seems likely that the lack of foot withdrawal differences is due to the bilateral projection of the A7 cell group to the dorsal horn because blockade of synaptic activity in the left A7 cell group prevented PH-induced antinociception in both feet. This idea is supported by the findings that unilateral stimulation of the A7 cell group either electrically (Yeomans et al., 1992) or chemically (Yeomans and Proudfit, 1992) produces bilateral effects.
In summary, the results of the present study demonstrated that microinjection of carbachol in the PH produces antinociception facilitated by $\alpha_2$-adrenoceptors and opposed by $\alpha_1$-adrenoceptors in the spinal cord dorsal horn. The converging evidence is suggestive that the PH makes connections in part with spinally descending noradrenergic neurons in the A7 catecholamine cell group that act at the dorsal horn to exert opposing effects on nociception.
**Acknowledgments**
This work is supported by USPHS grant NR04778 from the National Institute of Nursing Research (NINR) at the National Institutes of Health. NINR had no involvement in the conduct of this study, or in publication decisions.
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Highlights
- Stimulating the posterior hypothalamus (PH) produces antinociception.
- Dorsal horn $\alpha_2$-adrenoceptors mediate antinociception.
- Dorsal horn $\alpha_1$-adrenoceptors mediate an opposing hyperalgesic effect.
- Blockade of spinally descending noradrenergic A7 cells blocks PH antinociception.
- PH-induced antinociception is mediated in part by connections with the A7 cell group.
Fig. 1.
The location of carbachol microinjection sites in the PH for tail response latencies in Experiment 1. Most of the injection sites were located within the border of the PH between AP –3.60 and –3.80 mm from bregma. The symbols represent the values of the differences between baseline tail response latencies and those at 15 min after microinjection of carbachol (125 nmol) as follows: (△) 2–3.9 sec; (△) 4–5.9 sec; (□) 6–8 sec. Injection sites located in the lateral hypothalamus (●) and the hippocampus (○) elicited antinociceptive responses and were excluded from data analysis. AMG, amygdala; ic, internal capsule; LH, lateral hypothalamus; LV, lateral ventricle; PH, posterior hypothalamus; VM, ventromedial thalamic nucleus; VPL, ventral posterolateral thalamic nucleus; VPM; ventral posteromedial thalamic nucleus; ZI, zona incerta.
Fig. 2.
Microinjection of carbachol in the PH produced time-dependent increases in nociceptive tail response latencies. Following a baseline response latency measurement, normal saline or carbachol (125 nmol) was microinjected into the PH at time 0. Time-course changes in (A) tail response latencies or (B) foot withdrawal latencies produced by microinjection of saline (□; n = 6) or carbachol (○; n = 6). In a separate group of rats (◇; n = 9), pretreatment with atropine in the PH reduced tail flick latencies and blocked foot withdrawal latencies following carbachol microinjection. Mean response latencies ± SEM. *p< 0.05, carbachol vs saline; #p < 0.05, carbachol vs. atropine.
Fig. 3.
Antinociception from microinjection of carbachol (125 nmol) in the PH was blocked by intrathecal injection of the $\alpha_2$-adrenoceptor antagonist yohimbine, but facilitated by injection of the $\alpha_1$-adrenoceptor antagonist WB4101. (A) Carbachol (Carb) was injected at -17 min and three post drug tail response measurements were made at -15, -10 and -5 min. Either Yohimbine (YOH, □, n = 10), WB4101, (○, n = 9) or saline (◆, n = 7) was injected intrathecally at time -1. (B) Time course of the effects of intrathecal injection of either YOH, WB4101, or saline following carbachol microinjection in the PH on foot withdrawal response latencies. Mean response latencies ± SEM. * p < 0.05.
Fig. 4.
The location of microinjection sites in the PH and A7 cell group for tail response latencies in Experiment 3. Most of the injection sites for carbachol/cobalt chloride (A) and carbachol/saline (B) were located within the PH between AP −3.60 and −4.16 from bregma at 10 min post carbachol injection. The symbols represent the values of the differences between baseline tail response latencies and those at 15 min after microinjection of carbachol (125 nmol) as follows: (△) 2–3.9 sec; (○) 4–5.9 sec; (□) 6–8 sec. Injection sites located in the cortex, dorsal thalamus, zona incerta (■) and ventral hypothalamus (●) elicited antinociceptive responses and data were excluded from analysis. Microinjections of cobalt chloride (C; ○) and saline (D; ●) were located in the A7 area (⋆) approximately AP −8.72 –
10.04 from bregma. A7, A7 catecholamine cell group; Aq, Aqueduct of Sylvius; AMG, amygdala; Ic, inferior colliculus ic, internal capsule; LH, lateral hypothalamus; LV, lateral ventricle; MCP, middle cerebellar peduncle; PH, posterior hypothalamus; pyr, pyramids; SCP, superior cerebellar peduncle; VM, ventromedial thalamic nucleus; VPL, ventral posterolateral thalamic nucleus; VPM, ventral posteromedial thalamic nucleus; ZI, zona incerta.
Fig. 5.
Antinociception produced by microinjection of carbachol in the PH was blocked by microinjection of cobalt chloride in the A7 area. (A) Following a baseline measurement at -25 min, carbachol (Carb) was microinjected in the PH and four tail response latencies were measured. Either cobalt chloride (○; CoCl; n = 11) or saline (●; n = 13) was microinjected in the A7 area. Cobalt chloride significantly reduced tail flick latencies across all time points compared to saline controls (p < 0.05). Mean latency values ± SEM are plotted on ordinate as a function of time (min). (B) Cobalt chloride microinjected in the A7 area also blocked PH-mediated antinociception on the foot withdrawal test (○; p < 0.05). Normal saline microinjected near the A7 area (●) did not alter nociceptive responses.
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Engineering Entertainment:
Adaptive interventions to enhance player engagement in the Interactive Tag Playground
Jelle Pingen
Master’s thesis
January 18, 2019
Supervisors:
dr. ir. Dennis Reidsma
dr. ir. Robby van Delden
Human Media Interaction Group
Faculty of Electrical Engineering,
Mathematics and Computer Science
University of Twente
P.O. Box 217
7500 AE Enschede,
The Netherlands
UNIVERSITY OF TWENTE.
Abstract
The last decade has seen a rise in the use of interactive technology in physical play, with games and interactive installations using players’ body movements as core part of the game experience. This addition of technology gives extra sensing and feedback capabilities to these interactive playgrounds, which enables them to adapt to the current situation and players. This study aims to design and develop an adaptive intervention to enhance player engagement in the Interactive Tag Playground (ITP), an interactive camera-projector system to play the game of tag.
Playing data from the ITP was gathered, and video recordings were analyzed by an observer to mark periods of low engagement during play. This data is used to train a logistic regression model in order to predict the level of engagement during play. The final logistic regression model, using only a subset of features that can be easily retrieved from the ITP, has an F1-score of 0.75. This model, combined with a time frame of 15 seconds and a threshold of 85%, shows promising results at triggering an intervention at appropriate times.
In order to evaluate this model, it was implemented in the live ITP, together with a previously-designed ‘swag’ intervention. This intervention spawns ‘power-ups’ around the tagger, which merely embellish the players’ circle upon collecting. The effect of the adaptive intervention on player engagement was measured with a post-game Game Engagement Questionnaire Revised (GEQR). Unfortunately, from the results it can not be concluded that the adaptive intervention in the ITP leads to higher engagement. Instead, triggering the intervention at a set time during the game even lowered the engagement score. However, the intervention did lead to some unexpected behavior that indicate a motivating factor, where players exploited the embellishments as a target to be tagged. Further research, with a different set of interventions, might be needed to validate the engagement prediction algorithm and the application of an adaptive intervention.
## Contents
1 Introduction 9
1.1 Adaptivity in interactive play 10
1.2 Methodology 11
2 Literature review 12
2.1 Goals of Adaptivity 12
2.1.1 Skill balancing 12
2.1.2 Behavior steering 14
2.2 Requirements for adaptivity 14
2.2.1 Sensing 15
2.2.2 Measure of Engagement 15
2.2.3 Measure of Difficulty 16
2.2.4 Player modeling 16
2.2.5 Interventions 17
3 The Interactive Tag Playground 20
3.1 Setup 20
3.2 Adaptivity in the ITP 21
4 Experiment 1 - Data collection and analysis 23
4.1 Introduction 23
4.2 Methodology 23
4.3 Observations 25
4.4 Analysis 25
4.5 Conclusions 31
5 Engagement prediction model 32
5.1 Data 32
5.2 Methodology 33
5.3 Results 34
5.4 Feature selection 35
5.5 Cross validation 37
5.6 Intervention Trigger 37
5.7 Conclusions 39
6 Experiment 2 - Model evaluation 40
6.1 Introduction 40
6.2 Intervention 40
6.3 Implementation 41
6.4 Methodology 41
6.5 Results 42
6.6 Conclusions 43
7 Discussion and limitations 45
7.1 Future work 48
8 Conclusion 50
References 51
Appendices 55
List of Figures
1 Flowchart of the game adaptation process .......................... 18
2 Left: Disposition of the Kinects and projectors on the ceiling of the playground. Right: Playing area of the ITP. (Moreno et al., 2015) ......................................................... 20
3 Circles projected on the floor during the tag game. The orange circle denotes the tagger ........................................... 24
4 Frequency histogram of players’ average heart rate for a single game ................................................................. 26
5 Heart rate development over time for single player ............... 26
6 Frequency histogram of players’ average heart rate for a single game after dropping first 120 seconds ...................... 27
7 Root-mean-square energy of the sound signal for both low and not-low engagement in each game. Note that the vertical scales are different per game. ........................................ 28
8 Average player speed (km/h) for each game during low engagement (blue) and not-low engagement (red) ............. 29
9 Illustration of dropped frames around the edges of periods classified as low-engagement ........................................ 33
10 Adaptation trigger examples per game ............................... 38
11 Implementation of the swag intervention in the adaptive ITP ............................................................................ 41
12 Result of GEQR questionnaire scores, per condition .......... 44
13 Average distance between runners and tagger, with and without ‘swag’ intervention ........................................... 44
List of Tables
1 Previous interventions done with the ITP .......................... 21
2 Average sound level (RMSE) and Cohen’s d .......................... 28
3 Average player speed (km/h) and Cohen’s d .......................... 30
4 Average tagger speed at time of tag (in km/h) and standard deviation (SD) ......................................................... 30
5 Average time between tags (in seconds) for each game ............ 31
6 Logistic Regression classification metrics ........................... 34
7 Logistic Regression confusion matrix ('0' denotes not-low engagement, '1' denotes low engagement) ......................... 34
8 Random Forest classification metrics ............................... 35
9 Random Forest confusion matrix ('0' denotes not-low engagement, '1' denotes low engagement) ............................. 35
10 Logistic regression feature coefficients ............................ 36
11 Logistic Regression classification metrics after feature selection 37
12 Cross validation classification metrics ............................ 37
13 Results of ANOVA test for GITQ and GEQR scores ............... 43
14 Results of post-hoc Tukey’s HSD test for GEQR scores .......... 43
1 Introduction
Play is widely accepted as an essential activity for children, as it provides entertainment, social interaction, as well as physical and cognitive benefits (Barnett, 1990). In the last decade, more technology has been introduced into play, as video games have become a very popular way of playing. However, there has also been a rise in the use of interactive technology in physical play. This has been done in several ways, ranging from interactive toys and attributes to complete interactive installations which use players’ body movements as core part of the game experience (Moreno et al., 2015). True interactive play differentiates from interactive toys in four ways, as defined by Van Delden et al. (2018). Firstly, interactive play systems require explicit body movements for interaction, as opposed to using a controller such as a joystick or mouse. Second, it can enhance the provided feedback in several ways, e.g. by using lights, sounds or movements/vibrations. Thirdly, the interactive play system is able to store a history of states. This means it can, for example, remember where a player has been in order to switch between states or change scores. Lastly, these systems provide the ability to share their state and data between multiple devices, which opens opportunities for new ways of interaction.
These sensing and feedback capabilities enable the use of interactive playgrounds and systems for a number of different goals, as defined by Poppe et al. (2014). First and foremost, interactive playgrounds can provide a fun experience and enhance engagement by presenting novel interaction methods and visualizations. Second, by providing a fun experience, interactive playgrounds further promote physical activity. Through sensing, the system can measure players’ skill and adapt the game accordingly. Third, interactive playgrounds can be employed to stimulate behavior change, i.e. encourage positive behavior and discourage negative behavior. Fourth, interactive playgrounds can play a role in education and learning. The systems can be adapted to support a certain theme or learning goal. Finally, interactive playgrounds may even provide opportunities for diagnosis. Using automatic sensing, players’ behavior can be analyzed and possibly spot any abnormalities.
A large variety of interactive play systems have been developed over the years, for both research and commercial purposes. One of the most well-known, and also one of the first interactive play systems is the Kidsroom developed by Bobick et al. (1999). The Kidsroom is a specially designed room, which can be completely transformed by projections, music, narration and sound effects to guide children through an interactive adventure. The fully automated system can react to the children’s action using computer vision-based action recognition and a microphone. Using these sensors, the Kidsroom creates a rich, immersive environment. Kajastila and Hämäläinen developed an augmented climbing wall (Kajastila and Hämäläinen (2014);
The system uses a depth camera and projector to help climbers by projecting possible routes, giving video feedback or even play small games. Their study has shown that these augmented visuals can increase the diversity of movements and challenges, by steering players to unexpected directions. Based more on traditional children’s play is the interactive playground developed by Tetteroo et al. (2011). Their system tracks players’ positions with an infrared camera which films reflective markers attached to the players’ heads. Next to that, Sun SPOT sensors were used to track small foam balls. A projector mounted on the ceiling can project visualizations on the floor. This playground allows for open-ended play, where players can create and interact with several projected shapes. Similar to this setup, are a number of commercially available interactive play systems. Most of them employ a similar setup of a (depth-)camera to track players and a projector to project visualizations on the floor, like the BEAM from EyeClick\(^1\) and the MotionMagix box\(^2\). LumoPlay\(^3\), for example, only provides the software that can be used with your own projector/camera setup.
### 1.1 Adaptivity in interactive play
The first three chapters of this thesis are largely based on the ‘research topics’, a preliminary (literature) study conducted as an exploration of the research area (Pingen, 2017). This preliminary study mainly focused on the possibilities of adaptivity in the Interactive Tag Playground (ITP), an interactive playground setup at the University of Twente. This setup is further discussed in section 3. Previous interventions in the ITP were analyzed, along with different methods to make the ITP more adaptive. Because of its availability, it was decided to use the ITP as main instrument for this research. Focusing specifically on player engagement in the ITP appeared to give the most interesting options for adaptive interventions. Previous research with children in the ITP has shown that player engagement decreases after about 90-100 seconds. This is a good opportunity for the ITP to adapt to and automatically intervene, in order to restore engagement. Furthermore, to circumvent any issues with tracking issues in the ITP, the system should look at a global (combined) model of player engagement instead of each individual player. The preliminary study lead to the following research question, which form the basis for this thesis:
- How to create adaptive interventions for the Interactive Tag Playground to enhance player engagement?
\(^1\)http://www.joinbeam.com/, last accessed 18-06-2018
\(^2\)http://www.motionmagix.com/, last accessed 15-06-2018
\(^3\)http://www.lumoplay.com/, last accessed 18-06-2018
To answer this main research question, the following two sub-questions were devised:
1. How can the ITP sense or detect when to intervene?
2. What is the effect of an adaptive intervention?
1.2 Methodology
When trying to solve these questions, one has to take the requirements for the intervention into account. The intervention should preferably be simple and robust, have a clear and great effect on the players, and be easy to make adaptive. Next to this, the limitation of the system should be taken into account. Previous research with the ITP has shown that occasionally a ‘track switch’ occurs, which means that the tracking system assigns the wrong ID to the wrong player. This may result in incorrect adaptations. To solve such issues, the adaptive system only looks at a global model of player engagement.
The goal of this research is thus to develop an adaptive intervention, which can enhance player engagement in the ITP. In order to do so, the approach is divided into three steps:
1. **Gather data and recordings of play sessions in the ITP.** In order to create an adaptive intervention, the system must be able to distinguish between a high and low level of engagement. Therefore, the recorded play sessions should include both a high level of engagement as well as (part of) sessions with a low level of engagement.
2. **Create a model of player engagement in relation to playing in the ITP.** Using the data gathered in the previous step, determine which elements indicate engagement levels and should thus be the actual trigger for the intervention. This might be a combination of different types of player data, such as amount of movement, sound, game speed or even the players’ heart rate.
3. **Create an adaptive intervention to increase player engagement.** With a model that can determine the engagement level in the ITP, it is possible to create an adaptive intervention. Naturally, this intervention should then be tested with players in the ITP to measure the impact and effectiveness in solving the engagement dip.
2 Literature review
In order to properly design an adaptive intervention, it is important to discuss the previous research in this area. The following chapter provides an overview of the different adaptive systems that have been developed, which problems they aim to solve and what is needed to create such adaptive systems.
2.1 Goals of Adaptivity
As shortly mentioned before, by making interactive playgrounds adaptive they can provide an engaging and entertaining experience, while actively promoting or discouraging certain types of behavior. Ambient games have been shown to benefit from behavioral analysis to adapt the game (Schouten et al., 2011). Instead of analyzing the data afterwards, information can be processed during play, which makes new types of interactions possible (Moreno, 2016). By adapting the game mechanics during play, an interactive playground can challenge the players based on their personal skill level, thus making the game more fun to play. Next to that, adaptive playgrounds can even be used to encourage positive social behavior.
2.1.1 Skill balancing
Games, and thus interactive play systems, become boring when they are too easy and frustrating when the difficulty is too high, which might lead to a lower level of engagement. In order to account for this problem, games usually give the player the option to select a difficulty level (Lopes and Bidarra, 2011). However, the chosen challenge level is static, and does not depend on the actual player performance. This may lead to a mismatch between player skill and game difficulty, for example when players incorrectly classify themselves. Therefore, many game designers aim to adjust the game difficulty during the play. This is also known as Dynamic Difficulty Adjustment or Dynamic Game Balancing. Even in multiplayer games, similar to a handicap in the game of golf, some players can be given an advantage or disadvantage based on their skill level in order to even the playing field. This can be done for each (sub)set of skills: e.g. running speed, strength, agility, etcetera. This can increase challenge for the player, which in turn leads to a higher level of engagement. However, proper dynamic game balancing is not easy to accomplish. Schell (2008) defines three problems with dynamic game balancing:
1. It spoils the reality of the world. Adaptive game difficulty might break the illusion of immersion, as players realize that opponents’ abilities are not absolute.
2. It is exploitable. When players realize the game will get easier if they play badly, they might play badly on purpose in order to win or complete a challenge. This might defeat the purpose of an adaptive difficulty (i.e. players are not challenged anymore).
3. Players improve with practice. If enemies get easier to beat each time you’re defeated by them, the game loses the aspect of challenge and the pleasure it gives players of mastering that challenge.
The first might not be too much of a problem for interactive playgrounds. These systems are usually not designed to fully immerse the players in a virtual world, since they are mostly augmenting the real world. The other two problems mentioned above should definitely be considered while designing the adaptive system for such a playground. Exploitation, for example, might be hard to detect without an external (human) observer. Next to that, it is important to keep the challenge at an adequate level in order not to lose engagement.
Skill balancing is not new, as extensive has been done on this subject. For example, Andrade et al. (2006) developed an intelligent adaptive agent for a real-time fighting game, using reinforcement learning. This agent can choose between actions with high or low expected performance. For example, if the game level is too hard, the agent chooses a sub-optimal action, and progressively less optimal actions until its performance is as good as the player. Similarly, if the game level is too easy, it will pick a progressively better action until it matches the player’s skill. Their study shows that this adaptive approach has the best result compared to other adaptivity approaches: it can adequately deal with players of different skill levels, providing a challenging opponent for each. Next to that, it also provided the highest user satisfaction. Their approach is similar to the dynamic scripting technique by Spronck et al. (2003). Dynamic scripting uses an adaptive rule-base to control the opponent AI in a game. The rulebase’s weights are then updated based on the success or failure rate of a particular rule. Dahlbom (2004) proposes a new, adaptive structure for this approach, employing a goal-rule hierarchy. In this case, rules are viewed as a strategy to reach a higher-level goal. The system is adaptive by adjusting the probabilities of selecting each rule. This allows the AI to make strategic choices and increase the challenge for the player when needed. Results have shown that this updated dynamic scripting algorithm can be more effective, and can re-adapt quicker than the original algorithm.
Also in interactive play systems, skill balancing is used to increase engagement. Altimira et al. (2016) implemented skill balancing with a digitally augmented tennis table. By adjusting the playing surface area through projections, the more skilled player was induced towards a playing style that was easier for the less skilled player to counteract. Their study shows that while they were able to balance the players’ skills (i.e. allow the lesser player
to win more), it reduced the engagement for the higher-skilled player. Jogging over a Distance, as developed by Mueller et al. (2012) aims to balance exertion in jogging pairs. The joggers can hear the audio of their co-located jogging partner. This audio is positioned in a 2D space around the jogger’s head, based on the difference of the relative heart rates. If one jogger’s heart rate is relatively high, the other jogger would hear him ‘in front’ of him, and vice-versa. This allows people with different skill levels to run together in a balanced way. Also the Adaptive Circles by Van Delden et al. (2014) balance players of different skill levels. In a game of tag, players of a higher skill level (i.e. those who are never tagged), are made easier to tag. This evens out the playing field to some extent.
2.1.2 Behavior steering
As mentioned before, interactive play systems can be employed to stimulate behavior change. In order to encourage positive social behavior, the system needs to be able to steer the player’s behavior. In this case, steering refers to “introducing interactions or gameplay elements that change in-game physical play behavior towards a desired direction”. This is different from more traditional persuasion methods, as it does not aim for long-term behavior change outside of the game (Van Delden et al., 2018). It also does not constrain behavior by hiding certain options or enforcing a specific type of interaction. In contrast, it tries to influence player activity, such as how and where they move or what type of interaction they perform.
This can be done by changing (adapting) the game mechanics. Naturally, the best way to accomplish this is to employ a (slightly) different set of game mechanics or feedback tailored towards each specific player (Poppe et al., 2014). As one player might not be as involved as the others, the system could give them a more prominent role. As mentioned previously, steering gameplay also allows players of different skill levels to play together (such as done by Van Delden et al. (2014)). Next to that, it can also be employed to increase physical exertion and activity (Moreno, 2016). For example, Landry and Pares (2014) show that they are able to control physical activity of the players by changing the interaction tempo of the game (i.e. the pace of gameplay).
2.2 Requirements for adaptivity
However, implementing adaptivity is not a straightforward task. Lopes and Bidarra (2011) discuss the steps needed in order to achieve optimal adaptivity. In order to improve player experience, the system needs to be steered by some purpose that can be identified, measured and influenced by the developers. Therefore, the adaptation algorithm should: 1) identify what triggers the need for adjustments and 2) identify what should be adjusted. These
two steps, required to ensure that game adjustments induce the personalized player experience, are essential but still form a major challenge.
2.2.1 Sensing
To correctly interpret player behavior, sensors are needed that can capture a player in sufficient detail (Greenberg et al., 2011). Currently, most inputs are low-fidelity, limited and include some level of noise. It is therefore a challenge to design a robust interactive system with such data. More importantly, these sensors need to be embedded into the environment without hindering or distracting players (Moreno, 2016). For example, equipping children with microphones might restrict their movement, or at the very least make them aware of the microphones, which in turn might lead to different behavior. In the case of interactive play systems, the tracking should have a high temporal and spatial resolution. This means it should react quickly and accurately: it should be accurate enough to distinguish different players and possibly even different types of movement. If the system wrongly identifies players or behavior, it means it will now adapt to the wrong action. Moreover, the study of Nijhar et al. (2011) shows that a higher accuracy of movement recognition leads to a higher level of immersion for the players.
2.2.2 Measure of Engagement
In order to increase player or group engagement, the level of engagement needs to be measured accordingly. However, it must be noted that interpreting behavioral cues only indirectly observes actual player experience (Yannakakis et al., 2013). For example, a player who has only little interaction with the system (i.e. is not moving much) may be either bored or actually thoughtful and captivated. As such, behavioral metrics can only approach the likelihood of experience.
Bianchi-Berthouze discusses the role of body pose and motion in detecting user engagement, by using body tracking systems such as the Kinect (Bianchi-Berthouze, 2012, 2013). Changes in body movement entropy can show how the player is appropriating the game control, which might be an indicator of user engagement. Players enter a vicious circle of sorts; they are more affected as they move more, which in turn makes them want to move even more. Monitoring movement entropy might, therefore, be a good indicator of user engagement, either personal or for the group of players as a whole. Measuring group engagement might also give a way to detect outliers: players that are not really engaged and might need some extra stimulation to join the play.
Next to kinesics ('body movement'), proxemics is also provides an interesting feature to look at in terms of user engagement. Proxemics includes the inter-player distance (distance between two players), orientation, movement, identity (who is playing) and location (Greenberg et al., 2011). The physical arrangement of groups, how players position themselves in relation to others, can be an indicator of engagement. For example, shy players might hide behind others, or very engaged players might hide behind other players to use them as a ‘human shield’. This physical group-arrangement might therefore be an indicator of the relation between players.
### 2.2.3 Measure of Difficulty
Relating to the previously discussed ability of the system to ‘identify what triggers the need for adjustments’, it can be hard to assess whether a game is too difficult for a player or not. Hunicke and Chapman (2005) try to predict this level of difficulty by determining *flailing* behavior. To do this, they look at the inventory of the player. First, the overall flow (input and output) of inventory items is modeled. Using this inventory flow, and an estimation of the upcoming damage to be received, it is possible to predict a shortcoming in the inventory. When this is detected, the player will probably not complete the level or task and most likely fail. When this is detected, the game can adapt by, for example, spawning more items or decreasing the damage of an incoming attack.
Bailey and Katchabaw discuss several factors that need to be taken into account in order to determine *when* to adjust game difficulty (Bailey and Katchabaw, 2005): the player’s skill level, their success/failure rate for various gameplay elements, and the player’s general type, motivations, frustration tolerance, and emotional state. The player’s skill and success/failure rates are naturally tied to the particular game or gameplay elements. There are multiple metrics that can be measured from the game itself, for example the number of attempts before success, time to completion or amount of damage taken per level. Using these metrics, it is possible to determine when a player is encountering difficulty with a certain element of gameplay. In these cases, the game or interactive play system can adapt that particular game-element, or support the player in other ways.
### 2.2.4 Player modeling
Another important aspect to take into account is the fact that different people might react differently to games or specific game-elements. One way of dealing with this is by creating player models. Such player models try to encapsulate individual player characteristics and preferences. The game can then use these preferences to adapt certain game mechanics and parameters in order to maximize player satisfaction. Previous work in this field maps player behavior to a number of different ‘player styles’ or game preferences (Orji et al., 2013), even through the use of Artificial Intelligence (Derakhshan et al., 2006; Yannakakis and Hallam, 2009). Based on the classification of
the player, one of the pre-defined game adaptations can be utilized, tailored to that specific playing style. This process consists of three phases: observation, classification and adaptation. The observation phase can be automatically done by the interactive play system’s sensors. The classification phase is a difficult problem. First, different classes of players must be defined. Consecutively, an on-line classifier must be constructed which can classify players to one of the defined classes in (near) real-time. The adaptation phase is then merely choosing the right (pre-defined) parameters based on the classification. For example, idle players might be encouraged to become more active by choosing a higher game speed. With a working classifier, one can even analyze different game strategies employed by the players, and see which one works best. Going even further, the playground can potentially steer the players towards the optimal playing strategy.
Besides player classification based on their behavior, it is also possible to create unique, personal profiles tailored towards a single user. For each person, the system would store their personal preferences and behavior, as opposed to mapping them to a set of pre-defined profiles. This could lead to a highly optimized and adapted system. However, constructing such user profiles is a hard problem. The system would need a way to learn that user’s behavior. Next to that, it would need a way to detect which user is playing. This can be done either automatically (e.g. using cameras to detect and identify different players), or by making the players log-in before the game (and log-out afterwards). The latter method has a downside that players are not able to simply walk in and out of the playground whenever desired, as is common in regular playgrounds.
2.2.5 Interventions
In order to design and develop a fully adaptive system, an inventory of different kinds of interventions is needed. Such an ‘intervention’ is a set of game mechanics or interactions designed to either stimulate or discourage a certain type of behavior. This means that (ideally) for each type of possible (undesired) behavior or interaction in the game, an intervention needs to be designed, leading to a database of interventions. This can be a very time-consuming process, as each intervention needs to be studied and evaluated to make sure it has the right, desired, effect on the players.
The sensed behavior (i.e. measure of engagement and/or difficulty, as discussed before) is as such used as the time trigger of when to apply the designed intervention. For example, whenever a player gets below a certain threshold of engagement, or the fail rate gets too high, it might be a good time to intervene. It is then important to know which intervention to pick. This is dependent on two variables: 1) the type of behavior to adapt to and 2) the player model. Naturally, different player (styles) may react differently to certain interventions. It is therefore important to take the player
model into account and the expected outcome behavior when selecting an intervention. This is a continuous process, which can be roughly modeled as outlined in figure 1.
The game adaptation process is, for the most part, separate from the game logic. This separation between game logic and adaptation logic can also be found in the ALIGN system as developed by Peirce et al. (2008). Each intervention, or Adaptive Element (AE) as they call it, is pre-designed and annotated with metadata which describes in which game settings it can be used and what the outcome of its use would be. A separate process analyzes game events and translates this to the appropriate AE, taking the player model into account. This separation of adaptation logic and game logic allows for greater independent control over each element.
The possible interventions can be roughly divided into two types: Player versus Player (PvP) and Player versus Environment (PvE). In the first case, Player versus Player, the most obvious types of adaptation are of the skill-balancing kind: giving one player a (dis)advantage over the other(s). This can be done by simply changing or adapting one or more gameplay elements, as mentioned before. Previous research with the Interactive Tag Playground has shown that these kind of interventions have a positive balancing effect (Van Delden et al., 2014). Next to this, PvP games or situations allow the possibility to measure ‘outliers’, i.e. players showing behavior that is not expected. For example, given the previously discussed flow patterns shown by Kim et al. (2010), it might be possible to detect players that do not conform to this pattern. They might be standing still or even going in the complete opposite direction (i.e. some kind of *avoiding* behavior). It is most likely that these players are not engaged. The ITP could adapt to this by, for example, by spawning power-ups in their location (Van Delden et al., 2014) or showing them the best way to move. Lastly, it might be possible to adapt to inter-personal interactions such as rough play (or even fighting in extreme cases). However, this might be difficult to detect using the available
sensors in the ITP.
In the second case, Player versus Environment, adapting the difficulty might be easier as it is a matter of changing the opponent (AI) strength or intelligence. Several methods to accomplish this are discussed in section 2.1.1. In terms of low engagement, the system could, for example, even spawn additional side-quests that might spark new interest as they fit better with the player’s desired playing style. Even if these side-quests do not aid in fulfilling the game’s main objective, previous research in the ITP has shown that non-functional rewards such as mere decoration to the player’s avatar can be used to steer behavior and might increase engagement (Van Delden et al., 2017). In the case of PvE, it might also be easier to detect possible future failures or defeats in the game, as the upcoming game-elements are known and there is no possibility of unexpected interactions from other players. This, however, does not hold for the game of tag in the ITP.
3 The Interactive Tag Playground
The Interactive Tag Playground (ITP) is an interactive playground, augmented with sensors and projectors in order to enhance game play (Moreno et al., 2015; Van Delden et al., 2014). It was developed by the Human-Media Interaction group at the University of Twente to conduct research on interactive play.
3.1 Setup
The ITP consists of four Kinect 3D-cameras and two projectors. The four Kinect cameras are mounted on the ceiling in a grid-like pattern, 4 meters apart. The two wide-angle projectors are also mounted on the ceiling, 4 meters apart, displaying visualizations on the floor. Together, they cover an area of about 5.3 by 5.3 meters. Figure 2 shows the setup of the interactive playground. Only the depth images from the Kinect cameras are used, since the projected visualizations would be picked up by the color cameras as well. These depth images are filtered to remove noise and thresholded in order to detect players. The detected positions are then mapped from local Kinect coordinates to global coordinates. The cameras have a slight overlap, thus in order to prevent duplicate detections, detections closer than 50 centimeters are merged together. Based on the detections, the movement of each player is logged using a real-time tracker. This tracker uses Kalman filters to estimate the locations for each player in each frame.
The tracking system and projected visualizations are separated. The tracking is performed by a single computer, which transmits the data over the network. Any connected computer can then access this data. In the current setup, a second computer receives the data and runs the ‘Interactive Tag’ game, implemented in the Unity3D engine. The ITP projects circles around the players, indicating whether they are a runner (blue circle) or a tagger (orange circle). When the game starts, a random player is automatiautomatically chosen as tagger by the system. When the tagger tags another player, their roles, and thus the color of their circles, switch. In contrast to traditional tag, players do not have to physically touch, but can tag each other by making their circles overlap. A sound effect is played to indicate the tag event. Next to that, a cooldown period of two seconds is enforced, during which the tagger cannot tag back the previous tagger. This is visualized by making the previous tagger’s circle semi-transparent. In case the tagger leaves the playing area (or is lost by the tracking system) for two seconds, another player is randomly assigned as tagger.
Since the ITP is equipped with multiple sensors, it is possible to automatically detect and analyze different cues of player behavior. The ITP currently tracks the player position, movement (speed and direction, which can be deducted from the position), tag events and current game state (e.g. who is tagger or runner in the game of tag). All this information is stored and can be used for analysis, either afterwards or possibly even during play.
### 3.2 Adaptivity in the ITP
A number of different interventions have already been implemented and researched using the ITP. However, the interventions were not all fully adaptive. Table 1 shows the previously implemented interventions in the ITP.
| Intervention | Goal | Method | Results | Adaptive |
|------------------|-----------------------|------------------------------------------------------------------------|-------------------------------------------------------------------------|----------|
| Circle sizes \(^a\) | Skill balancing | Circle size of the player increases the longer you have not been a tagger | Less variation in the duration of each player being a tagger | Very basic |
| Arrows \(^a\) | Behavior steering | Arrows are displayed, pointing from the tagger towards a randomly chosen runner | Pointing an arrow at someone in the ITP increased the chance of getting someone tagged more often. | No |
| ‘Swag’ \(^b\) | Behavior steering | Projecting collectible particles around the tagger that upon collection by runners resulted only in the embellishment of their circles. | Runners got closer to and moved more towards taggers when using our enticing strategy | No |
| Power-ups \(^a\) | Behavior steering | Power-ups are distributed outside the ‘normal’ paths of the players | No significant effect | No |
\(^a\)Van Delden et al. (2014). \(^b\)Van Delden et al. (2017).
In order to detect and decide *when* adaptivity is required, the ITP needs to sense when the engagement appears to be low. Therefore, in order to properly apply such adaptivity, it is required to do some behavior analysis or activity recognition.
Taking into account the requirements for adaptivity (see section 2.2) and properties of the ITP, one possibility is by employing some vision-based analysis utilizing the Kinect cameras. Moreno (2016) discusses several methods of automatic social cue processing and visual behavior analysis in games. Furthermore, Lan et al. (2012) also show that looking at the behavior of different players in a game (field hockey) can aid in activity recognition. The combination of low-level actions and social roles is effective in event recognition. For the ITP, this means a combination of movements (i.e. position, speed, direction) and whether the player is currently a ‘tagger’ or ‘runner’. These are relatively easy cues that can be analyzed for unexpected behavior, for example runners that are running in the direction of taggers. Also the previously described motion fields might give more insight in the overall movement pattern of players in the ITP, as synchronized actions can indicate a feeling of belonging (Miles et al., 2009).
4 Experiment 1 - Data collection and analysis
4.1 Introduction
In order to make the system adaptive, it needs to be able to distinguish between high and low engagement during play. Previous research with the ITP resulted in the creation of the ‘Play Corpus’: a dataset of children playing tag. Unfortunately, the playing time in this dataset was deliberately kept short so the children would not get too bored. This means that there are very few periods of low engagement in the dataset. Furthermore, it would be hard to visually detect engagement, as there is no video of the players’ facial expressions. Therefore, new data would have to be gathered which includes periods of both high and low engagement. To make sure that the new dataset would indeed include periods of low engagement, it was decided to let the game run for a longer time. It was expected that by letting the players play for a longer time, eventually an engagement dip would occur as players get bored.
4.2 Methodology
Five games were played in the ITP, each game consisting of four players, giving a total of 20 participants. Participants’ age ranged from 16 to 28 (median: 17), with 15 males and 5 females. Each game had a duration of 10 minutes, with about 13 seconds of introductory audio at the start. Players were instructed to stay within the designated play area until the game was finished. Before playing, each player was also outfitted with a Scosche Rhythm+ heart rate monitor armband\textsuperscript{4}, which was connected through Bluetooth to an Android smartphone running the Sport Gear Tracker\textsuperscript{5} application. Figure 3 shows players playing a game of tag in the ITP.
A Kinect 2 sensor was placed on a tripod (putting the sensor at around 2 meters high) next to the playing area to capture sound. This sensor was chosen due to its multi-array microphone setup and ambient noise cancellation abilities. A separate video camera was used to capture video of the play area. During play, the ITP automatically logs players’ positions, role (tagger or runner) and tag events. An observer annotated any anomalies during the game, such as heart rate armbands getting loose, track switches, etcetera. Afterwards, the video recordings were re-watched and periods of low engagement were marked.
\textsuperscript{4}www.scosche.com/rhythm-plus-heart-rate-monitor-armband, last accessed 12-01-2018
\textsuperscript{5}www.pnproducts.com/en/mobile/android/Sport-Gear-Tracker, last accessed 16-01-2018
Figure 3: Circles projected on the floor during the tag game. The orange circle denotes the tagger.
**Data collection**
With the setup as described, for each game a number of different types of data is collected:
**Heart rate:** The Scosche Rhythm+ heart rate armband, connected to the Android app, records the player’s heart beat every second, in beats per minute.
**Sound:** The Kinect v2 has a four-microphone array, which detects audio input in an angle of $100^\circ$ around the sensor. It outputs a 32-bit audio stream, sampled at 48 kHz.
**Position & role:** About 3 times per second, the ITP logs for each player their position, as well as their current role in the game (tagger or runner). A median filter of 5 frames is applied to the x- and y-position separately to filter out noise. From this position data, other data such as player speed can be derived.
**Tag events:** Every time a tag event occurs, the ITP logs the timestamp (in milliseconds since the game started) at which it happened, as well as which player was tagged by who.
**Engagement:** The periods (start and end times) of low engagement were noted after watching the recorded videos by an observer.
4.3 Observations
From the observations, a couple of things could be noted. Firstly, it appears that ‘track switches’, where players are assigned the wrong circle after coming too close to each other, are almost no issue for the game. These track switches would occur a couple of times per game. Players quickly learned to deal with it, and some even used it to their advantage by clinging onto other people so their own circle would disappear. The same can be said for the tracker performance: the projected circles would sometimes lag behind the player a bit depending on their speed, but again players quickly adapted their playing style to make use of this mechanic. No real problems with these ‘bugs’ were expressed by the players.
4.4 Analysis
After collecting all the data, it is possible to make a comparison between periods of low engagement and the rest of the game. In the following section, each type of data is analyzed to find possible indicators of low engagement. For this analysis, the SciPy\textsuperscript{6} package for Python was used, which contains several tools for data analysis and statistics.
Heart rate
Heart rate is a generally accepted indicator of a person’s physical effort (Achten and Jeukendrup, 2003). Physical exertion will lead to an increase in heart rate. Therefore, heart rate might be a good indicator of engagement in the ITP.
Unfortunately, the heart rate sensors that were used were not completely fool-proof. One player had issues with correctly fastening the sensor to his arm, which resulted in the armband shifting and coming loose during the game. For another player in a different game, it was noted afterwards that apparently the sensor had some problems with connecting to the Android application, leading to missing heart rate readings. For these two players, the heart rate data was discarded, resulting in 18 correct heart rate readings which could be used for analysis.
Comparing exercise intensity between individuals is often done by using a percentage of the person’s maximal heart rate ($HR_{\text{max}}$), as this maximal heart rate appears to decrease with age. The most commonly used equation is $HR_{\text{max}} = 200 - \text{age}$, but it is debated how accurate this is (Tanaka et al., 2001). Combined with the fact that the age range of the participants is relatively small, it was decided to just use the absolute heart rate instead.
However, simply taking the heart rate for the whole game yields skewed results, as can be seen in figure 4. The histogram shows a lot more occur-
\textsuperscript{6}http://www.scipy.org
rences in the lower regions (<140 bpm) for not-low engagement. This is due to the way a person’s heart rate changes during exercise. Figure 5 shows a single player’s heart rate during the game. As can be seen, the heart rate keeps rising for about 150-200 seconds (from 75 bpm to 175 bpm), after which it only fluctuates around 150-175 bpm. This effect is visible for all players. This, combined with the fact that low engagement generally occurs in the second half of the game, skews the analysis quite a bit.
**Figure 4:** Frequency histogram of players’ average heart rate for a single game
**Figure 5:** Heart rate development over time for single player
To solve this problem, the first two minutes were dropped, which removes the rise in heart rate at the start of the game. Dropping the first two minutes of heart rate data and averaging them per game, yields a histogram as can be seen in figure 6. Looking at the figure, there seems to be a visible difference between low- and high engagement. Low engagement periods have more occurrences in the 120-140 bpm region, while high engagement generally occurs more often in the region of 140-150 bpm. However, no statistical significant difference could be found between the two conditions (mean\textsubscript{Low engagement} = 149.4, mean\textsubscript{High engagement} = 154.6, p-value = 0.28).
### Sound
The loudness of an audio signal closely corresponds with the energy of that signal (the total amplitude of the signal), which is defined as:
$$energy = \sum_{n} |x(n)|^2$$
The root-mean-square energy (RMSE), which will be used as indicator of ‘loudness’ in the analysis is thus defined as:
$$RMSE = \sqrt{\frac{1}{N} \sum_{n} |x(n)|^2}$$
For the analysis of the sound files, the LibROSA\footnote{\url{http://librosa.github.io/librosa/}} library for Python was used, which can compute the RMSE for each frame in the recorded audio file. It is expected that the energy will be lower (i.e. players are more quiet) during low engagement periods.
As can be seen in figure 7, during periods of low engagement (the blue bars) there are relatively more occurrences in the lower end of the spectrum for most games. This might indicate that players are quieter when the engagement is low, which would be consistent with the observations. During high engagement, players tend to shout to each other, laugh more often, and their shoes make more noise on the floor.
Due to the large number of samples (over 25,000 per game), when conducting a t-test on the mean RMSE the p-value will quickly go to zero, in this case with results in the order of $p=10^{-20}$. Therefore, instead of relying on this extremely low p-value, the \textit{effect size} is analyzed instead by means of Cohen’s d. Cohen’s d is the difference between the two sample means, divided by the pooled variance. A score of 0.2 is considered a ‘small effect’, a score of 0.5 a ‘medium effect’ and 0.8 a ‘large effect’. As can be seen in table 2, the effect size is very small with an average of 0.12 over all games.
Game 4 shows the largest effect, but with $d=-0.249$ this is still considered relatively small.
Table 2: Average sound level (RMSE) and Cohen’s d
| Game | Low engagement mean | Not-low engagement mean | Cohen’s d |
|------|---------------------|-------------------------|-----------|
| 1 | 1.013 | 0.798 | 0.148 |
| 2 | 0.892 | 1.005 | -0.085 |
| 3 | 0.399 | 0.470 | -0.087 |
| 4 | 0.886 | 1.320 | -0.249 |
| 5 | 1.166 | 1.242 | -0.049 |
**Speed**
Player speed is naturally expected to be lower when the engagement is low. The speed can be retrieved from the positions logged by the ITP. After applying a 5-frame median filter to the position for each player to filter out noise, each player’s speed is calculated in km/h. Figure 8 shows the
frequency histograms for player speeds, for both low engagement and not-low engagement.
As can be seen in the figure, there is not much difference in player speed between low engagement and not-low engagement. In game 1, 2 and 5, the histogram for low engagement (blue bars) seems a bit shifted to the left: higher speeds (>6 km/h) occur less, whereas lower speeds (<4 km/h) occur more. Interestingly, standing (almost) still (speed <0.5 km/h) appears to happen *less* during low engagement.
**Figure 8:** Average player speed (km/h) for each game during low engagement (blue) and not-low engagement (red)
As with the sound analysis, the speed data also has a lot of samples (around 15000) for each game. Thus, again the Cohen’s d is calculated to measure the effect size. Table 3 shows the Cohen’s d for each game. With an average of $d=0.153$ over all games, the effect is considered to be low. Moreover, the effect is not even in the same direction for all the games: in game 3 and 4, the speed is *higher* on average during low engagement.
### Tag speed
The speed of the tagger is analyzed separately, due to the leading role (s)he has during the game. If the tagger is running around very quickly and enthusiastically, the runners will have to run quicker as well. Likewise, if the tagger is not engaged anymore and has a lower speed, the rest of the players
Table 3: Average player speed (km/h) and Cohen’s d
| Game | Low engagement mean | Not-low engagement mean | Cohen's d |
|------|---------------------|-------------------------|-----------|
| 1 | 3.423 | 3.703 | -0.154 |
| 2 | 3.794 | 4.300 | -0.267 |
| 3 | 4.081 | 3.703 | 0.207 |
| 4 | 3.712 | 3.485 | 0.127 |
| 5 | 3.782 | 3.802 | -0.010 |
will likely follow. As such, the speed of the tagger might say something about engagement. From the observations it was noted that during low engagement, taggers would make low effort to tag others, usually slowly walking around until (s)he could tag someone. Therefore the speed of the tagger at the time of tagging is analyzed.
First, the timestamp from the logged tag events are taken. Then, from the previously discussed player speeds, the speed of the player who was the tagger at that time is taken. These speeds are then averaged for both low-engagement and the rest of the game. The results can be seen in table 4. For each game the tagger’s speed is lower when the engagement is low, as expected. For game 3 and 4, this shows a trend ($p<0.1$) but also game 5 shows a high difference between low engagement or not. These results show that the speed of tagger at the time of tagging can be an indicator of low engagement.
Table 4: Average tagger speed at time of tag (in km/h) and standard deviation (SD)
| Game | Low engagement mean (SD) | Not-low engagement mean (SD) | p-value | Observations |
|------|--------------------------|------------------------------|---------|--------------|
| 1 | 7.81 (3.6) | 7.94 (2.7) | 0.79 | (83,154) |
| 2 | 7.51 (2.6) | 8.10 (2.8) | 0.30 | (39,111) |
| 3 | 5.52 (2.7) | 8.00 (2.6) | 0.051 | (9,83) |
| 4 | 5.03 (2.4) | 8.26 (2.5) | 3.74e-5 | (19,119) |
| 5 | 8.37 (3.1) | 9.48 (3.1) | 0.14 | (29,134) |
**Tag frequency**
Another hypothesis was that the higher the engagement, the more often players would tag each other. As players would become more bored and engagement drops, they would not put in as much effort to tag another player, thus resulting in a lower tag frequency.
The ITP logs a timestamp for each tag event, the time between tags
can easily be retrieved. Table 5 shows the average time between tags for each game for periods of low engagement and not-low engagement. In the Observations column, the first number is the number of tags that happened during a period of low engagement, the second number are the amount of tags during the rest of the game. Except for game 1, the time between tags is higher when the engagement is low. This again shows a trend (p <0.1) for game 2 and 5. Game 3 shows the largest difference (8.38 seconds versus 6.13 seconds), but with a p-value of 0.186 cannot be considered significant. This is likely due to the relatively low number of observations (only 9 tags occurred during low engagement, 83 tags during the rest of the game). The time between tags appears to be a promising indicator of low engagement.
Table 5: Average time between tags (in seconds) for each game
| Game | Low engagement mean | Not-low engagement mean | p-value | Observations |
|------|---------------------|-------------------------|---------|--------------|
| 1 | 3.65 | 3.71 | 0.867 | (83,154) |
| 2 | 4.59 | 3.64 | 0.091 | (39,111) |
| 3 | 8.38 | 6.13 | 0.186 | (9,83) |
| 4 | 5.38 | 4.04 | 0.140 | (19,119) |
| 5 | 4.54 | 3.37 | 0.032 | (29,134) |
4.5 Conclusions
From the analysis, it appears that mainly ‘tagger speed’ and ‘tag frequency’ might be good indicators of low engagement, since they show the most significant difference between high- and low-engagement periods. As expected, both of them are lower during low engagement, meaning that taggers tag people less often and do so with a lower speed. Contrary to expected, this same difference could not be found for the average speed of all players. Especially heart rate is difficult to use as indicator of low engagement. Players’ heart rates start rising at the start of a game, until they reach a more stable value. Next to that, it is difficult to correlate heart rate with engagement levels. This is also shown by Yannakakis et al. (2008), who reach a 64% accuracy on children’s preferences in interactive playgrounds, by using multiple heart rate features in a complex neural network.
While the analysis shows some promising indicators, it is difficult to manually create a proper model from these results. Differences between high and low engagement are not always as obvious. Therefore, a machine learning approach will be used to implement these indicators in a prediction model.
5 Engagement prediction model
After manual statistical analysis has shown promising indicators of low engagement, a model is created in order to try to predict low engagement accurately in new games. Using the previous analysis as a starting point, a machine learning classifier was implemented and used as a predictor.
5.1 Data
The complete dataset consists of five games of four players each. Each game had a duration of 10 minutes. During each game, the following data was recorded: position of each player (about 3 times per second), player role (tagger or runner), tag events, heart rate of each player and global sound level. From these recordings, the following data features were derived:
- **Seconds since start**: Amount of time the current game is running (in seconds)
- **Sound level**: Captured global sound energy (total magnitude of the signal)
- **Time between last two tags**: Amount of time (in seconds) between the last two tag events
- **Tagger speed**: Speed (in km/h) of the tagger at the last tag event
- **Speed**: Average speed of the four players, in km/h
- **Heart rate**: Average heart rate of the four players, in beats per minute
- **Heart rate variability**: Average heart rate variability of the four players over the last five seconds
However, these features cannot simply be generalized over all games. During the observations it was noted that even for normal play or ‘high’ engagement, speed of the players, for example, would be different between games. Some sets of players would simply run faster than others. As such, each game has a different ‘baseline’ of normal player behavior, from which the periods of low engagement could be defined. Therefore, in order to combine the data of all the games together, a baseline value was calculated for each feature for each game. From the observations it was noted that most of the periods of low engagement occur in the second half of the game, making the first half suitable for calculating the baseline values. Next to that, players would need to get used to the game and its mechanics at the start of the game. Based on these observations, it was decided to take 2 minutes of data, starting after 20 seconds, to calculate the baseline value. This means, that for each feature in the dataset (except for ‘Seconds since start’), the average value was calculated from second 20 to second 140. Then, all the data points for this feature would be divided by this baseline.
This results in a relative score of the feature, compared to normal play (the ‘baseline’ value).
Next, the data was split into frames of 0.5 seconds, where the average value for each feature during this time frame was taken. Each frame was then assigned a label (low engagement or not) based on earlier observations. In order to account for observer accuracy, frames within a second of the edges of a period of low engagement were dropped, as illustrated in figure 9. Each vertical bar represents a frame of 0.5 seconds, the frames classified as low-engagement are colored green. The red area shows the frames that are dropped. This resulted in a final dataset of 6522 frames with 7 features. Of these 6522 frames, around 23% is labeled as low engagement.
**Figure 9:** Illustration of dropped frames around the edges of periods classified as low-engagement.
### 5.2 Methodology
Two different machine learning algorithms were implemented in this analysis. Since the frames can be divided into two classes (low engagement or not), it was decided to use Logistic Regression and Random Forests. These were chosen for their performance (fast training times) and ease of implementation in a ‘live’ system. For the implementation, the Scikit-learn package for Python was used (Pedregosa et al., 2011). Because the data is relatively imbalanced (where low engagement frames make up less than a quarter of the whole dataset), earlier models had trouble identifying these frames correctly,
only slightly outperforming randomly guessing. Therefore, under-sampling is first applied to the dataset, by using Scikit-learn’s default ‘RandomUnderSampler’ method. The under-sampling method randomly picks frames from the majority class (not-low engagement) to approximately balance the two classes. This results in a dataset of 3032 frames, with a ratio of 46/54 low-engagement/not-low engagement.
This balanced dataset is split into 75% training set and 25% test set after shuffling. The dataset is shuffled because frames labeled as low engagement are always next to each other, leading to an imbalanced training and/or test set. Next, both the Logistic Regression classifier and Random Forest classifier are fitted to the training set, using the features as described earlier.
### 5.3 Results
Using all 7 available features, the initial classifiers seem to perform quite well. As can be seen in table 6 and table 7, the logistic regression classifier has an average F1-score of 0.78. The precision for the low-engagement class is a bit lower than for the non-low engagement class, but this is reverse for recall.
**Table 6: Logistic Regression classification metrics**
| Class | Precision | Recall | F1-score | N |
|---------------------|-----------|--------|----------|-----|
| Not-low engagement | 0.83 | 0.73 | 0.78 | 406 |
| Low engagement | 0.73 | 0.83 | 0.78 | 352 |
| **average/total** | **0.78** | **0.78** | **0.78** | **758** |
**Table 7: Logistic Regression confusion matrix ('0' denotes not-low engagement, '1' denotes low engagement)**
| Predicted values | 0 | 1 |
|------------------|---|---|
| Actual values | | |
| 0 | 298 | 108 |
| 1 | 60 | 292 |
On the other hand, the Random Forest classifier seems to perform way better with an average F1-score of 0.94, as can be seen in table 8 and table 9. However, this number seems to be too high, which might indicate overfitting.
of the model. Looking further into some of the decision trees of this random forest classifier, it appears that they are indeed overfitting mainly on the ‘Seconds since start’ feature. The classifier learns the exact timings of the periods of low engagement in the dataset. While this yields a very high accuracy score, this cannot be generalized over future games as timings will be different. Countering overfitting by limiting, for example, the maximum tree depth or minimum samples required for a split or a leaf reduces the score on the test set, but the model still tries to capture the exact training values.
Therefore, logistic regression seems to be the better choice for the problem. A linear relation between the features and classes (low engagement or not) is a logical fit and less prone to overfitting than the way the decision trees try to capture the data.
Table 8: Random Forest classification metrics
| Class | Precision | Recall | F1-score | N |
|---------------------|-----------|--------|----------|-----|
| Not-low engagement | 0.96 | 0.92 | 0.94 | 406 |
| Low engagement | 0.91 | 0.96 | 0.93 | 352 |
| average/total | 0.94 | 0.94 | 0.94 | 758 |
Table 9: Random Forest confusion matrix (‘0’ denotes not-low engagement, ‘1’ denotes low engagement)
| Predicted values | 0 | 1 |
|------------------|---|---|
| Actual values | | |
| 0 | 372 | 34 |
| 1 | 14 | 338 |
5.4 Feature selection
The previous models used all seven features. However, they might not be all equally significant. Reducing the amount of features prevents overfitting and enhances generalization, which makes the model more useful for predicting low engagement in future games. Going forward with logistic regression, it is possible to look at the coefficients of the features in the decision function of the trained model. As can bee seen in table 10, ‘Seconds since start’
is obviously the most important feature. The longer players are playing, the more likely the engagement will be low. This corresponds with the observations, where almost all periods of low engagement were in the second half of the game. The next most important feature is the average speed of all players, which is inversely correlated. This means that as the speed gets higher, the logistic regression model will go to zero, which indicates not-low engagement. In short, a lower speed indicates low engagement, as expected.
However, in selecting the features, the future application must also be taken into account. The goal of an interactive playground, as noted earlier, is to enhance traditional play. Equipping players with heart rate sensors before they can start playing severely limits players to simply walk in and out of the playground whenever desired, as is common in regular playgrounds. Because of this, combined with the fact that both ‘heart rate’ and ‘heart rate variability’ have a relatively low importance, it might be useful to drop these features given the model still performs adequately. Also ‘Sound level’, which requires the addition of an extra sensor, has a relatively low importance. It is therefore interesting to see how the model performs with just the features available from the playground itself.
Table 10: Logistic regression feature coefficients
| Feature | Coefficient |
|--------------------------|-------------|
| Seconds since start | 1.381 |
| Sound level | -0.145 |
| Time since previous tag | -0.287 |
| Tagger speed | -0.131 |
| Speed | -0.673 |
| Heart rate | 0.238 |
| Heart rate variability | -0.119 |
A number of different combinations of features are tested with the logistic regression model. Firstly, the impact of ‘Seconds since start’ is examined, as it does not say much about what the players are doing. Removing this feature from the model has a light negative effect on the accuracy scores. Interestingly, the feature ‘Heart rate’ gets assigned a much higher coefficient in this case. Removing ‘heart rate’ as well leads to drastically worse results. It seems like ‘Seconds since start’ and ‘heart rate’ might be correlated, as was discussed in section 4.4. This was confirmed after analysis ($r=0.69$), which is another reason to leave out ‘heart rate’ as feature.
Finally, a new logistic regression model is trained on the same dataset, using just the features that come directly from the playground: ‘Seconds since start’, ‘Time since previous tag’, ‘Tagger speed’ and ‘Speed’. This resulted in the classification metrics as can be seen in table 11. The newly trained model, with just 4 features, appears to perform just as well as the
previous model (with all 7 features).
Table 11: Logistic Regression classification metrics after feature selection
| Class | Precision | Recall | F1-score | N |
|---------------------|-----------|--------|----------|-----|
| Not-low engagement | 0.84 | 0.72 | 0.77 | 406 |
| Low engagement | 0.72 | 0.84 | 0.78 | 352 |
| average/total | 0.78 | 0.77 | 0.77 | 758 |
5.5 Cross validation
Neighbouring samples (frames) in the dataset are not truly independent, as the features’ values do not change that quickly over time. As such, the classifier is trained on data that might be *very* similar to the test set, leading to overfitting and thus higher results than the live predictor would be able to achieve. Therefore, to properly measure the performance of the classifier, it was decided to perform 5-fold cross-validation where the subsamples are created per game. This means that for each fold, 4 games are taken as training data and the remaining game is used as test set. Because neighbouring samples are not independent, the data is not shuffled.
Table 12 shows the results for the 5-fold cross validation. While the scores are still good for predicting high engagement, both precision and recall are quite a bit lower for predicting low engagement (around 61%).
Table 12: Cross validation classification metrics
| Class | Precision | Recall | F1-score |
|---------------------|-----------|--------|----------|
| Not-low engagement | 0.89 | 0.87 | 0.88 |
| Low engagement | 0.61 | 0.62 | 0.61 |
| average/total | 0.75 | 0.74 | 0.75 |
5.6 Intervention Trigger
Using the trained classifier, it is possible to start looking at the timing of intervention triggers. Looking at the overall goal, an intervention needs to be triggered when the players are no longer engaged. However, it is undesirable to immediately trigger an intervention at the first frame classified as ‘low engagement’ by the classifier. Especially with the trained model, the chances of a false positive (i.e. the players are actually still engaged, but the classifier thinks otherwise) are relatively high which might lead to too many interventions too quickly.
The intervention trigger is dependent on two variables: the time frame over which the frames are analyzed, and a threshold: the percentage of frames in this time frame that need to be classified as ‘low engagement’. From the observations, it was noted that the periods of low engagement usually took between 30 and 60 seconds. In order to trigger the intervention on time, the time frame over which to analyze the frames must thus be smaller than that. Making the time frame too small, however, will increase the chance of triggering on a false positive. Based on these observations, it was decided to vary the time frame between 10 and 30 seconds. Next to that, within this time frame a significant percentage of the frames need to be classified as ‘low engagement’. Making this percentage too high reduces the chance of even triggering an intervention, due to the number of false negatives coming from the classifier. Therefore it was decided to vary this threshold between 70% and 90%.
(a) Game 1
(b) Game 2
(c) Game 3
Figure 10: Adaptation trigger examples per game
Varying with both time frame and threshold, eventually the combination of a 15-second time frame and 85% threshold has proven to be the best fitting. See figure 10 for some examples of the results. The plots show how the frames are classified by the trained model, where the green areas indicate periods of low engagement. At the vertical red lines, an intervention would be triggered. As can be seen in figure 10b, short periods of low engagement do not trigger an intervention. Next to that, mainly at the end of the games (e.g. see figure 10a) an intervention would be triggered more often than needed. This, however, is not expected to be an issue, as in this case players would already be playing for over 8 minutes, making it most likely a welcome change in the game.
5.7 Conclusions
The final logistic regression model can predict engagement with an accuracy of around 75% on average for both classes, based on four features that can easily be retrieved from the current set-up of the interactive playground: ‘Seconds since start’, ‘Time since previous tag’, ‘Tagger speed’ and ‘Speed’. The accuracy for the ‘low engagement’ class is a bit lower: just above 60%. Even though this might be lower than expected, the intervention triggers (with a combination of a 15-second time frame and 85% threshold) show adequate results, with a model that can be relatively easily implemented in the ITP. Concluding, it can be said that the trained model shows promising results at triggering the interventions at appropriate times.
6 Experiment 2 - Model evaluation
6.1 Introduction
While the previous analysis has shown promising results on the test set, the model still needs to be validated in the live playground. As mentioned before, the overall goal of this adaptive algorithm in the ITP is to enhance player engagement. Therefore, it needs to be validated whether the algorithm can actually achieve this goal. However, objectively measuring player engagement is a difficult, not completely solved, task. Many different methods have been developed by different researchers, such as (semi-)structured interviews, video analysis or more automatic methods of analysis as described in chapter 2.2.2. Often, though, engagement is evaluated using a post-game or even in-game questionnaire.
There exist a number of different questionnaires that go by (almost) the same name: Game Engagement/Experience Questionnaire (GEQ). Often used are the ones by IJsselsteijn et al. (2013) or Brockmyer et al. (2009). Berthouze et al. (2007) developed a revised version (GEQR) aimed at whole-body movement. Considering the ITP also uses whole-body movement as main control element, the GEQR appears to be a fitting method of evaluation in this case. The full GEQR used in this study can be found in the appendix.
Since players might react differently to games and have different engagement tendencies, this needs to be accounted for. As Bianchi-Berthouze et al. (2007) describe, engagement is the first step towards immersion. By controlling for this immersion tendency, the outcome of the GEQR can be reliably compared. For this the Game Immersion Tendency Questionnaire (GITQ) is used. The GITQ is a revised version of the ITQ proposed by Witmer and Singer (1998), which measures the tendency of players to get immersed in games, movies, etcetera. The GITQ can be found in the appendix.
6.2 Intervention
Looking back at the flowchart in figure 1, once the system can adequately determine the correct timing, it still needs to pick the right intervention. In this case, the goal of the adaptation is to improve engagement, therefore the intervention must be designed towards that goal. To ensure the intervention has the desired effect, it is most useful to look at previous interventions used in the ITP. Designing an intervention from scratch would require additional experiments towards the effect of this new intervention. Looking at table 1, the ‘swag’ intervention seems to increase the movement and challenge for players by enticing them to take more risk. Furthermore, as described by Van Delden et al. (2017), the ‘swag’ intervention was preferred by participants over the baseline version. Due to the *enticing* way of steering (i.e. not forcing
players towards a certain behavior) and positive response from players to the ‘swag’, it makes a fitting intervention for the case at hand. Figure 11 shows the implementation of the intervention in the adaptive ITP. Figure 11a shows the yellow power-ups that are spawned around the tagger. Collecting these results in the embellished circle in figure 11b.
(a) Powerups (yellow circles) spawned around the tagger
(b) Regular runner’s circle (left) vs embellished circle (right)
Figure 11: Implementation of the swag intervention in the adaptive ITP
6.3 Implementation
The logistic regression model, as described in the previous chapter, was implemented in C# and built into the Unity3D tag game in the ITP. Each 0.5 seconds, the average value for each of the four features is taken, which together form a single ‘frame’. This frame is then fed into the logistic regression model, which predicts whether the engagement is low (output=1) or not (output=0). Subsequently, the algorithm checks the average prediction of the last 30 frames (=15 seconds) and compares this with the pre-set threshold of 85%. If the average prediction is higher than 85%, the intervention is triggered.
6.4 Methodology
In order to adequately measure the effects of the model, two control groups are used, making a total of three different conditions. Players in the experimental group (which will be referred to as ‘Adaptive’) will play the aforementioned adaptive game in the ITP, where the designed engagement recognition algorithm will decide when to introduce the intervention. The first control group (‘Basic’), will play the basic tag game, without any intervention. Since the engagement-recognition algorithm is mainly concerned with finding the correct timing of the intervention, another control group is
introduced to account for the effect of the correct timing instead of merely introducing the intervention. Therefore, the second control group (‘Naive’) will play a game of tag where the intervention will ‘naively’ be deployed at a fixed time halfway through the game.
A total of 36 players participated in the experiment (20 male, 16 female, median age = 20). Each game consisted of four players, thus making 9 games total. Each group of players was assigned one of three conditions mentioned earlier: ‘basic’, ‘naive’, or ‘adaptive’. After signing the consent form, players were asked to fill in the GITQ questionnaire. As during the first experiment, each game again had a duration of 10 minutes, with about 13 seconds of introductory audio at the start. Players were instructed to stay within the designated playing area until the game was finished. After playing, players were again asked to fill in a questionnaire: this time the GEQR questionnaire.
### 6.5 Results
From the logs generated by the ITP, it can be noted that for the adaptive condition the intervention triggers after 6:32, 7:35 and 5:51 minutes respectively, meaning on average after 6 minutes and 39 seconds of playing. An interesting observation that was made during the different games, was that the swag intervention had an unexpected side-effect. Runners with a prettier circle were targeted by the tagger and other runners. Some considered the embellishment an indicator that the runner was ‘too good’ so the tagger had to go after them. Players tried to hide themselves behind the runner with the most embellishment, and tried to persuade the tagger to go after them by shouting ‘No, no, you have to tag him! He has a prettier circle!’ While not intended, this was an interesting side-effect. It could even be seen as a sort of self-regulating skill balancing. This will be further discussed in section 7.
Analyzing the GITQ questionnaire, the results are first combined into a single GITQ score per player, which denotes their tendency to get immersed on a scale of 1-7. The same is done for the GEQR questionnaire. In order to see whether there is a difference in immersion tendency, an ANOVA test is applied to the obtained GITQ scores. Table 13 (first row) shows the results of the ANOVA test. With a p-value of 0.27 ($F = 1.37$), the null hypothesis cannot be rejected, meaning there is no significant difference in GITQ scores between the three groups. In this case this is a positive result: since there is no significant difference in tendency to get immersed between participants of the different conditions, the GEQR scores can be fairly compared. Additionally, the correlation between the GITQ and GEQR scores was analyzed by means of Pearson’s R. There was only a weak correlation found between the two ($r = 0.32$, $p = 0.05$).
The GEQR scores are also analyzed by means of an ANOVA test. The
Table 13: Results of ANOVA test for GITQ and GEQR scores
| Condition: | Basic | Adaptive | Naive | p-value** |
|------------|-----------|-----------|----------|-----------|
| GITQ score | 4.71 (0.65) | 4.26 (0.75) | 4.42 (0.62) | 0.27 |
| GEQR score | 5.44 (0.38) | 5.13 (0.57) | 4.91 (0.52) | 0.04 |
*Variables are denoted as mean (SD).
**Group differences were tested with one-way ANOVA.
The bottom row of table 13 shows the results of this test. With $p < 0.05$ ($F = 3.46$), this shows there is a significant difference in GEQR scores between groups. In order to determine which groups differ significantly, a post-hoc Tukey HSD test was conducted, the results of which can be found in table 14. This post-hoc test shows us there is a significant difference between the ‘Basic’ and ‘Naive’ conditions. There was no significant difference found for the ‘Adaptive’ condition with any of the other conditions. Interestingly, as the boxplot in figure 12 further shows, the ‘Basic’ condition, without the intervention, scored the highest on the GEQR questionnaire.
Table 14: Results of post-hoc Tukey’s HSD test for GEQR scores
| Group1 | Group2 | Difference | Lower bound | Upper bound | p < 0.05 |
|--------|--------|------------|-------------|-------------|----------|
| Adaptive | Basic | 0.308 | -0.1875 | 0.8034 | False |
| Adaptive | Naive | -0.221 | -0.7165 | 0.2744 | False |
| Basic | Naive | -0.529 | -1.0244 | -0.0335 | True |
Lastly, the distance between runners and taggers are compared, since Van Delden et al. (2017) mention that, on average, runners get closer to the tagger during the swag intervention. The results of this can be seen in figure 13. On average, the distance between runners and tagger was significantly smaller in the baseline (mean=2.39) than with the intervention (mean=2.43, $p<0.01$). Interestingly, this is an opposite effect than observed by Van Delden et al., who saw a decrease in the distance with the intervention. However, while statistically significant, with a difference of only 4 centimeters between conditions the effect is negligible in this case. To confirm this effect size, Cohen’s D is calculated. With $D=0.07$, this effect is indeed considered to be very small.
6.6 Conclusions
Based on these results, the null hypothesis can not be rejected, meaning that it can not be concluded that the adaptive intervention in the ITP leads to higher engagement. The condition without intervention lead to the highest engagement score, significantly higher than the ‘naive’ condition, while the
‘adaptive’ condition showed no significant difference with the other two. Next to that, the addition of the swag intervention shows no considerable effect, opposing what was suggested from previous research. From this, it can be concluded that the adaptive intervention as implemented here is not (yet) beneficial addition to the ITP. This will be discussed in section 7.
7 Discussion and limitations
The following discussion is divided into four parts. The first three sections discuss the three parts of the research (i.e. chapter 4, 5 and 6 consecutively), and the fourth section discusses the intervention that was used. Lastly, section 7.1 discusses future work, with recommendations for the design of possible future experiments based on the knowledge gained in this research.
Data gathering and analysis
The first part of this research was concerned with gathering the play data and statistical analysis thereof, in order to find cues of low engagement. For this part, five games were played in the ITP, consisting of four players each, yielding a total of 20 participants. While this number is not exceptionally low, more data would probably have helped with making more significant conclusions. However, it has been proven to be quite difficult to gather enough participants for these experiments, as groups of 4 players were needed. With a single game (plus briefing the players, setting up the heart rate monitors, de-briefing, etcetera) taking about half an hour, it was difficult to gather 4 people who could participate the same time.
Determining the level of engagement during each game, i.e. which periods were marked as ‘low engagement’, was only done by a single observer. In order to account for observer (in)accuracy, data within a second of the start or end of a period of low engagement was already discarded. This was done, because it was assumed that the observer could not be accurate to the exact second. While determining engagement based on video observations remains a subjective task, this subjectivity could be reduced in future research by having multiple (expert) observers independently mark the periods of low engagement. With a high inter-rater agreement, it can then be concluded that the marked periods could indeed be considered as low engagement.
Furthermore, recording data during this experiment did not always go as smooth as desired. Some small problems with the heart rate sensors were already mentioned in section 4.4, where heart rate data for 2 players (10%) had to be discarded. However, some further noise might have crept in the other data that went unnoticed, mainly due to the location of the ITP. Namely, the ITP is set-up in the middle of a hallway, which makes it susceptible for outside influences. During the experiments, the playing area was blocked off by means of posts at the corner with tape in-between, to make passers-by walk around the playing area. While this worked as intended, players could still get distracted, or feel uncomfortable, from people watching or walking by. Next to that, with such an open playing area, there is also a possible influence of background noise. Even though the open playground for the ITP simulates a ‘regular’ playground quite well (which also has influence from outsiders), it is less optimal for accurate data collection.
The sound data analysis during this stage was relatively coarse, as only the global sound level (i.e. volume) was taken into consideration. This was done mainly due to practical reasons (only one microphone) and time constraints, as more in-depth per-participant sound analysis can be the topic of a complete PhD thesis (Kim, 2018). Kim shows that with more complicated models, it is possible to more accurately automatically recognize of engagement levels. Another interesting take from his work (Kim et al., 2016) is not to model engagement in a binary way (e.g. high or low), but consider more levels. In his research, which focused on groups of children solving a puzzle game together, 4 levels of engagement were distinguished:
1. giving relatively less attention to others and getting relatively less attention from others.
2. giving relatively less attention to others but getting attention from others.
3. giving attention to others but getting relatively less attention from others.
4. giving attention to others and getting attention from others
While these exact descriptions might not be totally fitting for the ITP (as players tend not to have actual conversations with each other), it might still be a good pointer for future research to work with more levels of engagement than simply high or low.
**Engagement prediction model**
The second part of this research was mainly concerned with employing machine learning in order to predict the engagement level, based on the data gathered in the previous section. Two different machine learning models were used: Logistic Regression and Random Forests. As mentioned in section 5.2 these were chosen (after consultation with an expert) for their ease of use, fast training times and ease of implementation in a ‘live’ system. Even though the combination of the logistic regression model and intervention threshold showed promising results, an interesting area for future work would be to improve the engagement prediction model by exploring different machine learning algorithms. Based on previous research, interesting options would be SVMs (Kim et al., 2016) or even artificial neural networks (Yannakakis and Hallam, 2008).
**Model evaluation**
The last part of this research is evaluating the created model in the ‘live’ playground. This evaluation was done by means of the GEQR questionnaire. Interestingly, the evaluation showed results contrasting to the hypothesis: the adaptive intervention did not significantly improve engagement in the ITP. A possible explanation, and point of discussion, is the evaluation method used here. The GEQR seems to not have been validated (yet). There are different GEQ(R) questionnaires, as explained in section 6.1, that have been validated. However, these focus mainly on regular video games with a more obvious storyline, and using a controller or mouse and keyboard. The GEQR that was used specifically focuses on games incorporating whole-body movement, which makes it the most fitting questionnaire for the ITP.
Furthermore, the question remains whether the GEQR measures the same sense of ‘engagement’ as the observer’s annotations in chapter 4 and the model built upon these annotations. The model, naturally, looks at more physical aspects of engagement (running speed, sound, etc.) since they can be easily retrieved from the ITP. The GEQR, on the other hand, is more concerned with the players’ overall experience and feelings during the game. It seems that these two measures of engagement do not completely align. Next to that, the GEQR gives an overview of the experience during the whole playing session (including the time before the intervention), which makes it more difficult to capture the actual effect of the intervention on the engagement. This is related to the ‘interest curves’ as defined by Schell (2008): the intervention might create a peak in the interest curve, but such a peak after a downwards curve might not be enough to rate the overall experience as highly engaging.
It is also important to look at the timing of the intervention during the evaluation. In the adaptive condition, the intervention was triggered on average after 6 minutes and 39 seconds, while in the naive condition it was always triggered at 5 minutes. This means that in de adaptive condition, the intervention was always triggered at a later time than in the naive condition. This makes it difficult to assess whether the difference in result is merely due to the timing of the intervention (i.e., just trigger it later on in the game, as happens in the adaptive condition) or really due to the adaptivity of the intervention where it gets triggered during a period of low engagement. A point for future work would be to design the experiment in such a way that this effect can be controlled for.
**Intervention**
Lastly, the results showed that the intervention did not have the desired effect. Contrasting to earlier research, runners got marginally closer to the tagger without the ‘swag’ intervention. This might be due to the difference in participants’ age between the two studies. As the participants in this research were much older, they might be less susceptible to the embellishments that could be gathered. Older participants might be, subconsciously, more concerned with the outcome or ‘winning’ than simply having fun while playing. Therefore, a point of discussion is if this particular intervention even
leads to a higher engagement.
From the observations, however, it could be noted that the embellishment had a different effect. Players who gathered more ‘swag’, were more targeted by the other players to be tagged. It might be interesting for future work to further explore this effect, as it can be used towards skill balancing. While not intended, it looks like the swag intervention did have a certain motivating effect in this case. Furthermore, since the chosen intervention did not have the desired effect, future research could look into using the engagement prediction model with a different set of interventions which may have a stronger effect on players. This way, the added value of the engagement model can be properly evaluated.
7.1 Future work
Even though the adaptive intervention in this research did not appear to be successful in enhancing player engagement, it still provided valuable knowledge on the design of such systems and the experimental setup required to properly evaluate adaptivity. Using this knowledge, the following section will discuss possible directions for future research to overcome the previously discussed limitations of this study.
There are three main challenges to solve, namely: the effect of the intervention on engagement, the timing of the intervention (e.g. what about just ‘naively’ triggering the intervention after 7 minutes?) and the outcome measure (since the GEQR as implemented here did not seem adequate).
One of the main solutions could be to deploy the ITP ‘in the wild’: by placing the ITP at a school or another (semi-)publicly accessible area for a longer time, a lot more data can be gathered. This also opens up the possibility to introduce more variety in order to control for different variables. While keeping the three conditions (basic, naive and adaptive), the timing of the intervention in the ‘naive’ condition would vary. This way, a more fair comparison can be made between simply triggering the intervention at a later time, or actually triggering it during a period of low engagement through the adaptive model. Furthermore, by extending the study over a longer period of time, the effect of the intervention on the engagement can also be further researched through the introduction of different interventions or even combinations of interventions. Instead of the binary comparison (i.e. intervention vs. no intervention), this will hopefully lead to a more profound understanding of the effects of the interventions. Both on the directly-observable physical aspects such as player speed, as well as on the overall indirectly-measured engagement level. The result of these can then be linked to the different aspects of the engagement recognition model (e.g. ‘the later the intervention is triggered, the more effective it is’ or ‘trigger intervention Y when the speed is low’).
Finally, the outcome measure still remains a challenge. As discussed in
chapter 2.2.2, interpreting behavioral cues only indirectly observes actual player experience, which makes it difficult to objectively measure engagement. Giving each player a questionnaire after playing is an impossible task, in a ‘free-play’ environment as proposed (where players can freely join and leave the game). One possible metric to optimize for might then be playing time. If players walk away after only a short time of playing, one can assume they were not really engaged. Trying to maximize the playing time by utilizing a set of interventions might therefore lead to the most engaging game. This introduces, of course, a different set challenges such as sensing who is playing when (e.g. what if a single player leaves and another one joins?), which might be the topic of a complete new thesis.
8 Conclusion
The main research question for this thesis was ‘How to create adaptive interventions for the Interactive Tag Playground to enhance player engagement?’ This question as answered through a series of experiments. Firstly, data was gathered on players in the ITP to determine which variables could indicate a low player engagement. Using this data, a logistic regression model was created which could adequately predict the engagement level, and in turn trigger an intervention. Lastly, this algorithm combined with a ‘swag’ intervention was evaluated with players in the ITP. In order to answer the main research question, first the sub-questions are discussed.
The first sub-question was ‘How can the ITP sense or detect when to intervene?’ The data analysis (see chapter 4) has shown promising indicators of low player engagement in the ITP, but not every type of data gathered was equally valuable. The final logistic regression (chapter 5) model uses only four features: ‘Seconds since start’, ‘Time since previous tag’, ‘Tagger speed’ and ‘Speed’. These features are easily retrievable from the ITP, and together yield a model accuracy of around 75% on average. The model uses these four features to determine the engagement level (low or not) every 0.5 seconds. Together with a threshold of 85% over 15 seconds, this results in an algorithm that can determine the necessary timing of the intervention, at what seems to be appropriate moments (chapter 5.6).
The second sub-question, ‘What is the effect of an adaptive intervention?’, was answered through the evaluation in chapter 6. The algorithm was implemented in the ITP, together with the ‘swag’ intervention (see chapter 6.2). The goal of this intervention was to enhance player engagement, as previous research has shown a positive effect using this ‘swag’. The player engagement was measured by means of the GEQR-questionnaire, and interpersonal differences were controlled for by means of the GITQ-questionnaire (chapter 6.1). Contrasting the hypothesis, the condition without intervention lead to the highest engagement score, significantly higher than the ‘naive’ condition. The ‘adaptive’ condition showed no significant difference with the other two. Moreover, the addition of the swag intervention made no considerable difference to player movement. Therefore, the adaptive intervention as implemented here has unfortunately shown no improvement to player engagement.
With the two sub-questions answered, also the main research question can be answered: ‘How to create adaptive interventions for the Interactive Tag Playground to enhance player engagement?’ The algorithm developed in this research appears to be adequate in determining the correct timings for intervention(s) based on the available data (chapter 5.6), but the adaptive intervention did not prove to be enhancing player engagement. Further research, with a different set of interventions, might be needed to validate the engagement prediction algorithm and the adaptive intervention.
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1. Do you easily become deeply involved in movies or TV dramas?
2. Do you ever become so involved in a television program or book that people have problems getting your attention?
3. How mentally alert do you feel at the present time?
4. Do you ever become so involved in a movie that you are not aware of things happening around you?
5. How frequently do you find yourself closely identifying with the characters in a storyline?
6. Do you ever become so involved in a video game that it is as if you are inside the game rather than moving a joystick and watching the screen?
7. How physically fit do you feel today?
| NOT FIT | MODERATELY FIT | EXTREMELY FIT |
8. How good are you at blocking out external distractions when you are involved in something?
| NOT VERY GOOD | SOMEWHAT GOOD | VERY GOOD |
9. When watching sports, do you ever become so involved in the game that you react as if you were one of the players?
| NEVER | OCCASIONALLY | OFTEN |
10. Do you ever become so involved in a daydream that you are not aware of things happening around you?
| NEVER | OCCASIONALLY | OFTEN |
11. Do you ever have dreams that are so real that you feel disoriented when you awake?
| NEVER | OCCASIONALLY | OFTEN |
12. When playing sports, do you become so involved in the game that you lose track of time?
| NEVER | OCCASIONALLY | OFTEN |
13. How well do you concentrate on enjoyable activities?
| NOT AT ALL | MODERATELY WELL | VERY WELL |
14. How often do you play arcade or video games? (OFTEN should be taken to mean every day or every two days, on average.)
| NEVER | OCCASIONALLY | OFTEN |
15. Have you ever gotten excited during a chase or fight scene on TV or in the movies?
| NEVER | OCCASIONALLY | OFTEN |
16. Have you ever gotten scared by something happening on a TV show or in a movie?
| NEVER | OCCASIONALLY | OFTEN |
17. Have you ever remained apprehensive or fearful long after watching a scary movie?
| NEVER | OCCASIONALLY | OFTEN |
18. Do you ever become so involved in doing something that you lose all track of time?
| NEVER | OCCASIONALLY | OFTEN |
19. Do you easily become deeply involved in computer games or video games?
| NEVER | OCCASIONALLY | OFTEN |
20. How interested are you in playing computer games?
| NOT VERY | SOMEWHAT | VERY |
B – GEQR Questionnaire
1. Were you able to anticipate what would happen next in response to the actions you initiated?
NOT AT ALL | | | | | | | COMPLETELY
2. How much delay did you experience between your actions and the expected outcomes within the game?
LONG DELAY | | | | | | | NO DELAYS
3. How appropriate were the physical controls for the game?
NOT APPROPRIATE | | | | | | | VERY APPROPRIATE
4. How well were you able to understand the physical controls for the game?
NOT AT ALL | | | | | | | COMPLETELY
5. How natural did you find the physical controls for the game?
NOT NATURAL | | | | | | | VERY NATURAL
6. How appropriate was the graphical interface for the game?
NOT APPROPRIATE | | | | | | | VERY APPROPRIATE
7. How well were you able to understand the graphical interface for the game?
8. How proficient at controlling the game did you feel at the end of today’s gaming session?
9. How enjoyable did you find the graphics in this game?
10. How well were you able to identify what game pieces/objects/models represented?
11. How enjoyable did you find the sound effects in this game?
12. How consistent were the graphics and sound together?
13. How consistent were the graphics and controls together?
14. How involved were you in the game experience?
15. Were you involved in the game to the extent that you lost track of time?
| NOT AT ALL | COMPLETELY |
16. How much did you feel like you were inside the game world?
| NOT AT ALL | COMPLETELY |
17. How often do you play other games of this genre?
| NEVER | OFTEN |
18. How enjoyable do you find the content and theme of this game?
| NOT ENJOYABLE | VERY ENJOYABLE |
19. How interested are you in playing this game again?
| NOT INTERESTED | VERY INTERESTED |
20. How much did the game’s controllers interfere with your ability to perform actions within the game?
| NOT AT ALL | INTERFERED GREATLY |
21. To what extent did you feel spatially disoriented with your ability to perform actions within the game?
| NOT AT ALL | VERY MUCH |
22. To what extent are you interested in engaging in further exploration of the game’s environment?
23. How completely were you engaged in the game?
24. To what extent did events such as noise occurring outside of the game distract you from playing the game?
|
FLOOD HAZARD INFORMATION
SEE FIS REPORT FOR ZONE DESCRIPTIONS AND INDEX MAP
THE INFORMATION DEPICTED ON THIS MAP AND SUPPORTING DOCUMENTATION ARE AVAILABLE IN DIGITAL FORMAT AT HTTPS://MSC.FEMA.GOV
SPECIAL FLOOD HAZARD AREAS
Without Base Flood Elevation (BFE) Zone A, B, C, D
With BFE or Depth Zone AE, AO, AH, AE, AR
Regulatory Floodway
0.2% Annual Chance Flood Hazard Areas with 1% annual chance flood depth greater than one foot or with drainage area of less than one square mile Zone X
Future Floodway 0.2% Annual Chance Flood Hazard Zone X
Area with Reduced Flood Risk due to Levee Protection Zone X
OTHER AREAS OF FLOOD HAZARD
NO SCREEN
Areas Determined to be Outside the 0.2% Annual Chance Floodplain Zone X
Area of Undetermined Flood Hazard Zone O
GENERAL STRUCTURES
Change Culvert, or Storm Sewer
Accredited, or Previously Accredited Levee, Dike, or Floodwall
Non-accredited Levee, Dike, or Floodwall
OTHER FEATURES
1/2- Cross Sections with 1% Annual Chance Water Surface Elevation (BFE)
B - - - Coastal Transect
--- Horizontal Datum Baseline
--- Profile Baseline
--- Hydrographic Feature
--- Base Flood Elevation Line (BFE)
--- Limit of Study
--- Jurisdiction Boundary
NOTES TO USERS
For information and questions about this Flood Insurance Rate Map (FIRM), available products associated with the FIRM, and the National Flood Insurance Program (NFIP) in general, please call the Flood Insurance Hotline at 1-877-336-2627 (1-877-FLOOD-911). For additional information on the NFIP, visit the FEMA website at www.fema.gov/nfip. For information on the FIRM, visit the FEMA website at www.fema.gov/firm. For information on the NFIP, visit the FEMA website at www.fema.gov/nfip.
Users of Map Change, a Flood Insurance Study Report, and/or digital versions of this map may need to obtain a current copy of the adjacent panel(s) for complete coverage.
Communities having land on adjacent FIRMs panels must obtain a current copy of the adjacent panel as well as the current panel. The adjacent panel(s) may be ordered from FEMA by calling 1-800-427-4441.
For information on unincorporated areas not shown on the Flood Insurance Study Report for this jurisdiction:
To determine if flood insurance is available in the unincorporated area, contact your insurance agent or call the National Flood Insurance Program at 1-800-638-6620.
Base map information was derived from data provided by the USDA-ERS Aerial Photography Field Office. This information was derived from digital orthophotography at a scale of 1:12,000 and 1-meter pixel resolution from photography taken 2005.
SCALE
Map Projection:
NAD83 StatePlane Washington North FIPS 4601 Feet
Western Hemisphere Vertical Datum: NAVD 88
1 inch = 1,000 feet
1:12,000
0 1,000 2,000 3,000 4,000
Meters
0 250 510 1,020
Feet
NATIONAL FLOOD INSURANCE PROGRAM
FLOOD INSURANCE RATE MAP
SNOHOMISH COUNTY, WASHINGTON
(SNOHOMISH COUNTY, WASHINGTON AND UNINCORPORATED AREAS)
PANEL LOCATOR
Panel Contents:
COMMUNITY NUMBER PANEL SUFFIX
SNOHOMISH COUNTY 636834 0040 F
SNOHOMISH CITY OF 636372 0040 F
VERSION NUMBER: 188.8.131.52
MAP NUMBER: 53061.00040F
MAP REVISED: JUNE 19, 2020
FLOOD HAZARD INFORMATION
SEE FIS REPORT FOR ZONE DESCRIPTIONS AND INDEX MAP
THE INFORMATION DEPICTED ON THIS MAP AND SUPPORTING DOCUMENTATION IS ALSO AVAILABLE IN DIGITAL FORMAT AT HTTPS://MSC.FEMA.GOV
SPECIAL FLOOD HAZARD AREAS
Without Base Flood Elevation (BFE)
With BFE or Depth Zone AE, AG, AN, VE, AR
Regulatory Floodway
Areas with 0.2% Annual Chance Flood Hazard Areas
of 1% annual chance flood with average depth less than one foot or with drainage area greater than one square mile Zone X
Future Conditions 5% Annual Chance Flood Hazard Zone X
Area with Reduced Flood Risk due to Levee and/or Dike Zone X
Areas Determined to be Outside the 0.2% Annual Chance Floodplain Zone X
Area of Undetermined Flood Hazard Zone D
Channel, Culvert, or Storm Sewer
Non-accredited Levee, Dike, or Floodwall
Non-accredited Levee, Dike, or Floodwall
GENERAL STRUCTURES
18.2 Cross Sections with 1% Annual Chance Water Surface Elevation (BFE)
Coastal Transect
Coastal Transect Baseline
Profile Baseline
Hydrographic Feature
Base Flood Elevation Line (BFE)
Limit of Study
Jurisdiction Boundary
NOTES TO USERS
For information and questions about the Flood Insurance Rate Map (FIRM), available products associated with the FIRM, and the National Flood Insurance Program in general, please call the FEMA Hotline at 1-877-FEMA-346 (1-877-336-2346) or visit the FEMA website at https://www.fema.gov/flood-insurance-rate-maps. For additional information on the FIRM, please review Letters of Map Change, a Flood Insurance Study Report, and/or digital version of this map. Refer to the FIS report for more information.
Communities adopting land on adopted FIRM panels must obtain a current copy of the adjacent panel as well as a current copy of the FIS report for the community. The FIS report is available from the FEMA website listed above.
To determine if flood insurance is available in the community, contact your insurance agent or call the National Flood Insurance Program at 1-877-336-2346.
This map was produced by the U.S. Geological Survey Photogrammetry Field Office. This information was derived from digital orthophotography at a scale of 1:12,000 and 1-meter point resolution from orthophotography taken 2006.
SCALE
Map Projection:
Universal Transverse Mercator (UTM) Zone 10N
World Geodetic System 1984 (WGS 84)
Western Hemisphere: Vertical Datum NAVD 88
1 inch = 500 feet
1:6,000
0 500 1,000 2,000 Feet
0 125 250 500 Meters
PANEL LOCATOR
Panel Contents
COMMUNITY NUMBER PANEL SUFFIX
SNOHOMISH COUNTY 536634 0332 F
STANWOOD 530172 0332 F
SILLAGAUSH TRIBE 531238 0332 F
VERSION NUMBER 184.108.40.206
MAP NUMBER 5306100332F
MAP REVISED JUNE 19, 2020
FLOOD HAZARD INFORMATION
SEE FIS REPORT FOR ZONE DESCRIPTIONS AND RISK MAP
THE INFORMATION DEPICTED ON THIS MAP AND SUPPORTING DOCUMENTATION ARE ALSO AVAILABLE IN DIGITAL FORMAT AT HTTPS://MSC.FEMA.GOV
SPECIAL FLOOD HAZARD AREAS
- Without Base Flood Elevation (BFE)
- With BFE or Depth Zone AE, AO, AH, VE, AR
- Regulatory Floodway
OTHER AREAS OF FLOOD HAZARD
- 0.2% Annual Chance Flood Hazard. Areas of 1% annual chance flood with average depth less than one foot or with drainage areas of less than 1 square mile. Zone X
- Future Conditions 1% Annual Chance Flood Hazard Zone F
- Area with Reduced Flood Risk due to Levee and/or Dike Protection
OTHER AREAS
- NO SCREEN
- Area of Undetermined Flood Hazard Zone D
GENERAL STRUCTURES
- Channel, Culvert, or Storm Sewer
- Floodwall or Flood Protection Accredited Levees, Dike, or Floodwall
- Non-accredited Levee, Dike, or Floodwall
OTHER FEATURES
- Cross Sections with 1% Annual Chance Water Surface Elevation (BFE)
- Coastal Transect
- Project Baseline
- Profile Baseline
- Hydrographic Feature
- Base Flood Elevation Line (BFE)
- Limit of Study
- Jurisdiction Boundary
NOTES TO USERS
For information and questions about this Flood Insurance Rate Map (FIRM), available products associated with the FIRM, including historic revisions, the current map date, or each FIRM panel, how to order copies of the FIRM, and how to obtain additional information about the FIRM, please contact the FEMA Map Information eXchange at 1-877-FEMA-MAP (1-877-336-2627), or visit the FEMA Flood Map Service Center website at https://msc.fema.gov. The FIRM is also available on the following issued Letters of Map Change (LOMC) and can be downloaded from digital versions in the map panel of the National Flood Insurance Program’s website.
Communities assessing land on adjacent FIRM panels must obtain a current copy of the adjacent panel as well as the current panel. The FIRM panels are not necessarily continuous and may have gaps between them.
For community and overlandyee map data refer to the Flood Insurance Study Report for this jurisdiction. To determine if flood insurance is available in this community, contact your insurance agent or call the National Flood Insurance Program.
Base information shown on this panel was provided by the USDA-FSA Aerial Photography Field Office. This information was derived from digital orthophotography at a scale of 1:12,000 and 1-meter pixel resolution from 2009.
ATTENTION: The levee, dike or other structure that appears on this map is not necessarily a structure that is shown in conformity with Section 65.10 of the NFIP Regulations, nor is such structure necessarily shown in conformity with Section 65.10 of the NFIP Regulations. You should update the flood hazard information associated with this structure.
The flood hazard data make little boundary or the FIRM panel. The boundaries of the FIRM panel are the boundaries of the FIRM for this area, after being converted from GIS/OSM to NAD 83.
SCALE
1 Inch = 500 feet 1:6,000
0 500 1,000 2,000 3,000 Feet
0 125 250 500 Meters
NAD 1983 StatePlane Washington North FIPS 4601 Feet
Vertical Datum-North American Vertical Datum NAD 83
PANEL LOCATOR
Panel Contents:
| COMMUNITY | NUMBER | PANEL | SUFFIX |
|-----------------|--------|-------|--------|
| SNOHOMISH COUNTY| 535534 | 0351 | F |
| STILLAGWAHSH TRIBE| 530138 | 0351 | F |
VERSION 220.127.116.11
MAP NUMBER 530138L0351F
MAP REVISED JUNE 19, 2020
FLOOD HAZARD INFORMATION
SEE FIG REPORT FOR ZONE DESCRIPTIONS AND INDEX MAP
THE INFORMATION DESCRIBED ON THIS MAP AND SUPPORTING DOCUMENTATION IS ALSO AVAILABLE IN DIGITAL FORMAT AT HTTPS://MSC.FEMA.GOV
SPECIAL FLOOD HAZARD AREAS
Without Base Flood Elevation (BFE)
With BFE or Depth Zone AE, AO, AH, VE, AR
Regulatory Floodway
0.2% Annual Chance Flood Hazard - Areas of 1% annual chance flood with average depth less than one foot or with drainage area greater than one square mile Zone X
Future Conditions 1% Annual Chance Flood Hazard Zone X
Area with Reduced Flood Risk due to Levee and/or Floodwall Zone D
OTHER AREAS OF FLOOD HAZARD
Areas Determined to be Outside the 0.2% Annual Chance Floodplain - Zone X
Area of Undetermined Flood Hazard Zone D
GENERAL STRUCTURES
Channel, Canal, or Storm Sewer
Accommodation of Publicly Owned Accredited Leves, Dike, or Floodwall
Non-accredited Leves, Dike, or Floodwall
E Cross Sections with 1% Annual Chance Flood Surface Elevation (BFE)
Coastal Zone
Coastal Transient Baseline
Profile Baseline
Hydrographic Feature
Base Flood Elevation Line (BFE)
Line of Roof
Jurisdiction Boundary
NOTES TO USERS
For information and questions about this Flood Insurance Study Map (FISM), available products associated with the FISM, and changes made to the current map since the last FIRM panel was issued, contact the FEMA Map Information Line at 1-877-FEMA-MAP (1-877-336-6327). For general questions, call the National Flood Insurance Program (NFIP) at 1-877-336-2627. To obtain a copy of the NFIP Flood Insurance Study-Report (FISR), a Flood Insurance Study Report, and/or digital versions of this map panel, visit https://msc.fema.gov.
Communities planning land on adjacent FIRM panels must obtain a current copy of the adjacent panel as well as the current FISR for that panel. The FISRs are available from the NFIP at 1-877-336-2627 or online at https://msc.fema.gov.
To determine if flood insurance is available in this community, contact your insurance agent or call the National Flood Insurance Program at 1-877-336-2627.
Base flood elevations shown on this panel were constructed by the USDA-FSA Aerial Photography Field Office. This information was derived from digital orthophotography at a scale of 1:12,000 and 5-meter pixel resolution from aerial photography.
SCALE
Map Projection:
1983 StatePlane Washington North FIPS 4801 Feet,
Western Hemisphere; Vertical Datum: NAVD 88
1 Inch = 500 Feet 1:6,000
0 500 1,000 2,000 3,000 Feet
0 125 250 500 Meters
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Effects of meteorology and human-mobility on UK’s air quality during COVID-19
Cammy Acosta-Ramírez | Jonathan E. Higham
Department of Geography and Planning, School of Environmental Sciences, University of Liverpool, Liverpool, UK
Correspondence
Jonathan E. Higham, Department of Geography and Planning, School of Environmental Sciences, University of Liverpool, Liverpool, UK.
Email: firstname.lastname@example.org
Abstract
Efforts to prevent the spread of the coronavirus disease 2019 (COVID-19) pandemic have had profound positive and negative impacts on social and environmental indicators worldwide. For the first time, a scenario of a partial economic shutdown could be measured, and large tech companies published wide-coverage mobility reports to quantify the impacts on social change with anonymized location data. During the COVID-19 pandemic, the UK government has employed some of the strictest lockdown periods in the world, causing an immediate halt to travel and business activities. From these repeated lockdown periods, we have gained a snapshot of life without excessive human-made pollution; this has allowed us to interrogate the interaction between meteorology and air quality with minimal anthropogenic input. Our findings show a warmer 2020 increased the UK’s ozone levels by 9%, while reductions in human-mobility reduced UK-wide nitrogen dioxide levels by 25% in 2020, which have remained low during the first months of 2021 despite curtailing/ending of restrictions; and a decrease in particulate matter created by meteorological and human drivers. Regionally, London records the highest NO$_2$ and O$_3$ changes, $-31\%$ and $35\%$, respectively, linked to mobility reductions and meteorology.
KEYWORDS
air-pollution, COVID-19, DEFRA, Google mobility, meteorology, MIDAS
1 | INTRODUCTION
Numerous studies have shown human activity is the major cause of air pollution (Fu & Chen, 2017; Popescu & Ionel, 2010; Sofia et al., 2020). Continued globalization, consumerism and the intra-community and international mass transportation of people and goods exacerbate pollution and greenhouse gases (GHGs) production rates (Meng et al., 2016). Despite huge efforts being put in place to reduce these rates, the world continues warming up by 0.3–1.3°C above pre-industrial levels, and the air quality across the globe has worsened (Sofia et al., 2020; Voosen, 2021).
The relationship between weather and pollution is well documented in the literature. Many studies have established that meteorology plays a significant role in creating, dispersing and transporting pollutants across regions (Cichowicz & Wielgosiński, 2015; Jones et al., 2010). Relative humidity and sunlight are involved in the production of ozone (O$_3$) and nitrogen oxides...
Likewise, windspeed has been shown to impact the transport of pollutants; in the United Kingdom, particulate matter shows to have strong correlation with seasonal winds, anticyclonic conditions and long-range transport from continental Europe (Graham et al., 2020).
Together, human activities and meteorology influence the air chemical composition. But, what if anthropogenic pollution were to stop overnight? How would the atmosphere react? Soon after being declared an international public health emergency (World Health Organization, 2020), public decisions to tackle the spread of coronavirus disease 2019 (COVID-19) were implemented worldwide. The sudden closing of businesses and raising infections burst health systems, untethered worldwide social and economic structures and for a brief period brought the world to a standstill. From an environmental perspective, these abrupt changes presented an opportunity to investigate natural connections between meteorology and air pollution with minimal anthropogenic input: reduction in traffic, social mobility and industry in contrast with a ‘business as usual’ scenario.
Many COVID-19 air pollution studies in environmental sciences focussed on (a) changes in GHG emissions and air quality under lockdown (Conticini et al., 2020; Copat et al., 2020; Venter et al., 2020) and (b) the association between pollution levels and meteorology variables with the prevalence of respiratory diseases, including COVID-19 (Carteni et al., 2020; Coccia, 2021; Islam et al., 2021; Wu, Jing, et al., 2020).
In a study by Coccia (2021), it was shown low wind speed to be associated with higher concentration of pollutants and indirectly promote the permanence of viral particles and diffusion of coronavirus. In contrast, temperature was found to be inversely correlated with COVID-19 infections (Carteni et al., 2020; Islam et al., 2021). A 1°C increase was associated with a 3.08% reduction in new daily cases. Likewise, a 1% increase in relative humidity was linked to a 0.85% reduction in daily new cases (Wu, Jing, et al., 2020).
Despite lockdown measures have been referred as the ‘largest scale experiment ever’ in terms of GHG reduction (Watts & Kommenda, 2020), air pollutants have been linked to the severity of the pandemic. Nitrogen dioxide (NO$_2$) and particulate matter with a Sauter mean diameter of 2.5 µm (PM2.5) have been examined due to their role in the COVID-19 spread and severity (Conticini et al., 2020; Copat et al., 2020; Hendryx & Luo, 2020; Ogen, 2020). An increase of 1 µg/m$^3$ in PM2.5 has been to an 8% increase in COVID-19 death rate (Wu, Nethery, et al., 2020).
Throughout 15 months of pandemic, social restrictions worldwide have been key to control the viral spread (Yechezkel et al., 2021). The unprecedented release of mobility changes by Google (Google Community Mobility Reports, 2021) has revealed how communities responded to the pandemic at a country level and regional level. This release constitutes a significant evidence given the high market share of smartphones held by Google. In the United Kingdom, this involves 48% of smartphone users (~21 million adults, from which users who opted-in to Location History make up the report. ONS Internet Access, 2020; ONS Population Estimates, 2021; StatCounter, 2021).
As demonstrated by Jordan et al. (2020), there is no sole element determining the severity of the pandemic—or its impact on the environment—but a combination of several factors. The increasing availability of high-coverage and granularity datasets of mobility, weather and pollution presents us with the opportunity of comparing side by side these spatiotemporal variables and understand their interactions.
In this study, we focus our analysis on the United Kingdom; we use open-access datasets from government-funded sources to obtain pollution and weather data from 2020 to mid-2021. We use meteorological, pollution and mobility data from all 12 regions of the United Kingdom to investigate their relationships. Hourly meteorological data (temperature, relative humidity and wind speed) are sourced from Met. Office, MIDAS Land and Marine Surface Station Data; and hourly pollution datasets (NO$_2$, O$_3$, PM10 and PM2.5) are sourced from the Department for Environment, Food and Rural Affairs (DEFRA) AURN (Automatic Urban and Rural Networks).
To determine UK-wide results, we average results from all of the stations, for the UK regional measures (i.e., those based on UK government office regions) we average from stations in each region. We describe the data using two statistical methods (1) z-score values to demonstrate the relationship of the data to the average values and to examine trends within the data, calculated as follows:
$$\text{baseline } z_i = \frac{x_i - x_{\text{baseline}}}{s_{\text{baseline}}},$$
where $x_{\text{baseline}}$ is mean of values from baseline period. $s_{\text{baseline}}$ is standard deviation of values from baseline period.
(2) Daily percentage change from the ‘baseline’, we derive this ‘baseline’ by averaging daily measurements from 2017 to 2019, that is, and average of 3 years before the impact of the pandemic.
The article is structured as follows: First, we investigate the connections between changes in air pollution and meteorological conditions examining links between weather patterns and sudden changes in air pollution. Second, we examine the changes in air pollution related
Table 1 Recorded values for meteorological conditions and air pollution, a yearly average from daily/hourly records
| Variable (unit) | 2017 | 2018 | 2019 | 2020 | 2021* |
|-----------------------|--------|--------|--------|--------|--------|
| Temperature (°C) | 10.19 | 10.20 | 10.08 | 10.34 | 7.65 |
| % var. from baseline | 0.90 | −1.98 | 1.08 | 9.28 | −11.50 |
| Humidity (%) | 83.29 | 81.59 | 82.44 | 81.23 | 80.52 |
| % var. from baseline | 1.10 | −1.08 | −0.03 | −1.45 | −0.93 |
| Windspeed (kn) | 8.86 | 8.74 | 8.59 | 9.39 | 8.48 |
| % var. from baseline | 1.74 | −0.24 | −1.50 | 10.77 | −0.36 |
| NO₂ (µg/m³) | 24.92 | 23.81 | 23.20 | 17.39 | 18.22 |
| % var. from baseline | 2.64 | 0.43 | −3.07 | −25.43 | −22.20 |
| O₃ (µg/m³) | 47.55 | 50.24 | 49.26 | 52.79 | 54.62 |
| % var. from baseline | −2.56 | 1.98 | 0.58 | 9.16 | 1.47 |
| PM2.5 (µg/m³) | 9.70 | 9.95 | 9.75 | 7.85 | 8.45 |
| % var. from baseline | −1.50 | 3.56 | −2.06 | −10.44 | −14.72 |
| PM10 (µg/m³) | 15.50 | 16.33 | 16.32 | 14.32 | 15.00 |
| % var. from baseline | −3.87 | 3.43 | 0.45 | −5.95 | −10.00 |
Note: The variation from baseline is calculated for each day and averaged yearly.
*aTime period January–July.*
Figure 1 (a) Time series of z-scores from baseline: Temperature, relative humidity and wind speed values. (b) Time series of z-scores: NO₂, O₃, PM2.5 and PM10. Successive lockdowns highlighted in grey
2 UK-WIDE METEOROLOGY AND AIR-QUALITY LEVELS
In Table 1, we show the year statistics of the meteorological and pollution quantities; these results present the percentage deviations from the baseline levels (determined the daily averages of the previous 3 years 2017–2019), for...
completeness, we include the raw values. In Figure 1, we present time series z-score values of the meteorological and pollution data, showing the trends of the quantities throughout the COVID-19 pandemic. The z-scores represent a standardized value of each metric (both meteorological and pollutants) to allow for a better understanding of relative trends and changes, which have occurred as a result of successive lockdowns. In Figure 2, we present the time series of percentage differences (2017–2021) from the baseline of the meteorological quantities. These statistics allow us to compare the fluctuations from the baseline for the entire period 2017–2021.
The data in Table 1 clearly show during successive lockdowns (2020–2021), significant reductions in NO$_2$ ($-25.4\%$ and $-22.2\%$), PM2.5 ($-10.4\%$ and $-14.7\%$) and PM10 ($-5.9\%$ and $-10.0\%$), similar statistics have been widely reported in other journal articles (Berman & Ebisu, 2020; Siddiqui et al., 2020). In line with the findings of Higham et al. (2020) in 2020, the data show an increase in O$_3$; however, this has reduced in 2021, as shown in Figures 1 and 2, this coincides with a particularly warm start and end to the year 2020 (9.3% increase) and 2021 with a cold first half of the year (11.5% decrease). Table 1 further depicts 2020 as a particularly windy year, with an overall 10.8% increase versus the 2017–2019 baseline, with values close to baseline during 2021. Figure 2 shows this related to a very windy 4 month start to 2020 with $\sim40\%$ greater than the baseline winds. Overall, PM2.5 and PM10 reduced significantly in 2020 and 2021, while it is extremely likely a portion of the reduction relates to dispersion, it is also very likely
reduced human movement will have affected the levels of PM2.5. The reduction in 2021 of particulate matter reached 1.5 standard scores from the baseline; on closer inspection of Figures 1 and 2, it is apparent that the heavy winds reduced the levels of particulate matter initially, after which there are spikes in particulate matter. In 2021, it is likely the lockdowns have had the biggest effect of reductions in PM10 and PM2.5; however, successive spells of short windy events have likely kept particulate matter levels low (Figures 1 and 2).
2.1 | Regional meteorology and air pollution
Regional meteorological quantities are shown in Figure 3 for their potential association with pollution changes. Across the regions, the reductions in pollutants (Figures 3 and 4) are linked to the lack of human activity and meteorological conditions. An unseasonably warm start to 2020 is observed in the temporal representation of daily changes (Figure 4), in some regions...
reaching twice the temperature of the baseline years. Following the UK-wide findings, the increases in temperature relate to an increase in $O_3$. Interestingly, regions such as Scotland and Wales show $O_3$ are lower with warm temperatures during the warmest months of 2020; this could be related to cloud cover and an increase in relative humidity, reduction in $NO_x$ and reductions in volatile organic compounds (VOCs) as described by Lacour et al. (2006). Higher temperatures continue in the summer of 2020 and decrease during autumn and winter. From spring 2021, periods of warm temperature cause a second resurgence in the $O_3$ levels.
Following the UK-wide findings connecting wind speed and particulate matter we find that, across the regions with heavier winds, there were more significant decreases and increases in particulate matter levels. Similarly, short spells of high-intensity winds in rapid succession have kept the particulate matter levels low.
From both a UK wide and a regional perspective, the warm start and end to 2020 and the reduction in $NO_x$ caused peaks in $O_3$ production. Additionally, intermittent periods of high and low wind speed promoted the dispersion and deposition, respectively, of particulate matter, with shorter intense windy periods keeping particulate
matter levels low in 2021. However, considering that around half of UK concentrations of particulate matter comes from anthropogenic sources (DEFRA, 2021), the patterns observed during the COVID-19 pandemic are evidently related to the sudden change in human mobility.
3 | UK GOVERNMENT-IMPOSED LOCKDOWNS AND MOBILITY
Starting from the 23rd March 2020, the UK government implemented the largest set of restrictions ever known. First thought to be a single set of restrictions, three successive periods of social and economic lockdowns were imposed (each with different restriction levels) and different times in the year. We summarize these dates, based on majority England (largest population below):
1. Lockdown 1—23rd March, 2020 to 4th July, 2020.
2. Lockdown 2—5th November, 2020 to 2nd December, 2020.
3. Lockdown 3—6th January, 2021 to 19th July 2021.
The timeline of measures is summarized in Figure 5. To quantify these changes in mobility, we use Google Community Mobility Reports (2021). These aggregated, anonymized data show how busy certain type of places are based on the users with location history activated on devices with a Google Account. The categories selected are Retail and Recreation, Grocery and Pharmacy, Transit stations and Residential. The reported baseline is the median value, for the corresponding day of the week during the 5-week period January 3rd to 6th February, 2020.
Considering that the Transit category in Google measures visits to public transport hubs such as train stations and buses, an additional Traffic mobility measure was included. The time series, sourced from the UK Department of Transport (Domestic transport use by mode: since 1 March 2020), reports a baseline of the equivalent day in the first week of February 2020.
4 | UK-WIDE MOBILITY AND AIR QUALITY LEVELS
Figure 6 shows a temporal representation of percentage difference between the reported baseline (median value of the corresponding day of the week during January 3rd–6th February, 2020; Google, 2021) of UK-wide mobility based on retail, grocery, transit and residential, traffic and air pollutant levels. In Figure 7, we present the z-score index of mobility and traffic changes depicting the trends relating to successive lockdowns and changes in human activity. Across the United Kingdom, the sudden changes in mobility caused by subsequent lockdowns had a significant impact on air quality. The most significant changes are observed in Transit stations and Traffic for all vehicles, with reductions over 70% versus baseline during the first weeks of lockdown. Similarly, Retail and Recreation showed significant reductions of over 60% against the baseline.
During the first lockdown, NO$_2$ values were on average 36% less than the baseline. This downward trend in NO$_2$ reduction continued after lifting restrictions but started rising slowly from July 2020. Concentrations of NO$_2$ from then on began to steadily increase proportional to the levels of Traffic and Transit but also inversely proportional to Residential. The NO$_2$ levels peaked back to the baseline levels in December 2020 (Christmas relaxed period). The third lockdown observed similar environmental changes as those observed in the first lockdown gradual decrease in NO$_2$. From April 2021, mobility...
increased strongly to reach values close to baseline; however, NO$_2$ remained low. In contrast with the first lockdown records, a $-17\%$ average reduction in NO$_2$ was observed during the second lockdown and $-22\%$ during the third, which is related to meteorology conditions and the increases in Traffic shown in Figure 7. Whilst there were changes in particulate matter, the magnitude of the observed decreases was not of the order of that of nitrogen dioxide. The observed fluctuations, an increase during the first weeks of lockdown and a gradual reduction to values close to the baseline throughout the 15 months of restrictions, could reflect an annual cyclicity at the beginning of the summer and its interaction with meteorology variables.
Notably within the mobility data and pollution, we also see several spikes; these spikes correspond to notable events during the pandemic. In the week before the nationwide lockdown, reflecting the ‘panic-buying’ amidst the pandemic uncertainty causing a sudden jump in NO$_2$ levels by $\sim 10\%$. Similarly, high peaks were observed in December, related to Christmas holiday shopping, and visits kept rising in 2021, reaching levels the baseline and NO$_2$/particulate matter levels and almost at baseline concentrations.
5 | REGIONAL MOBILITY AND AIR-QUALITY LEVELS
Mobility records from Google are reported from mid-February and show a massive drop in visits to Transit stations and Retail from the beginning of lockdown for all the UK regions (Figure 8). Both categories showed similar trends throughout lockdown. As the weeks after March 23rd progressed, visits increased gradually to reach a peak between July and September. From mid-August to September, slight reductions in Transit and Retail were recorded in some regions, which could reflect the public reaction to cases increasing after restrictions were lifted in July. The most significant drop, observed in Scotland for both Transit and Retail, might be partially related to a local lockdown in Aberdeen and the government's response to the crisis, considering retail as a risk factor (BBC News, 2020a). Similar restrictions were introduced in Northern Ireland during August (BBC News, 2020b).
Simultaneously, an increase in Retail was observed in most regions during August, related to 'Eat Out to Help Out' scheme (a scheme devised by the UK chancellor to promote business in hospitality venues). From mid-September, visits decreased to a significant drop during the second lockdown, to subsequently peak in mid-November in Wales and the start of December in England. It is noteworthy that during this period, regional and national variations reflect the different restrictions in England, Wales and Northern Ireland, highlighting the critical importance of government decisions on mass social mobility. For all regions, Transit and Retail reduced drastically in late-December during Christmas holidays and continued increasing slowly until a sudden peak in the between the 12th and 18th of April in England and Wales, when retail and close contact businesses reopened (Figure 5).
Residential category percentage changes range between 0% and 30% on average (Figure 8). The less variation observed in this category (compared to Retail, Grocery and Transit) derives from the nature of measurements, which indicate a change in duration instead of visits. Because duration has a limit of 24 h in a day, and people already spend a significant part of the day at places of residence, the largest possible change might be −50% or less during weekends (Google, Community Mobility Reports Help, 2021b). The most significant change at the beginning of lockdown was observed in London, with an increase of 30% in the time spent at home, followed by South West and Scotland (Figure 9). The majority of regions increased their residential duration by 23%–25% on average. As the months progressed in 2020, the time spent at residential places was gradually reduced, reaching the lowest percentage of change in September. Later, residential duration increased gradually, to an average of 15% of increase during second lockdown in
November in England and late-November and beginning of December in Wales. Northern Ireland also showed an increase during strict lockdown restrictions from mid-October. During Christmas holidays, time spent at home increased by 20% in all regions and kept decreasing during 2021 to reach values close to baseline from June onwards.
As observed in Figure 3 and the temporal distribution in Figure 8 (bottom), NO$_2$ levels started to drop at different dates between regions, in Scotland and Northern Ireland, NO$_2$ pollution starts reducing right after the beginning of the first lockdown, while the majority of regions shows NO$_2$ values decreasing consistently from mid-February before the start of lockdown. These
decreasing values are related to higher wind speed during February (Figure 3). However, regions show mixed results despite a very similar increase in wind speed. London, the most densely populated region, had the most pronounced NO$_2$ reduction, highlighting the contribution of anthropogenic activities following the confirmation of COVID-19 cases in the country. This contribution could have been more significant than wind speed in NO$_2$ levels during March. As the wind speed returned to ‘normal’ at the start of April, an increase of +15% in NO$_2$ levels was registered but as noted in Figure 3, it was promptly dissipated as less human mobility meant less NO$_2$ emissions.
While mobility started recovering slowly, the reduction in NO$_2$ showed consistency during the year and amongst regions, with a gradual increase from mid-July after restrictions were lifted. This gradual increase peaked at the beginning of December in English regions, associated with winter meteorological conditions, restrictions lifting and heavy goods vehicles traffic (Figure 7), and started decreasing considerably once more after the third lockdown was imposed in January 2021. During the same period (December–January), windspeed role is also highlighted in Scotland, Northern Ireland, North East and Yorkshire, where high concentrations of NO$_2$ were recorded despite reductions in mobility. This could be related to a heavier use of combustion power plants for wintertime home heating (supported by the Residential category increase) and less sunlight. As the windspeed rose in these regions (Figure 3), NO$_2$ levels reduced and continued decreasing gradually during the third lockdown.
Ozone trends contrast those of NO$_2$ as observed in the temporal representation of Figure 8. For all regions, increased values were observed during the first lockdown. After lifting restrictions, changes in O$_3$ versus the 2017–2019 baseline were less prominent, with values near and below the baseline mean for most regions, with the exception of South East, East of England and London and East Midlands, which exhibited an O$_3$ increase during the August and September. Values increased once more during the second lockdown and at the beginning of the third lockdown, exceeding the baseline levels by 40% in London. As the vast majority of O$_3$ is formed in the air from reactions with other pollutants (i.e., VOCs and NO$_x$), the contrasting trend with NO$_2$ is expected, as well, warm and sunny days with lower wind speed promote its production, as supported by the increases in the summer months presented in Figures 3 and 8.
On the other hand, PM10 and PM2.5 show similar patterns between each other, with PM10 showing slightly higher values than PM2.5, particularly for the regions Yorkshire, South East, South West and Northern Ireland (Figure 8). For both pollutants, the first 6 weeks of lockdown recorded a significant rise versus baseline mean, right after the extreme wind speed events recorded in mid-February to mid-March (Figure 3), which shows the relationship between wind speed events and the concentration and dispersion of dust. From the end of April, a decreasing trend was recorded until August, when a significant increase in PM10, PM2.5 and O$_3$ values registered in most regions. This peak matches the increase in Retail during August, suggesting a potential connection between them. Slight increases and reductions continued throughout the year. During the second lockdown in the first half of November, a particulate matter peak higher than the baseline was recorded in English regions, right after a wind speed peak at the end of October and the Bonfire Night (5th November) in the first week of November. After this event, particulate matter pollution decreased during December and increased slightly during the end of 2020 and start of 2021, likely related to increased heating and fireplaces in the winter. Records from the third lockdown show a slight increase for both PM2.5 and PM10 from February 2021, particularly during March the increase was most significant in South West, South East and Northern Ireland, which could be a consequence of increased wind speed in the prior weeks as displayed in Figure 3.
6 | DISCUSSION AND CONCLUSIONS
While lockdown restrictions have been in place for over 15 months in the United Kingdom, variations between regions and the gradual reopening of the economy have been reflected in the social mobility changes per region and their pollution trends. At the beginning of the lockdown, most pollution studies hypothesized about reductions in mobility benefiting the environment by reductions in GHGs emissions. As months passed by, a mixed scenario between gas pollutants and particulate matter was observed globally, and interactions between them were further described (Huang et al., 2021).
In the United Kingdom, the drastic changes in mobility at the start of the first lockdown were reflected in NO$_2$ reductions across the regions. Studies of reduction in total traffic reported a decrease of around 32% in total traffic (Hicks et al., 2021), and the Department of Transport reports an overall 22.5% reduction in traffic during the 15 months of social restrictions in the United Kingdom. Traffic reduction has been shown to correlate with NO$_2$ declines as it accounts for 49% of NO$_2$ emissions in the United Kingdom (DEFRA, 2004; Forster et al., 2020). Here, Transit stations and Traffic data show an indirect and direct approach to evaluate NO$_2$ trends in relationship
with transport. During the first lockdown the depletion in NO$_2$ is observed in conjunction with Traffic and Transit stations changes. However, while mobility recovers to baseline levels, NO$_2$ continues depleted with a slow increase. While the reduction in NO$_2$ continued to be significant throughout the second and third lockdowns, it did not reach the levels of depletion of the first lockdown. Furthermore, for a short period of time, lockdown traffic increased alongside NO$_2$ after the second lockdown. The role of meteorology is outlined in this event, since previous increases in Traffic did not result in NO$_2$ accumulation, until temperature dropped towards the end of 2020 and periods of low wind speed were recorded, necessary conditions for winter NO$_2$ episodes (DEFRA, 2004).
In contrast with NO$_2$, O$_3$ shows an upward trend from the beginning of lockdown, an inverse relationship with NO$_x$ values. As O$_3$ is formed from VOCs interacting with NO$_x$, changes in NO$_x$ at ground level will modify the O$_3$ production. NO$_x$ also acts as a quencher of O$_3$ through NO$_x$ titration (Jhun et al., 2015). The observed increase in O$_3$ in all regions of UK can be related to a lower O$_3$ titration by NO$_x$, as well, to the gradual increase in temperature. Other works reported increases in O$_3$ during lockdown periods (Higham et al., 2020; Sicard et al., 2020). Another factor influencing O$_3$ changes is relative humidity. According to Kavassalis and Murphy (2017), when relative humidity is high, the opening of trees stomata removes O$_3$ by dry deposition. This relates to the inverse relationship between O$_3$ and relative humidity observed in all regions. The increase in O$_3$ and NO$_2$ reduction are more evident for London, region in which mobility (Transit stations) fell by 70% and continued with a 50% reduction throughout 2020. As one of the most populated regions with a social influx from different areas of the country that stopped during the pandemic, these pollution changes illustrate the contribution of human-made sources to regional air quality in an urbanized environment.
The trends we find in particulate matter concentration can also be explained by Hicks et al. (2021) who reported that in the United Kingdom, the average speed in road transport increased by 15% during lockdown due to having less traffic. Particulate matter generated from moving vehicles (non-exhaust particulate matter) varies widely in its physical and chemical composition, and the reduction in traffic during lockdown restrictions might have caused, indirectly, an increase in non-exhaust particulate matter. Also, the use of fireplaces and stoves, sources of primary particulate matter and considered the largest single source in the United Kingdom (DEFRA, 2019), could emit particulate matter that is further transported between regions or resuspended (Jones et al., 2010). This is supported by peaks in both PM10 and PM2.5 immediately after peaks in wind speed.
In conclusion, COVID-19 and the related imposed social restrictions have given us an insight into what air pollution levels might be like in the United Kingdom if we manage to reduce out pollution outputs significantly over the coming years. It is a well-known fact that meteorology and air pollution are closely linked, and the atmosphere is more than capable of removing its own pollution. However, in this study, we find, those pollutants which can have the biggest impact on human health (i.e., particulate matter and NO$_2$) are only reduced by reducing human activity in combination with meteorological conditions that interact with the resultant pollution changes to promote a ‘clean air’. As well, we found that reductions in mobility show regional features with a proportionality to the pollutant changes, as observed for London; and that similar pollution events would have a different duration depending on the regional meteorology, as observed in the increases in NO$_2$ at the end of 2020. Ozone created by the atmosphere during 2020–2021 has been found to have increased. Although these levels are relatively low, their concentrations and their related chemical reactions are likely to have little impact in comparison with human-made pollutants. Returning to our earlier question, if anthropogenic pollution were to stop overnight, how would the atmosphere react? From our findings, while the pollution short term effects of reduced mobility are dramatic, the meteorology conditions hold predominance over human mobility to determine how clean the air is at a regional level. These findings demonstrate the importance of considering regional meteorology and seasonal changes while developing strategies to improve air quality: these relationships are complex, and there is much more work to be done to gain a detailed understanding.
**AUTHOR CONTRIBUTIONS**
**Cammy Acosta-Ramirez:** Conceptualization (equal); data curation (equal); formal analysis (equal). **Jonathan E. Higham:** Conceptualization (equal); data curation (equal); formal analysis (equal); supervision (lead).
**ORCID**
Jonathan E. Higham [https://orcid.org/0000-0001-7577-0913](https://orcid.org/0000-0001-7577-0913)
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Penang Hill Biosphere Reserve
On 15 September 2021, Penang Hill Biosphere Reserve (PHBR) consisting of Penang Hill as central park, six permanent forest reserves, two dams and several water catchment areas are designated as a UNESCO Biosphere Reserve under Man and the Biosphere (MAB) programme after years of research and interdisciplinary collaboration between the State and Federal government agencies, Penang Hill Corporation, private sector, academic and local agencies.
A Multi-Sensational Experience At The Peak Of Penang
Welcome to Penang Hill - the peak of Penang Island offering many activities and attractions all year round.
Discovered and established by the British in the late 1700s, Penang Hill is one of the oldest colonial hills in Southeast Asia.
1700s
The earliest mode of transport up to the hill was by Sumatran pony or sedan chair attached to a pair of bamboo carrying poles (called a “doolie”) hand carried by 4 to 8 porters.
1800s
Penang Hill is a repository of bungalows featuring a fusion of British colonial and modern Asian architecture dating back to the early days of the British settlement and the 1800s in Penang. The oldest building, Convalescent Bungalow was built in 1803. Since then, many other opulent bungalows were built such as Bel Retiro, Richmond and Fernhill Bungalow which remain standing today.
1900s
The Penang Hill Funicular Railway was the second mode of transport constructed in 1901 and completed in 1905. However, it was rendered ineffective, due to technical faults. A second railway was commissioned in 1909, and works for the second line started in 1914 with a budget of 1.5 million Straits Dollars. On 1st January 1924, the 2,007 meters long funicular railway was officially opened by then Governor of Straits Settlement, Sir LN.Guillemand. The last upgrade was in 1977, before a complete overhaul of the system in 2010.
2011
The current 3rd generation system was commissioned in 2011; it plies the 1,996 metre track in approximately 5 minutes, making it the fastest, steepest and longest funicular in the region.
Plan Your Trip
Ticketing Counter
Daily: 6.15 am – 7.45 pm
Train Schedule
Daily: 6.30 am - 10.00 pm
(Departure time every 30 minutes)
Travel Duration
5 minutes - 15 minutes
(Non-stop) (Substation stop *)
*Trains stop at substations every half-hour except during peak season
Train Fare
Kindly visit www.penanghill.gov.my for latest train fares.
Multi-storey carpark
How to get here?
• Taxi / Car (Waze / Google Maps: P Penang Hill Lower Station)
• Rapid Bus - 204 (From Jetty / Komtar to Bukit Bendera)
• Hop-On Hop-Off bus - City Route (Stop Number 03):
9.00 am - 8.00 pm [20-30 minutes interval]
Upload fond memories of your trip and hashtag #mypenanghill on our social media pages!
For more information, please contact us at:
PERBADANAN BUKIT BENDERA PULAU PINANG
Jalan Stesen Bukit Bendera, 11500 Air Itam, Pulau Pinang.
Tel: 04-828 8880 / 828 8861 Fax: 04-828 8868 Email: firstname.lastname@example.org
(Office Hour only: Monday - Friday, 8.00am - 5.00pm)
Rise early and catch the first train up the hill and you will be rewarded with a magnificent glimpse of the sunrise on clear days or feel the cotton-like mist floating in the air on cooler days.
With a total of 6 peaks and the highest standing impressively at 833 meters (2,732 ft) above sea level, Penang Hill offers the best look-outs in Penang. Enjoy a spectacular 180° view of George Town from the SkyWalk and SkyDeck as you bask amidst the breezy atmosphere.
As dusk sets in, watch George Town light up, providing a magical ambience against the evening sky. At Penang Hill, it is always an unforgettable, refreshing and enriching experience. And if you wish to linger around the hill till late, the last train down is at 11 pm.
Apart from the fantastic view, immerse yourself in the lush greenery as you take a leisurely pace along the trails. As flora and fauna thrive in abundance all over the hill, discover exotic plants such as the Monkey Cup and Slipper Orchid, some of the most sought after plants in the world.
Explore the undulating greens as nature greets you along the nature walk trails. From neatly paved paths to adventurous bypaths, there’s so much more to discover at Penang Hill!
Escape the hustle and bustle of the city and rejuvenate in the cool temperature ranging from 18°C to 26°C. The serenity at the peak will melt away your stress, keeping you calm and relaxed as you breathe in the pristine oxygen-rich air.
Marvel at the heritage ambience of picturesque antiquated pre-war colonial-style bungalows and buildings nestled among embracing trees. Feel the surreal charms and sensation of the European countryside in the lush rainforest like no other.
On your lucky day, spot some of the rare animals such as the Dusky Leaf Monkey, Black Giant Squirrel and Greater Racket-Tailed Drongo in the tropical rainforest of Penang Hill. They can be spotted occasionally during mid-mornings and late afternoons.
The Giant Black Squirrel is one of the largest squirrels in the world.
Welcome to Malaysia’s Newest UNESCO Biosphere Reserve
Penang Hill - Malaysia’s Hill Resort of Choice
The perfect fusion of history, nature and heritage
Come indulge in the unspoilt wonders of Mother Nature amidst one of the world’s oldest rainforests in the region! Trekking along different foot trails offers glimpses of heritage structures on the hill built during British colonial era that are guaranteed to transport one back in time. Other attractions include an outdoor garden, eco-tourism facility, al-fresco restaurant a la English, street food cafe and others.
*Map is not to scale
1. **FIRST GENERATION TRAIN COACH**
- 3 Minutes
Admire the distinctive beauty of the wooden replica of the train coach which operated from 1923 to 1971.
2. **TEDDYVILLE MUSEUM**
- Entrance Fee Applies
- 4 Minutes
Come and explore our cute world of fun fluffy furry friends.
3. **ASTAKA (CLIFF CAFE)**
- 5 Minutes
A three-storey food and beverage eatery with a wide variety of local food, drinks, desserts and souvenir stalls.
4. **EL WALK**
- 6 Minutes
Enjoy scenic view of the lush valley while strolling across this shaded elevated walkway from the Upper Station leading to Astaka aka Cliff Cafe.
5. **SKYWALK**
- 8 Minutes
This 360° observation deck offers breathtaking views of George Town, the mainland and both theanic beaches of the Pearl of the Orient.
6. **KBB BUNGALOW** *(To be Confirmed)*
- 9 Minutes
Dimly lit grand heritage bungalow with unique cuisine infused with British, Malaysian and Nonya flavours.
7. **DAVID BROWN’S RESTAURANT**
- 9 Minutes
This highest restaurant in Penang promises to awe guests with tantalising menu and spectacular views.
8a. **SKYDECK (EAST)**
- 10 Minutes
8b. **SKYDECK (WEST)**
- 15 Minutes
Dimly lit grand heritage bungalow with unique cuisine infused with British, Malaysian and Nonya flavours.
9. **PENANG HILL GALLERY (EDGECLIFF)** *Entrance Fee Applies*
- 5 Minutes
This impressive Art Deco-style bungalow-turned-gallery will allow one to time travel and be immersed in Penang Hill’s stories.
10. **LITTLE VILLAGE** *Entrance Fee Applies*
- 10 Minutes
Beautifully landscaped vantage points allowing one to bask in stunning sceneries.
11. **JANNIA ART & SPA**
- 10 Minutes
It is the most adorning one’s hands with intricate Mehndi designs by Penang Hill’s henna artist.
12. **KACANG PUTIH PENANG HILL** *Entrance Fee Applies*
- 11 Minutes
A place with assorted crunchy snacks with family-secret blend of spices passed down for more than generations.
13. **EARTHQUAKE & TYPHON PAVILION** *Entrance Fee Applies*
- 12 Minutes
Brace yourself for earthquake with magnitude intensity up to level 8 and up to level-12 typhoon winds.
14. **TOY MUSEUM & 5D** *Entrance Fee Applies*
- 2 Minutes
A 2-in-1 attraction that is just right for children and to awake the inner child in us.
15. **NATUREWALKS**
- 12 Minutes
Especially for avid hikers who explores nature are keen to learn more about the oldest hill station in Peninsular Malaysia by voluntary guides.
16. **BELLEVUE HOTEL**
- 12 Minutes
This historical property is renowned for some of the best panoramic views of George Town. It is also famed for an aviary at the front that keeps exotic feathered breeds.
17. **THE HABITAT PENANG HILL** *Entrance Fee Applies*
- 13 Minutes
Nestled on the edge of a virgin forest, this eco-tourism discovery centre offers unique animal encounters especially to nature lovers.
18. **12-POUNDER CANNON**
- 13 Minutes
Weighing 2,500kg, for many years, this was capable of firing a 32-pound cannon ball at a velocity of 1600 ft per second!
19. **SRI ARULOLI THIRUMURUGAN TEMPLE**
- 13 Minutes
Known as the Penang Hill Hindu Temple, it is among the oldest Hindu temples in Penang built in the 1800s and dedicated to the Hindu deity, Lord Murugan.
20. **PENANG HILL MOSQUE**
- 12 Minutes
Known as the oldest post boxes in Penang, an embossed VR insignia indicates its installation during the reign of Queen Victoria (1818-1901).
21. **VICTORIAN POST BOX**
- 12 Minutes
One of the oldest post boxes in Penang, an embossed VR insignia indicates its installation during the reign of Queen Victoria (1818-1901).
22. **GATE HOUSE & RETIRO**
- 12 Minutes
This historic structure built in 1789 for the governor of Penang features a classic façade and once welcomed royalties and prominent figures.
23. **HILLSIDE RETREAT**
- 12 Minutes
This heritage bungalow offers a cozy retreat surrounded by the tranquillity of nature.
24. **MONKEY CUP GARDEN**
- 12 Minutes
An outdoor garden featuring a giant pitcher plant found in Malaysia and the neighbouring Indonesia.
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"thus are our bodies, thus was our custom": mortuary cannibalism in an Amazonian society
BETH A. CONKLIN—Vanderbilt University
The Wari' (Pakaa Nova) are an indigenous population of about 1,500 people who live in the western Brazilian rain forest, in the state of Rondônia near the Bolivian border. Until the 1960s, they disposed of nearly all their dead by consuming substantial amounts of corpses' body substances. All Wari' elders living today took part in or witnessed mortuary cannibalism, and their recollections offer an opportunity to view cannibalism from the perspectives of those who participated in it. This article explores the question of why cannibalism was the preferred means for disposing of the dead, emphasizing indigenous interpretations of the logic and meanings of cannibalism.
From a cross-cultural perspective, Wari' customs appear unusual in several respects. In most other societies, mortuary cannibalism involved the consumption of only small amounts of a corpse's body substances, which typically were ingested by a dead person's consanguineal kin. Among the Wari', however, the dead person's affines ideally consumed all of the roasted flesh, brains, heart, liver, and—sometimes—the ground bones. Cannibalism was the preferred treatment for all Wari' corpses, except in a few circumstances in which bodies were cremated.
The Wari' practiced both exocannibalism (the eating of enemies and social outsiders) and endocannibalism (the eating of members of one's own group) but considered the two forms of anthropophagy to have little in common. The eating of enemies, which will not be examined in detail here, involved overt expressions of hostility: enemy body parts were abused and treated disrespectfully, and the freshly roasted flesh was eaten off the bone ak karawa, "like animal meat" (see Vilaça 1992:47–130). In contrast, the very different customs of mortuary cannibalism expressed honor and respect for the dead.
This article focuses on how mortuary cannibalism fit into Wari' experiences of grief and mourning. My approach traces themes emphasized by contemporary Wari' in reflecting on their past participation in cannibalistic funerals. The question "Why did you eat the dead?" tended to draw a limited range of responses. The most common reply was "Je' kwerexi," "Thus was
This article examines the cultural logic of mortuary cannibalism practiced, until the 1960s, by the Wari' (Pakaa Nova) of western Brazil. Wari' practices are inadequately explained by the materialist, psychogenic, and symbolic interpretations prominent in recent cannibalism theories. This analysis emphasizes indigenous understandings of the relation of cannibalism to experiences of mourning. Concepts of the human body's social significance made its destruction important to the working out of grief and the attenuation of memories of the dead. In a social process of mourning concerned with transforming mourners' images of the dead, cannibalism appeared as a key element that affirmed ideas of human-animal regeneration and reciprocity expressed in Wari' myth, cosmology, and eschatology. [cannibalism, body concepts, ritual, death and mourning, Amazonian Indians]
our custom." This statement should be taken seriously; for many Wari', cannibalism was simply the norm; for reasons I discuss in this article, it was considered to be the most respectful way to treat a human body. Beyond this, when older people reflected on deeper, personal motives, they tended to link cannibalism to a process of achieving emotional detachment from memories of the dead: "When we ate the body, we did not think longingly [koromikat] about the dead much." Numerous middle-aged and elderly people—of both sexes and in various villages—independently offered the explanation that cannibalism altered memories and the emotions of grief in ways that helped them deal with the loss of a loved one. Elders were bemused and at times rather irritated by anthropologists' singular obsession with the eating of bodies, for they insisted that cannibalism cannot be understood apart from the entire complex of mortuary rites and mourning behaviors aimed at reshaping emotional and spiritual relations between the living and the dead.
To understand cannibalism's role in mourning, I propose to show that Wari' practices reflected two concepts of widespread salience in lowland South America: the idea of the human body as a locus of physically constituted social relationships and social identity, and ideas about human-nonhuman reciprocity. These concepts merged in a yearlong series of traditional mourning rites that focused on actual and symbolic transformations of a dead person's body, from human to animal form. Cannibalism was a powerful element in a social process of mourning structured around images of ancestors' regeneration as animals with ongoing, life-supporting relations to their living relatives.
Wari' testimonies concerning the affective dimensions of cannibalism are unusual in the ethnographic literature, for we have few detailed accounts of cannibalism from the viewpoint of its practitioners. Most peoples who formerly practiced it no longer do so, leaving few individuals able or willing to speak to personal experiences of people-eating. Perhaps because of this, anthropological analyses of cannibalism have tended to focus mostly on the level of societal systems of meaning and symbolism. Cannibalism as praxis is poorly understood. This is particularly striking in the case of mortuary cannibalism: although it is, by definition, a cultural response to a fellow group member's death, we know little about how the socially constituted symbols of mortuary cannibalism relate to emotions and fit into individuals' lived experiences of coming to terms with a relative's death. Wari' recollections offer insights into one people's experiences.
In the anthropology of anthropophagy, mortuary cannibalism has received rather short shrift. The ethnographic and ethnohistorical literatures are dominated by accounts of the exocannibalism of enemies, which has been reported more frequently, and described in more depth, than endo- or mortuary cannibalism. Concomitant with this predominant focus on enemy-eating, universalist theories of cannibalism have tended to interpret anthropophagy as a fundamentally antisocial act. Psychogenic theorists from Freud (1981[1913]) to Sagan (1974) have viewed all forms of people-eating as an expression of individuals' egocentric, oral-aggressive impulses. Recent social anthropological theories also have emphasized themes of antisociality. Lewis (1986:63–77) subsumed endo- and exocannibalism alike under a model in which consumption and ingestion reflect oral and genital aggression, and agonistic desires for dominance. Arens (1979) interpreted cannibalism as a universal symbol of barbarism, otherness, and inhumanity.
Mortuary cannibalism data have a special place in cannibalism studies, for the meanings associated with consuming one's fellows tend to be quite different from the motives for eating enemies. Mortuary cannibalism systems present the greatest potential challenge to interpretations of cannibalism as an antisocial act of aggression and domination, and the few ethnographic studies of mortuary cannibalism have tended to highlight its socially integrative dimensions. Analyses of several Melanesian systems have examined the role of mortuary cannibalism as part of the assemblage of cultural symbols and rituals whereby social groups defined and
reconstituted themselves after a death (Gillison 1983; Lindenbaum 1979; Meigs 1984; Poole 1983). Sanday’s (1986) cross-cultural analysis emphasized the semantic complexity of anthropophagy and showed that cannibalism may symbolize not only evil and chaos but also social order and the regeneration of life-giving cosmic forces.
Recent general theories of mortuary cannibalism have considered only a limited set of cultural motivations, however, and have focused exclusively on ethnographic data from a single region, Melanesia. The diverse Melanesian endocannibalism systems expressed a variety of cultural meanings, but they tended to share in two main ideas: the assumption that cannibalism primarily benefits those who consume human substance; and the notion of an economy of biosocial substance in which cannibalism serves as a means of acquiring body substances, vital energies, or personal attributes contained in the dead person’s corpse and of transferring them to those who eat it. These concepts have been widely assumed to characterize all endocannibalism systems. In the two most recent anthropological syntheses of cannibalism theory, Sanday stated that “[e]ndocannibalism recycles and regenerates social forces that are believed to be physically constituted in bodily substances or bones” (1986:7) and Lewis asserted that “the ritual consumption of parts of the human body enables the consumer to acquire something of the body’s vital energy” (1986:73). Neither interpretation applies to the Wari’ case.
Although both endo- and exocannibalism were widely practiced in lowland South America well into the 20th century (Dole 1974; Métraux 1947:22–25), the Amazonian literature has received little attention in recent North American and British discourse on cannibalism, although it has been of longstanding interest among Brazilian and French anthropologists. Some Amazonian endocannibalism reflected concepts similar to the Melanesian theme of recycling dead people’s energies or attributes (see, for example, Acosta Saignes 1961:161–162; Dole 1974:307; Erikson 1986:198; Reichel-Dolmatoff 1971:138–139), but many South American systems expressed quite different ideas, often involving notions of altering relations between body and spirit or between the living and the dead. Wari’ informants universally denied that their consumption of either kin or enemies had anything to do with recycling substance, attributes, or energies from the dead to those who ate them. They consistently represented cannibalism not as a boon for the eaters of human flesh but as a service for those who did not eat: the deceased and their close kin.
Wari’ mortuary customs reflect complex social and symbolic systems about which a great deal more can be said than is possible in this article. I refer interested readers to the works of other anthropologists who have studied Wari’ society (Mason 1977; Von Graeve 1972, 1989) and the puzzle of Wari’ anthropophagy (Meireles 1986; Vilaça 1989, 1992). Meireles has examined the role of cannibalism in defining self-other relations in the construction of Wari’ personhood and emphasized the symbolism of fire as mediator of human-nonhuman relations. Vilaça presented symbolic-structuralist interpretations of both exo- and endocannibalism, with special attention to affinal relations, festivals, and origin myths related to anthropophagy. Her analysis has focused on Wari’ conceptions of the social universe as structured around oppositions and reciprocal exchanges between predators and prey. Symbolic oppositions between the categories of *wari’* (“we, people”) and *karawa* (“animals”) recur in Wari’ ideology and rituals at multiple levels: humans vs. animals, Wari’ vs. non-Wari’, consanguines vs. affines, the living vs. the dead. Vilaça (1992:291) has emphasized that mortuary cannibalism symbolically associated the dead person with the category of prey and identified the living Wari’ with the category of predators.
My analysis complements Vilaça’s and Meireles’s interpretations by situating cannibalism in relation to three other dimensions of Wari’ experience: social processes of mourning, body concepts, and the regenerative imagery of ancestors’ transformations into animals. To examine relationships among the social, symbolic, and ritual systems, I first describe the ethnographic context and mortuary rites and discuss why the Wari’ case does not fit the major materialist and
psychogenic models proposed to explain cannibalism elsewhere. I then examine social and psychological dimensions of Wari' body concepts to show why the corpse's destruction by cannibalism or cremation was considered essential. Finally, I explore Wari' ideas about human-animal relations that suggest an answer to the question of why the Wari' preferred cannibalism rather than cremation.
**ethnographic context**
The Wari' speak a language in the Chapakuran language family isolate. They entered permanent relations with Brazilian national society between 1956 and 1969, when the former national Indian agency, the S.P.I. (Serviço de Proteção aos Índios), sponsored a series of pacification expeditions that terminated Wari' autonomy. The Wari' now reside in eight major villages in indigenous reserves along tributaries of the Mamoré and Madeira Rivers in the municipality of Guajará-Mirim, Rondônia. Prior to the contact they had no canoes and inhabited interfluvial (*terra firme*) areas of the rain forest, away from the larger rivers. Today, as in the past, subsistence depends on slash-and-burn farming, hunting, fishing, and foraging. Maize is the principal staple crop, and hunting is the most socially valued food-getting activity.
Precontact villages typically were comprised of about thirty people living in several nuclear family households. Contemporary Wari' communities are administered by FUNAI (Fundação Nacional do Índio), the Brazilian government Indian agency, whose policies of population concentration and sedentarization have disrupted traditional settlement patterns and social organization. Today's villages, of 80–400 people, are located at nontraditional sites near major rivers or roads accessible to transportation to town.
Wari' society is staunchly egalitarian, and social relations are characterized by a high degree of flexibility. Leadership is ephemeral; there are no "chiefs," and no formal positions of political authority above the household level. Mason (1977) categorized Wari' kinship terminology as a Crow/Omaha-type system. Wari' kin groups are ego-centered bilateral kindreds; there are no lineages, and no internal segregation based on age grades or ceremonial activities. Precontact postmarital residence was flexible, with couples free to live near either spouse's bilateral kin after initial matrilocal bride service. Of central importance for understanding mortuary customs is the role of affinity as the strongest organizing principle in Wari' society. Alliances among families related by marriage\(^6\) are important in food sharing, mutual aid, funeral duties and, in the past, were one basis for war alliances. Wari' society is by no means conflict-free, but most decision making is consensual, and the general tenor of social relations emphasizes mutuality and reciprocity among kin, affines, and allies.
The precontact Wari' were divided into named, territorially based subgroups (Oro Nao', Oro Eo', Oro At, Oro Mon, Oro Waram, and Oro Waram-Xijein) that were the largest social units with which individuals identified. A subgroup's members were committed to peaceful coexistence and cooperation in warfare and emergencies. Amicable relations among the villages in a subgroup were affirmed and maintained by festival exchanges, including celebrations called *húroroin* and *tamara* that are models for the human-nonhuman alliance exchanges represented in mortuary cannibalism.
After the first peaceful contacts with outsiders were established in the Rio Dois Irmãos area in 1956, government (S.P.I.) agents and New Tribes missionaries witnessed several anthropophagous funerals. Most of the Wari' population entered contact in 1961–62. News of Wari' funerary cannibalism became public knowledge in early 1962, when an S.P.I. agent sold his eyewitness account to a São Paulo newspaper (*Folha de São Paulo* 1962). In response, a competing paper sent journalists to the Rio Negro-Ocaia contact site, where they photographed dismemberment and roasting at a child's funeral (de Carvalho 1962). Brazilian anthropologists and S.P.I. officials convinced the paper not to publish these photographs and attempted to use
the ensuing publicity to call public attention to the tragic situation of the recently contacted Wari' (Cruzeiro 1962:123–125).
Contact with the pacification teams introduced devastating epidemics of measles, influenza, tuberculosis, and other cosmopolitan diseases. Within two or three years of contact, approximately 60 percent of the precontact population was dead. Chronically ill, psychologically traumatized, and unable to hunt or plant crops, the survivors became extremely dependent on outsiders for food and medical care. Missionaries and government agents manipulated this dependency to put an end to cannibalism by threatening to withhold food and medicines from those who continued to eat the dead. They insisted that corpses be buried instead. At each of the three major contact sites, Wari' initially resisted this forced change to burial.
The deadly epidemics, however, created another reason to abandon cannibalism: traditional illness concepts could not explain the unfamiliar maladies, and so people listened when missionaries told them that the new diseases were spread by eating infected corpses. Wari' began burying people who died of illness (the great majority of early postcontact deaths), but, for a while, they continued to cannibalize those whose deaths were attributed to accidents, sorcery, and other nondisease causes. Families carried corpses into the forest, to be roasted away from outsiders' eyes. However, these efforts at deception ultimately failed, and by the end of 1962 or early 1963, nearly everyone had abandoned cannibalism altogether. (The exception was a group of about thirty Oro Mon who lived autonomously until 1969.) Today, all Wari' follow Western customs of burying corpses in cemeteries in the forest.
No anthropologist has witnessed Wari' anthropophagy, and many data presented here are based on retrospective reconstructions. My primary sources are the testimonies of numerous older Wari' who say that they participated in or observed mortuary cannibalism. During two years of medical anthropological field work in 1985–87, I interviewed all 198 families in the communities of Santo André, Ribeirão, Lage, Tanajura, and Rio Negro-Ocaia (85 percent of the total Wari' population). Interviews with adults of both sexes, aimed at collecting genealogies and mortality and morbidity histories, often led to discussions of personal experiences with relatives' deaths and funerals. I observed aspects of contemporary mourning behavior, including ritual wailing and the handling of a corpse, but no one died in a village where I was present, and I attended no burials or complete funerals. Santo André, a community of 190 people, was my principal residence, and I discussed issues treated in this article with all the elders and many middle-aged people there. The most detailed information and insights came from several key informants: three men and two women between ages 60 and 75, two men in their 50s, and a man and woman in their early 40s. Most Santo André residents are descendants of the precontact Rio Dois Irmãos area population, and this article describes this group's practices, which differed only in minor details from other Wari' communities.
The Wari' do not conform to Arens' (1979) assertions that alleged cannibals seldom acknowledge eating anyone and that cannibalism is primarily a symbol of inhumanity and barbarism projected upon enemies, neighbors, and uncivilized "others." Wari' anthropophagy is not merely alleged by outsiders; Wari' themselves freely affirm practicing it in the past, even though they are aware that outsiders consider it barbaric. I found no one who denied that corpses customarily were cannibalized; numerous elders spoke openly of eating human flesh. Independent descriptions of particular funerals were internally consistent and corresponded to reports by New Tribes missionaries and S.P.I. agents who observed cannibalism in the early postcontact period. By any reasonable standards for the documentation of past events not witnessed by an ethnographer, there is no question that the Wari' ate their dead.
traditional funerals
Today, as in the past, funerals generally take place in the house of a senior kinsman of the deceased. The household's sleeping platform (or raised floor) is removed to permit mourners
to crowd together under the palm-thatch roof. Two loosely defined groups have prescribed roles at funerals. The first is the *iri’ nari* (‘true kin,’ or close sanguines and the spouse). Wari’ define consanguinity in terms of shared blood and classify spouses as consanguines by virtue of sexual transfers of body fluids that create shared blood. Between spouses, it is said, “there is only one body” (*xika pe’ na kwere*). Linked to the deceased by shared body substance, the *iri’ nari* are the principal mourners. From the time of biological death until the body is disposed of, they remain nearest the corpse, holding it in their arms and crying.
The second group of mourners, *nari paxi* (“those who are like kin but are not truly related”), most properly consists of the dead person’s own affines and affines of the deceased’s close kin, but the term is extended to include all non-consanguines attending the funeral. Close affines are responsible for the work of funerals: female affines prepare maize *chicha* (a sweet, unfermented drink) and maize *pamonha* (dense, unleavened bread) to feed visitors, and male affines (ideally, the dead person’s brothers-in-law or sons-in-law) serve as messengers summoning people to the funeral. They prepare and dispose of the corpse and funeral apparatus and look out for the welfare of emotionally distraught mourners.
In traditional funerals, the *iri’ nari* sat together, apart from other mourners. In contemporary funerals, the spatial division is less marked, but close kin remain nearest the corpse. All mourners press close together around the body, leaning on each other’s shoulders and wailing. Death wails are of several types, including wordless crying, the singing of kinship terms for the deceased, and a more structured keening called *aka pijim* (“to cry to speak”), in which mourners recount memories of the deceased, singing of shared experiences and the person’s life history, deeds, and kindnesses. (On Amazonian ritual lament, see Briggs 1992; Graham 1986; Seeger 1987; Urban 1988, 1991.) From the moment of death until the funeral’s end, everyone joins in a ceaseless, high-pitched keening that sends a haunting mantra of collective grief reverberating off the surrounding forest.
The dead person’s humanity and social connections are repeatedly affirmed in funeral actions directed at the corpse itself, which is the constant focus of attention. Corpses are never left to lie alone. From the moment of death until the body is disposed of, grieving kin constantly cradle the corpse in their arms, hugging it, pressing their own bodies against it. Desire for physical contact can be so intense that, according to several Santo André residents, there was a funeral a few years ago where the corpse was in danger of being pulled apart by distraught kin struggling to embrace it. Finally, a senior kinsman enforced order by mandating that only one person at a time could hold the body.
Numerous funeral actions express mourners’ self-identification with the dead person’s physical state and desires to join the deceased in death. Any loss of consciousness, such as fainting, is considered a form of death. In one common funeral practice, close relatives “die” (*mi’ pin*) by lying one on top of the other, in stacks of three or four people with the corpse on top. When someone faints from the suffocating press of bodies, he or she is pulled out of the pile and someone else joins the pile, in a process repeated again and again. In a 1986 funeral, people piled into the homemade coffin, embracing the corpse on top.
In traditional funerals, the male affine helpers constructed the ritual firewood bundle and roasting rack. Ideally, these were made of roofbeams, decorated with feathers and painted with red annatto (*urucú, Bixa orellana*). A beam was taken from each house in the dead person’s village, leaving the thatched roofs sagging in visible expression of death’s violation of the community’s integrity. Funerals for infants were less elaborate; regular, undecorated firewood was used. When preparations were completed, the helpers lit the fire, spread clean mats on the ground, and dismembered the body, using a new bamboo arrow tip. Internal organs were removed first, and the heart and liver were wrapped in leaves to be roasted. Body parts considered inedible, including the hair, nails, genitals, intestines, and other entrails, were burned. The helpers then severed the head, removed the brains, cut the limbs at the joints, and
placed the body parts on the roasting rack. Young children’s body parts were wrapped in leaves in the manner used to roast small fish and soft foods.
Several elders recalled that the most emotionally difficult event in a funeral was the moment when the corpse was taken from its relatives’ arms to be dismembered. As the body was cut, wailing and hysterical expressions of grief reached a fevered pitch. Up to this moment, funeral activities had been dominated by mourners’ expressions of physical and affective attachments to the dead person’s body. Dismemberment represented a radical alteration of the corpse and mourners’ relations to it, a graphic severing of the attachments represented in the body. According to these elders, it was dismemberment, not cannibalism, that provoked the most intense emotional dissonance. Once the corpse had been cut, eating it was considered the most respectful possible treatment, for reasons discussed below.
The dead person’s close consanguines (iri’ nari) did not eat the corpse. Consumption of a close consanguine or spouse’s flesh is strongly prohibited, because eating a close relative (with whom one shared body substance) would be tantamount to eating one’s own flesh, or autocannibalism. It is believed to be fatal.\(^{10}\)
The nari paxi, affines and other non-kin, were responsible for consuming the corpse; they are sometimes referred to as *ko kao*’ (“those who ate”). In a married person’s funeral, those who consumed the body typically included the dead person’s spouse’s siblings, spouse’s parents, spouse’s parents’ siblings, and the deceased’s children’s spouses, as well as these individuals’ own close consanguines. Unmarried people typically were eaten by their siblings’ spouses, siblings’ spouses’ siblings, their parents’ siblings’ spouses, and these individuals’ close kin. Thus, Wari’ cannibalized members of the families from which their bilateral consanguines had taken marriage partners. Meireles (1986) noted that cannibalism restrictions generally coincided with incest prohibitions.
Cannibalism was a primary obligation of affinity. Adult men were obliged to eat their close affines; refusal to do so would have insulted the dead person’s family. Women were not required to participate in cannibalism but did so at their own discretion.\(^{11}\) Distinctions of generation, age, or gender were largely irrelevant: male and female adults and adolescents consumed corpses of all ages and both sexes. Men’s and women’s corpses were treated almost identically.
Roasting usually commenced in the late afternoon and eating usually began at dusk. The dead person’s closest kin divided the well-roasted brains, heart, and liver into small pieces, placed the pieces on clean mats, and called the others to begin eating. The affines (nari paxi) did not descend greedily upon the flesh but hung back, crying and expressing reluctance to eat; only after repeated insistence by the dead person’s close kin (iri’ nari) did they accept the flesh. The iri’ nari then prepared the other body parts by removing the flesh from the bones and dividing it into small pieces. They usually arranged these on a mat along with pieces of roasted maize bread (pamonha); in some funerals, they placed the flesh in a conical clay pot and handed pieces to the eaters, cradling the pot in their laps in the affectionate position used to hold someone’s head in repose or during illness. In marked contrast to the aggressive, disrespectful treatment of enemies’ flesh in exocannibalism, funeral eaters did not touch the flesh with their hands but held it delicately on thin splinters like cocktail toothpicks. They ate very slowly, alternately crying and eating. There appears to have been no special significance attached to ingesting particular body parts, and no pattern determining who ate which portions.
The ideal was to consume all of the flesh, heart, liver, and brains; in practice, the amount actually eaten depended on the degree of the corpse’s decay. It is considered imperative that corpses not be disposed of (by cannibalism, cremation, or burial) until all important relatives have arrived at the funeral, seen the body, and participated in the wailing eulogies. The length of time before a body was roasted traditionally varied according to the dead person’s age, status, and social ties: the older and more socially prominent the deceased, the longer the delay in
roasting. Before the contact, when villages were scattered over a wide territory, most adults were not roasted until two or three days after death, when decay was well-advanced.
It was considered important to consume as much flesh as possible. When, however, flesh was too putrid to stomach—as it usually was in the case of adult corpses—the eaters forced themselves to swallow small pieces from various body parts, then cremated the rest. The ideal of total consumption was realized mainly in funerals for infants and young children who, having few social ties of their own, were roasted within a day or so of their deaths and eaten entirely. Complete consumption also appears to have occurred for some terminally ill elders whose relatives gathered and commenced wailing long before biological death. In most adult and adolescent funerals, however, most of the flesh probably was burned rather than eaten.
Consumption of the corpse continued until dawn, at which time any remaining flesh was cremated. Treatment of bones varied. Sometimes they were ground into meal, mixed with honey, and consumed. In other cases, especially in the Rio Dois Irmãos area, the bones were burned, pulverized, and buried. In all cases, the clay pots, mats, roasting rack, and funeral fire remains were burned, pounded to dust, and buried in situ by the male affine helpers. The helpers then swept the earth to eradicate all traces of the funeral and replaced the household sleeping platform over the spot where the ashes were buried.
the question of human flesh as food
Before examining what motivated Wari' mortuary cannibalism, it is useful to clarify what did not. The idea that institutionalized cannibalism may be motivated by needs for dietary protein was proposed by Harner (1977) to explain Aztec human sacrifice and has been elaborated by Harris (1977, 1985:199–234). Wari' practices involved the ingestion of significant quantities of flesh and ground bones, and the adults who consumed them would have gained some nutrients, notably protein and calcium. Two factors nevertheless militate against a materialist interpretation of the Wari' system.
First, there is no reason to assume that the precontact population suffered significant food shortages. Wari' controlled a large territory with low population density and abundant game, fish, and Brazil nut resources. Elders assert that hunger was infrequent, although then, as now, there were days without meat or fish. Missionaries present at the first contacts observed no signs of malnutrition, and the assumption that the precontact Wari' did not suffer protein shortages is consistent with biomedical studies of similar groups. Although protein-scarcity hypotheses were hotly debated in Amazonian cultural ecology from the late 1960s through the early 1980s, researchers have never documented protein deficiency in relatively undisturbed native Amazonian populations living in circumstances similar to the precontact Wari'. On the contrary, studies have found adequate or more than adequate protein intake (Berlin and Markell 1977; Chagnon and Hames 1979; Dufour 1983; Milton 1984). My own data on household diets in two communities, and anthropometric assessments from four communities, indicate that contemporary Wari' diets are generally adequate, even with the depletion of game and fish near today's larger, more sedentary villages.
A second argument against nutritional motivations for Wari' cannibalism is that much potentially edible flesh was burned rather than eaten, with no attempt to preserve it for later consumption. Even in cannibalizing enemies, Wari' did not maximize protein acquisition: warriors usually took only the head and limbs, discarding the fleshy trunk. Clearly, social considerations took precedence over biological functionalism in shaping Wari' practices.
the question of hostility
Interpretations of cannibalism as an act of hostility are a staple of Western psychoanalytic theory (see Freud 1981[1913]; Sagan 1974), and the fact that Wari' ate their affines raises the
question of whether cannibalism expressed or mediated affinal tensions. Like Freudians, Wari' recognize that eating can express hostility, as it did in the aggressive consumption of enemy flesh. My informants, however, universally rejected the notion that mortuary customs expressed any form of overt, covert, or displaced hostility. They insisted that hostility has no place at funerals; individuals on bad terms with the deceased are barred from attending, as reportedly happened a few years ago when a man was ordered away on the grounds that "you did not love him, it is not good that you come here." In addition, Wari' emphasized that funeral "table manners" sharply differentiated affinal cannibalism from acts of eating that did express aggression. As discussed below, eating has multiple cultural connotations and can express respect for that which is eaten.
Sagan (1974:28) has dismissed the possibility of cannibalism as an act of respect or compassion for the deceased, asserting that such ideas are a mere facade for covert ambivalence, hostility, and sadistic urges rooted in resentments against the dead for having abandoned the living.\(^{12}\) It is difficult to assess, retrospectively, the question of whether Wari' mortuary cannibalism expressed aggression or hostility, but Wari' practices and discourse on cannibalism offer little support for this interpretation. Affinal tensions appear no greater among the precontact Wari' than in many noncannibalistic societies. Wari' express few expectations of inherent affinal conflict; ideally, and to a large extent in practice, they treat affinity as a matter of amity and mutually beneficial reciprocity. Today, as in the past, most marriages are arranged or approved by the families involved, who are careful to establish and perpetuate ties only to families with whom they enjoy positive relations. Affines call each other by consanguineal kin terms (Vilaça 1989:41–45), exchange meat and fish frequently, and offer aid in emergencies. When conflicts among affines arise, there are cultural mechanisms for dealing with them, including ritual fights (*mixita*) and discussions between family heads.
**affinity and exchange**
Vilaça has emphasized the importance of mortuary cannibalism as a marker of Wari' affines' relations to one another: "The funeral rite . . . reveals, through the opposition between those who eat together [*comensais*] and those who do not [*não-comensais*], the opposition cognates/affines. In the interior of Wari' society, cannibalism constructs and identifies affinity" (1992:293).
Vilaça (1992:293) also observed that Wari' affinal cannibalism reflected a recurrent theme in South American mythology, identified by Lévi-Strauss in *The Raw and the Cooked* (1969): the characterization of affines (the "takers" of women) as real or potential cannibal prey. Besides the Wari', the Yanomami also practice affinal cannibalism, consuming their affines' ground bones (Albert 1985). Sixteenth-century Tupinambá exocannibalism involved another kind of affinal cannibalism: a war captive was married to a Tupinambá woman (making him an affine to her kin) before being killed and eaten (Staden 1928[1557]). In the cosmology of the Araweté of central Brazil (who bury their dead), cannibalism is seen as a transformative mechanism for creating affinal ties between humans and divinities: when Araweté die, the gods consume the human spirits (making them into beings like themselves), then rejuvenate and marry them (Viveiros de Castro 1992). Viveiros de Castro has observed that among the Araweté, Tupinambá, Yanomami, and Pakaa Nova (Wari'), cannibalism "links affines or transforms into affines those whom it links" (1992:259).\(^{13}\)
Wari' affinal cannibalism might suggest a Lévi-Straussian model of exchanges of cooked meat (human flesh) for "raw" (virgin, fecund) women given in marriage (Lévi-Strauss 1969). As in many societies, eating is a Wari' metaphor for sexual intercourse, and there are obvious parallels between affinal exchanges of human flesh in funerals and the frequent exchanges of meat (which men give to female affines) and fish (which women give to male affines) that mark affinity in
everyday life. From a structuralist perspective, Wari' mortuary cannibalism resonates with exchanges of meat and marriage partners, but Wari' do not see it that way. Everyone with whom I raised this issue rejected an equation of cannibalism with exchanges of sexual partners or food; some found the suggestion insulting. Sexual and reproductive imagery has little place in Wari' mortuary practices, in marked contrast to its prominence in many other societies' mortuary rites (Bloch and Parry 1982), and in Melanesian endocannibalism practices linked to elaborate ideas about male and female body substances (see Gillison 1983; Poole 1983).
From an emic point of view, what was important in cannibalistic Wari' funerals was not the exchange of substance (human flesh) but the exchange of services. Disposal of the body is a primary obligation of affinity, a service performed out of respect for the dead person and his or her family. When asked why it was the affines who ate the corpse, Wari' elders invariably replied that the affines ate it because somebody had to eat it, and the dead person's consanguines (iri'nari) could not do so (because of the prohibition against eating the flesh of someone related to oneself by shared biological substance). In addition, a number of people asserted that one simply does not feel like eating anything when grieving intensely. Eating, particularly meat-eating, expresses happiness and social integration. Symbolic oppositions between sadness and oral activity (eating, drinking, singing, shouting) are numerous: adults eat little during close kin's illnesses, consume nothing at their funerals, and eat little while mourning. People considered it irrational to suggest eating flesh at a close relative's funeral.
By Wari' logic, these cultural assumptions definitively precluded cannibalism by consanguines. The task thus fell to affines, who were the only clearly defined social group that had close social ties to the dead person's family but did not share their intimate biological and affective ties to the deceased. Affinal cannibalism was a matter of pragmatism.
It was also a matter of politics. Mortuary services are central in marking, strengthening, and reconstituting affinal ties after a death. Funerals draw extended families together as does no other event, and they are the most prominent occasion (aside from mixita fights) when affines act as discrete groups in complementary opposition to one another. In fulfilling mortuary obligations, including disposal of the corpse, Wari' families linked by marriage affirm continuing commitments that transcend the lifetime of any individual member.
If one accepts this indigenous view of the disposal of corpses (whether by burial, cannibalism, or cremation) as a service rendered to the family of the deceased, assigning this task to affines does not appear particularly unusual cross-culturally. In native Amazonian societies, affines perform burial and other funeral duties among the Cashinahua (Kensinger, in press), Canela (W. Crocker, in press), and Shavante (Maybury-Lewis 1974:281). Among the Mundurucú (Murphy 1960:72) and Kagwahiv (Kracke 1978:13), these tasks fall to members of the opposite moiety, the group from which the dead person's moiety takes marriage partners. Wari' mortuary cannibalism fit this pattern of delegating mortuary tasks to affines and reflected the associations between affinity and cannibalism found in other lowland South American societies' myths and cosmologies. But this does not explain why Wari' actually ate their affines, whereas other peoples with similar conceptual systems did not. In this article, the question to be addressed is not why the Wari' ate their affines, but why cannibalism was the preferred treatment for human corpses.
eating as an act of respect
Pleasing the dead by consuming their bodies is a recurrent theme in Wari' discussions of mortuary cannibalism: the dead wanted to be eaten, or at least cremated, and not to have done either would have given offense. For dying individuals, the idea of being incorporated into fellow tribesmembers' bodies apparently had considerably more appeal than the alternative of being left to rot in the ground alone. One man told of his great-aunt (FZ) who, on her
deathbed, summoned him and his father (normally expected to cry rather than eat at her funeral) and asked them, as a favor, to join in consuming her body. In contrast to Western views of eating as an act of objectification and domination of the thing consumed, eating can express respect and sympathy in Wari’ culture, especially in contrast to the alternative of burial. The ground is considered “dirty” and polluting. Adults who take pride in their bodies do not sit in the dirt, ritual objects must not touch the earth, and people avoid spilling food on the ground. These values influence attitudes towards burial in the earth, which informants often described as not only dirty, but also “wet” and “cold.” Respectful treatment for human remains is dry and warm; the only traditional space for respectful burial was beneath household sleeping platforms, where small fires burned almost constantly, keeping the earth warm as well as dry. This is where funeral ashes were interred in the past and where placentae and miscarried fetuses continue to be buried. Before the contact, burial in the forest expressed dishonor and normally occurred in only one context: if a woman suffered multiple stillbirths or neonatal deaths, her family might request a male affine to bury her dead infant in an anthill or in wet earth beside a stream to discourage her future babies from dying and risking similarly unpleasant treatment.
In contrast to the disrespect manifest in burial, eating can be a sympathetic act, as shown in this story about the Maize Spirit (*Jaminain Mapak*) told by a Santo André man. The story explains why one should not leave maize lying on the ground:
Long ago, a man was walking to his field carrying a basket of maize seeds to plant. A maize kernel fell to the ground on the path. The man did not see it and went on. The maize seed began to cry like a child. Another man came along and found it crying on the ground. He picked it up and ate it. In doing so, he saved it, showing that he felt sympathy [*xiram pa*] for it. The man who ate the seed planted his field and it yielded great quantities of maize. The man who had left the seed on the ground planted his field, but nothing grew.
This parable demonstrates Wari’ ideas that abandoning a spirit-being to lie on the forest floor connotes disrespect, whereas eating it expresses respect. Eating can be an act of compassion that pleases the thing consumed so that it bestows abundance on the eater.
Similar ideas about eating as an expression of respect for the eaten are evident in food taboos associated with *jami karawa*, animals whose spirits have human form (see Conklin 1989:336–350). Spirits never die, and when a hunter kills a jami karawa animal, its spirit assumes a new animal body. However, animal spirits cannot complete their transitions to new physical bodies as long as portions of their former bodies remain. To avoid provoking spirits’ wrath, one must quickly roast and eat jami karawa. Animal spirits are offended by the killing and disrespectful treatment of their bodies, not by the eating of their flesh. On the contrary, eating demonstrates respect, especially in contrast to the alternative of abandoning uneaten body parts on or in the ground.
Several funeral customs expressed these values of honoring the dead by preventing their body substances from being lost to the earth. When corpses were cut, a close kinsman of the deceased sometimes lay face down, supporting the corpse on his back during the butchering, so that its fluids would spill onto his own body rather than onto the ground. Similarly, elders recalled that young children’s corpses had much fat that dripped as they roasted; to prevent it from falling into the fire, a child’s grieving parents and grandparents would catch the fat in a clay pot and smear it over their own heads and bodies as they cried. Mortuary cannibalism expressed similar compassion for the dead by saving their body substances from abandonment to the earth and, instead, incorporating them into a living person’s body.
In the early postcontact period, many Wari’ found the forced change to burial repulsive. One Santo André man told of his father’s death, which occurred soon after outsiders had put an end to cannibalism. Unhappy with the prospect of being buried, the dying man requested that, as an approximation of traditional practices, his corpse be dismembered and the pieces placed in a large ceramic cooking pot to be buried by his affines. Even today, burial continues to be a source of covert dissatisfaction among some elders, who still view burial as a less loving way
to treat a human body than cannibalism or cremation. They consider the body's persistence problematic for close kin, whose attachments to the dead require attenuation and transformation.
**attachments to the socially constructed body**
Wari' view the human body as a primary nexus of kinship, personhood, and social relations. Kinship is defined as physically constituted in shared body substance (especially blood) that is created by parental contributions to conception and gestation and augmented by interpersonal exchanges of body fluids. As individuals mature, each major change in social status (at female puberty, male initiation, marriage, childbirth, enemy killings, and shamanic initiation) is believed to involve corresponding changes in blood and flesh induced by incorporating another individual's body substances (Conklin 1989:177-239). As in numerous other lowland South American societies, ideas about the physical bases of social relatedness reflect heightened recognition of individuals' interdependence as social actors (see J. Crocker 1977; da Matta 1979:105; Melatti 1979:65-68; Seeger et al. 1979; Turner 1980). Interpersonal attachments are conceived as shared physical substance that links individual body-selves in an organic unity transcending the boundaries of discrete physical forms.
Not only are kinship and social status physically constituted, but many cognitive and emotional processes are conceptualized as organic changes in the heart and blood, and behavior is considered to be rooted in the body (see Kensinger 1991 on similar concepts among the Cashinahua). This is reflected in the term *kwerexi',* which means "body" or "flesh" but also means "custom," "habit," and "personality." A stock Wari' response to the ethnographer's plea to know "Why do you do that?" is a shrug and the phrase *'Je' kwerexi'," "Thus is our custom," or, translated literally, "Thus are our bodies (or flesh)." Wari' consider spirits to have few personality qualities, and they account for individual behavioral differences mostly with reference to differences in body substance, not differences in mind or spirit. Peoples' habits, eccentricities, and personality quirks are explained with "His flesh is like that" (*Je' kwerekun*) or "That's the way her body is" (*Je' kwerekem*). The phrase is not merely metaphorical but reflects ideas of the physical body as a major locus of personal identity.
Westerners tend to assume that, with death, the loss of spirit or consciousness takes away most of a person's important qualities and leaves behind an empty, almost meaningless, body shell. In contrast, Wari' corpses are potent embodiments of identity, social relations, and interpersonal bonds. Body transformations were a primary symbolic focus in traditional mortuary rites that aimed to restructure relations between the dead and the living.
**detachment and destruction**
Gradual detachment from thinking about and remembering the dead is considered a desirable social goal, for prolonged sadness (*tomi xaxa*) is believed to endanger individual health and productivity. The negative psycho-emotional process of grieving is described with the verb *koromikat,* which refers to the negative experience of nostalgia: missing, remembering, and thinking longingly about a lost or distant object (usually a kinsperson, lover, or friend). Wari' emphasize vision and hearing as primary sources of knowledge and stimuli to memory. Because the sight of material objects evokes memories, they consider it essential to destroy or transform all tangible reminders of the dead. They burn a dead person's house and personal possessions and burn, discard, or give away crops planted by the deceased. Less-easily destroyed modern possessions, such as kettles, machetes, and shotguns, usually are given to nonrelatives. Neighbors often change their houses' appearance by altering doorways and paths, and close
kin cut their hair. People traditionally have avoided using dead people's names or kin referents, although in speaking to outsiders they have recently relaxed name avoidances.
The cultural rationale for these practices reflects two concerns: banishing ghosts, and removing stimuli that evoke memories of the dead.\textsuperscript{16} Vilaça has noted:
According to the Wari', the destruction by fire of all reminders of the deceased is, in the first place, a protection against the sadness that is felt upon seeing something that belonged to the deceased or that was touched, used or made by him; but it is also a way to avoid the coming of the ghost. [1992:228]
These dual concerns are consistent with the two primary objectives identified in cross-cultural analyses of death rites: to remove the deceased from the world of the living to the symbolic world of the dead, and to facilitate survivors' acceptance of the death and the consequent alteration of social life without the dead person (Bloch and Parry 1982:4). With regard to separating the dead from the living, the destruction of material traces is believed to lessen the tendency of ghosts (\textit{jima}) to return to earth. Jima generally do not cause illness, but they do frighten people, and, in the days following a death, the jima of the recently deceased may try to carry kin away for companionship in death. Destroying possessions and altering appearances confuse jima so that, unable to find their former homes and companions, they return to the otherworld of the dead. Some people also suggested that the smoke surrounding roasting corpses obscured and confused the vision of jima who returned during their own funerals.
Banishing spirits, or liberating spirits from their physical bodies, has been cited as a motive for cannibalism in some other lowland South American societies (Albert 1985; Clastres 1974:316; Dole 1974:306; Ramos 1990:196; Zerries 1960). Meireles asserted that the explanation for Wari' cannibalism was "based in the idea that the dead person's soul must be banished, at the risk of afflicting the living" (Meireles 1986:427). Vilaça (1992:233, 243, 262) has interpreted roasting as a dissociative mechanism required for spirits' liberation from their bodies and full transition to the afterlife.\textsuperscript{17} This idea is clear in Wari' food taboos that require quick consumption of certain game animals to liberate the animal spirits from their bodies (Conklin 1989:345–346; Vilaça 1992:70), but it appears to be of limited relevance in explaining cannibalism. None of my informants spontaneously suggested that eating the dead liberated spirits or prevented their return. Rather, when asked if it had that effect, some agreed that it might. Others insisted that cannibalism had nothing to do with banishing spirits. As evidence, they cited the fact, which no one disputed, that the ghosts (jima) of people who are buried today do not return to wander the earth any more frequently than those who were cannibalized or cremated.
As Vilaça (1989:378) noted, the desire to dissociate body from spirit fails to explain the preference for cannibalism over cremation, except insofar as Wari' view the acts of cooking and eating as implicit in the act of making fire.\textsuperscript{18} Because Wari' view cremation and cannibalism as equally effective in separating spirits from their bodies and from the world of the living, the preference for cannibalism must be explained in other terms.
\textbf{remembering and the body}
Wari' discussions of reasons for destroying corpses and possessions emphasized the need to remove reminders in order to help mourners stop dwelling on thoughts of the dead. In a cross-cultural study of grief and mourning, Rosenblatt et al. suggested that tie-breaking and "finalizing" acts (such as ghost fears, taboos on names of the dead, and destruction of personal property) facilitate survivors' transitions to new social roles:
[I]n a long-term relationship such as marriage, innumerable behaviors appropriate to the relationship become associated with stimuli (sights, sounds, odors, textures) in the environment of the relationship. When death . . . makes it necessary to treat the relationship as ended and to develop new patterns of
behavior, these stimuli inhibit the change, because they elicit old dispositions. To facilitate change, tie-breaking practices that eliminate or alter these stimuli seem to be of great value. [1976:67–68]
Battaglia has highlighted the cultural value ascribed to acts of “forgetting as a willed transformation of memory” (1991:3) in Melanesian mortuary rites that transform materially constituted aspects of the dead person’s former social identity and replace them with new images. The importance that Wari’ ascribe to the destruction of reminders and processual alteration of memories and images of the dead was evident in the ritual called *ton ho’* (“the sweeping”), practiced today in an attenuated form (see Vilaça 1992:227–229; for parallels among the Canela, see Crocker and Crocker 1994:121). For several months after a death, senior Wari’ consanguines, especially kin of the same sex as the deceased, make repeated trips to the forest to seek out all places associated with the dead person’s memory: the place where a hunter made a blind to wait for deer, sites where a woman fished or felled a fruit tree, a favorite log where the dead person liked to sit. At each spot, the kinsperson cuts the vegetation in a wide circle, burns the brush, and sweeps over the burned circle. Elders said that, while doing this, they thought intensely about the dead person, recalling and honoring events of his or her life. Afterward, the burning and sweeping have definitively altered sentiments associated with each place so that “there is not much sadness there.”
The imperative to destroy tangible elements traditionally extended to the corpse itself. Given the strength of Wari’ ideas about the body’s social construction and the physical bases of social relatedness, it is understandable that corpses are powerful reminders. A number of individuals commented that today, when people are buried rather than eaten, their thoughts return again and again to images of the body lying under its mound of earth. A Santo André father who had recently buried a young son tried to explain this to me, saying:
I don’t know if you can understand this, because you have never had a child die. But for a parent, when your child dies, it is a very sad thing to put his body in the earth. It is cold in the earth. We keep remembering our child, lying there, cold. We remember and we are sad. In the old days when the others ate the body, we did not think about [koromikat] his body much. We did not think about our child so much, and we were not so sad.
The emotional potency of mourners’ subjective attachments to the dead and their physical bodies is one of the keys to understanding Wari’ cannibalism.
In traditional funerals, mourners’ dramatic manifestations of physical identification with the dead person’s body were followed by a dramatic sundering of these bonds, beginning with the corpse’s dismemberment. Cutting and roasting or cremating the body initiated a processual disassembling of physical objectifications of social identity and social relations. Although Wari’ considered cannibalism and cremation equally effective ways of severing ties between human bodies and spirits, they considered cannibalism more effective in attenuating affective attachments. Cannibalism initiated and facilitated the construction of a new relationship between the living and the dead by evoking images of the dead person’s regeneration in animal form, and human-animal reciprocity, in which endocannibalism was the mythic balance to human hunting.
**predation and reciprocity**
Wari’ myth traces the origin of endocannibalism to the establishment of mutual predator-prey relations between hunters and animals. A story called *Pinom* is a variation of a widespread Amazonian mythic theme of the origins of cooking fire (see, for example, Lévi-Strauss 1969; Overing 1986; Wilbert and Simoneau 1990:111–133). (For analysis of the Wari’ *Pinom* myth, see Meireles 1986; Vilaça 1989, 1992.) The Wari’ version tells how mortuary cannibalism originated as the consequence of the theft of fire, which originally was possessed by an avaricious old woman who ate children raw. Violating Wari’ principles of egalitarian sharing,
this cannibal-crone let people temporarily use her fire only in exchange for large payments of firewood and fish. Without fire, Wari’ could not farm, could not roast and eat maize or fish (most game animals did not yet exist), and had to subsist on raw forest fruits and hearts of palm.
Finally, two boys managed to outwit the old woman and steal her fire. They and the other Wari’ escaped by climbing a liana into the sky, but the old woman pursued them. At the last moment, a piranha came to their rescue and cut the vine. The cannibal-crone fell into her own fire below, and from her burning body emerged the carnivores: jaguars, ocelots, and *orotapan* (an unidentified carnivore, probably wolf or fox). In Wari’ cosmology, jaguars not only kill and eat humans but also transform themselves into other animal spirits that cause illness by capturing and eating human spirits. Other animals, including birds, monkeys, deer, and tapir, originated when the Wari’ turned into animals in order to jump from the sky back to earth, and some decided to remain animals. People and animals thus share a common origin. The myth highlights Wari’ ideas about the balance of human-animal opposition: game animals came into existence, but people became prey for jaguars and animal spirit predators.
The origin of endocannibalism is attributed to parallel events in this myth’s second part. The two boys turned into birds to carry the fire to earth, but a man named Pinom killed them and selfishly kept the fire to himself. Others could only watch hungrily while Pinom’s family alone was able to cook food. Finally, a shaman tricked Pinom, captured the cooking fire, and shared it with everyone, thereby allowing the Wari’ to become a hunting and farming society. Outwitted and enraged, Pinom told the Wari’: “Now you will have to roast your children!”
This is interpreted as the mythic origin of endocannibalism, even though Pinom did not specify eating the dead, or affines’ roles in it. Although most Wari’ are now familiar with Christian concepts of sin and retribution, no one interpreted Pinom’s dictum as a terrible punishment for human misdeeds. Instead, informants saw endocannibalism as a natural balance to humanity’s acquisition of fire: the price for gaining fire to roast (and eat) animals was to be roasted (and eaten) oneself.
Reciprocity in relations between humans and animals is a common cross-cultural concept, especially among native American peoples whose survival depends on hunting and fishing. Sanday identified this idea as a recurrent theme in native North American myths about the origins of cannibalism and suggested that it reflected the following logic: “There is a reciprocal relationship between the eater and the eaten. Just as animals are hunted, so are humans; whoever wants to get food must become food” (1986:38–39). Notions of balanced, reciprocal, human-animal predation are central in Wari’ cosmology and eschatology. Mortuary cannibalism reflected ideas of a human-nonhuman alliance predicated on reciprocal predation between living people and the spirits of animals and ancestors.
**afterlife and alliance**
In Wari’ visions of the afterlife, the spirits of the dead reside under the waters of deep rivers and lakes. The ancestors appear as they did in life, but everyone is strong, beautiful, and free of deformity, disease, and infirmity. The ancestors’ social world resembles precontact Wari’ society, with villages, houses, fields, and intervillage festival exchanges. Life is easy and crops grow abundantly, but all food is vegetarian; there is no hunting or fishing because all animals have human forms underwater.
In this underworld, the Wari’ ancestors are allied and intermarried with a neighboring indigenous group called “Water Spirits” (*jami kom*). The Water Spirits appear human, but they are not Wari’ ancestors and have never lived on earth as ordinary people. Rather, they are primal forces that control human death, animal fertility, and destructive storms. Their leader is a giant with huge genitalia named Towira Towira (*towira* means “testicle”), who resembles the masters of animals and other mythic figures common in lowland South American cosmologies.
(see, for example, Reichel-Dolmatoff 1971:80–86; Zerries 1954). Towira Towira is master of the entire underworld; all its inhabitants, including Wari’ ancestors, are called jami kom.
Wari’ believe that when ancestral spirits emerge from the water, they assume the bodies of white-lipped peccaries (*Tayassu pecari*), a wild, pig-like animal that roams in large herds.\(^{21}\) In everyday speech, *jami mijak*, “white-lipped peccary spirit,” is one of the most common ways of referring to the dead. The nonancestral Water Spirits (Towira Towira’s tribe) also can become white-lipped peccaries but more commonly appear as fish, especially as masses of small, easily killed fish that appear unpredictably in the flooded forest’s shallow waters.
The Wari’ cosmological system reflects a typically Amazonian view of cycles of reciprocal transformation and exchange between humans and animals (see, for example, Pollock 1992, in press; Reichel-Dolmatoff 1971). What is unusual about the Wari’ case is that it links these ideas to an elaborate system of real cannibalism, framed in terms of symbolic and psychological rationales not previously examined in the mortuary cannibalism literature.
At the core of Wari’ spiritual concerns is the idea of an alliance between Wari’ society and the Water Spirits (comprised of both Wari’ ancestors and Towira Towira’s tribe). This is envisioned as a cyclic festival exchange identical to the earthly húroroin and tamara festivals that affirm and reproduce amicable relations among Wari’ villages. These alliance-marking rituals are structured around dramatizations of antagonistic oppositions between a host village and visitors from another community. Húroroin culminate in the hosts’ symbolic killing of male visitors by inducing an unconscious state called *itam* that is explicitly equated with death by predation (hunting or warfare).\(^{22}\) The hosts revive the visitors from this “death” with a warm water bath, symbol of birth and rebirth. Revival of the slain “prey” distinguishes this “killing” by *itam* from mere hunting or warfare. In a process parallel to shamanic initiation (in which an animal spirit kills and revives the initiate), the húroroin festival’s symbolic killing and revival create a bond between the killer and the killed, such that the two transcend their opposition and become allies. Role reversals are inherent in festival exchanges: the first party’s visitor/prey usually later sponsor a festival at which the first party’s host/killers become the visitor/prey who are “killed.”
Wari’ relations with the Water Spirits are conceived in identical terms, as festival exchanges in which the terrestrial and underwater societies alternate in the roles of predators (hosts) and prey (visitors), enacting a reciprocity reducible to an eminently egalitarian proposition: “We’ll let you kill us if you let us kill you.” The Water Spirits fulfill their side of this arrangement by visiting earth as white-lipped peccaries and fish that sing tamara songs, dance, and allow Wari’ to kill and eat them.\(^{23}\) Wari’ reciprocate at the moment of biological death, when human spirits allow themselves to be killed by the Water Spirits. This occurs when a dying person’s spirit (jami-) journeys to the underworld and becomes a guest at the húroroin party that is always in progress there. The hosts, Towira Towira and his wife, offer maize beer. If the spirit accepts, it enters *itam* and “dies” underwater; on earth, the person’s physical body dies. As in terrestrial alliance festivals, Towira Towira later bathes the spirit and resuscitates it. He then paints it with black *genipapo* dye (*Genipa americana*), marking the dead person’s new identity as a Water Spirit.\(^{24}\)
Each society benefits from this arrangement. Humans provide the Water Spirit society with new members who marry and bear children, enhancing the reproduction of Water Spirit society. The Water Spirits provide the living Wari’ with life-sustaining animal food. For Wari’, this exchange not only reproduces the primary human-nonhuman relations of their cosmology but also promises an enhancement of ecological resources important to their subsistence. White-lipped peccaries and fish are the only food animals encountered in dense concentrations in this environment; aside from the scarce and easily over-hunted tapir, they can yield the greatest quantities of animal food in return for the least expenditure of time and effort. Although they are relatively easy to kill when encountered, their appearance is highly unpredictable.\(^{25}\) Given
this combination of uncertainty and high potential productivity, it is not surprising that Wari’ rituals focus on enhancing relations with peccaries and fish.
The mythic origin of the Wari’ alliance with the Water Spirits is recounted in a story called *Orotapan*, which tells of how Wari’, who used to be the Water Spirits’ prey, became their allies instead. As allies, they gained the right to kill Water Spirits (as peccaries and fish) in return for submitting to being killed by them (at the time of biological death) and subsequently hunted, as peccaries, by the living. Three elements central to Wari’ socio-ecological security originated in this myth: the festivals of intervillage alliance that ensure peace among neighbors, humans’ postmortem transformations to peccaries (which ally the human and the nonhuman), and the songs that summon peccaries and fish to earth.
In the story of *Orotapan* (see note 26), the power to hunt and eat the ancestors/Water Spirits (as peccaries and fish) is balanced by humans’ destiny to become peccaries to be hunted and eaten. This is a reprise of themes from the myth of *Pinom*, in which the power to hunt and eat animals was balanced by the imperative for humans to become meat to be eaten, as corpses consumed in endocannibalism. Whereas the *Pinom* story emphasizes the primal balance between human and animal predation, the myth of *Orotapan* concerns the creation of cultural institutions that transform potentially antagonistic, antisocial, predator-prey relations into cooperative, security-enhancing alliances. The alliance festivals’ symbolic predation substituted for the real killing and eating of humans by animals in a precultural era. By accepting this human place in the universe, alternating between the position of eaters and the eaten, Wari’ gained the animal spirits’ powers of predation.
The power to summon their ancestral/Water Spirit allies to come to earth as animals is at the core of the sacred in Wari’ life. In a precontact ritual that continues today in at least one community, villagers gather at night, before communal hunting or fishing expeditions, to sing the songs from the *Orotapan* myth that invite the Water Spirits to earth. People avoid speaking of this music’s power; I learned of it only because, after the one occasion when I heard the spirit-summoning songs sung collectively, the peccaries appeared early the next morning for the first time in several months. The herd passed just outside the village, and nine white-lippeds were killed—three times as many as on any day in the previous two years at Santo André. The entire community ceased work to feast on this bounty of meat, a tangible embodiment of the human-nonhuman alliance.
**hunting the ancestors**
In contrast to Durkheimian views of death as a rupture in the social fabric to be mended, native Amazonian systems often treat death, not as discontinuity, but as essential for the continuation of social life (Viveiros de Castro 1992:255; see Graham 1995). The Wari’ case offers a prime example of death treated as a creative moment, a productive context for extending and renegotiating social ties that regenerate the cycle of human-animal exchanges.
Human death is necessary to the reproduction of the peccaries and fish upon which Wari’ subsistence and survival depend, and the perpetuation of Wari’–Water Spirit cooperation depends on the bonds of affection that link the recently deceased to their living kin. Only the recently dead, who still remember their terrestrial kin and are remembered by them, maintain active exchange relations with the living. The spirits of the recently dead send or lead the peccary herd to their living relatives’ hunting territories, or send their allies, the fish. When ancestors appear as peccaries, they approach hunters who are their own kin and offer their bodies to be shot to feed their living relatives. Before butchering, a shaman is supposed to look at each peccary carcass to identify the human spirit inside. Today, people are lax about this; sometimes shamans are summoned to view peccaries, sometimes they are not. A peccary spirit
usually is identified as being a close consanguine, or occasionally an affine, of the hunter who shot it.
Wari' see nothing odd about hunting their own relatives, as I learned from a conversation that took place the day after two white-lipped peccaries were slain. An elderly shaman was chatting with a young widower still saddened by his wife's death two years earlier. The shaman mentioned that he had talked to the roasting peccaries (who were killed by the deceased wife's patrilateral parallel cousin) and that one turned out to be the dead wife. "Is that so?" responded the young man. "Is it all right in the water?" "She's fine," the shaman replied. "With the peccaries, she took a peccary husband and has a peccary baby." "That's nice," was the widower's only comment.
Eavesdropping while eating fruit nearby, I nearly choked. "Hey!" I exclaimed. "Doesn't that make you sad? Aren't you sad that your wife's cousin killed her yesterday and that you ate her today?" The young man looked perplexed at my outburst, then replied, "No; why should I be sad? He just killed her body; she isn't angry. Her children are eating meat. It doesn't hurt her; she just will have another body. Why should I be sad? The ancestors are happy that we have meat to eat."
To Wari', the idea that some of the animals they eat are beloved kin is neither morbid nor repulsive, but a natural extension of familial food giving, a concrete manifestation of the ancestors' continuing concern for their families on earth. There are numerous stories of encounters with peccaries that were interpreted as gifts of food sent by specific ancestors. One man told me that in the 1970s, when his mother was dying, she told her family that she would send the peccaries three days after her death. True to promise, on the third night, the herd thundered into the village, stampeding under elevated houses, sending women and children screaming while men scrambled for their shotguns. Most deaths are not followed by such immediate drama, but all peccary killings are potentially interpretable as visits from the ancestors. Each new death strengthens and reproduces the Water Spirits' ties to the world of the living.
**final rites**
The positive image of the ancestors' regeneration as animals was the central theme of the traditional sequence of mourning rites. The dead person's integration into Water Spirit society is seen as a gradual process: while the spirit is adjusting to life in the underworld, earthly survivors are adjusting to life without the deceased. The full realization of these processes traditionally was marked by a ritual hunt called *hwet mao*, meaning "the coming out" or "the reappearance." In the Rio Dois Irmãos area, it was last observed two decades ago.
Mourning is a period of attenuated sociality. Mourners withdraw from most productive activities and social interactions, do not sing, dance, or attend parties, and spend a great deal of time inside their houses. They farm, hunt, and fish less than usual, and, consequently, eat little meat. Hwet mao marked the transition back to full engagement in social life. When senior kin decided that it was time for mourning to end (typically about a month or two before the anniversary of the death), the family departed for an extended hunt deep in the forest. They killed as much game as possible and preserved it on a huge roasting rack over a smoky, slow-burning fire. It was considered especially important that certain animals present themselves to be killed as evidence of positive relations between the Wari' and their nonhuman allies. An encounter with the white-lipped peccaries could indicate that the deceased was fully integrated into life in the afterworld and, remembering loved ones on earth, had sent the herd to feed them.
At the full moon, the hunting party returned home carrying large baskets laden with game. The mourners painted their bodies for the first time since the death and made a ritual entrance
into the village, ideally at the time of day when the deceased had died. Then, leaning over the baskets heaped with meat, they cried and sang kinship terms for the dead person one last time. After this final, public expression of sorrow and remembrance, an elder announced, “Sadness has ended; now happiness begins.” Feasting and singing followed, initiating the return to normal social life. In feasting on game, the ex-mourners marked their acceptance of this death as part of the cycle of human-animal exchanges. Thus, the process that began with the funeral where the dead person’s affines cannibalized the corpse concluded with consanguines and affines together eating the animal meat provided by the dead and their spirit allies.
eating the dead
Viewed in the context of the yearlong series of traditional mourning rites structured around the dead person’s transition to white-lipped peccary, the roasting and eating of the corpse appears as a first, symbolic marker of this change. Consistent with Hertz’s (1960[1907]:34, 58) insight that transformations of the corpse often parallel changes happening to the dead person’s spirit, Wari’ envisioned that at the moment when the cutting of the corpse commenced at the earthly funeral, Towira Towira began to bathe and resuscitate the spirit underwater.\(^{27}\) This resuscitation made the deceased into a Water Spirit who eventually would return to earth as a peccary. For terrestrial mourners, the corpse’s dismemberment and roasting evoked this human-to-animal transformation.
“When we made the big fire and placed the body there, it was as if the dead person became a white-lipped peccary [ak ka mijak pin na],” explained a male elder of Santo André. Switching to Portuguese, he emphasized, “it appeared to be peccary [parece queixada].” As mourners watched a beloved relative’s corpse being dismembered, roasted, and eaten, the sight must have graphically impressed upon them both the death’s finality and the dead person’s future identity as a peccary that would feed the living. Dismembering the body that is the focus of so many notions of personhood and relatedness made a dramatic symbolic statement about the dead person’s divorce from human society, and imminent change from living meat eater to animal meat to be eaten. Cannibalism appears to have been the preferred method for disposing of the dead because eating (as opposed to cremation) not only destroyed the corpse but also affirmed the dead individual’s eventual regeneration as an immortal animal.
Cannibalism made a symbolic statement about the eaters as well as the eaten. At the same time that it evoked images of the dead as peccaries, numerous prior aspects of funeral rites and mourning behavior emphasized the humanity and social identity of the eaten, explicitly rejecting any equation of human flesh with animal flesh. Thus, when mourners roasted and ate human flesh, they themselves were cast as carnivores, identified with the animal powers of predation traced to the Pinom and Orotapan myths. Funeral decorations recalled these associations: firewood and roasting racks were adorned with feathers of vultures and scarlet macaws (Orotapan’s sacred bird), and firewood was tied with “fire vine” (makuri xe’), a liana associated with warfare and predatory powers linked to the Water Spirits and the jaguar-cannibal in the myth of Pinom.
Eating the dead identified Wari’ society as a whole with the transcendent powers of their allies, the immortal Water Spirits. Cannibalism evoked and enacted the human position in this relationship, the alternation between the positions of meat-eater and meat to be eaten. Bloch (1992) has argued that a wide variety of religious and political rituals is structured around a quasi-universal dynamic: the transformation of individuals from prey/victims into hunter/killers. This theme, which is explicit in the origin myths of Pinom and Orotapan, was the central image underlying the traditional Wari’ mortuary ritual sequence. The death rites moved living mourners from the position of being victims of the Water Spirit forces of death to becoming hunters of Water Spirits embodied as animals. At the same time, as was consistent with the
egalitarian reciprocity that permeates Wari' social arrangements, the rites also enacted the reverse dynamic, marking humans' postmortem destiny to become animals, transformed from eaters into the eaten.
mourning and transformation
The image of the dead as peccaries dominates Wari' visions of death and the afterlife. The ancestors' return as peccaries is a powerful negation of death's finality. It promises not only reunion after death but also contacts during life through encounters with the herd that are the only interactions that ordinary people (nonshamans) have with their deceased kin. This is not just an abstract religious notion but a moving experience for the many individuals who have interpreted encounters with peccaries as visits from dead relatives.
Cannibalism represented a dramatic affirmation of this human-to-animal transformation, an affirmation of the interdependency of human mortality and animal fertility. Thematic links between death and regeneration are prominent in many societies' mortuary rites (Bloch and Parry 1982; Metcalf and Huntington 1991), and the psychological importance of ideas about the continuity of life after death is widely recognized (see Lifton 1979). The Wari' preference for cannibalism as a way to dispose of human corpses reflected the intersection between these psychological-spiritual concerns, cast in images of human spirits' regeneration as peccaries, and cultural concepts of the human body's social meanings. As a focus of social identity and psycho-emotional ties between the living and the dead, the dead person's body served as the primary locus for the playing out of transformations of mourners' memories, images, and emotions related to the deceased. Beginning with the corpse's dismemberment, roasting, and eating, and proceeding through the memory-altering "sweeping" ritual (ton ho') to the final hunt (hwet mao) and feast, the mourning rites posited a processual transmutation of socially projected images of the dead person's body. The rites aimed to move mourners from experiences of loss, embodied in images of the deceased as corpse, to acceptance of the death as part of a regenerative cycle, embodied in images of the deceased rejuvenated as an animal.
It is difficult to assess, retrospectively, the extent to which the ritual transformations that operated on the level of the culturally constructed person also operated on the level of the individual. However, contemporary Wari' emphases on cannibalism's psychological significance, as an act that facilitated mourners' detachment from all-consuming memories of the dead, and elders' expressions of emotional dissonance concerning burial, suggest that many people found the body's destruction by cannibalism meaningful in personal experiences of grief and mourning. The eating of the dead was one powerful element in a social process of mourning understood to have eased the experience of coming to terms with a loved one's death. By casting the dead in the image of the animals they would become, cannibalism overlaid images of the deceased as corpse with new images of the deceased as an animal with ongoing relations to its living kin. It affirmed the transmutation of specific kinship ties between the living and the dead into a general enhancement of life-supporting relations between humans and animals. In essence, cannibalism was the dead person's first offering of self as food.
conclusion
The explanation for Wari' mortuary cannibalism cannot be reduced to a single, simple function, for it reflected a complex amalgam of myth, eschatology, ideas about the human body, and social, psychological, and ecological concerns. Extending Lévi-Strauss's (1977:65) observation about myth, these are best understood as "an interrelation of several explanatory levels." As a central symbol in the rites of mourning, cannibalism presented a powerful, symbolic
condensation of beliefs about life’s continuity after death, affirmed in the ancestors’ regeneration as animals. Mortuary cannibalism’s symbolic potency derived from its evocation of multiple dimensions of the social and ecological relations in which Wari’ perceive their security to be grounded. In the rites of mourning, human-nonhuman oppositions merged in what Sanday (1986:226) has called a “ritual of reconciliation” that transformed unpredictable ecological and social constraints into a meaningful conceptual order. Much anthropological discourse on cannibalism has tended to treat cultural-symbolic and ecological interpretations as mutually exclusive paradigms, but, explored in indigenous terms, the Wari’ system is a symbiosis of social and ecological concerns that must be considered holistically. The material motivations associated with endocannibalism were not biological needs for protein from human flesh, but concerns with structuring cultural meanings in regard to human-animal relations that were essential, not just to subsistence but to the entire social order.
In contrast to views of anthropophagy as the ultimately antisocial act, the act of eating the dead affirmed and reproduced the bases of Wari’ society. Endocannibalism was mythically linked to the origins of culture and the festival exchanges that transform potentially antagonistic relations into cooperative alliances between neighboring villages, and between humans and the nonhuman forces of death and animal fertility. As mortuary rites renewed the primary spiritual relations of the Wari’ universe, so they also revitalized relations on the social plane with the gathering of affines in support of the dead person’s family. Wari’ cannibalism involved not the recycling of vital energies or body substances, but the renewal of vital institutions of socio-ecological security.
A Wari’ elder recalled that shortly after the contact, a missionary lectured him, saying, “Eating is for animals. People are not animals, people are not meat to be eaten.” In Western thought, the revulsion that cannibalism provokes is related to its apparent blurring of distinctions between humans and animals, in treating human substance like animal meat. For Wari’, however, the magic of existence lies in the commonality of human and animal identities, in the movements between the human and nonhuman worlds embodied in the recognition through cannibalism of human participation in both poles of the dynamic of eating and being eaten.
notes
Acknowledgments. My primary debt is to the people of Santo André and other Wari’ communities who shared with me their understandings and experiences of death and mourning. Field research in Brazil in 1985–87 was carried out with authorization from the CNPq and FUNAI and supported by fellowships from the Fulbright Commission and the Inter-American Foundation and a grant-in-aid from The Wenner-Gren Foundation for Anthropological Research. A Charlotte Newcombe Fellowship supported dissertation writing, and funding from the Wenner-Gren Foundation allowed me to return to Brazil in the summer of 1991 to check my interpretations and obtain additional data. A Vanderbilt University Research Council small grant facilitated bibliographic research. Among the many Brazilian colleagues who aided this project, special thanks are owed to Julio Cezar Melatti and Martin Ibañez-Novion, who sponsored my research under the auspices of the Department of Anthropology at the Universidade de Brasília; Didimo Graciliano de Oliveira of FUNAI/Guajará-Mirim, who offered logistical support; and Aparecida Vilaça, whose insights and friendship have enriched my studies. For helpful comments on earlier versions of this paper, I am grateful to Debhora Battaglia, Brent Berlin, Michael Brown, Gertrude Dole, Frederick Dunn, Laura Graham, Thomas Gregor, Patricia Lyon, Lynn Morgan, Donald Pollock, Edward Schieffelin, and James Trostle.
1. The final syllable is stressed in all Wari’ words. ‘Wari’ is pronounced “wa-REE,” ending in a glottal stop. On the Wari’ language, see Everett and Kern (in press) and Everett (in press).
2. Most reports of endocannibalism involve eating only small bits of flesh from specific body parts (the typical Melanesian pattern) or consuming only the ashes of cremated bones, which appears to have been the most widespread Amazonian pattern (see Dole 1974; Meireles 1986; Zerries 1960). In lowland South America, consumption of substantial amounts of fellow tribesmembers’ boiled or roasted flesh has been reported among the Guayakí of Paraguay (Clastres 1974) and Panoan peoples along the Peru-Brazil border (Dole 1974; Kensinger, in press).
3. In excluding exocannibalism from this discussion, I do not mean to imply that it had no relation to mortuary cannibalism. Vilaça (1992:289–294) has emphasized that Wari’ cannibalism of both enemies and affines expressed a broad “cannibal logic” of reversibility in the positions of predator and prey in Wari’
relations to social others. Erikson (1986), Overing (1986), and Viveiros de Castro (1992) have noted that the traditional anthropological distinction between exo- and endocannibalism blurs in the face of the complex forms of cannibalism envisioned in lowland South American myths, cosmologies, and rituals.
4. All translations of Wari' oral texts are my own, as are all translations of written texts (with foreign titles).
5. The assertion that eating corpses involved no transfer of biosocial substances or energies is consistent with the logic of Wari' ethnomedicine, conception theory, and shared substance concepts, in which attributes are transferred among individuals only by blood and its analogs (breast milk, semen, vaginal secretions, and perspiration), not by ingesting roasted flesh (see Conklin 1989:274–304). Roasting is believed to dry up or neutralize the potency of blood and other body fluids; contact with corpses is polluting, but eating well-roasted flesh was not believed to transfer any qualities from the corpse to those who ate it. Clastres reported a similar idea in Guayaki thought about endocannibalism: "On eating human flesh one does not acquire anything more, there is no positive influence" (1974:316).
6. Extensive incest prohibitions promote dispersed affinal alliances (Meirelles 1986:273), and families generally intermarry with two or more different groups of affines. At the same time, there is an emphasis on repeating as well as proliferating affinal ties by taking spouses from families already linked by previous marriages.
7. The Wari' traditionally practiced cremation as an alternative way to dispose of corpses whose flesh was considered dangerous to eat because it was contaminated by specific disease conditions. Corpses were cremated, not eaten, when they had pus in their lungs, or symptoms resembling liver disorders (ascites and cirrhosis). The outsiders who suppressed Wari' cannibalism, however, did not present cremation as an option, perhaps because cremation is discouraged in Latin American Catholicism.
8. For more detailed discussions of funeral practices and variations, see Conklin (1989:407–417) and Vilaça (1992:208–221). Funerals for people who died in massacres and epidemics often deviated from normal patterns. When a village had been attacked, or a person killed close to home, Wari' sometimes feared that the assassin(s) would return. In such cases, they dispensed with much of the usual ceremony and quickly roasted and consumed the corpse(s). The mass death and social chaos of the contact-era epidemics brought similar disruptions of funeral practices, including painful episodes in which corpses were abandoned, and subsequently ravaged by vultures, because the survivors were too sick to cut the large amounts of firewood needed for roasting or cremation.
9. Nari is a verb meaning "to be related." The proper nominative designations for consanguines and affines, respectively, are iri' ka-nari and oro-ka-nari paxi. In this text, I follow Vilaça (1992) in using simplified verbal forms, iri' nari and nari paxi. Similarly, mixita, ton ho' and hwet mao are verbs; the nominative designations are ka-mixita-wa, ka-ton ho'-wa, and ka-hwet mao-wa.
10. This antihomoeopathic idea recurs in Wari' shamanism and ethnomedicine. A shaman shares body substance with his animal spirit companion and falls violently ill if he eats that animal's flesh. Similarly, certain illnesses are attributed to ingesting substances that are similar to one's own body substance, but in a more potent, incompatible state (Conklin 1989:302–312). Corpses' flesh and body fluids, transformed by putrefaction, are considered dangerous only when ingested by their close consanguines. When eaten by affines and non-kin, roasted flesh is not believed to cause illness, although it is regarded as polluting.
11. Most women in the Rio Dois Irmãos region said that they participated in mortuary cannibalism. In the Rio Negro-Ocaia region, many women said that they did not eat human flesh because they disliked its stench. Vilaça (1992:216–217) cited one senior man who also claimed never to have eaten the dead. In addition, some women who usually participated in cannibalism told of decisions not to eat a specific affine's corpse because they felt too close, emotionally, to the dead person. Men were expected to perform impassively the duty of consuming the corpse, regardless of their feelings of intimacy with the deceased or the revulsion provoked by the smell and taste of decayed flesh.
12. Rosaldo (1989) has called attention to the power of emotions in shaping cultural responses to death. Wari' anger over relatives' deaths generally appears to have been directed outwards, into sorcery accusations against Wari' in other communities or retaliatory attacks on Brazilians or other indigenous populations. Wari' testimonies about mortuary cannibalism give little reason to think that it expressed or vented anger or resentment, although the possibility cannot be ruled out entirely.
13. In a provocative discussion that is beyond the scope of this article, Albert (1985) and Overing (1986) have discussed associations between affinity and images of cannibalism among the Yanomami and Piaroa, respectively, in relation to issues of social harmony, violence, warfare, and the internal dynamics of endogamous, egalitarian societies. Carneiro da Cunha and Viveiros de Castro (1985) have addressed related dynamics of vengeance and reciprocity in Tupinambá exocannibalism.
14. A similar rationale shaped affines' roles in euthanasia: when an elderly person suffering from a terminal illness wished to die, he or she summoned a male affine to perform the killing. Funerals were only one of several contexts in which Wari' traditionally called upon affines to perform such services.
15. A horror of burial, and preference for being cannibalized or cremated, has been reported among Panoans (Erikson 1986:198), Yanomami (Lima Figueiredo 1939:44), Guayaki (Clastres 1974:319), and Tupinambá war captives (Viveiros de Castro 1992:289–290).
16. Efforts to extinguish material traces of the dead are widespread in lowland South America. Especially common are name avoidances and the destruction of dead people's houses and personal property (see, for example, Albert 1985; Gregor 1977:264; Jackson 1983:200; Kracke 1981:262; Métraux 1947). The dual rationales of discouraging ghosts from returning to their homes, and removing reminders that cause sadness to the bereaved, are recurrent themes. Kracke commented that among the Kagwahiv, these two different
rationales are given "so interchangeably that it almost seems as if they are different ways of phrasing the same thing" (1988:213–214).
17. According to Vilaca, "Only after the body is roasted and devoured, is the jam [spirit] of the deceased bathed under the water, and [it] passes to full living in the world of the dead" (1992:247).
18. Vilaca has emphasized that "for the Wari' culinary preparation (which is initiated with the cutting of the prey) and devouring are interrelated and indissociable processes. The cadaver is roasted in the fire that, in its origin, is cooking fire (see the myth of Pinom). In this sense the cadaver is prepared as prey and should be ingested as such" (1992:263).
19. Viveiros de Castro (1992:213) has noted Tupi ideas of a connection between the persistence of a corpse's flesh and the persistence of memories linking the dead and the living.
20. Vilaca's Wari' informants echoed these sentiments. She cited one man's explanation: "'If we bury, we think about where he [the deceased] walked, where he worked; we think about his skin being there in the earth still. With the fire it is good, it finishes all the body, we don't think more'" (Vilaca 1992:265).
21. White-lipped peccaries are prominent in native American myths and rituals, from Mexico south to the Argentinian Chaco (see Donkin 1985:83–94; Sowls 1984:185–187). They often are considered closely related to people. In *The Raw and the Cooked*, Lévi-Strauss (1969:84) identified peccaries as an intermediary between jaguars (the quintessential animal predators) and human beings.
22. Huroroin parties are structured around oppositions between a host community and visitors from elsewhere who sing and dance for their hosts. Male visitors stage dramatic raids on the hosts' village, destroy property, and perform parodies of sexual intercourse with host women. Hosts punish these transgressions by forcing the visitors to drink and vomit vast quantities of maize beer. With repeated vomiting, some lose consciousness and enter itam, in which they bleed from the mouth and experience involuntary muscular contractions that force the body into a rigid fetal position. When this occurs, the party's sponsor cries, "I've killed my prey!" ("Pa' pin' inain watamata!"). Submission to the physically painful "death" of itam affirms both a man's physical stamina and his trust in the allies who care for and revive him (see Conklin 1989:148–154; Vilaca 1992:186–191).
23. Metaphors of reciprocity pervade relations to the peccaries. Just as precontact party hosts sent their guests home bearing gifts, Wari' hunters traditionally gave presents to the spirits of slain white-lipped peccaries, and occasionally do so today. Before butchering, a peccary carcass is surrounded with items such as bows and arrows, baskets, chicha, shotguns, clothing, and cigarettes. The peccary is told to carry the "images" (jam-) of these items home and tell fellow Water Spirits that they, too, will be given gifts when they visit the Wari'.
24. Pollock (in press) has described strikingly similar eschatological beliefs among the Kulina of Acre, Brazil. At death, Kulina spirits journey to the underworld and receive a ritual welcome from their ancestors who, as white-lipped peccaries, fall upon the spirit and consume it. Like Wari', Kulina believe that the ancestors return to earth as white-lipped peccaries that are hunted by living people. Unlike Wari', the Kulina system carries this cycle one step further: white-lipped peccary meat becomes the souls of Kulina babies.
25. Kiltie observed that "[w]hite-lippeds are distinctive among all the terrestrial herbivorous mammals in neotropical rain forests in being the only species that forms large herds, which may include over 100 individuals" (1980:542). Hunting white-lipped peccaries is an unpredictable business, for the herds range over huge territories, never lingering long in one place and disappearing for weeks or months at a time. However, when the herd does appear, it offers relatively easy targets and multiple kills are common, making white-lipped peccaries the single most important terrestrial game in the diets of the Wari' and many other native Amazonians. Fishing involves similar patterns of high potential yield with a high quotient of procurement uncertainty; in the flooded forest, dense concentrations of huge numbers of small, easily-caught fish occasionally appear, quite unpredictably, in the fluctuating waters of temporary streams and ponds.
26. In the myth called *Orotapan* or *Hujin*, Towira Towira appears as an *orotapan* carnivore and as a white-lipped peccary named Wem Parom, who established the original alliance. Here is a summary of key events in this myth:
A man named Hujin fell into a river and was eaten by Orotapan, the Water Spirits' leader. After eating Hujin, Orotapan threw his bones in the air and made his flesh whole again so that he could devour him again. Orotapan did this over and over, until a shaman reached into the water, caught Hujin's bones and pulled him out. However, Hujin's spirit remained captive to the Water Spirits, compelled to return every day to their underwater realm. Orotapan changed into a white-lipped peccary named Wem Parom and challenged Hujin to a musical duel. Hujin won this contest by becoming the first human to master the art of songmaking, which the Wari' consider the highest of artistic accomplishments. By this supremely cultural act, he ceased to be the spirits' prey and gained the status of an equal capable of entering an alliance with the spirits. Wem Parom sent his son, in the form of a fish, to Hujin's village to receive gifts of food marking the establishment of amicable relations. Hujin then invited the Water Spirits to a party at his earthly village and instructed his own people to make large quantities of beer and new bows and arrows. The Water Spirit guests came as white-lipped peccaries who sang, danced, drank all of their hosts' beer, and ran around breaking clay pots and destroying houses. Hujin and his kinsmen shot and killed the peccaries. From their bodies emerged the scarlet macaw, which is sacred to Orotapan. Hujin, who had shamanic powers, then looked at each peccary carcass, identified its spirit, and told his people whether it was a Wari' ancestor or a nonancestral Water Spirit. It was then that the Wari' learned of their own postmortem fate to be killed by Towira Towira and become peccaries hunted by the living.
For other versions and analysis of this myth, see Vilaça 1992:255–262.
27. Although the spirit was believed to be revived when its corpse was dismembered and roasted, this revival does not appear to have been contingent on the corpse’s being eaten. Several individuals described scenarios in which a spirit, revived when its corpse was cut, returned to earth and saw its own, still uneaten body roasting. Without exception, informants asserted that Towira Towira revived all spirits alike, regardless of whether their corpses were cannibalized, cremated, or buried. Vilaça (1992:265) has suggested that, since the change to burial, Wari’ have come to see the rotting of the corpse as a kind of natural “cooking” that substitutes for the roasting at traditional funerals.
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Viveiros de Castro, Eduardo B.
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Von Graeve, Bernard
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submitted November 24, 1992
accepted December 29, 1992
|
EFFECT OF RESIDUAL TOXICITY OF SELECTED INSECTICIDES TO THE MALAYSIAN STINGLESS BEE *HETEROTRIGONA ITAMA*
KESAN SISA TOKSIK RACUN SERANGGA PEROSAK KEPADA LEBAH KELULUT MALAYSIA *HETEROTRIGONA ITAMA*
NOOR ALBANNIA NATASYA BINTI JABI¹ AND HAZMI BIN AWANG DAMIT²
¹Faculty of Plantation and Agrotechnology, UiTM Shah Alam, 40450 Shah Alam, Selangor.
²Faculty of Plantation and Agrotechnology, UiTM Cawangan Sabah, 88997 Kota Kinabalu, Sabah.
e-mail: firstname.lastname@example.org
ABSTRACT
*Heterotrigona itama* is a Malaysian stingless bee species that actively reared for meliponiculture. This stingless bee is cultivated in a commercial scale for its honey production, propolis and among the greatest commercial potential as crop pollinators. However, this species has been potentially exposed to agronomic practices, among which the use of synthetic insecticides against pests. The indirect toxicity effect of the post-insecticide had affected the mortalities of *H. itama* especially, to the foragers. Due to that, a study has been conducted to determine the lethal concentration of 50% (LC50) and 95% (LC95) of the selected insecticides against stingless bee forager workers through residual exposure. The bioassay test was conducted to the local stingless bee *H. itama* at Agricultural Research Station, Tenom. Four commonly used insecticides in crop protection; Deltamethrin, Chlorpyrifos, Cypermethrin and Malathion were tested at five concentrations that diluted with 500 ml of distilled water in three replications for each insecticide. Lethal concentrations (LC50 and LC95) were obtained from probit analysis after 1-hour dry residues exposure and 24-hour mortality observation. The result shows that; all four tested insecticides were harmful to *H. itama* through dry residue. Deltamethrin shows the higher value of LC50 (1.256 ml) and LC95 (3.582ml) that make it less toxic to the *H. itama* than cypermethrin, malathion, and chlorpyrifos, however, as the concentration gets higher it becomes more toxic.
Keywords: *Heterotrigona itama*, Insecticides, Dry residues, Lethal concentration, Toxicity
ABSTRAK
*Heterotrigona itama* merupakan spesis lebah kelulut yang aktif ditemak (meliponikultur) di Malaysia. Kelulut ini ditemak secara komersil untuk madu, propolis, dan merupakan calon terbaik ejen pendebungaan tanaman. Namun, spesis ini berpotensi besar terdedah dengan penggunaan racun serangga kimia yang disembur pada permukaan tanaman. Kesan sisa toksik selepas pengunaan racun serangga telah memberi kesan terhadap mortaliti *H.itama* khususnya kepada pekerja lebah kelulut. Oleh itu, kajian bioassay telah dilakukan untuk mengenal pasti sisa kering 50% kepekatan kemati (LC50) dan 95% kepekatan kemati (LC95) racun serangga terhadap pekerja lebah kelulut di Stesen Penyelidikan Pertanian, Tenom. Empat racun serangga yang sering digunakan: Deltamethrin, Chlorpyrifos, Cypermethrin dan Malathion, diuji pada lima kepekatan yang berbeza yang dilurikat bersama dengan 500 ml air suling serta direplikasi sebanyak tiga kali bagi setiap jenis racun. Kepekatan (LC50) dan (LC95) dianalisa menggunakan analisa probit selepas satu jam pendedahan sisa racun serangga terhadap lebah kelulut dan 24 jam pemerhatian mortaliti. Hasil dapatan menunjukkan, kesemuac racun serangga yang dipilih adalah berbahaya kepada lebah kelulut melalui pendedahan sisa toksik kering. Deltametrin menunjukkan nilai LC50 (1.256 ml) dan LC95 (3.582 ml) yang tinggi, menjadikan racun serangga tersebut kurang berbahaya berbanding racun serangga
yang lain. Walaubagai manapun, semakin tinggi konsentrasi racun maka semakin tinggi kadar toksik dan kematiang terhadap pekerja *H. itama*.
*Kata kunci:* Heterotrigona itama, racun serangga, sisa toksik, kepekaatan maut, Toksik
1. Introduction
The native Malaysian stingless bee (*Heterotrigona itama*) belong to the order of Hymenoptera (Apidae: Meliponini) is one of the actively reared bee species and most utilised in meliponiculture practice in Malaysia since 2012 until now (Mohd Fahimee, *et al.*, 2016). At present, the stingless bee is enthusiastically cultivated for its commercial scale of honey production, propolis and among the greatest commercial potential as crop pollinators. The ability of this stingless bee to pollinate varieties of crops (Slaa *et al.*, 2006; Heard, 1994) such as fruit trees and vegetable, that make it suitable to be cultivated in orchard and garden.
However, the foraging activity of pollinator on desired agricultural crop after the insecticide treatment, is the main cause that expose them to agricultural insecticides (Cauich *et al.*, 2004). Insecticides are mainly used to control and eradicates the population insect pest existed in the planting area, but, the post-insecticide effect also affecting the non-targeted insect (Aktar *et al.*, 2009) which in this case the cultivated stingless bee. According to Renzi (2013), the residual toxicity can occur when the bee foraging at the post-treated area. It is because the insecticides may persist on the plant surface and can completely maintain their toxic characteristics after dried.
Previously, research and studies had been published on the toxicity effect of insecticides to the non-targeted organisms which use *Apis mellifera* (honey bee) as an indicator species of ecotoxicity (DiBartolomeis *et al.*, 2019). Because *A. mellifera* is responsible for the pollination of several important crops and honey production. Unfortunately, the result of insecticide toxicity tested for this species only cannot represent for the other beneficial insects because of the different behavior response, defence mechanism and traits of different insect species. Honey bee and stingless bee shared the same family, however, both come from different tribes which can affect the toxicity result even from the same bioassay procedure and insecticide tested (Dorigo *et al.*, 2019). Meanwhile, stingless bee also played a similar role as honey bees that make them vital in the agricultural environment.
Although stingless bee is not the target of insecticide compounds, they may have foraged in the contaminated area and highly vulnerable to the contamination (Tome’ *et al.*, 2015). This study provide informations to guide and help the farmers in their selection of insecticides. Thus, the aim of this study was to identify the (lethal concentration) LC50 and LC95 of selected insecticides through residual exposure to the *H. itama*.
2. Material and Method
2.1. Insect
This study was conducted at the Agriculture Research Station (ARS) Laboratory, Tenom with a controlled room temperature of 27±2°C and 70% relative humidity. The stingless bee used in this study was obtained from *H. itama* colony kept in ARS bee breeding yard before being examined in the laboratory. Only adult forager workers were chosen for the insecticide treatments that caught during morning hour (8.00 am – 11.00 a.m) by using the sweeping net. The collected stingless bees were directly transported to the laboratory and anaesthetised by chilling for 50 seconds at 3 °C to facilitate ease of handling. The chilling method was used with slight modifications as recommended by Thomas and Phadke (2017). During the inactive period of the stingless bee, only healthy, uninjured and uniform sizes were selected for the further experiment.
2.2. Insecticide
Four formulated insecticides were tested in this experiment. The selection of insecticide is based on the common insecticide used by the farmer in controlling agricultural pests. Therefore, four formulated insecticides were tested in this experiment that were Deltamethrin, Chloropyrifos, Cypermethrin and Malathion as summarised in Table 1. These insecticides were previously tested on serious orchard pest *Bactrocera dorsalis* fruit fly (Wang et al., 2013). Based in Table 1 showed, all four selected insecticides shared a similar mode of action through contact and stomach of contaminated insects.
| Active ingredient | Class | Mode of action | Group of insecticide |
|-------------------|-------|----------------|----------------------|
| Deltamethrin w/w | III | Contact and stomach | Pyrethriod |
| Chloropyrifos w/w | II | Contact, stomach and respiratory action | Organophosphate |
| Cypermethrin w/w | III | Contact and stomach | Pyrethriod |
| Malathion 84.0% w/w | III | Contact and stomach | Organophosphate |
The selected insecticides were examined at five dose concentrations which prepared according to the commercial formulated products guidelines. One of the five concentration was prepared based on the recommended dosages used in the field. The insecticide was diluted with distilled water as a solvent to obtain mortality in the range of 50-100% (Table 2). The control treatment was served with distilled water alone. Replications were made three times with ten stingless bees for each treatment with to obtain precise mortality data.
**Table 2: Five different concentrations of insecticides tested against *Heterotrigona itama***
| Insecticide | Recommended concentration (mL/10L of water) | Concentration (mL/500 mL of water) |
|-----------------|--------------------------------------------|------------------------------------|
| | | C1 | C2 | C3 | C4 | C5 |
| Deltamethrin | 22.0 | 1.65 | 1.40 | *1.1 | 0.83 | 0.56 |
| Chloropyrifos | 6.0 | 0.60 | *0.30 | 0.15 | 0.08 | 0.04 |
| Cypermethrin | 10.0 | 2.00 | 1.00 | *0.5 | 0.25 | 0.125 |
| Malathion | 22.0 | 2.20 | *1.10 | 0.55 | 0.275 | 0.137 |
*Note:* *Recommended rate in unit of ml/L of water.*
### 2.3. Laboratory Residual toxicity bioassay
Laboratory bioassay is defined as the test where living organisms were exposed to various concentrations of a toxicant or to effluent dilutions under laboratory conditions. Residual toxicity was determined by using dry-contaminated glass jar with insecticide. In this method, five desired concentrations of insecticide were diluted with distilled water. The dilution was coated inside the glass jar by rotating it several times to ensure the diluted insecticide was fully coated and left to dry at room temperature for at least 2 hours. After the jar was completely dried, 10 selected stingless bees from the anaesthetised procedure were introduced in the jar for 1 hour. As for the control jar, it was coated with distilled water and allowed to dry before introducing the stingless bees. Five concentration of diluted insecticide were tested with three replications each. After 1 hour, the stingless bees were transferred into the post cage (9x9x9 inches), where they were fed with 50% sucrose solution diet. Mortality was observed for 24 hours and data were analysed using Probit analysis (SPSS Statistic 21) to obtain the value of LC50 and LC95 for each tested insecticide.
### 2.4. Statistical analysis
Mean ANOVA was used in the determination of mortality mean based on the three replications of the experiment. Mortality data was assessed after 24 hours and analysed using Probit Analysis (SPSS Statistic 21) to calculate the LC50 and LC95 values for each tested insecticide.
### 3. Result and Discussion
Table 3 indicates the mean mortality of *H. itama* foragers after being treated with test insecticides at a recommended concentration based on the product guidelines. Tested concentrations were prepared at the small amount to represent the real concentration diluted
with water. Results from the studies indicated that *H. itama* was vulnerable to all tested insecticides.
**Table 3: Mean mortality rate for foragers of *Heterotrignona itama*, treated with test insecticides at recommended concentration**
| Insecticide | Mean Mortality ± S.E | Recommended insecticide concentration (mL/10L) | Tested concentration (mL/500mL) |
|----------------------|-----------------------|-----------------------------------------------|---------------------------------|
| Deltamethrin 25.0% w/w | 3.00±0 | 22 | 1.1 |
| Chlorpyrifos 21.2% w/w | 6.33 ± 0.88 | 6 | 0.3 |
| Cypermethrin 5.5% w/w | 7.00±0.58 | 10 | 0.5 |
| Malathion 84.0% w/w | 10± 0 | 22 | 1.1 |
Figure 1 depicted the mean mortality of *H. itama* against the tested insecticides. Deltamethrin shows the lowest mortality rate of the foragers by killing at least 30% of the tested bees at recommended concentration by the contact of dry residue. Chlorpyrifos and cypermethrin are two times toxic than deltamethrin which display the mortality rate between 6 to 7 bees. Based on four tested insecticides, malathion was observed to be the most toxic to *H. itama* by killing 100% of the tested organisms. As for the control group, the distilled water was completely safe and has not affected *H. itama* foragers by maintaining 100% mean survival rate.
**Figure 2: Bar chart of mean mortality of *H. itama* at recommended concentration**
Table 4, shows the values of LC50 and LC95 with their 95% fiducial limits (FL) after 3 replications on each tested treatment and 24 hours’ mortalities observation. LC50 was used to estimate the values of insecticide that can cause 50% killed of the tested organism. In this studies, LC50 values of the foragers were compared among the test insecticides, it was found that deltamethrin gave the highest value of LC50 compared to the other selected insecticides. It shows that deltamethrin was 1.256 ml (0.978-2.022 ml) 3.99 times less toxic than chlorpyrifos for dry residue to the *H. itama* foragers. cypermethrin 0.315 ml (0.189-0.568 ml) was slightly more toxic, followed by malathion 0.225 ml (0.164-0.304 ml) and chlorpyrifos
0.09 ml (0.049-0.138 ml) that is the most toxic. As for the LC95 value were, deltamethrin 3.582 ml (2.147-41.094), cypermethrin 3.362 ml (0.884-10.873 ml), chlorpyrifos 0.468 ml (0.258-2.469 ml), and malathion 0.447 ml (0.324-1.261 ml). LC95 was a values of insecticide that toxic to the tested organism which killed almost 100% of the tested organism.
Table 4: LC50 and LC95 values of deltamethrin, chloropyrifos, cypermethrin and malathion.
| Insecticide | No. of sample per replication | Time (hour) | LC50 | LC95 | $X^2$ |
|-----------------|-------------------------------|-------------|---------------|---------------|--------|
| Deltamethrin | 10 | 24 | 1.256 ml | 3.582 ml | 1.441 |
| | | | (0.978 – 2.022)| (2.147-41.094)| |
| Chlorpyrifos | 10 | 24 | 0.09 ml | 0.468 ml | 0.555 |
| | | | (0.049-0.138) | (0.258-2.469) | |
| Cypermethrin | 10 | 24 | 0.315 ml | 3.362 ml | 3.455 |
| | | | (0.189-0.568) | (0.884-10.873)| |
| Malathion | 10 | 24 | 0.225 ml | 0.447 ml | 0.325 |
| | | | (0.164-0.304) | (0.324-1.261) | |
In present study, residual exposure was used to evaluate the toxicity responses to deltamethrin, cypermethrin, chlorpyrifos and malathion against *H. itama*. As predicted, it is found that the mortality results for contact residual of insecticides on pollinator *H. itama* was varied among the tested insecticides. In addition, the different insecticide group also affected the mortalities values, in this experiment the tested insecticides were from organophosphate and pyrethroid, which belong in class II and III. In this experiment, the insecticide classes with its active ingredients varying in their sensitivity to different environmental conditions (Tomlin 2009); therefore, differences results obtained in residual bioassay test were expected. *H. itama* was susceptible to the toxicity of insecticides treatment on residual contact.
Observed susceptibility of the tested organism to insecticides can vary based on bioassay methods (Paramasivam & Selvi, 2017). In this study, only residual bioassay has been conducted against *H. itama*, to compare the insecticides toxic effects on foragers. The pollinator has the behavioural traits of walking on plant surfaces on considerable amount of time of searching for pollen, latex, and water (Cutler et al., 2014), due to that, residual exposure bioassay method is representative of the main insecticide exposure path for this insect. Insecticides can also have life-stage specific effects, but in this research, only adults’ foragers were included due to the higher potential of getting contamination to the insecticide during foraging (Xavier et al., 2015). Contact exposure on dry residues of selected insecticides (deltamethrin, chlorpyrifos, cypermethrin and malathion) were considered lethal to *H. itama*. The result revealed, deltamethrin was less toxic than the other tested insecticides, however, the higher the insecticide concentration applied would increase the rate of mortality (Tosi and Nieh, 2019) to the affected pollinator. In this study, chlorpyrifos was very toxic to *H. itama* because it showed the lowest LC50 (0.09 ml) and LC95 (0.468 ml) values. Dornelles et al., (2017) also got the same result that revealed chlorpyrifos to be the most toxic among the two insecticides (chlorpyrifos and phosmet) to both stingless bee (*Scaptotrigona bipunctata* and *Tetragonisa fiebrigi*) species.
However, the toxicity results of controlled environment and in real environment against tested organism were different. A study by Araujo et al., (2017) confirm that the toxic effect of residual post-insecticide will degraded overtime because of the positive correlation between the residual period and abiotic factors (wind, rain and temperature). Meanwhile, in the laboratory experiment all of the abiotic factors were remain constant.
The results in this study indicated that chlorpyrifos, cypermethrin, malathion were hazardous to *H. itama* population; therefore, there are severals propose measure highlighted
to reduce the insecticide impact on beneficial insect. Identifying the characteristic and using insecticide with lower toxicity, applying integrated pest management (IPM) practice by minimizing the usage of insecticide as pest control, avoiding application during foraging and crop blooming time, and alert the presence of bee’s colonies existed naturally or managed colony (Rocha, 2012; Dornelesetal et al., 2017).
4. Conclusion
The present study, showed that *H. itama* is susceptible to the application of insecticides (deltamethrin, chlorpyrifos, cypermethrin and malathion) for dry residues exposure. Thus, we suggest that further analyses of the toxicity effect of other insecticides including botanical insecticide be carried out on stingless bee species. This research work is important in providing information to the agricultural producer, educators, students and public awareness about the hazardous of insecticide usage, especially to the non-targeted organism.
5. Acknowledgements
We would like to thank Universiti Teknologi MARA (UiTM) for the opportunity to run this research and Agriculture Research Station, Tenom for the research facilities and guidance.
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Crop Protection Programme,
Faculty Plantation and Agrotechnology,
Universiti Teknologi MARA (UiTM)
40450 Shah Alam, Selangor Darul Ehsan,
Malaysia.
Email: email@example.com
Faculty Plantation and Agrotechnology,
Universiti Teknologi MARA (UiTM)
88997 Kota Kinabalu, Sabah,
Malaysia.
Email: firstname.lastname@example.org
Hazmi Bin Awang Damit
|
Design of image cipher using block-based scrambling and image filtering
Zhongyun Hua\textsuperscript{a}, Yicong Zhou\textsuperscript{b,*}
\textsuperscript{a}School of Computer Science and Technology, Harbin Institute of Technology Shenzhen Graduate School, Shenzhen, 518055, China
\textsuperscript{b}Department of Computer and Information Science, University of Macau, Macau, 999078, China
\textbf{Article history:}
Received 12 May 2016
Revised 19 December 2016
Accepted 15 February 2017
Available online 17 February 2017
\textbf{Keywords:}
Block-based scrambling
Cryptosystem
Image encryption
Image filtering
\textbf{Abstract}
The operation of image filtering is widely used to deblur digital images. However, using inappropriate masks, it can also blur images. Motivated by this concept, this paper introduces an image cipher using block-based scrambling and image filtering (IC-BSIF). To the best of our knowledge, this is the first time that image filtering has been used for image encryption. IC-BSIF uses the well-known substitution-permutation network and strictly follows the concepts of confusion and diffusion. The block-based scrambling is able to separate neighboring pixels to different rows and columns, and thus can efficiently weaken the strong correlations between adjacent pixels. Using randomly generated masks by the secret key, the image filtering can spread little change of plain-images to the entire pixels of cipher-images. Simulation results show that IC-BSIF can encrypt different kinds of images into noise-like ones, and security evaluations demonstrate that it can achieve better performance than several state-of-the-art encryption schemes.
© 2017 Elsevier Inc. All rights reserved.
\section*{1. Introduction}
The two-dimensional (2D) digital images play more and more important roles in the modern digital technology. A 2D digital image is a type of 2D data, which carries data with a visualized and meaningful way. Then, if secret images are stolen, used or viewed by unauthorized users, disastrous security issues may happen. For example, if the spy steals the images of one new martial weapon, the hostile country may obtain the detail settings and parameters of the weapon by analyzing these images. Therefore, it is quite important to protect digital images and image cipher is an efficient solution of image security issue by encrypting a digital image into a random-like cipher-image \cite{3,31,35}. Only with the correct secret key, one can recover the original image from the cipher-image.
Up to now, researchers have developed many image ciphers using different kinds of techniques \cite{8,15–18,23,29}. Among these techniques, chaos theory is the most widely used one \cite{1,2,3,4,36,37}. This is due to that chaotic maps have the properties of initial state sensitivity, unpredictability and ergodicity, and these properties can be found similar counterparts in image cipher \cite{7,9}. Some examples of chaos-based image ciphers are as follows. In \cite{33}, a new image encryption scheme was designed using a new one-dimensional (1D) chaotic map, which is developed by combining two existing chaotic maps. In \cite{11}, an image cipher was developed using a new 2D chaotic map, named 2D-SLMM. In \cite{10}, another image cipher was proposed using a new 2D chaotic map, called 2D-LASM. For these chaos-based image ciphers, their security levels are highly...
dependent on the performance of their used chaotic maps. However, the chaotic behaviors of chaotic maps may degrade to periodic behaviors when they are implemented in the finite precision platforms. This greatly reduces the security levels of the corresponding encryption schemes [22]. Many researchers have proved that some chaos-based ciphers owning low security levels can be successfully attacked [13,14,20,28].
Besides chaos theory, many other techniques were also applied to designing image ciphers [2,6,30]. Some examples are as follows. In [27], the authors developed an image encryption scheme, which uses the Latin sequences to do pixel permutation and substitution. In [5], the authors proposed a novel image encryption scheme using Gray code. The Gray code is used to do pixel permutation and a plain pixel-related image diffusion structure is used to achieve the diffusion property.
It is well-known that image filtering is widely used in many digital image processing technologies, such as image deblurring, image smoothing and edge detection. This paper first presents the concept of using image filtering to encrypt a digital image, and then designs a new image cipher using block-based scrambling and image filtering (IC-BSIF). IC-BSIF adopts the well-known substitution-permutation network and strictly follows the confusion and diffusion concepts. The block-based scrambling first divides image into blocks, and then randomly shuffles pixels of each block into different rows and columns. It can simultaneously shuffle the row and column positions of a pixel and thus can achieve a high efficiency to reduce the strong correlations between adjacent pixels. Using randomly generated masks, the image filtering operation can spread little change in plain-image to the entire cipher-image. Simulation results and security analysis show that IC-BSIF can encrypt different kinds of digital images into random-like ones with high security levels.
The rest of this paper is organized as follows. Section 2 presents the concepts of image filtering. Section 3 introduces IC-BSIF and Section 4 displays its simulation results. Section 5 evaluates the security performance of IC-BSIF and the last section concludes this paper.
2. Concept of image encryption using image filtering
This section introduces the detail operation of image filtering, and presents the concepts of using image filtering to do image encryption.
2.1. Image filtering
Image filtering is to do convolution operation to a 2D image using a 2D matrix, called mask. More specifically, for each pixel of an image, image filtering takes the sum of products between the image pixels and the weights of the 2D mask. The current pixel is usually multiplied to the central of the mask and the adjacent pixels of the current one corresponds to other elements of the 2D mask. Fig. 1 shows the structure of a 2D mask and a current pixel with its adjacent ones in an image. Suppose the 2D mask is of size \((2M + 1) \times (2M + 1)\), the mathematical operation of image filtering can be defined as
\[
Out_{x,y} = \sum_{i=-M}^{M} \sum_{j=-M}^{M} W_{i+M+1,j+M+1} P_{x+i,y+j}.
\]
(1)
Image filtering can be used to smooth or sharp images, or to detect image edges. The used 2D masks in these operations have some common properties: (1) the sum of all the weights usually equals to 1 to make the operation result has the same brightness as the original image; (2) to make the mask symmetric, the size of the 2D mask is usually set as uneven, e.g. \(5 \times 5\); (3) the current pixel corresponds to the central of the mask. Using an appropriate mask, image filtering can effectively remove the image noise. However, it can also blur an image with an inappropriate mask. By this concept, we can encrypt a digital image into a noise-like one using image filtering.
2.2. Image filtering for encryption
The traditional usage of image filtering don’t need to recover the current pixel. However, the encryption process must be reversible in an encryption algorithm. First, we introduce Proposition 1 to identify that the image filtering operation satisfying some conditions can be reversible.
**Proposition 1.** For any given mask $W$ of size $(2M + 1) \times (2M + 1)$, image $P$ of size $X \times Y$ and $P$’s grayscale level $F$, the operation
$$I_{x,y} = \left( \sum_{i=-M}^{M} \sum_{j=-M}^{M} W_{i+M+1,j+M+1} P_{x+i,y+j} \right) \mod F$$ \hspace{1cm} (2)
can be reversible and its inverse operation is
$$P_{x,y} = \left( I_{x,y} - \sum_{i,j \in [-M,...,M] \cap (i,j) \neq (0,0)} W_{i+M+1,j+M+1} P_{x+i,y+j} \right) \mod F$$
if $P \in \mathbb{N}$, $W \in \mathbb{N}$ and $W_{M+1,M+1} = 1$.
**Proof.** Because $W_{M+1,M+1} = 1$, Eq. (2) can be rewritten as
$$I_{x,y} = \left( \sum_{i,j \in [-M,...,M] \cap (i,j) \neq (0,0)} W_{i+M+1,j+M+1} P_{x+i,y+j} + W_{M+1,M+1} P_{x,y} \right) \mod F$$
$$= \left( \sum_{i,j \in [-M,...,M] \cap (i,j) \neq (0,0)} W_{i+M+1,j+M+1} P_{x+i,y+j} + P_{x,y} \right) \mod F$$
$$= \left( \sum_{i,j \in [-M,...,M] \cap (i,j) \neq (0,0)} W_{i+M+1,j+M+1} P_{x+i,y+j} \right) + P_{x,y} - kF,$$
where $k$ is an integer. Substituting the above equation, we can obtain
$$P_{x,y} = I_{x,y} + kF - \sum_{i,j \in [-M,...,M] \cap (i,j) \neq (0,0)} W_{i+M+1,j+M+1} P_{x+i,y+j}. \hspace{1cm} (3)$$
Because $P \in \mathbb{N}$ and $F$ is $P$’s grayscale level, $0 \leq P_{x,y} < F$. Then Eq. (3) can be rewritten as
$$P_{x,y} = \left( I_{x,y} + kF - \sum_{i,j \in [-M,...,M] \cap (i,j) \neq (0,0)} W_{i+M+1,j+M+1} P_{x+i,y+j} \right) \mod F$$
$$= \left( I_{x,y} - \sum_{i,j \in [-M,...,M] \cap (i,j) \neq (0,0)} W_{i+M+1,j+M+1} P_{x+i,y+j} \right) \mod F.$$
which completes the proof of Proposition 1. $\square$
Using Proposition 1, we can design image encryption scheme using image filtering. To enhance the diffusion efficiency of the encryption algorithm, we set the lower-right weight of the mask corresponds to the current pixel. Then, the detail settings of the 2D mask used in image encryption are shown as
$$W = \begin{pmatrix}
W_{1,1} & \cdots & W_{1,M+1} & \cdots & W_{1,2M+1} \\
\vdots & \ddots & \vdots & \ddots & \vdots \\
W_{M+1,1} & \cdots & W_{M+1,M+1} & \cdots & W_{M+1,2M+1} \\
\vdots & \ddots & \vdots & \ddots & \vdots \\
W_{2M+1,1} & \cdots & W_{2M+1,M+1} & \cdots & 1
\end{pmatrix}, \hspace{1cm} (4)$$
where $W_{2M+1,2M+1} = 1$ corresponding to the current pixel and $W \in \mathbb{N}$. Thus, the upper and left adjacent pixels are used to process the current pixel $P_{x,y}$. When processing the pixel $P_{x,y}$, its upper and left adjacent pixels have been processed; when doing the inverse filtering to the pixel $I_{x,y}$, its upper and left adjacent pixels haven’t been recovered yet, because the processing order in the inverse filtering is opposite to that in the forward operation. This guarantees that the used adjacent pixel values in the filtering operation and its corresponding inverse operation are the same. Fig. 2 depicts an example of filtering operation and its corresponding inverse operation. It straightforwardly demonstrates that the used adjacent pixels...
in the forward and backward operations are the same. Combining Proposition 1 and the mask presented in Eq. (4), we can design the image filtering operation for image encryption as
\[ I_{x,y} = \left( \sum_{i,j \in \{-2M...0\} \cap (i,j) \neq (0,0)} W_{i+2M+1,j+2M+1}I_{x+i,y+j} \right) + P_{x,y} \mod F, \]
where \( P \) is the input image, \( F \) is the grayscale level of \( P \). The inverse operation of image filtering can be calculated as
\[ P_{x,y} = \left( I_{x,y} - \sum_{i,j \in \{-2M...0\} \cap (i,j) \neq (0,0)} W_{i+2M+1,j+2M+1}I_{x+i,y+j} \right) \mod F. \]
The mask size in our proposed encryption algorithm is set as \( 3 \times 3 \). Then, the eight upper and left adjacent pixels should be used to calculate a current pixel. Because the border pixels in the two leftmost columns and two uppermost rows don’t have (or have insufficient) left and upper adjacent pixels, we use the rightmost and lowermost border pixels to handle them. Fig. 3 demonstrates the strategy of handling border pixels. It is noticed that the border pixels in the two leftmost columns and two uppermost rows can be correctly recovered. This is due to that when doing inverse filtering to them, those used rightmost and lowermost border pixels have been already recovered.
### 3. Image cipher
This section presents IC-BSIF and Fig. 4 shows its structure. The secret key is to generate pseudo-random numbers for the block-based scrambling and image filtering in each encryption round. The block-based scrambling fast shuffles neighboring
pixels. The image rotation rotates image by 90 degrees clockwise. The image filtering is to randomly change pixel values. The proposed IC-BSIF is a private key encryption scheme. Using the identical secret key, the receiver can losslessly recover the original image by doing inverse operations of each step in the encryption process. The structure of decryption process is depicted in Fig. 5. The encryption process is represented as $C = \text{Enc}(P, K)$ while the decryption process is denoted by $D = \text{Dec}(C, K)$, where $K$ is the secret key.
The secret key is of length 256 bits and composed of 8 parts, $K = \{b_1, b_2, b_3, b_4, s_1, s_2, s_3, s_4\}$, in which $b_1 \sim b_4$ are the primitive sub-keys and $s_1 \sim s_4$ are the interference parameters to enlarge the key space. The sub-key in each encryption round is generated by doing bitwise XOR to $b_i$ using $s_i$,
$$k_i = b_i \oplus s_i,$$
where $i \in \{1, 2, 3, 4\}$. The sub-key $k_i$ is used as seeds to generate pseudo-random numbers in the block-based scrambling and image filtering.
### 3.1. Block-based scrambling
Neighboring pixels of natural images may have strong correlations, an image encryption scheme should be able to reduce these correlations. The block-based scrambling was designed to weakness these strong correlations by randomly separating neighboring pixels to different rows and columns. For an image of size $M \times N$, the block size $L$ can be calculated by
$$L = \min\{\lfloor \sqrt{M} \rfloor, \lfloor \sqrt{N} \rfloor \}.$$
(8)
The block-based scrambling is performed within range $L^2 \times L^2$. First, the image of size $L^2 \times L^2$ is divided into $L^2$ blocks and each block is of size $L \times L$ (Fig. 6 depicts the operation). Then, a scrambling box $O$ of size $L^2 \times L^2$ is generated using the sub-key. Finally, the pixels in a block can be permuted to different rows and columns based on $O$. The detail procedure is described as follows:
- **Step 1:** Calculate the block size $L$ using Eq. (8). Divide the image of size $L^2 \times L^2$ into $L^2$ blocks and each block is of size $L \times L$, which can be seen in Fig. 6.
- **Step 2:** Generate two vectors $A$ and $B$ using the sub-key. Both are of length $L^2$.
- **Step 3:** Sort $A$ and $B$ to obtain two index vectors $I$ and $J$, respectively.
• Step 4: Initialize the scrambling box $O$ of size $L^2 \times L^2$ and assign each column of $O$ as $I$.
• Step 5: Shift each column of $O$ using each element of $J$.
• Step 6: Set row index $i = 1$.
• Step 7: For the $i$th block of the original image, permute its pixels to the positions $\{(1, O_{i,1}), (2, O_{i,2}), \ldots, (L^2, O_{i,L^2})\}$ in the scrambled result $R$.
• Step 8: Repeat Step 6 to Step 7 $L^2 - 1$ times for $i = 2 \sim L^2$.
Algorithm 1 shows the pseudocode of the block-based scrambling while Algorithm 2 shows that of the inverse block-based scrambling. The inverse block-based scrambling is to do the inverse operations of each step in the block-based scrambling using the same scrambling box $O$.
Fig. 7 shows a numeral example of the block-based scrambling of size $4 \times 4$, namely $L = 2$ according to Eq. (8). Fig. 7(a) shows the generation process of $O$ from a sub-key; Fig. 7(b) displays the pixels of the original image $P$ and their distribuFig. 7. Demonstration of the block-based scrambling with a block of size $4 \times 4$: (a) generation process of the scrambling box $\mathbf{O}$; (b) pixels of the original image $\mathbf{P}$ and their distributions in the scrambled result $\mathbf{R}$; (c) one-to-one pixel position mapping between $\mathbf{P}$ and $\mathbf{R}$.
The detail scrambling process is described as follows: the 1st row of $\mathbf{O}$ is $(3, 1, 4, 2)$, then the corresponding 1st image block in gray, namely the pixels in positions $\{(1, 1), (1, 2), (2, 1), (2, 2)\}$ of $\mathbf{P}$ map to the pixels in positions $\{(1, 3), (2, 1), (3, 4), (4, 2)\}$ of $\mathbf{R}$; The 2nd row of $\mathbf{O}$ is $(4, 2, 1, 3)$, then the corresponding 2nd image block in cyan, namely the pixels in positions $\{(1, 3), (1, 4), (2, 3), (2, 4)\}$ of $\mathbf{P}$ map to the pixels in positions $\{(1, 4), (2, 2), (3, 1), (4, 3)\}$ of $\mathbf{R}$; The 3rd row of $\mathbf{O}$ is $(1, 3, 2, 4)$, then the corresponding 3rd image block in khaki, namely the pixels in positions $\{(3, 1), (3, 2), (4, 1), (4, 2)\}$ of $\mathbf{P}$ map to the pixels in positions $\{(1, 1), (2, 3), (3, 2), (4, 4)\}$ of $\mathbf{R}$; The 4th row of $\mathbf{O}$ is $(2, 4, 3, 1)$, then the corresponding 4th image block in white, namely the pixels in positions $\{(3, 3), (3, 4), (4, 3), (4, 4)\}$ of $\mathbf{P}$ map to the pixels in positions $\{(1, 2), (2, 4), (3, 3), (4, 1)\}$ of $\mathbf{R}$.
Fig. 8 shows an image example of the block-based scrambling of size $256 \times 256$. According to Eq. (8), the block size $L = \min\{\lfloor \sqrt{256} \rfloor, \lfloor \sqrt{256} \rfloor\} = 16$. Fig. 8(a) shows the straightforward result of the generated scrambling box $\mathbf{O}$. First, divide the input image into $L^2 = 256$ image blocks and each block is of size $16 \times 16$. Then, permute the pixels in each block to different rows and columns according to $\mathbf{O}$. With one-time block-based scrambling, the pixel positions are totally shuffled, which can be observed from the scrambling result in Fig. 8(c). Fig. 8(d) shows the inverse block-based scrambling result using the same scrambling box $\mathbf{O}$. This means that the inverse block-based scrambling can completely recover the original image.
3.2. Image rotation
As the block-based scrambling is to randomly shuffle image pixel positions within range $L^2 \times L^2$ and the image block size $L$ is calculated by Eq. (8). For an image of size $M \times N$, if it satisfies that $L = \sqrt{M} = \sqrt{N}$, all the pixels can be shuffled; otherwise, only the pixels within range $L^2 \times L^2$ can be shuffled and the rest pixels still locate at the same positions. To totally shuffle all the pixel positions, we rotate image by 90 degrees clockwise after the block-based scrambling. Then all the pixels can be shuffled after four encryption rounds. Note that the inverse image rotation is to rotate image 90 degrees anticlockwise in the decryption process.
3.3. Image filtering
The image filtering can randomly change the pixel values and spread little change of the plain-image to the entire pixels of the cipher-image to achieve the diffusion property. It first utilizes a matrix $\mathbf{Q}$ to normalize the pixels of the image, and
then uses a mask $W$ satisfying the requirements of Eq. (4) to filter the normalized result. The matrix $Q$ and mask $W$ are randomly generated from the sub-key in each encryption round.
3.3.1. Image normalization using matrix $Q$
The image normalization can reduce the patterns of natural image to balance the numbers of pixels in different intensity levels. The normalization operation to the block-based scrambling result $R$ using the randomly generated matrix $Q$ is defined as
$$R_{i,j} = (R_{i,j} + Q_{i,j}) \mod F,$$
where $1 \leq i \leq M$, $1 \leq j \leq N$ and $F$ is the grayscale level of the image. For example, $F = 256$ if an image pixel is represented by 8 bits. The inverse operation in the decryption process is defined as
$$R_{i,j} = (R_{i,j} - Q_{i,j}) \mod F.$$
3.3.2. Image filtering
The proposed encryption algorithm uses the mask $W$ of size $3 \times 3$ to filter the image. According the requirements of Eq. (4), we set $W_{3,3} = 1$ and other weights as random integers generated using the sub-key. As the border pixels in the two leftmost columns and two uppermost rows don’t have (or have insufficient) upper and left neighborhood pixels, the rightmost and lowermost border pixels are used to handle these pixels, which is shown as Fig. 3.
Suppose the normalization result $R$ is of size $M \times N$, $C$ is the image filtering result. First, initialize $C$ using the pixel values of $R$. Then, update each pixel value of $C$ using the following equation,
$$C_{i,j} = \sum_{m,n \in \{1,2,3\}} T_{m,n} \times W_{m,n} \mod F$$
$$= (T_{1,1}W_{1,1} + T_{1,2}W_{1,2} + T_{1,3}W_{1,3} + T_{2,1}W_{2,1} + T_{2,2}W_{2,2}$$
$$+ T_{2,3}W_{2,3} + T_{3,1}W_{3,1} + T_{3,2}W_{3,2} + T_{3,3}W_{3,3}) \mod F,$$
where $1 \leq i \leq M$ and $1 \leq j \leq N$, $T$ is a $3 \times 3$ image block, whose elements are from $C$. Because the weight $W_{3,3} = 1$ and it corresponds to the current pixel $R_{i,j}$, the element of $T$ with position $(3, 3)$ is the current pixel, namely $T_{3,3} = R_{i,j}$. Thus, Eq. (11) can be rewrote as
$$C_{i,j} = (T_{1,1}W_{1,1} + T_{1,2}W_{1,2} + T_{1,3}W_{1,3} + T_{2,1}W_{2,1} + T_{2,2}W_{2,2}$$
$$+ T_{2,3}W_{2,3} + T_{3,1}W_{3,1} + T_{3,2}W_{3,2} + R_{i,j}) \mod F.$$
In the decryption process, using the same operations to generate the mask $W$ and to obtain the image block $T$, the inverse operation of Eq. (12) can be defined as
$$R_{i,j} = (C_{i,j} - \sum_{m,n \in \{1,2,3\} \setminus (m,n) \neq (3,3)} T_{m,n} \times W_{m,n}) \mod F.$$
Fig. 9. Demonstration of the image filtering results with their histograms: (a) original image $P$; (b) one-time image filtering result of $P$; (c) one-time image filtering result of $P_2$, where $P_2$ has one bit difference in position $(100, 84)$ with $P$; (d) the difference between (b) and (c).
$$= \left( C_{i,j} - T_{1,1}W_{1,1} - T_{1,2}W_{1,2} - T_{1,3}W_{1,3} - T_{2,1}W_{2,1} - T_{2,2}W_{2,2} - T_{2,3}W_{2,3} - T_{3,1}W_{3,1} - T_{3,2}W_{3,2} \right) \mod F.$$
(13)
It is noticed that the processing order in the inverse image filtering is opposite to that in the forward operation.
Fig. 9 shows an image example of image filtering. Fig. 9(b) is the one-time image filtering result of Fig. 9(a). Fig. 9(c) is the one-time image filtering result of a new image, which is obtained by changing one bit of the pixel with position $(100, 84)$ in Fig. 9(a). Fig. 9(d) shows the difference between Fig. 9(b) and (c). This demonstrates that the image filtering can spread the little change of a pixel to all the pixels behind it. After four encryption rounds, these little change can be spread to the entire image. Thus, the proposed IC-BSIF can achieve the diffusion property and has strong ability of resisting chosen-plaintext attack.
4. Simulation results
This section provides the simulation results of IC-BSIF in the MATLAB 2012b environment. Most of the used images in the experiments are from the CVG-UGR image database.
The proposed IC-BSIF can be directly applied to digital images with all kinds of data formats. In our experiments, we use IC-BSIF to encrypt a large number of images with different data formats and some representative simulation results are displayed in Figs. 10 and 11. Fig. 10 shows the simulation results of five grayscale images with different data formats and Fig. 11 demonstrates the simulation results of five color images. These plain-images have many patterns or textures that make them hard to be processed. However, the encryption process can transform them into random-like cipher-images. Even the plain-images have many patterns, the pixels of their corresponding cipher-images are uniformly distributed and attackers cannot get any useful information by observing their pixel distributions. The decryption process is able to accurately reconstruct the original images.
Because the inverse image filtering in the decryption process can spread little change of the cipher-images to almost all the pixels of the decrypted images, the decryption process cannot completely recover the original images if some pixel values of the corresponding cipher-images are modified. Thus, the proposed encryption algorithm cannot defend some kinds of attacks, such as the lossy compression, rotation and cropping attacks.
5. Security analysis
This section analyzes the security of IC-BSIF from the following four aspects: secret key, randomness, differential attack and adjacent pixel correlation. The test images are selected from BOWS-2 image database and several typical encryption schemes are used as the reference schemes: HZPC [11], LLZ [16], WNA [25], WYJN [26], ZBC1 [32], ZBC2 [33], CMC [4], FLMLC [8] and WZNS [27].
5.1. Secret key analysis
The key security is the most concerned issue for an encryption scheme. On one hand, the key space should be large enough to defend the brute-force attack. The key space of IC-BSIF is $2^{256}$, which has a proper size [1]. On the other hand, the encryption scheme should be extremely sensitive with the key’s change. This means that when encrypting (decrypting) an identical plain-image (cipher-image) with two slightly different secret keys, the obtained two cipher-images (decrypted images) should be totally different.
To test the key sensitivity of IC-BSIF in encryption and decryption processes, we first randomly generate a secret key $K_1$, and then change one bit of $K_1$ to obtain two different keys: $K_2$ and $K_3$. The three secret keys $K_1$, $K_2$ and $K_3$ are listed as...
followings,
\[
K_1 = A49AD500090263914ACA157CE1AA2324A1344C090FAB82F067499CB982A503A9,
\]
\[
K_2 = B49AD500090263914ACA157CE1AA2324A1344C090FAB82F067499CB982A503A9,
\]
\[
K_3 = E49AD500090263914ACA157CE1AA2324A1344C090FAB82F067499CB982A503A9.
\]
Fig. 12 shows the key sensitivity analysis results in encryption process. As can be observed from the figures that the three cipher-images encrypted using \( K_1, K_2 \) and \( K_3 \) are totally different, and their differences are shown in Fig. 12(e), (f) and (g). This means that the proposed IC-BSIF is quite sensitive with its secret key in encryption process. Fig. 13 shows the results of decrypting an identical cipher-image using \( K_1, K_2 \) and \( K_3 \), respectively. Only the correct key can accurately
recover the original image (see Fig. 13(a)). Secret keys with one bit difference result in totally different decrypted images (see Fig. 13(d)). This demonstrates that the secret keys of IC-BSIF are extremely sensitive in decryption process.
5.2. Randomness of cipher-image
The cipher-images of a cryptosystem are expected to randomly distribute to defend statistical attacks. Their randomness can be measured by the National Institute of Standards and Technology (NIST) SP800-22 Statistical Test Suite [12,19]. The NIST SP800-22 Statistical Test Suite has 15 different sub-tests that aim to find different types of non-randomness area in a long binary sequence. It uses a set of binary sequences as the input. According to the recommendation in [12], the used significance level $\alpha$ is set as 0.01 and the size of binary sequences $s$ should be not smaller than the inverse of $\alpha$, 120 in our experiment. Each sub-test generates a $P-value$ for all the binary sequences and obtains a $p-value$ for each binary sequence as well.
The empirical results of each sub-test can be interpreted in three ways: the $P-value$, pass rate and $p-value_1$ interpretations. The $P-value$ interpretation checks whether the $P-values$ fall into range $[\alpha, 1]$. As $\alpha = 0.01$, $P-value$ falling into range $[0.01, 1]$ is considered to pass the corresponding sub-test. The pass rate interpretation is to count the pass proportion of all the test samples. The minimum pass rate $T$ is defined as
$$T = \hat{p} - 3\sqrt{\frac{\hat{p}(1-\hat{p})}{s}},$$
where $\hat{p} = 1 - \alpha$. As $\alpha = 0.01$ and $s = 120$, we can obtain that $T = 0.9628$. The $p-value_T$ interpretation is to calculate the distribution of the $p-values$. For each sub-test, the generated $p-values$ are expected to uniformly distribute in the range $(0, 1)$. The $p-value_T$ is calculated by $p-value_T = igamc(9/2, \chi^2/2)$, where $igamc(\cdot, \cdot)$ is the incomplete gamma function, and $\chi^2$ is defined as
$$\chi^2 = \sum_{i=1}^{10} \frac{(F_i - s/10)^2}{s/10},$$
where uniformly dividing the range $(0, 1)$ into 10 sub-intervals and $F_i$ is the frequency of occurrence of $p-value$ in $i$-th sub-interval. The test binary sequences pass the sub-test if $p-value_T \geq 0.0001$.
We chose 120 images (filenames are from “1” to “120”) from the BOWS-2 image database to do the experiment. These images are first encrypted by IC-BSIF and the obtained cipher-images are then decomposed into binary sequences. The binary numbers from one cipher-image are used as one binary sequence. As all the images are of size $512 \times 512$ and each pixel is represented by 8 bits, the length of a binary sequence is $512 \times 512 \times 8 = 2097152$. Thus, 120 binary sequences of length 2,097,152 are tested by NIST SP800-22 test suite and the interpretation results are shown in Fig. 14. The results show that the 120 cipher-images encrypted by IC-BSIF can pass all the $P-value$, pass rate and $p-value_T$ interpretations for all the 15 sub-tests. This means than IC-BSIF can encrypt images into cipher-images with high randomness.
### 5.3. Ability of resisting differential attack
The differential attack, as a kind of chosen-plaintext attack, investigates how the differences in plain-images can affect the corresponding cipher-images in an encryption scheme. It traces the differences and tries to find the connections between plain-images and cipher-images. The number of pixel change rate (NPCR) and uniform average change intensity (UACI) can be used to measure the ability of resisting differential attack. Suppose $P_1$ and $P_2$ are two plain-images with one bit difference, $C_1$ and $C_2$ are their corresponding cipher-images encrypted by an identical secret key, NPCR is defined as
$$NPCR(C_1, C_2) = \sum_{i,j} \frac{A(i, j)}{G} \times 100\%,$$
and UACI is described as
$$UACI(C_1, C_2) = \sum_{i,j} \frac{|C_1(i, j) - C_2(i, j)|}{T \times G} \times 100\%,$$
where $G$ denotes the total number of pixel, $T$ demonstrates the largest allowed pixel value, and $A$ represents the difference between $C_1$ and $C_2$, which is defined as
$$A(i, j) = \begin{cases} 0, & \text{if } C_1(i, j) = C_2(i, j), \\ 1, & \text{if } C_1(i, j) \neq C_2(i, j). \end{cases}$$
Recently, strict NPCR and UACI critical values were developed in [24]. For a given significance level $\alpha$, the corresponding critical NPCR score $N_{\alpha}^*$ can be calculated by
$$N_{\alpha}^* = \frac{G - \Phi^{-1}(\alpha)\sqrt{G/T}}{G + 1}.$$
Table 1
NPCR results of different image encryption schemes with the significance level $\alpha = 0.05$.
| Image Size | File name | Ciphertext images | HZPC | ZBC1 | WNA | LLZ | WYJN | ZBC2 | IC-BSIF |
|------------|---------------|-------------------|------|------|-----|-----|------|------|--------|
| | | | | | | | | | |
| 128 × 128 | cuadrado3 | | 99,6582 | 99,5361 | 99,6094 | 49,8230 | 99,5422 | 99,7864 | 99,7253 |
| | nature8 | | 98,2300 | 99,6155 | 99,5850 | 99,5789 | 99,5178 | 99,8413 | 99,7253 |
| | p2 | | 99,3286 | 99,6155 | 99,5605 | 99,5667 | 99,6155 | 99,1272 | 99,5667 |
| | Rombos2 | | 99,6694 | 99,4380 | 99,6111 | 99,5932 | 99,6063 | 99,8146 | 99,5667 |
| | sand | | 99,6582 | 99,6094 | 99,6704 | 99,5399 | 99,6460 | 99,0758 | 99,5667 |
| | tipa4.d | | 99,6521 | 99,6094 | 99,6460 | 99,6033 | 99,5544 | 99,4202 | 99,6765 |
| | Triangulo.de.ang | | 99,6643 | 99,5789 | 99,6582 | 99,6399 | 99,5972 | 99,4568 | 99,6765 |
| | 4.1.06 | | 99,6750 | 99,5911 | 99,6094 | 49,8230 | 99,5667 | 99,5422 | 99,6216 |
| | 5.2.10 | | 99,4583 | 99,6445 | 99,6002 | 49,8001 | 99,5911 | 99,8047 | 99,6292 |
| 256 × 256 | fig31.10 | | 99,6356 | 99,5987 | 99,5575 | 99,6231 | 99,5895 | 99,4278 | 99,5956 |
| | fiore | | 99,5697 | 99,5880 | 99,6338 | 49,7894 | 99,6063 | 99,5605 | 99,6353 |
| | montage | | 99,5773 | 99,6248 | 99,5575 | 49,7893 | 99,6063 | 99,5605 | 99,5880 |
| | pallon | | 99,6629 | 99,6117 | 99,6094 | 49,6292 | 99,6078 | 99,6262 | 99,6429 |
| | papav | | 99,5941 | 99,5789 | 99,6124 | 49,8276 | 99,6414 | 99,4308 | 99,5805 |
| | 5.2.09 | | 99,5960 | 99,6048 | 99,6197 | 99,6063 | 99,6056 | 99,7059 | 99,6048 |
| | 7.1.02 | | 99,6105 | 99,5968 | 99,6010 | 99,6170 | 99,6166 | 99,7898 | 99,6178 |
| 512 × 512 | aerial2 | | 99,6281 | 99,6048 | 99,6185 | 99,6483 | 99,6101 | 99,3973 | 99,6044 |
| | bike | | 99,6284 | 99,6075 | 99,6296 | 99,6101 | 99,5957 | 99,6105 | 99,6044 |
| | blackk | | 99,6197 | 99,6075 | 99,6185 | 49,8028 | 99,6262 | 99,6112 | 99,6288 |
| | commandl | | 99,6088 | 99,6033 | 99,5865 | 49,8028 | 99,6262 | 99,5712 | 99,5953 |
| | france | | 99,6117 | 99,6071 | 99,5937 | 49,8039 | 99,5949 | 99,7154 | 99,6159 |
| | Pass rate | | 18/21 | 19/21 | 18/21 | 12/21 | 19/21 | 10/21 | 21/21 |
If the obtained NPCR score is not smaller than $N_{0.05}^*$, the encryption scheme is considered to have strong ability of resisting differential attack. The corresponding critical UACI scores ($U_{0.05}^-, U_{0.05}^+$) can be calculated by
$$\begin{cases}
U_{0.05}^- = \mu_{il} - \Phi^{-1}(\alpha/2)\sigma_{il}, \\
U_{0.05}^+ = \mu_{il} + \Phi^{-1}(\alpha/2)\sigma_{il},
\end{cases}$$
where
$$\mu_{il} = \frac{G + 2}{3G + 3},$$
$$\sigma_{il} = \frac{(G + 2)(G^2 + 2G + 3)}{18(G + 1)^2GT}.$$
An encryption scheme is considered to pass the UACI test if the obtained UACI score falls into range $(U_{0.05}^-, U_{0.05}^+)$. Our experiment randomly selected 21 grayscale images from the CVG-UGR image database to do the test. Among these 21 images, the numbers of images of size 128 × 128, 256 × 256 and 512 × 512 are equal. According to the recommendation in [24], we set the significance level $\alpha = 0.05$. Then, for image of size 128 × 128, $N_{0.05}^* = 99.5292\%$ and $(U_{0.05}^-, U_{0.05}^+) = (33.1012\%, 33.8259\%)$; for image of size 256 × 256, $N_{0.05}^* = 99.5693\%$ and $(U_{0.05}^-, U_{0.05}^+) = (33.2824\%, 33.6447\%)$; for image of size 512 × 512, $N_{0.05}^* = 99.5893\%$ and $(U_{0.05}^-, U_{0.05}^+) = (33.3730\%, 33.5541\%)$. Tables 1 and 2 demonstrate the NPCR and UACI scores of different image encryption schemes. From the two tables, we can observe that the proposed IC-BSIF can pass both NPCR and UACI tests for all the 21 test images. It has the highest pass rates compared with other encryption schemes. Thus, IC-BSIF can achieve strong ability of resisting differential attack.
5.4. Adjacent pixel correlation
A natural image may have strong correlations between adjacent pixels. An efficient image encryption scheme should be able to weaken these strong correlations. The adjacent pixel correlation can be quantitively calculated by
$$AC = \frac{E[(X - \mu_X)(Y - \mu_Y)]}{\sigma^2},$$
(14)
where $X$ is a pixel sequence of the image and $Y$ is another pixel sequence, in which each pixel in $Y$ is the adjacent pixel of $X$ along the horizontal, vertical or diagonal direction, $\mu$ is mathematical expectation and $\sigma$ is the standard derivation. It is obvious that the AC value is in the range $[-1, 1]$. If pixel sequences $X$ and $Y$ have a strong correlation, their AC value approaches to 1 or −1; If they have a weak correlation, their AC value closes to 0. Therefore, smaller absolute AC value means a weaker correlation of two pixel sequences.
Table 2
UACI results of different image encryption schemes with the significance level $\alpha = 0.05$.
| Image Size | File name | Ciphertext images | HZPC | ZBC1 | WNA | LLZ | WYJN | ZBC2 | IC-BSIF |
|------------|---------------|-------------------|--------|--------|--------|--------|--------|--------|---------|
| | | | 33.4438| 33.7013| 33.6535| 17.1931| 33.4076| 33.4545| 33.5900|
| 128 × 128 | cuadrado3 | | 29.8763| 33.2757| 33.4870| 33.4609| 33.6193| 32.8481| 33.7523|
| | nature8 | | 32.6957| 33.8692| 33.4440| 33.4951| 33.3605| 33.3084| 33.4534|
| | p2 | | 33.6854| 33.5047| 33.4706| 33.4745| 33.2754| 32.9708| 34.4626|
| 33.1012/33.8259 | Rombo2 | | 32.9298| 33.8620| 33.4711| 33.4945| 33.3605| 33.1102| 33.5137|
| | trianod | | 33.5302| 33.6632| 33.2958| 33.1969| 33.2956| 32.1341| 33.4832|
| | tipo4_d | | 33.9034| 33.7655| 33.0439| 33.3442| 33.4668| 32.7604| 33.6306|
| 256 × 256 | 4_1.06 | | 33.4282| 33.2280| 33.4413| 17.0287| 33.4610| 33.7711| 33.4743|
| | 5_2.10 | | 32.8332| 33.4139| 33.3319| 16.7253| 33.4378| 33.5547| 33.2897|
| | fig31_10 | | 33.5212| 33.6864| 33.2168| 33.6405| 33.5460| 33.2172| 33.4226|
| | fiore | | 33.1129| 33.2512| 33.5288| 16.8842| 33.6482| 33.5994| 33.4377|
| 33.2824/33.6447 | montage | | 32.9991| 33.5427| 33.4684| 17.0068| 33.6242| 33.9124| 33.5017|
| | pallon | | 33.5965| 33.8977| 33.3314| 33.7884| 33.4349| 32.8205| 33.5765|
| | papav | | 33.2034| 33.5483| 33.3393| 16.7986| 33.4452| 33.5885| 33.5257|
| 512 × 512 | 5_2.09 | | 33.5230| 33.5176| 33.5115| 33.4825| 33.5012| 33.4902| 33.5107|
| | 7_1.02 | | 33.5149| 33.4418| 33.4726| 33.5864| 33.4369| 33.4940| 33.4397|
| | aerial2 | | 33.4768| 33.4616| 33.4617| 33.6219| 33.4678| 33.9591| 33.4328|
| | bike | | 33.5580| 33.5920| 33.4384| 33.4566| 33.4845| 33.4077| 33.5277|
| 33.3730/33.5541 | blackb | | 33.5144| 33.5144| 33.5148| 33.5146| 33.5146| 33.5146| 33.4686|
| | cropdd | | 33.4595| 33.5532| 33.4341| 16.7550| 33.4657| 33.3282| 33.4992|
| | france | | 33.3785| 33.5048| 33.5254| 16.7867| 33.4372| 33.6441| 33.4768|
| | Pass rate | | 12/21 | 15/21 | 19/21 | 8/21 | 20/21 | 10/21 | 21/21 |
Table 3
AC results of the “Lena” image and its cipher-images encrypted by different image encryption schemes.
| Encryption schemes | Horizontal | Vertical | Diagonal |
|--------------------|------------|----------|----------|
| “Lena” image | 0.9400 | 0.9709 | 0.9710 |
| CMC | −0.00024 | −0.24251 | 0.23644 |
| LLZ | 0.0127 | −0.0190 | −0.0012 |
| FLMLC | 0.0368 | 0.0392 | 0.0068 |
| WYJN | −0.0002150| 0.0014913| 0.040264 |
| ZBC1 | −0.0054 | 0.0045 | 0.0031 |
| WZNS | 0.00038365| −0.007616| 0.006521 |
| HZPC | −0.0006259| 0.0013210| −0.0020946|
| WNA | −0.0007233| 0.0012893| −0.0003565|
| IC-BSIF | **0.0033455** | **−0.0008454** | **−0.0002044** |
Table 3 shows the AC values of the “Lena” image and its cipher-images encrypted by different image encryption schemes. For CMC, LLZ, FLMLC, WYJN, ZBC1 and WZNS, we directly reference their AC values reported in [27]; for other algorithms, we implemented them and calculated their AC values. The test results show that IC-BSIF has smaller absolute AC values than LLZ, FLMLC, ZBC1 and WZNS in all the three directions, and outperforms CMC, WYJN, HZPC and WNA in two directions.
Fig. 15 plots the adjacent pixels of the plain-images and their corresponding cipher-images encrypted by IC-BSIF. First, encrypt 10 images from BOWS-2 image database (filenames are from “1” to “10”) using IC-BSIF. Then, randomly select 1000 pixels from every plain-image and its cipher-image and plot the selected 1000 pixels with their adjacent pixels along the horizontal, vertical and diagonal directions. For each figure in Fig. 15, the X-axis denotes the 10 images, and Y-Z plane plots these pixel pairs. The adjacent pixel pairs in the plain-images mostly distribute on or nearby the diagonal lines of the Y-Z plane. This means that the adjacent pixels of these plain-images have strong correlations. The adjacent pixel pairs in the cipher-images randomly distribute in the whole data range, which means that a pixel has a weak correlation with its adjacent pixels in the cipher-images. Thus, IC-BSIF can efficiently weaken the strong correlations between adjacent pixels.
6. Conclusion
This paper first presented the concept of encrypting an image using image filtering, and then proposed an image cipher using block-based scrambling and image filtering, named IC-BSIF. The block-based scrambling can separate pixels in an image block into different rows and columns, and thus can achieve high efficiency to weaken the strong correlations between adjacent pixels. Using randomly generated masks, the image filtering can blur the image and achieve the diffusion property. Experimental results showed that IC-BSIF can encrypt different kinds of digital images into random-like ones. Security evaluations demonstrated that, compared with several typical encryption schemes, IC-BSIF can achieve better
Fig. 15. The adjacent pixel pairs of 10 plain-images and their cipher-images encrypted by IC-BSIF. The top row plots the pixel pairs of plain-images while the bottom row plots that of cipher-images along the (a) horizontal, (b) vertical and (c) diagonal directions. In each figure, the X-axis denotes the index of the image and Y-Z plane plots the pixel pairs.
performance. Because this is the first time that image filtering has been used to do encryption, the developed encryption scheme still has some limitations, including incapable of resisting lossy compression, rotation and cropping attacks. The performance of the proposed encryption scheme can be significantly improved by solving these limitations.
Acknowledgement
This work was supported in part by the Macau Science and Technology Development Fund under Grant FDCT/016/2015/A1 and by the Research Committee at University of Macau under Grants MYRG2014-00003-FST and MYRG2016-00123-FST.
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|
Idaho STAR Motorcycle Safety Program
INTERMEDIATE RIDER TRAINING
RANGE GUIDE
Idaho STAR
Skills Training Advantage for Riders
Intermediate Rider Training Instructor Range Guide
Version 3.0, 2024
Range Rules
RANGE RULES
• Don’t practice without permission.
• Stay with each exercise as it’s being practiced.
• Wear all protective gear when on the motorcycle.
• Always check around you – front, sides, and behind – before moving.
• Don’t crowd other riders – leave plenty of space between you and them.
• Do not pass other riders/motorcycles unless instructed.
• If you have a problem, move out of the way and signal an instructor.
• If you hear a referee-style whistle, stop immediately and wait for directions.
• If you don’t understand an exercise, ask the instructor for clarification.
• Notify an instructor if you are too uncomfortable to ride safely.
LATE ARRIVAL POLICY
• Students who arrive after the start of the first exercise may not be allowed to continue (see P&P). Instruct them to call the STAR office at 208-639-4540.
RANGE PREPARATION
• Cordon off range with large cones.
• Clear range of debris and gravel.
• Start, warm up, and wipe down training bikes to be used.
• Set cones for first exercise.
• Place bikes to be used on the hash marks starting at the third hash mark from the staging end of the range (should be next to the high hat for the stop cone).
• Place first aid kit, fire extinguisher, extra cones, and water near staging but off range.
STUDENT ORIENTATION
• Greet students.
• Inspect and approve riding gear.
• Have all students sign master waiver form.
• Collect individual waivers for students under 18.
• Inspect student motorcycles for obvious defects that could impair handling or create safety hazard:
* Fluid leaks
* Tire wear or underinflation
* Broken spokes
* Inoperable or missing controls such as:
- Front or rear brakes
- Engine cut-off switch
- Sticky throttle
• Inspect vehicle registration and insurance.
• Introduce Instructors.
• Read Range Rules (opposite page).
• Review hand signals:
• Start engine
• Stop engine
• Speed up
• Referee’s whistle—all stop
• Slow down
• Stop/Stop here
• Staging
• Identify range riding area:
* Small cones define outside perimeter of the range. Remain within 10’ of this perimeter at all times. Do not ride off the range.
• Identify and describe staging procedures.
• Describe expectations:
* Practice skills found to be lacking in crash-involved riders.
* Apply skills and strategies discussed in the (virtual) classroom.
• Brief student introductions:
* Name
* Motorcycle you are riding
* Expectations
You will locate and operate the controls and identify the friction zone.
DIRECTIONS: (Have students perform each activity as you read the directions)
Mount your motorcycle
Start and stop the engine
(Start and stop the engine 1-2 times)
• Squeeze in the clutch and start the engine.
• Stop the engine using the engine cut-off switch, then turn off the ignition.
Rocking Step
• Place at least one foot down, start the engine, squeeze the clutch and select first gear. Push back until you are resting on your heels.
• Slowly ease the clutch into the friction zone. The motorcycle will move forward. Squeeze the clutch when you are flat-footed and rock back on your heels. Repeat.
EVALUATE UNDERSTANDING: NONE
DEBRIEF:
• Why do we stop the engine with the cut-off switch?
(Keep hands on grips)
• How do you smoothly get underway?
(Use clutch and throttle through the friction zone)
WHAT TO COACH:
1. Starting and stopping procedure.
2. Smooth clutch control.
ORIENTATION GUIDELINES:
• Evaluate student “fit” to the motorcycle if on a STAR motorcycle. They should be able to reach the ground with at least the ball of one foot and reach the hand controls with arms slightly bent. Switch riders on program-owned bikes if needed.
RANGE CONTROL TIPS:
• Each Instructor observe half the group.
• It is permissible to create a gap in the middle to separate the two groups.
TIME/REPETITIONS:
• Run this orientation no more than 5 minutes.
RANGE/CONE LAYOUT:
STAGING:
Direct riders to turn the handlebars full lock right and walk the bike 90-degrees to the right to park facing the short end of the range.
You will ride around the perimeter and weave between the cones.
DIRECTIONS:
• Begin riding around the perimeter to the left in 2nd gear at about 15 mph.
• When you reach the far side of the range, begin weaving between the cones.
• Ride to the right of the first cone, left of the second cone, and so on.
• Ride between the two end gate cones (point out).
• Keep your head and eyes up, looking where you want to go, not down at the cones.
• Maintain a safe distance between you and the rider ahead.
• Speed up if you feel wobbly or unstable, but keep speeds under 18 mph.
• Use this exercise to warm-up and get acclimated to range riding.
• What questions do you have?
DEBRIEF:
• Was it easier going faster or slower?
(Faster)
• What happened if you looked down at the cones?
(Went toward cones/hit cones)
WHAT TO COACH:
1. Speed for stability. Coach only if they are wobbling/unstable.
2. Head and eyes up.
EXERCISE GUIDELINES:
• Coach as needed.
• One of the objectives of this exercise is to evaluate overall control. If a student cannot maintain control of the motorcycle in this exercise, they should be counseled out of class and encouraged to take a Basic course.
RANGE CONTROL TIPS:
• Keep speeds under 18 mph.
• Counsel any student who is unable to complete this exercise safely to take a Basic Course and dismiss from class. Advise student to contact STAR office on the next business day. Make note of this on Course Report.
TIME/REPETITIONS:
• Run this drill for 5 minutes.
RANGE/CONE LAYOUT:
STAGING:
Instructor B give staging signal to riders in motion.
OFFSET WEAVE & SHARP TURNS
**OBJECTIVE:**
You will balance and control the motorcycle in slow speed maneuvers and sharp turns.
**DIRECTIONS:**
- Begin by riding up the center of the range. At the end, turn left or right. Ride between the two gate cones (*point out*) and down the perimeter.
- Ride to the right of the first cone, left of the second, and continue weaving past all the cones.
- After completing the weave, ride through the sharp turn (*point out*).
- After exiting the sharp turn, ride between the two end gate cones and enter the lane closest to you. When you reach the large center cones, make a safe lane change.
- Remain in your new lane.
- At the end of your lane, turn left if in the left lane or right if in the right lane and repeat the cone weave and the sharp turn.
- Continue the circuit by alternating sides.
- Try both 1\textsuperscript{st} and 2\textsuperscript{nd} gear to determine what works best for you and your bike.
**DEMONSTRATION (Demo one lap; speed - fast enough to show balance and control):**
**NARRATION POINTS:**
- Adequate speed for balance and head and eye placement will help you balance the motorcycle.
- Use the friction zone (ride the clutch) to control speed.
- A good head turn and looking well beyond the turn will help guide you through the sharp turn.
- What questions do you have?
**DEBRIEF:**
- What part of this exercise did you find most challenging? Why?
- Where would you use these techniques in everyday street riding?
**WHAT TO COACH:**
1. Head and eyes for directional control.
2. Friction zone to control speed/power to the rear wheel.
3. Situational awareness and safe traffic interaction.
EXERCISE GUIDELINES:
• All coaching in this exercise is as needed.
• The objective is to teach the students how to maneuver the motorcycle at slow speeds in the “real world” by using head and eye placement and the friction zone. It is not about teaching them how to ride this cone weave.
RANGE CONTROL TIPS:
• Instructor B – send from staging.
• Instructor A – help riders get started by sending them from the center to alternating sides.
• Both Instructors have coaching objectives: Instructor A coaches the offset weave. Instructor B coaches the sharp turn.
TIME/REPETITIONS:
• Run this exercise for 15 minutes.
RANGE/CONE LAYOUT:
STAGING:
Instructor A - stop students in the center of the range in one line. Instructor B - move to staging after the far side empties. Instructor A send students to staging.
NOTE: Instructor B can direct riders to ride single file up the middle to Instructor A.
Move weave cones to progressive offset locations (14). Leave gates, sharp turns, and center cones.
**OBJECTIVE:**
You will practice head and eye placement for directional control and navigate turns of various degrees while controlling speed.
**DIRECTIONS:**
- Make a u-turn out of staging and ride toward the end of the range.
- Turn right and ride down the center lane. At the end, ride between the center gate cones (*point out*) and turn left or right.
- Ride through the sharp turn and look ahead to find your line for the outside of each weave cone.
- At the end of the weave, make a large u-turn through the gate cones and change lanes at the large center cones (*point out*).
- Continue riding the circuit by alternating sides.
- Try both 1\textsuperscript{st} and 2\textsuperscript{nd} gear to determine what works best for you and your bike.
**DEMONSTRATION** *(Demo one lap; speed - fast enough to show balance and control)*:
**NARRATION POINTS:**
- Look to your new path and turn the bars as you enter the sharp turn.
- Keep your head and eyes up and plan your path of travel as far ahead as you can.
- Make early head turns to acquire your target sooner.
- Ride the clutch/use the friction zone to control your speed when riding slowly.
- What questions do you have?
**DEBRIEF:**
- Why is it important to use the clutch to control your speed?
- What happened if you failed to look well ahead in the weave? Sharp turn?
**WHAT TO COACH:**
1. Head and eyes for directional control.
2. Use clutch to control speed.
3. Safe space cushioning and following distance.
EXERCISE GUIDELINES:
• Coach as needed.
RANGE CONTROL TIPS:
• Use R3 reversal (pg 39) from staging to start exercise.
• Instructor A – help the students get started by sending riders from the center to alternating sides.
• Instructor B – send from staging.
• Both Instructors have coaching objectives. Instructor A coaches the sharp turn to the left. Instructor B coaches staging side weave.
TIME/REPETITIONS:
• Run this exercise for 15-20 minutes, adjust as needed for clutch fatigue.
RANGE LAYOUT:
STAGING:
Stop students in the center of the range in one line. Direct students to turn left, ride around the perimeter and back to staging.
Riders will swerve to avoid an obstacle in their path and separate swerving and braking.
DIRECTIONS:
• Line up at the start gates (point out).
• You may go as soon as the rider ahead of you has passed the first set of cones.
• Ride toward the gates and obstacle (point out) at 15-18 mph.
• After passing through the 2nd set of cones, press on the appropriate handgrip to swerve into the lane. Press right to go right. Press left to go left.
• Press on the opposite handgrip to straighten the motorcycle in the lane.
• After straightening, slow before rounding the large SLOW cone. Be prepared to stop if directed.
• Separate braking and swerving.
• After stopping, move to the next starting point and continue the exercise.
DEMONSTRATION (Demo one lap, 15-18 mph):
NARRATION POINTS:
• Proceed as soon as the rider ahead clears the first set of cones.
• Keep your body upright and allow the motorcycle to move beneath you.
• Look to your escape path when you swerve.
• Keep a steady throttle through the swerve.
• Hold your first press long enough to avoid the obstacle with all parts of your motorcycle.
• Separate swerving and braking.
• What questions do you have?
DEBRIEF:
• How long did you need to hold the first press?
• Why is it important to separate braking and swerving?
• What should you do in a situation that requires braking and swerving at the same time?
WHAT TO COACH:
1. Press to lean/press to straighten.
2. Does not brake while swerving.
EXERCISE GUIDELINES:
• Coach as needed.
• Students found braking while swerving MUST be corrected.
RANGE CONTROL TIPS:
• Send 1st half all the way around to line up at staging side cones. Send 2nd half to far side cones.
• Position yourself well behind the swerve box (you should be back far enough so that you are standing on the short side of the perimeter).
• If individual riders must be pulled out for coaching, move them well outside the path of travel.
TIME/REPETITIONS:
• Run this exercise for 15 minutes.
RANGE LAYOUT:
STAGING:
Stop both lines. Signal group nearest to staging to return to staging then direct the other group to return to staging.
BREAK - 15 MINUTES
You will slow to a suitable entry speed, turn your head, and make smooth throttle adjustments through curves while staying with the boundaries.
DIRECTIONS:
• Ride through the two marked curves (point out) and around the pivot cones to the left at 15-20 mph.
• Slow with both brakes prior to each curve entrance, and look all the way through the turn to the exit.
• Press forward on the inside handgrip to initiate your turn and smoothly apply throttle.
• Maintain a steady speed until you see the exit, then smoothly accelerate out of each corner.
• Look to the next curve and repeat until signaled to return to staging.
• Once both groups have ridden to the left, this exercise will be repeated to the right.
DEMONSTRATION: (Demo two laps; 15-20 mph)
NARRATION POINTS:
• Slow prior to each marked curve.
• Complete all braking before the corner, using both brakes each time.
• Turn your head to face the exit.
• A good head turn will enable you to see the exit, assess proper throttle timing and application, and choose the best line through the curve.
• Maintain a steady throttle until your exit comes into view, then smoothly accelerate out of the corner.
• Find your line to the next corner.
• Avoid coasting through the curves.
• What questions do you have?
DEBRIEF:
• Why should you look to the exit BEFORE the turn?
• Why should you use both brakes to slow?
WHAT TO COACH:
1. Smooth application of both brakes prior to the curve.
2. Head turned toward the exit or next turn.
3. Smooth control inputs.
EXERCISE GUIDELINES:
• To the left, Instructor A coaches students to LOOK AT ME beside the large cone then moves to the middle pivot cone to encourage riders to LOOK TO THE NEXT TURN.
• Instructor B coaches steady throttle and ROLL ON as needed.
• To the right, Instructor A briefly discusses the What to Coach points with riders in staging.
• Instructor B coaches cornering technique as needed.
RANGE CONTROL TIPS:
• Instructor in staging can keep track of time.
• Use R3 reversal (p. 39) from staging (right).
TIME/REPETITIONS:
• Run this exercise for 25 minutes in two groups.
• Each group should ride 4-5 minutes in each direction.
RANGE LAYOUT:
STAGING:
To the left - Instructor B gives the staging signal in motion after Instructor A moves to staging.
To the right - Instructor B stops riders on the perimeter and directs the lead rider to make a wide s-turn and return to staging.
You will link multiple curves smoothly.
DIRECTIONS:
• Begin by riding to the left at 15-20 mph.
• Ride through both marked corners on the short ends of the range (point out), through the weave on the far side of the range (point out), and around the pivot cone on the near side (point out).
• Look as far ahead as possible to plan your path of travel, and make the exit of each corner line up with the entrance to the next.
• Ride at a steady pace without making significant corrections in speed or cornering lines.
• Once everyone has ridden to the left, the exercise will be reversed.
DEMONSTRATION (Demo two laps; steady speed at 15-20mph):
NARRATION POINTS:
• Look as far ahead as possible for what’s next to plan speed and line selection.
• Maintain a steady speed and make only small corrections to brake and throttle application for a smooth ride.
• Select a good line that allows smooth transitions.
• It’s not a racetrack; it’s not about going fast.
• Slow is smooth and smooth is fast.
• Keep speeds between 15 and 20 mph.
• What questions do you have?
DEBRIEF:
• What have you learned about linking curves?
• How important was your line selection, and how did it change as you practiced?
WHAT TO COACH:
1. Head and eyes looking ahead to plan cornering lines.
2. Smooth and minimal brake and throttle adjustments.
3. Safe interactions with other riders.
EXERCISE GUIDELINES:
• Coach as needed.
RANGE CONTROL TIPS:
• A Instructor - position as the visual target at the exit of the eyebrow leading toward the weave and adjust position as needed.
• B Instructor - remain in staging to discuss cornering techniques, line selection, and the importance of looking as far ahead as possible.
TIME/REPETITIONS:
• Run in two groups with no more than 4 riders per group.
• Each group should ride 4-5 minutes.
• Once both groups have ridden to the left, repeat to the right.
RANGE LAYOUT:
STAGING:
To the left – move to the midpoint of the long side of the range to give the staging signal in motion.
To the right - Instructor A move to entry of 2nd curve on staging side and stop riders. Direct riders to make a wide u-turn back to staging.
You will practice cornering technique and stopping smoothly at a designated point.
DIRECTIONS:
• Begin by lining up at the start gate (point out).
• One at a time and on signal, ride through the first curve to the right (point out) then speed up to 15-20 mph.
• Prior to the second curve (point out), slow to a suitable entry speed and turn your head to look to the Instructor who called you.
• When your exit comes into view, smoothly accelerate out of the curve as you straighten the motorcycle.
• Ride to the Instructor who called you.
• When your front tire passes between the large cones (point out), come to a smooth stop using both brakes.
• After stopping, wait for coaching then return to then end of the line.
• The exercise will be reversed.
DEMONSTRATION (Demo two laps to the right, stopping once at each gate. Speed - 18-20 mph):
NARRATION POINTS:
• Accelerate out of the first turn then slow with both brakes to a suitable entry speed before the second turn.
• Turn your head and look EARLY to find the exit of the turn and accelerate when you can see your exit.
• Notice that one turn is tighter.
• Make a smooth stop in a straight line.
• What questions do you have?
DEBRIEF:
• What are some common reasons riders crash in curves?
• What should you do if you are running wide in a turn?
WHAT TO COACH:
1. Both brakes to slow before the turn.
2. Early head turn to the exit then smooth acceleration once the exit comes into view.
3. Smooth stops (both brakes, head and eyes up/forward).
EXERCISE GUIDELINES:
• Coach as needed.
• This is your best opportunity to observe cornering technique and provide 1:1 coaching.
• Limit coaching to 1-2 items with priority on cornering - keep the line moving.
RANGE CONTROL TIPS:
• Each Instructor coaches one of the braking chutes and calls riders to them after the rider ahead enters the second curve.
TIME/REPETITIONS:
• Reverse at 10 minutes.
• Direct the lead rider to line up at the opposite start gate.
RANGE LAYOUT:
STAGING:
Stop calling riders. Leave motorcycles in line for Maximum Braking.
BREAK - 15 MINUTES
You will stop the motorcycle quickly.
DIRECTIONS:
• On signal, ride around the pivot cone to the Instructor who called you.
• Upshift to 2nd gear as soon as you can and maintain a steady speed of 20-25 mph.
• When your front tire reaches the stop cue cones, stop quickly while downshifting to 1st gear.
• Come to a complete stop and wait for coaching before return to the line.
• Remember to brake smoothly as you work on quicker stops.
• Caution - before leaving the braking area, check for crossing traffic.
DEMONSTRATION (One stop at each gate; speed - 20-25 mph):
NARRATION POINTS:
• Shorten your stopping distance by smoothly applying both brakes. As weight transfers forward, smoothly increase pressure on the front brake while reducing pressure on the rear brake.
• Continue squeezing the front brake lever until completely stopped.
• Avoid abrupt braking inputs and work on smooth application of both brakes.
• Keep your head and eyes up and forward to stop in a straight line.
• What questions do you have?
DEBRIEF:
• How should you handle skids if they happen?
• What happens to your stopping distance if you don’t smoothly increase pressure on the front brake?
WHAT TO COACH:
1. Smooth, increasing pressure on front.
2. Light pressure on rear.
3. Head and eyes up during stop.
EXERCISE GUIDELINES:
• Coach as needed.
• Gradually coach the students to use more front brake pressure.
• The goal is to coach to maximum braking. Watch for smooth and increasing fork compression and shorter stopping distances to indicate improved braking performance. The front tire may ‘howl’ or ‘chirp’ indicating an impending skid.
• Encourage riders with ABS-equipped bikes to apply brakes smoothly and fully.
RANGE CONTROL TIPS:
• Direct riders as required to the appropriate braking chute.
• Stand on the brake side of the braking chutes to evaluate brake application.
TIME/REPETITIONS:
• Run this exercise for 15 minutes.
RANGE LAYOUT:
STAGING:
Stop calling riders. Move two large cones to the center lane for the start of the Figure 8 & Turns From a Stop exercise. Call riders to line up between the cones in two lines.
You will balance and control your motorcycle in u-turns and 90-degree turns from a stop.
DIRECTIONS:
• Begin by lining up at the start gates.
• Ride to the end of your lane and turn toward the outside (left lane, turn left, right lane, turn right).
• Ride to the outside of the first large cone and make a figure-8 around the 2 large cones (*point out*).
• After completing the figure-8, ride down the perimeter to the sharp turn (*point out*) and stop next to the cone.
• Make a sharp turn through the corner, staying inside the boundary lines, then get back in line to repeat the circuit, alternating sides.
• You may start the circuit after the rider in front of you completes the figure-8.
DEMONSTRATION (*Demo both sides; speed - just fast enough to show balance and control*):
NARRATION POINTS:
• Maintain steady throttle and look where you want to go. This will help you balance the motorcycle.
• Use the clutch to control how much power is transmitted to the rear wheel.
• Counterweight as needed by shifting your weight to the outside footpeg. This can help you balance at slow speeds and make your turns tighter.
• Use light pressure on the rear brake as needed to help you balance the motorcycle in slow, tight turns.
• What questions do you have?
DEBRIEF:
• How did your motorcycle handle the tighter turns?
• When would you use the turn from a stop in street riding? Which direction is more crucial to master and why?
WHAT TO COACH:
1. Clutch use to control speed/power to rear wheel.
2. Head and eyes for directional control.
3. Turns from a stop.
EXERCISE GUIDELINES:
• Coach as needed.
RANGE CONTROL TIPS:
• Maintain rider spacing to ensure safety and facilitate coaching.
• Instructor A coaches the figure-8.
• Instructor B coaches the turns from a stop:
Turned bars full lock
Lean bike with weight on inside leg
Smooth clutch release with bars turned
• Stay alert to maintain visual control over all riders performing the exercise.
TIME/REPETITIONS:
• Run this exercise for 15 minutes.
RANGE LAYOUT:
STAGING:
Stop riders at the start gates and send one line at a time to staging.
You will ride a curved path. On the Instructor’s signal you will straighten the motorcycle then stop quickly.
DIRECTIONS:
• Begin riding around the large painted arc (point out) to the left in 2nd gear at 12-14 mph.
• When signaled (show signal), straighten the motorcycle on the new path, and then come to a rapid stop in a straight line.
• After stopping, move to the next starting point and continue the exercise.
DEMONSTRATION: (Demo one lap to the left; speed - 12-14 mph. Ride 2/3 of the way through the arc then straighten and brake.)
NARRATION POINTS:
• Head and eyes up, looking through the turn as if you intend to make the full curve.
• On signal, look to your new path, and press firmly on the outside handgrip to straighten the motorcycle.
• Apply maximum brake pressure to stop quickly in a straight line. Separate all turning and braking.
• Square your handlebars when coming to a stop.
• What questions do you have?
DEBRIEF:
• What might happen if you over-apply the brakes while leaned over?
• When would you use this technique?
WHAT TO COACH:
1. Separating turning and braking.
2. Stopping quickly.
3. Head and eyes on new path.
EXERCISE GUIDELINES:
• Coach as needed.
• Coach the students to straighten the motorcycle before braking.
RANGE CONTROL TIPS:
• Send 1st 4 all the way around the range to line up at staging side cones. Send 2nd 4 to line up at far side cones.
• Position yourself at the end of the painted arc so they are looking at you for the signal.
• When ready to reverse, move the gate cone on the outside to the inside mark.
• Direct the lead riders to make a large u-turn to the right to line up facing the opposite direction.
TIME/REPETITIONS:
• Reverse at about 7 minutes (ensure riders ride each side, each direction at least once).
RANGE/CONE LAYOUT:
STAGING:
Direct group nearest staging to make a wide u-turn and return to staging, then direct the other group to make a wide s-turn and return to staging.
DECREASING RADIUS
TURNS & TRAFFIC
INTERACTION
RANGE PREP
Strike previous setup. Set counterclockwise start gate (2), turning gate (2), and stop gate (3). Set three sets of small turning gate cones (6).
OBJECTIVE:
• You will navigate a series of decreasing radius curves and safely interact with other traffic.
DIRECTIONS:
• Begin by lining up at the start gate (point out).
• Proceed onto the course when the rider ahead clears the first turning gate (point out).
• Proceed through each turning gate (point out) as the spiral path becomes tighter.
• Come to a smooth stop at the STOP cone.
• Check for traffic, and when a safe gap opens, exit the course by riding the outside perimeter of the range and return to the end of the line.
• When directed, you will repeat the exercise to the right.
DEMONSTRATION (Demo two laps; speed 15-20 mph):
NARRATION POINTS:
• Use your head and eyes for directional control.
• Keep looking ahead to plan your route and speed as the path continues to tighten.
• Approach the final turn with caution, as you may need to brake in the lean.
• Once stopped, find a safe gap to exit the course.
• What questions do you have?
DEBRIEF:
• How can you safely slow while the motorcycle is in a lean?
• How does this exercise help prepare you for the street?
WHAT TO COACH:
1. Head and eyes to select path of travel.
2. Safe interaction with other traffic.
EXERCISE GUIDELINES:
• Coach as needed.
• Move STOP cone and final turn gate before reversing directions.
RANGE CONTROL TIPS:
• One Instructor should help start students by metering them out at the start gate.
• The other Instructor should have range control of the exit path and traffic interaction aspects.
TIME/REPETITIONS:
• Reverse at 13 min.
RANGE LAYOUT:
STAGING:
Move two large cones to start for Skills Evaluation. Stop riders in line and direct them line up at the start of the Skills Evaluation.
“Most of what we did today could be considered accident avoidance skills - maximum braking, braking in corners, and swerving. We practiced cornering technique because most single-vehicle motorcycle crashes happen in corners. We also did quite a few slow speed maneuvers because that’s where most tip-overs occur. Let’s review each of these skill sets.”
**MAXIMUM BRAKING:**
- **How do you achieve smooth, quick stops in the shortest distance?**
(Smoothly increase pressure on the front brake as the weight transfers forward)
(Light to lighter pressure on the rear brake)
- **How do you maintain a straight-line stop and keep your balance when stopping quickly?**
(Head and eyes up and forward)
(Keep the handlebars square as you come to a stop)
**STOPPING IN CORNERS:**
- **What is your main concern when braking in a corner? Why?**
(Maintaining traction because traction is being shared between cornering forces and braking forces. There is not enough traction reserve to apply maximum brake pressure)
- **Which technique allows you to stop more quickly?**
(Straighten then brake is the safest and quickest, if traffic and road conditions allow)
- **What is the benefit of braking in a lean?**
(It allows you to remain in your lane)
**SWERVING:**
- **How do you execute a safe swerve maneuver?**
(Keep a steady speed and press on the handlebars to quickly steer away from the hazard then countersteer the opposite direction to return to your path of travel)
(Keep your head and eyes up and on the clear path in front of you)
(Keep your body upright and allow the motorcycle to move beneath you)
CORNERING:
• What are the essential techniques for safer cornering?
(Slow early and set a good entry speed)
(Choose a good line. Starting to the outside gives you more options, if the path is clear)
(Look to the exit or as far ahead as possible and press on the handlebars to lean the bike in the direction of the turn)
(Keep a steady throttle until the exit comes into view, then accelerate out of the turn)
(Anticipate hazards when you cannot see the exit of the turn and keep speed down)
• What should you do if you start to run wide in a turn?
(Press forward MORE on the handgrip)
(Keep the throttle applied - constant speed)
(Avoid abrupt brake application)
(Keep your eyes looking all the way to the exit of the turn)
SLOW SPEED MANEUVERS
• What techniques have you learned and practiced today for handling your motorcycle in slow speed maneuvers?
(Keep your head and eyes up, looking through the turn and beyond the exit)
(Choose a good line and use all of the available space, but practice working on tightening your turns)
(Use the throttle and clutch to control your speed and use smooth controls)
(Counterweight as needed to improve the balance of the bike. Move your body to the outside of the turn or put more weight on the outside peg)
(Applying light pressure to the rear brake can help stabilize the motorcycle in slow, tight turns)
“WHAT QUESTIONS OR OBSERVATIONS DO YOU HAVE?”
BREAK - 15 MINUTES
READ TO CLASS:
We will begin a Skills Evaluation that consists of five exercises that evaluate your ability to perform basic vehicle control, riding judgment, and hazard-response skills that have been taught and practiced in this course. The test may be terminated due to falling or dropping the motorcycle or committing an unsafe act. You may stop the test for any reason, but you must complete the entire test to pass it. Do you have any questions?
OBJECTIVE:
You will execute a proper swerve maneuver.
DIRECTIONS:
1. Line up next to the large cones in the center of the range (point out).
2. One at a time and on signal, proceed to the start gate (point out) and ride toward the swerve gates and obstacle (point out) at 15 mph.
3. Ride between the last set of cones (point out), then swerve to the right. Stay within the boundaries. Do not brake while swerving.
4. Slow and turn left around the pivot cone and get back in line.
5. You will lose points for braking during the swerve, touching or crossing any line or cone, or not obtaining proper speed.
6. One re-ride may be given for specific time or path of travel errors.
7. Do you have any questions?
Direct students to ride up the center of the range and line up next to the large cones (cones can be placed as a “gate” or side-by-side but never stacked).
NOTE: Some students may stop at the start gate before proceeding to the swerve; others may not. Either is OK.
## SCORING
| Once | More |
|------|------|
| 1. Swerve | |
| a. Brakes during swerve maneuver | -5 |
| b. Touches any line or cone | -3 | -5 |
| c. Tire(s) crosses obstacle or boundary line | -5 | -10 |
| d. Does not attain proper speed, 2nd attempt | -10 |
| e. Swerves prior to gate cones, 2nd attempt | -10 |
Maximum Penalty Points Allowed: -10
### NOTE:
1. Score if any part of the motorcycle touches a cone, line or boundary.
2. A second attempt is authorized in the swerve maneuver only under the following conditions:
a. speed too fast – under 1.66 seconds with points violation
b. speed too slow – over 2.51 seconds
c. swerves prior to gate cones
3. Brakes during swerve – watch for brake light from the time the front tire reaches 13’ swerve gate until rear tire reaches barrier line.
4. Drop bike (21 pts) - front tire enters the timing zone to rear tire clears pivot cone.
A – Position for timing and to score swerve
B – Position to line up and direct traffic as needed
You will ride through a cone weave and execute a proper sharp turn.
DIRECTIONS:
1. One at a time and on signal, begin riding toward the end of the range. At the end, turn right, ride between the two gate cones (point out) and down the perimeter.
2. Ride to the right of the first cone, left of the second, and continue weaving past all the cones without hitting or skipping a cone or putting your foot down.
3. After completing the weave, ride toward the sharp turn (point out).
4. Turn your head and execute a tight turn without hitting a boundary or cone or putting your foot down.
5. After completing the maneuver, ride up the center of the range and get back in line.
6. You will lose points in the cone weave for hitting a cone, skipping a cone, or putting your foot down.
7. You will lose points in the sharp turn for not turning your head and looking through the turn, touching or crossing any line or cone, or putting a foot down.
8. There are no re-rides for this evaluation.
9. Do you have any questions?
NOTE: Some students may stop at the gate cones before proceeding to the cone weave; others may not. Either is OK.
| SCORING | POINTS |
|---------------------------------------------|--------|
| | Once | More |
| 1. Offset Cone Weave | | |
| a. Hits cone | -3 | -5 |
| b. Skips cone | -3 | -5 |
| c. Puts foot down | -1 | -3 |
| Maximum Penalty Points Allowed | | -10 |
| 2. Sharp turn | | |
| a. Does not turn head and look through | -5 | |
| turn | | |
| b. Touches boundary line or cone | -3 | -5 |
| c. Puts foot down | -1 | -3 |
| d. Tire crosses boundary line or cone | -10 | |
| Maximum Penalty Points Allowed | | -10 |
**NOTE:**
1. Score if any part of the motorcycle touches a cone, line or boundary.
2. A proper head turn includes head turned and eyes looking all the way through the turn.
a. Head turn does not have to be exaggerated or instructor demo quality.
b. Looking halfway through the turn, looking down, turning head but not looking or looking but not turning head are all scorable violations.
3. Drop bike (21 pts) – front tire passes the gate to rear tire clears all sharp turn boundary lines.
A – Position to score
B – Position to line up
You will demonstrate cornering proficiency.
DIRECTIONS:
1. One at a time and on signal, begin riding toward the end of the range. Turn right, round the pivot cone (point out) and ride toward the first marked curve, upshifting to 2nd gear.
2. Continue riding around the range to the 2nd marked curve (point out).
3. Stabilize your speed between 15-20 mph.
4. Use both brakes to slow to a suitable entry speed.
5. Turn your head and apply steady or slightly increasing throttle through the curve. Ride through the curve as rapidly as you safely can, staying within the boundaries.
6. Continue riding around the perimeter of the range and get back in line.
7. You will lose points for not using both brakes to slow prior to the turn, not turning your head and looking through the turn, decelerating in the curve, touching or crossing any line or cone, or not obtaining proper speed.
8. One re-ride may be given for a clear and obvious misunderstanding of path of travel only.
9. Do you have any questions?
| SCORING | POINTS |
|------------------------------------------------------------------------|--------|
| 1. Does not use both brakes to slow | -5 |
| 2. Does not turn head to look through turn | -5 |
| 3. Decelerates in curve | -3 |
| 4. Touches boundary line or cone | -3 |
| 5. Tire crosses boundary line | -5 |
| 6. Turns 1.80 – 1.90 | -3 |
| 7. Turns 1.91 or over | -5 |
| Maximum Penalty Points Allowed | -10 |
**NOTE:**
1. Score if any part of the motorcycle touches a cone, line, or boundary.
2. Riders not meeting the speed requirements are not given a second chance.
3. Timing is from when the front tire enters the curve (painted line) to when the front tire exits the curve (end of solid painted line).
4. The boundary includes the 20’ past the end of the painted curve.
5. Deceleration includes any loss of speed while in the painted curve (late roll-on, clutch in or rolling off the throttle). Watch for fork compression and extension.
6. A proper head turn includes head turned and eyes looking all the way through the turn.
a. Head turn does not have to be exaggerated or instructor demo quality.
b. Looking halfway through the turn, looking down, turning head but not looking or looking but not turning head are all scorable violations.
7. Drop bike (21 pts) - front tire at 20’ before curve entrance to rear tire past third outside curve cone.
A – Position to evaluate
B – Timing position
You will stop the motorcycle as quickly and safely as possible.
DIRECTIONS:
1. One at a time and on signal, ride toward the start cone (point out) and stopping area at about 15 mph in 2nd gear.
2. Maintain your speed.
3. When your front tire reaches the large cue cone (point out), stop in the shortest distance possible, downshifting to 1st gear.
4. Remain stopped until your distance is measured, then return up the center of the range and get back in line.
5. You will lose points for not using both brakes, not downshifting to first gear, stopping beyond the standard for your speed, or stopping too soon on a second attempt.
6. One re-ride may be given for not achieving target speed or for braking before the cone on the first attempt.
7. Do you have any questions?
NOTE: Some students may stop at the start gate before proceeding to the stopping area; others may not. Either is OK.
TIMING CHART: 44-FOOT TIMING ZONE
| SECONDS | STANDARD (FEET) |
|---------|----------------|
| 1.20 - 1.24 | 34 |
| 1.25 - 1.29 | 32 |
| 1.30 - 1.35 | 30 |
| 1.36 - 1.42 | 27 |
| 1.43 - 1.49 | 25 |
| 1.50 - 1.57 | 23 |
| 1.58 - 1.66 | 20 |
| 1.67 - 1.76 | 18 |
| 1.77 - 1.87 | 16 |
| 1.88 - 1.99 | 14 |
| 2.00 - 2.14 | 13 |
| 2.15 - 2.30 | 11 |
| 2.31 - 2.50 | 10 |
| 2.51 | 9 |
SCORING
1. Does not use both brakes -5
2. Does not downshift to 1st gear -1
3. Stops beyond standard (per foot) -1
4. Does not attain proper speed, 2nd attempt -10
5. Begins braking in timing zone, 2nd attempt -10
Maximum Penalty Points Allowed -10
NOTE:
1. A second attempt is authorized in the quick stop maneuver only under the following conditions:
a. Speed too fast – under 1.20 seconds and stops beyond 34’ standard
b. Speed too slow – over 2.51 seconds
c. Braking in the timing zone (brake light or obvious and significant fork compression more than 2’ before reaching the end of the timing zone - a slight roll-off is not considered braking)
2. Riders who ride too fast (under 1.20 seconds) and stop within the standard (34’ or less) do not get a second attempt.
3. Score stopping distance at the leading edge of the front tire (if in between marks, score the next highest number).
4. Drop bike (21 pts) - front tire passes timing cones until motorcycle comes to full stop or rider loses control at full stop in the braking chute.
A – Position to score
B – Timing position
STAGING:
Direct riders to return to staging. Let the students know the Skills Evaluation is over.
INDIVIDUAL DEBRIEFS
(ABOUT 45-60 SECONDS PER STUDENT)
• Passed or did not pass.
• Identify strengths in their riding skills.
• Identify areas in which they need more practice.
• If the student wants more specifics, ask them to wait until class is dismissed.
• If the student did not pass (and qualifies for a retest), inform them that the office will contact them to discuss retesting options.
• Identify appropriate ‘next step’ in their training.
COURSE WRAP UP/GRADUATION
• Review and distribute “What’s Next” handout.
• Thank students for participating.
Instructor Note: Identify possible candidates, provide handout with web resource. ID potential candidates on course roster.
• Dismiss.
Range Guide Legend and Markings
R3 reverse from staging:
• Direct lead rider to “ride toward end of the perimeter and make a sweeping left U-turn.”
Range Guide Legend
- Small cones (2”)
- Large cones (18”)
- Large cone with sign orientation
- Max. number of students at one time
- Primary Path of Travel
- Secondary/Return Path of Travel
- Instructor position: Where to stand & direction to face
Range Markings
- Ex. 1-3, 5-7, 11 Small cone locations
- Ex. 3 Small cone locations
- Ex. 15 Small cone locations
- Ex. 11, 19 Small cone locations
- Ex. 17 Small cone locations
- Large cone locations
- Orientation Hash marks
Range Principles
RANGE CARDS
• Read the *Exercise Title, Objectives*, and *Directions* for each exercise. Do not make additions.
• Directions and Debrief questions are read with students off the bikes and gathered together.
DEMOS
• Show accurate technique and timing.
• Students observe demos from the staging area.
• POT (path of travel) matches what the students will ride. Reversals are not demonstrated.
• Cover all Narration Points as demo rider performs demonstration. Sequence does not have to be in order, but narration should match action.
• Limit narration during demos to Narration Points.
• Strong preference for Instructors to ride demos on personal motorcycles.
STAGING
• Always cut engine power once safely stopped, then turn ignition to OFF.
• Enter – Hold “stop” signal until all riders are stopped; direct riders to cut off engines. It is not necessary to move forward to “catch” riders. Be ready to step up to assist if needed.
• Ensure that there is 2-3’ of space between bikes (nose to tail). OK to tell students.
• Exit – Ensure students are ready to go before sending from staging. Direct first rider; allow remaining students to exit on their own.
• Split exercises – Waiting riders move forward. If dismounted, stand right (outside) of staging area; maintain a clear escape route for incoming riders. Limit coaching in staging and observe the range.
• Instructor stands at the tail of the line of parked motorcycles to park incoming riders.
• Be in position to assist and direct entry and exit.
VERBAL COACHING
• Prioritize for
1. Safety
2. Exercise main objective (“What to Coach”)
• Limit to 1-2 items, presented in a positive manner.
• Brief and concise, typically limited to 3-5 seconds.
• Limit narration in staging during split exercises.
SIMULATED COACHING
• Large enough to be seen from across the range.
• Smooth motions.
• Consistent.
• Early enough that student can respond to signals.
EXERCISE TIME
• Run exercises for full time allotted.
• Exercise time includes:
• Striking and setting cones as appropriate
• Objective and Directions
• Static Practice (when appropriate)
• Demo (when appropriate)
• Evaluation of Understanding
• Exercise activity
• Staging
• Debrief
• Allow 2-4 minutes to stage and debrief, depending on exercise and POT complexity.
RANGE CONTROL
• Students are in front of Instructors at all times (unless otherwise specified).
• Students stay within 10’ of perimeter at all times.
• Be aware of where all students are all the time.
• No surprises for students. Be deliberate.
• Coordinate with other Instructor regularly.
INSTRUCTOR POSITION
• Place yourself so:
• You can see/control entire range and coach for safety at all times.
• If students must pass behind your back, it is only for a brief moment.
• If you need to move from your position to assist a student to meet a specific objective, return to your coaching position as soon as possible.
INSTRUCTOR PROFICIENCY
• Instructors should routinely and independently ride exercises to reinforce timing, technique and performance.
SPEED
• Coach speed that is designated in the exercise directions, or if student is wobbly or unstable.
• If no speed is defined in the exercise directions, coach speed only if wobbly or unstable.
## Retest Practice Session Schedule
| Activity | Time |
|-----------------------------------------------|-------|
| ORIENTATION | 15 min|
| • Collect paperwork | |
| • All participants must sign waivers | |
| • RPS walk-ins must have a green form or a completion card for a previous course to prove eligibility | |
| • Conduct “Student Orientation” as written (pg 3) | |
| WARM UP - EX. 12: WEAVING | 10 min|
| • Run Exercise 12 as written (pgs 28-29) | |
| EX. 13: RIDING THROUGH CURVES | 30 min|
| • Run Exercise 13 with 1 change (pgs 30-31) | |
| • Change approach speed (in directions and demo) to 15-20 mph | |
| EX. 14: STOPPING QUICKLY | 20 min|
| • Run Exercise 14 with 2 changes (pgs 32-33) | |
| • At 10 minutes, give the 20 mph signal | |
| • Run exercise for 20 minutes total | |
| BREAK | 15 min|
| EX. 19: SWERVING | 20 min|
| • Run Exercise 19 with 2 changes (pgs 42-43) | |
| • Move to 13’ gates at 10 minutes | |
| • Run exercise for 20 minutes total | |
| EX. 17: LOW SPEED TURNING | 25 min|
| • Run Exercise 17 as written (pgs 38-39) | |
| BREAK | 15 min|
| • Collect paperwork | |
| • All new arrivals must sign waivers | |
| • Green forms required for SRT walk-ins only| |
| • Assign testing order and prepare eval score sheet | |
| WARM UP - EX. 12: WEAVING | 10 min|
| • Run Exercise 12 as written (pgs 28-29) | |
| • You MUST run this exercise again if there are new arrivals for the retest only | |
| CONDUCT SKILLS EVALUATION | 45 min|
| CONDUCT DEBRIEFS AND DISMISS | 15 min|
**STRIKE RANGE**
The STAR Mission:
We share knowledge and skills to make motorcycling safer.
Our Values:
Integrity
Service
Excellence
Idaho STAR
Motorcycle Safety Program
www.idahostar.org
208-639-4540
Instructor On-Call:
208-639-4554
Email:
email@example.com
Idaho STAR
www.IdahoSTAR.org
|
SARS-CoV-2 host-shutoff impacts innate NK cell functions, but antibody-dependent NK activity is strongly activated through non-spike antibodies
Ceri Alan Fielding¹, Pragati Sabberwal¹, James C Williamson², Edward JD Greenwood², Thomas WM Crozier², Wioleta Zelek¹, Jeffrey Seow³, Carl Graham⁴, Isabella Huettner⁵, Jonathan D Edgeworth³,⁴, David A Price⁵, Paul B Morgan¹, Kristin Ladell¹, Matthias Eberl¹, Ian R Humphreys¹, Blair Merrick³,⁴, Katie Doores³, Sam J Wilson⁵, Paul J Lehner², Eddie CY Wang¹, Richard J Stanton¹*
¹Division of Infection and Immunity, School of Medicine, Cardiff University, Cardiff, United Kingdom; ²Cambridge Institute for Therapeutic Immunology & Infectious Disease, Jeffrey Cheah Biomedical Centre, Cambridge Biomedical Campus, University of Cambridge, Cambridge, United Kingdom; ³Department of Infectious Diseases, School of Immunology & Microbial Sciences, King’s College London, London, United Kingdom; ⁴Department of Infectious Diseases, Guy’s and St Thomas’ NHS Foundation Trust, London, United Kingdom; ⁵MRC - University of Glasgow Centre for Virus Research, Glasgow, United Kingdom
*For correspondence: email@example.com
Competing interest: The authors declare that no competing interests exist.
Funding: See page 25
Preprinted: 06 April 2021
Received: 06 October 2021
Accepted: 17 May 2022
Published: 19 May 2022
Reviewing Editor: Stipan Jonjic, University of Rijeka, Croatia
© Copyright Fielding et al. This article is distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use and redistribution provided that the original author and source are credited.
Abstract The outcome of infection is dependent on the ability of viruses to manipulate the infected cell to evade immunity, and the ability of the immune response to overcome this evasion. Understanding this process is key to understanding pathogenesis, genetic risk factors, and both natural and vaccine-induced immunity. SARS-CoV-2 antagonises the innate interferon response, but whether it manipulates innate cellular immunity is unclear. An unbiased proteomic analysis determined how cell surface protein expression is altered on SARS-CoV-2-infected lung epithelial cells, showing downregulation of activating NK ligands B7-H6, MICA, ULBP2, and Nectin1, with minimal effects on MHC-I. This occurred at the level of protein synthesis, could be mediated by Nsp1 and Nsp14, and correlated with a reduction in NK cell activation. This identifies a novel mechanism by which SARS-CoV-2 host-shutoff antagonises innate immunity. Later in the disease process, strong antibody-dependent NK cell activation (ADNKA) developed. These responses were sustained for at least 6 months in most patients, and led to high levels of pro-inflammatory cytokine production. Depletion of spike-specific antibodies confirmed their dominant role in neutralisation, but these antibodies played only a minor role in ADNKA compared to antibodies to other proteins, including ORF3a, Membrane, and Nucleocapsid. In contrast, ADNKA induced following vaccination was focussed solely on spike, was weaker than ADNKA following natural infection, and was not boosted by the second dose. These insights have important implications for understanding disease progression, vaccine efficacy, and vaccine design.
Editor's evaluation
By using a systematic proteomics approach, the authors demonstrated that SARS-CoV2 remodels the plasma membrane of infected human epithelial cells. Although the study indicates the
manipulation of different immune response pathways, it seems that in the focus of viral immuno-evasion are natural killer (NK) cells, which play a crucial role in controlling early viral infection. However, antibody-dependent NK cell activation was observed later in the disease process. These findings could have implications for the understanding of SARS-CoV-2 control by the immune system and vaccine development.
**Introduction**
COVID-19 studies have focused on interferon responses during the early innate phase of infection, and neutralising antibodies and virus-specific T-cells during the adaptive phase. In contrast, and despite their importance in antiviral protection (Pierce et al., 2020), considerably less is known about the role of Natural Killer (NK) cells in infection. NK cells bridge the innate and adaptive responses, and individuals with NK cell deficiencies suffer severe viral infections (Orange, 2013). NK cells respond rapidly to viruses, directly killing infected cells by releasing cytotoxic granules. They promote inflammation through the release of TNFα and IFNγ, and influence the induction of both B- and T-cell responses. Once virus-specific antibodies are induced, antibody-dependent NK activation (ADNKA) is generated through antibody linking cell-surface viral antigens with NK cell Fc receptors and subsequent antibody-dependent cellular cytotoxicity (ADCC).
The majority of studies on NK cells have focussed on their adaptive roles in established COVID-19 infection, with highly activated NK cells seen in both the periphery and the lung (Maucourant et al., 2020). The genetic loss of NKG2C (a hallmark of adaptive NK cells, capable of enhanced ADCC) is also a risk factor for severe disease (Vietzen et al., 2021b), implying a protective role in COVID-19 infection. In support of this, in animal models, Fc-mediated functions correlate with protection in vaccination (Gorman et al., 2021), and monoclonal antibody-mediated control of SARS-CoV-2 infection is enhanced by Fc-dependent mechanisms (Chan et al., 2020; Schäfer et al., 2021; Winkler et al., 2020; Suryadevara et al., 2021; Winkler et al., 2021; Yamin et al., 2021), which enable control of disease even in the absence of neutralising activity (Beaudoin-Bussières et al., 2021). Furthermore, although neutralising monoclonal antibodies are effective when administered prophylactically, Fc-activity is required for efficacy when administered to animals therapeutically (Yamin et al., 2021).
These animal studies demonstrate potentially important roles for adaptive NK cell responses in COVID-19. Despite this, our understanding of ADCC following infection and vaccination in humans remains limited. Studies to date have assumed spike protein is the dominant ADCC target, and have tested plate-bound protein or transfected cells (Barrett et al., 2021; Herman et al., 2021; Zohar et al., 2020; Tauzin et al., 2021; Anand et al., 2021; Lee et al., 2020; Dufloo et al., 2020; Tortorici et al., 2020; McCallum et al., 2021; Cathcart et al., 2021). Using these systems, they have shown that ADNKA-inducing antibodies are generated following SARS-CoV-2 infection (Herman et al., 2021; Anand et al., 2021; Lee et al., 2020; Dufloo et al., 2020), are induced by vaccination in humans (Barrett et al., 2021; Tauzin et al., 2021), and can be mediated by a subset of neutralising monoclonal antibodies targeting the spike protein (Tortorici et al., 2020; McCallum et al., 2021; Cathcart et al., 2021). However, these responses have not been tested against SARS-CoV-2 infected cells; the presence, abundance, accessibility, and conformation of viral glycoproteins can be very different during productive infection. Furthermore, although viral entry glycoproteins such as spike can be found on the infected cell surface, and can mediate ADCC, other viral proteins can be the dominant mediators of ADCC during infection; indeed, we have shown that in other viruses, non-structural proteins are often the dominant targets (Vlahava et al., 2021).
In addition, there is little information on the NK cell response to SARS-CoV-2 infected cells during the innate phase of infection, despite this process being important to virus pathogenesis; successful viruses must counteract robust NK activation to establish infection, and their ability to do this is critical to their ability to cause disease (Patel et al., 2018; Berry et al., 2020). Whether SARS-CoV-2’s ability to infect humans is dependent on viral evasion of innate cellular immunity, is unknown. NK cell activation is complex and depends on the balance of ligands for a wide range of inhibitory or activating receptors (Kumar, 2018). These ligands can be induced on the surface of target cells in response to stress, infection, or transformation. For example, the stress ligands MICA, MICB, and ULBP1-6, all bind to the ubiquitously expressed activating receptor NKG2D. To limit NK cell activation, many viruses manipulate these NK activating ligands, reducing NK-cell-mediated control (Patel
Whether similar manipulations underlie the ability of SARS-CoV-2 to cause disease in humans remains unclear.
To address these critical gaps in our understanding of the SARS-CoV-2-specific NK cell response, we used quantitative proteomics to determine how SARS-CoV-2 infection affected cell surface protein expression (Rihn et al., 2021). We found that SARS-CoV-2-infected cells downregulate multiple activating NK ligands, resulting in a reduced NK cell response to infected cells. This suggests a novel mechanism by which SARS-CoV-2 counteracts innate immunity early in infection, to establish disease. The development of humoral immunity following natural infection resulted in robust ADNKA against infected cells, and high levels of proinflammatory cytokines; these responses persisted for at least 6 months in most patients. Proteomics identified four cell-surface viral proteins capable of driving this response, leading to the surprising discovery that ADNKA is not primarily driven by spike antibody, but was dominated by antibody to other viral proteins such as nucleocapsid, membrane and ORF3a; this defines a novel role for antibodies targeting the immunodominant nucleocapsid protein. In agreement with these findings, and in contrast to plate-bound protein or transfected cells, spike was a poor activator of ADNKA following vaccination when tested using infected cells. This implies that the breadth and magnitude of ADNKA responses is limited in current vaccination strategies. The inclusion of antigens such as nucleocapsid would recruit additional effector mechanisms, and may help maintain vaccine efficacy following mutation of spike in naturally circulating virus variants.
Results
SARS-CoV-2 remodels the plasma membrane proteome
Immune cells recognise and interact with infected cells through cell surface ligands. We therefore wanted to gain a comprehensive and unbiased overview of how SARS-CoV-2 infection changes the plasma membrane protein landscape. We performed plasma membrane enrichment through selective aminoxy-biotinylation (Plasma Membrane Profiling; PMP), a methodology that we previously developed (Weekes et al., 2010; Weekes et al., 2014) and have validated extensively against human immunodeficiency virus (HIV) (Matheson et al., 2015), human cytomegalovirus (HCMV) (Vlahava et al., 2021; Weekes et al., 2014; Fielding et al., 2017; Hsu et al., 2015; Weekes et al., 2013), and herpes simplexvirus (HSV) (Soh et al., 2020) infection.
High infection rates are critical to minimise confounding effects from bystander cells. We therefore applied PMP to SARS-CoV-2 infected A549-ACE2-TMPRSS2 (AAT) cells, which are highly permissive to SARS-CoV-2 (Rihn et al., 2021) and infection at a high multiplicity of infection (MOI) results in over 90% infection by 24 hr (Figure 1A). We utilised TMT-based quantification to compare plasma membrane (PM) protein abundance in uninfected cells, and cells infected for 12, 24, and 48 hr (Figure 1B). In total, 4953 proteins were quantitated, including 2227 proteins with gene ontology annotation associated with the cell surface and plasma membrane (Figure 1—figure supplement 1A). Importantly however, the plasma membrane annotated proteins made up nearly 80% of the total protein abundance, indicating a high degree of enrichment for plasma membrane proteins, comparable with our previous PMP datasets (Vlahava et al., 2021; Weekes et al., 2010; Weekes et al., 2014; Matheson et al., 2015; Fielding et al., 2017; Hsu et al., 2015; Weekes et al., 2013; Soh et al., 2020). The detection of low abundance proteins that are not plasma-membrane annotated reflects a combination of incorrect annotations, and contaminating intracellular proteins that were incompletely removed following PMP.
Five SARS-CoV-2 viral proteins were detected (see later), including spike, ORF3A, and membrane, which have previously been annotated as having a cell surface localisation (Figure 1C). Consistent with prior reports, the viral receptor ACE2 was strongly downregulated after infection (Patra et al., 2020), while TMPRSS2 expression was unaffected (Figure 1C). Overall, of the 2227 PM proteins quantified with more than one peptide, 914 showed changes which were both significant and with a greater than 1.5-fold alteration over the course of the experiment. Clustering of proteins by their temporal pattern of change has previously shown utility in defining classes of regulated proteins and predicting underlying mechanisms (Matheson et al., 2015; Greenwood et al., 2016). Here, we used K-means clustering to define five groups of significantly altered proteins by their temporal profile.
To assess the innate immune response triggered by SARS-CoV-2 infection, the clusters were interrogated for the presence of a predefined list of interferon alpha-inducible genes. Thirteen of the
Figure 1. SARS-CoV-2 remodels the plasma membrane proteome. (A) AAT cells were infected with SARS-CoV-2 in biological triplicate (MOI = 5). Twenty-four hr later, they were detached with trypsin, fixed and permeabilised, stained for Spike protein, and analysed by flow cytometry. (B) Schematic of plasma membrane profiling and analysis pathway. (C) Examples of temporal profiles of viral and cellular genes, fold change is compared to 0 hr.
Figure 1 continued on next page
timepoint. Data points show mean ± SD. (D) Left – heat map of the 914 significantly changing proteins clustered by k-mean, colour indicates log2 fold change compared to 0 hr, right, Z-score normalised temporal profiles of proteins within each cluster.
The online version of this article includes the following figure supplement(s) for figure 1:
**Figure supplement 1.** Plasma membrane proteins are enriched in the PMP dataset.
**Figure supplement 2.** MS method parameters.
**Figure supplement 3.** Search parameters for MS data processing.
23 detected PM genes associated with the interferon response fell into cluster 5 (*Figure 1—figure supplement 1B*, *Supplementary file 2*), which describes proteins with an increase in expression at 48 hr, examples shown in *Figure 1—figure supplement 1C*. As the SARS-CoV-2 viral replication cycle is completed in less than 24 hr (Lei et al., 2020), SARS-CoV-2 is able to evade innate immune recognition and/or suppress IFN signalling until long after virus egress has been achieved.
To identify potential innate and adaptive immune evasion strategies employed by SARS-CoV-2, we focused on cluster 1, which describes proteins downregulated from early in the time course. This cluster was subject to gene ontology and pathway analysis to define proteins related by functional and structural similarities (*Figure 2*). Several classifications enriched in this cluster are particularly relevant, including the downregulation of several cytokine receptors, including IFNAR1. Much of the SARS-CoV-2 genome is dedicated to antagonising a type I interferon response within an infected cell (Lei et al., 2020) and the plasma membrane downregulation of IFNAR1 presents a previously undescribed strategy to prevent signalling from exogenous IFN.
Also of note is the downregulation of heparan sulfate proteoglycans, the syndecan (SDC), glypican (GPC), and neuropilin (NRP) proteins, which together encompass the families of heparan sulfate modified proteins expressed on epithelial cells (Sarrazin et al., 2011). NRP1 is a cell entry factor for SARS-CoV-2 (Cantuti-Castelvetri et al., 2020; Daly et al., 2020), and SARS-CoV-2 spike is also reported to bind heparan sulphated proteins (Clausen et al., 2020). The decrease in cell surface expression of heparan sulfated proteins may therefore enable the egress of viral particles and prevent super-infection, and is reminiscent of the capacity of other viruses to downregulate both primary viral receptors and co-receptors (Landi et al., 2011).
**SARS-CoV-2 inhibits the synthesis of multiple NK cell ligands and reduces NK activation**
Our experience with PMP has emphasised the modulation of NK ligands as an important immune evasion mechanism (Fielding et al., 2017). As these ligands are poorly annotated in public databases, we investigated the PMP dataset for previously described ligands (Kumar, 2018), of which 18 were detected (*Figure 2—figure supplement 1*). MHC-I proteins HLA-B to HLA-E were upregulated in cluster 5, likely reflecting a late IFN-mediated upregulation, while HLA-A was unchanged. By contrast, the activating NK-cell ligands MICA, ULBP2, B7-H6 (NCR3LG1), and Nectin1 (which is inhibitory in mice, but recently reported as activating in humans Holmes, 2019) were significantly downregulated in cluster 1. This was confirmed by flow cytometry in multiple cell types (*Figure 3A*, *Figure 3—figure supplement 1A*). These responses were dependent on virus replication, because no alterations in ligand abundance were observed when virus was heat-inactivated (*Figure 3—figure supplement 2A*).
Many of the best characterised mechanisms by which viruses inhibit the function of NK ligands involve inhibition of cell-surface transport and/or proteasomal or lysosomal degradation of the mature protein (Patel et al., 2018; Berry et al., 2020). To determine whether SARS-CoV-2 targeted NK ligands in the same way we measured their abundance, and their sensitivity to digestion with EndoH, which cleaves N-linked glycans from proteins that have not yet transited (or have been retained in) the endoplasmic reticulum (ER). Digestion with PNGaseF (which cleaves N-linked glycans irrespective of subcellular trafficking) served as a control to show the effect of complete deglycosylation. We were unable to detect endogenous NK ligands by western blot (data not shown), and therefore overexpressed MICa, ULBP2, and B7-H6 using replication deficient adenovirus vectors (RAd). Following infection with SARS-CoV-2, levels of all three NK ligands were substantially reduced, however there was no alteration in the pattern of EndoH sensitivity (*Figure 3B*). Thus, SARS-CoV-2 infection does not result in intracellular retention of NK ligands, but instead reduces the overall abundance of protein.
Figure 2. SARS-CoV-2 manipulates multiple classes of plasma membrane proteins. Enriched gene ontology and pathway annotations of proteins downregulated in temporal cluster 1 were condensed to groups of related terms, bar chart shows the enrichment score of these groups. Examples of annotation terms falling within each group are shown underlined with Benjamani-Hochberg adjusted p-values in parentheses, alongside four examples of proteins for each annotation.
The online version of this article includes the following figure supplement(s) for figure 2:
Figure supplement 1. NK ligands detected in the PMP dataset.
To determine whether this occurred by inhibition of synthesis or degradation of mature protein, we treated cells with proteasomal (MG132) or lysosomal (Leupeptin) inhibitors after infection (Figure 3C). When tested with overexpressed MICA or B7-H6 (ULBP2 was not tested), MG132 did not result in recovery of NK ligand levels. Leupeptin resulted in a small recovery of B7-H6; however, this was seen in both Mock and infected cells, implying that it reflects constitutive turnover of the ligand rather than virus-specific targeting, and recovery in infected cells remained reduced compared to untreated mock infected cells. Overall, these results are consistent with the virus targeting NK ligands at the level of synthesis, rather than post-translationally. We therefore investigated whether NK ligands were
Figure 3. SARS-CoV-2 infection inhibits the expression of multiple NK ligands. (A) AAT cells were either mock-infected, or infected with SARS-CoV-2 for 24 hr (MOI = 5), detached using TrypLE, then stained for the indicated NK cell receptors before being analysed by flow cytometry (bottom). Plots for the same proteins from PMP are included for reference (top). (B) AAT cells were infected with RAd-MICA, RAd-ULBP2, or RAd-B7-H6, then after 48 hr either mock-infected, or infected with SARS-CoV-2 (SCV2) for a further 24 hr (MOI = 5). Lysates were either kept undigested, or digested with EndoH (E), or...
PNGaseF (P), then western blotted for the indicated proteins. Mature cell surface glycoproteins are resistant to EndoH, while immature (ER resident) forms are digested and therefore run with a smaller mass following EndoH digestion (C). AAT cells were infected with RAd-MICA or RAd-B7-H6, then after 24 hr either mock infected, or infected with SARS-CoV-2 (SCV2), and treated with MG132 (M) or Leupeptin (L). Twenty-four hour later lysates were made, and analysed by western blot for the indicated proteins. (Note: The additional band seen when staining for actin in the presence of SARS-CoV-2 may be non-specific).
The online version of this article includes the following figure supplement(s) for figure 3.
**Figure supplement 1.** SARS-CoV-2 infection downregulates multiple NK ligands in CACO2 cells.
**Figure supplement 2.** Modulation of NK activity is dependent on virus replication.
particularly sensitive to inhibition of synthesis, by treating cells expressing MICA, B7-H6, or a control protein (GFP) with the translation inhibitor cycloheximide (ULBP2 was not tested). This resulted in rapid loss of MICA, ULBP2, and B7-H6, but not GFP (*Figure 4A*). Finally, to determine which viral proteins were responsible for these effects, we transfected cells with a library of previously validated plasmids expressing all 29 SARS-CoV-2 ORFs individually (*Gordon et al., 2020*), and assessed them for levels of NK ligands on the cell surface. Only two SARS-CoV-2 ORFs resulted in a reduction of staining; Nsp1 and Nsp14 (*Figure 4B*). For MICA and ULBP2, Nsp14 consistently resulted in the strongest reduction, with Nsp1 being weaker. For Nectin1 and B7-H6, effects were weaker, but both Nsp1 and Nsp14 resulted in similar reductions.
Both Nsp1 and Nsp14 are involved in the ability of SARS-CoV-2 to degrade host RNA (Nsp1), and inhibit host protein translation (Nsp1 and Nsp14), and these activities have been implicated in their ability to counteract the interferon response within the infected cell (*Yuan et al., 2021; Hsu et al., 2021*). Together with our biochemical analysis, this data suggests that NK ligands are highly susceptible to inhibition of synthesis, and that SARS-CoV-2 manipulation of host protein production could impact the NK response in addition to the interferon response. To determine whether this was the case, we incubated SARS-CoV-2 infected cells with PBMC, and measured (i) degranulation of CD3 CD56<sup>+</sup> NK cells (*Figure 4C; Figure 3—figure supplement 2B*), (ii) production of IFNγ (*Figure 4D*), and (iii) TNFα (*Figure 4E, Figure 3—figure supplement 2B*). Consistent with data using other viruses *Vlahava et al., 2021*, CD107a was recirculated on a higher proportion of NK cells than IFNγ and TNFα. Nevertheless, all three markers of NK activation were significantly reduced in SARS-CoV-2 infected versus mock infected cells, suggesting that the virus has evolved to inhibit NK cell responses. Comparable results were seen at both 24 hr and 48 hr post-infection (data not shown).
**NK-cell evasion is overcome by antibody-dependent activation**
In addition to their role in innate immunity through interactions with activating and inhibitory NK receptors early in infection, NK cells play additional roles following the development of adaptive immunity via ADNKA/ADCC, in which CD16 interacts with the Fc portion of antibodies bound to targets on the surface of infected cells. To analyse this aspect of NK function, PBMC were incubated with infected cells in the presence of sera from individuals that were seronegative or seropositive for SARS-CoV-2. Certain NK cell subsets degranulate more effectively in response to antibody bound targets. These NK cells can be differentiated by the presence of NKG2C and CD57 on the cell surface (*Stary and Stary, 2020*). However, NKG2C is only found in a subset of donors who are HCMV sero-positive, and a proportion of these individuals are NKG2C<sup>−/−</sup> due to a deletion in the KLRC2 gene. As a result, NKG2C cannot be used as a marker in all donors. We have previously shown that CD57 is sufficient to identify higher responding NK cells in all donors, and activation of this population correlates with the ability of antibodies to mediate ADCC (*Fielding et al., 2021; Wang et al., 2018*). We therefore focussed on this population here; identical patterns of activation were observed in the CD57-negative population, albeit of slightly smaller magnitude (not shown). Non-specific activation was controlled for by testing against mock-infected cells throughout.
Degranulation (*Figure 5A*), as well as production of IFNγ (*Figure 5B*) and TNFα (*Figure 5C*), were all significantly increased in the presence of serum containing anti-SARS-CoV-2 antibodies, across a range of different NK donors (*Figure 5D–F*). ADNKA was dependent on virus replication, since heat inactivated virus did not lead to serum-dependent NK degranulation (*Figure 5—figure supplement 1A*). NK cells were activated equivalently whether purified NK cells or PBMC were used (*Figure 5—figure supplement 1B*), thus these responses are due to direct stimulation of NK cells, rather than
Figure 4. SARS-CoV-2 infection restricts the expression of multiple NK ligands, inhibiting NK activation. (A) AAT cells were infected with RAd-MICA, RAd-B7-H6, or RAd-GFP, then after 24 hr either mock infected, infected with SARS-CoV-2 (SCV2), or treated with Cycloheximide (CHX). Twenty-four hr later, cells were lysed and analysed by western blot for the indicated proteins (Note: The additional band seen when staining for actin in the presence of SARS-CoV-2 may be non-specific). (B) 293T cells were transfected with expression plasmids for Nsp1 or Nsp14, or GFP as a control. Twenty-four hr later, cells were detached with HyQtase and stained for the indicated proteins. (C–E) AAT cells were either mock infected, or infected with SARS-CoV-2 for 24 h (MOI = 5), detached with TrypLE and mixed with interferon stimulated PBMC for 5 hr in the presence of golgiStop, golgiPlug, and CD107a antibody, before staining for CD3/CD56 and Live/Dead Aqua. Cells were then fixed, permeabilised, and stained for TNFα and IFNγ. Cells were gated on live NK cells, and the percentage of cells positive for CD107a, TNFα, and IFNγ calculated. Individual assays were run in technical triplicate, with data shown from four assays using different donors. Kruskal-Wallis, *p<0.05, **p<0.01.
The online version of this article includes the following figure supplement(s) for figure 4:
Figure 4 continued on next page
other cells responding to antibodies and releasing NK stimulating cytokines. Viral immune evasion can therefore be overcome through antibody dependent mechanisms, suggesting that in addition to neutralising virus, SARS-CoV-2 antibodies may aid virus clearance through ADCC.
The magnitude of the neutralising antibody response to SARS-CoV-2 correlates with severity of disease; individuals with more severe disease generate higher levels of neutralising antibody (Seow et al., 2020; Dan et al., 2021; Wajnberg et al., 2020). Although memory B-cell responses persist, levels of circulating antibody can decrease over time following resolution of disease, such that in some mildly infected people they become undetectable after a few months (Seow et al., 2020; Dan et al., 2021; Wajnberg et al., 2020). To determine whether the same was true of ADCC responses, we assessed ADNKA in a cohort of donors with known disease status, for whom longitudinal sera were available (Figure 5G). ADNKA responses were generally of greater magnitude in individuals with more severe disease, with responses remaining detectable during the 150–200 day follow-up. Amongst those with milder disease, strong initial responses were maintained over time, while weaker responses decreased, becoming virtually undetectable by around 200 days. There was a moderate correlation between the ability of antibodies to neutralise SARS-CoV-2, and to activate ADNKA in response to SARS-CoV-2 (Figure 5H), with a $R^2$ value of 0.7. Thus, although the antibodies mediating these activities may be induced in a similar manner, the antibodies mediating the two responses may not be identical.
**Multiple SARS-CoV-2 ORFs mediate ADCC**
There has been a major focus on spike as an activator of ADCC (Barrett et al., 2021; Herman et al., 2021; Zohar et al., 2020; Tazuin et al., 2021; Anand et al., 2021; Lee et al., 2020; Duffoo et al., 2020; Tortorici et al., 2020; McCallum et al., 2021; Cathcart et al., 2021). It is certainly a potential target during infection as, despite the fact that virion particles bud internally rather than from the cell membrane, both our PMP and flow cytometric analysis detected substantial levels of spike protein on the infected cell surface (Figure 6A, C, Figure 5—figure supplement 1C, D). However, our studies with other viruses have demonstrated that although viral proteins involved in virion binding and entry are found on the cell surface, and can be bound by antibody, they are not necessarily the strongest mediators of ADCC activity (Vlahava et al., 2021). PMP also detected membrane (M), nucleocapsid (N), ORF3a, and ORF1ab on the cell surface. ORF1ab is expressed as a polyprotein, which is proteolytically cleaved into multiple non-structural proteins (NSPs). Analysis of individual peptides representative of the proteolytically processed NSPs did not reveal any specific NSP enrichment. Furthermore, comparing the relative abundance of viral proteins in PMP, ORF1ab was only present at very low levels (1% of all viral proteins, significantly lower than any other SARS-CoV-2 protein). Taken together, it is unlikely that any NSPs are surface-exposed. Nevertheless, we performed bioinformatic analysis of all viral proteins for the presence of potential transmembrane domains or signal peptides, revealing five additional candidate cell-surface proteins (Nsp4, Nsp6, ORF6, ORF7a, ORF7b). We transfected cells with previously validated expression constructs for each of these genes (Gordon et al., 2020), and screened them for their ability to activate NK cells in an antibody-dependent manner. We used sera from patients with severe COVID-19 disease, that had previously generated the strongest ADNKA signals against infected cells (Figure 6B). As expected, spike primed a substantial ADNKA response. However, in support of our PMP data, expression of ORF3a, membrane, and nucleocapsid, were also capable of priming ADNKA in the presence of serum containing SARS-CoV-2 antibodies, while the Nsps did not.
Interestingly, nucleocapsid readily activated ADNKA despite the fact that this protein has previously been assumed to be intracellular. We have previously observed the exquisite sensitivity of ADNKA, which can be activated in response to levels of virus protein that are difficult to detect by flow cytometry (Vlahava et al., 2021). We have also shown that antigen levels can be very different in the context of virus infection, compared with transfection (Vlahava et al., 2021). In support of this, nucleocapsid levels were much higher on the surface of infected cells than transfected cells (Figure 6C); detection of nucleocapsid was dependent on virus replication (Figure 5—figure supplement 1C), and occurred following infection of multiple different cell types (Figure 5—figure supplement 1D). The
Figure 5. SARS-CoV-2 inhibition of NK activation can be overcome via ADNKA. AAT cells were either mock infected, or infected with SARS-CoV-2 for 24 hr (MOI = 5), detached using TrypLE, then mixed with PBMC in the presence of golgistop, CD107a antibody, and serum from donors who were seronegative or seropositive for SARS-CoV-2. After 5 hr, cells were stained for CD3, CD56, CD57, and live/dead aqua, fixed, permeabilised and stained for IFNγ and TNFα, then analysed by flow cytometry. (A–F) assays were performed using 1% serum, and the percentage of CD57+ NK cells positive for
Figure 5 continued on next page
CD107a (A, D), TNFα (B, E), and IFNγ (C, F) were calculated. Individual donors were performed in technical triplicate (A–C), two-way ANOVA **p<0.01, ****p<0.0001. Assays from multiple donors were also compared (D–F), Kruskal–Wallis **p<0.01, ***p<0.001 (G–H) assays were performed using a serial threefold dilution of serum, starting from 3.3%, then the area under the curve (AUC) calculated. (G) Longitudinal serums from donors who experienced mild (black) or severe (grey) were used. (H) In addition to AUC for ADNKA activity, serums were tested for their ability to neutralise SARS-CoV-2 infection of VeroE6 cells, and the NT50 calculated, then compared to the AUC for ADNKA; Spearman rank correlation analysis is shown.
The online version of this article includes the following figure supplement(s) for figure 5:
**Figure supplement 1.** ADNKA is dependent on virus replication, and occurs through direct action on NK cells.
The presence of nucleocapsid on the cell surface was also supported by immunofluorescence staining of non-permeabilised infected cells (Figure 6D), where distinct patches of nucleocapsid were observed that sometimes, but not always, coincided with cell-cell junctions. Given how well even very low levels of surface nucleocapsid activated ADNKA, this suggested that multiple proteins could be major contributors to ADCC during SARS-CoV-2 infection.
**Monoclonal anti-spike antibodies only weakly mediate ADNKA despite binding strongly to infected cells**
To determine the relative contribution of spike, and of different antigenic sites on spike, to ADNKA during SARS-CoV-2 infection, we tested a panel of 26 human anti-spike monoclonal antibodies, which had been isolated from naturally infected donors, and cloned as IgG1 constructs (Graham et al., 2021). The panel included antibodies targeting the RBD, S1, NTD, and S2 domains, neutralising and non-neutralising, and those targeting multiple distinct epitopes (Supplementary file 4).
All 26 antibodies bound efficiently to infected cells, at levels comparable to polyclonal serum (Figure 7—figure supplement 1). However, only five of these antibodies were capable of triggering degranulation (Figure 7A), of which two triggered TNFα (Figure 7—figure supplement 2A), and one IFNγ (Figure 7—figure supplement 2B). Importantly, these NK responses were at dramatically lower levels than seen with polyclonal serum from a naturally infected donor, even when combined (Figure 7B).
A number of previous publications have used cells transfected with spike expression constructs to suggest that monoclonal anti-spike antibodies can induce potent ADNKA, which would appear to contradict our data (Chan et al., 2020; Schäfer et al., 2021; Winkler et al., 2020; Suryadevara et al., 2021; Winkler et al., 2021; Yamin et al., 2021). We therefore tested a subset of our monoclonal antibodies against transfected, as opposed to infected, cells (Figure 7C). mAbs that induced ADNKA against infected cells also induced ADNKA against transfected cells (P008-014 and P054-044). However, of 12 antibodies that failed to activate ADNKA against infected cells, 5 induced potent ADNKA against transfected cells. Furthermore, in contrast to infected cells, the level of ADNKA induced by mAbs was extremely high against transfected cells, with many exceeding that of our control seropositive serum. Thus, despite a substantial ability to activate ADCC against cells transfected with spike protein, and high levels of antibody binding, spike was a relatively poor ADCC target in the context of natural infection when using mAbs.
**Following natural infection, ADNKA responses are dominated by non-spike antibodies**
Although our data using monoclonal antibodies indicated that spike was a comparatively weak activator of ADNKA, the antibodies that mediate ADNKA against infected cells may represent a minor proportion of the overall anti-spike response; we simply may not have captured those antibodies in our panel. To directly address this concern, we specifically depleted anti-spike antibodies from the serum of naturally infected individuals, and assessed changes in activity. ELISA analysis confirmed the effective depletion of spike-specific antibodies (Figure 8A), which was accompanied by a significant loss of neutralisation activity (Figure 8B), across multiple donors (Figure 8C). However, there was no loss of ADNKA activity from any of these samples following spike-antibody depletion (Figure 8D and E), consistent with the results of our monoclonal antibody data. We conclude that spike-specific antibodies dominate the neutralising antibody response, but play a minor roles in the ADCC response following natural infection.
Figure 6. Multiple SARS-CoV-2 proteins mediate ADCC. (A) Plots of viral proteins detected in the PMP analysis. (B) 293T cells were transfected with plasmids expressing the indicated SARS-CoV-2 proteins for 48 hr, then mixed with PBMC in the presence of golgitop, CD107a antibody, and 1% serum from donors who were seronegative or seropositive for SARS-CoV-2. After 5 hr, cells were stained for CD3, CD56, CD57, and live/dead aqua, then analysed by flow cytometry. Assays were performed in technical triplicate. Data is shown from two donor serums. **p<0.01, ****p<0.0001, two-way
Figure 6 continued on next page
Figure 6 continued
ANOVA (C) 293T cells were transfected with plasmids expressing SARS-CoV-2 nucleocapsid or spike (or empty vector; light grey) for 48 hr, or AAT cells were infected with SARS-CoV-2 (MOI = 5) (or mock infected; light grey) for 24 hr, then cells were detached with TrypLE, stained for nucleocapsid or spike, and analysed by flow cytometry. (D) AAT cells were infected with SARS-CoV-2 (MOI = 5) for 24 hr, then cells were fixed in paraformaldehyde and stained for the indicated targets. Images are shown as maximum intensity projections of Z-stacks.
The online version of this article includes the following figure supplement(s) for figure 6:
Figure supplement 1. Immunofluorescence staining of negative control cells from Figure 6D.
Since nucleocapsid, ORF3a, and membrane had activated ADNKA when expressed in isolation, we therefore investigated whether they also mediated ADNKA against virus infected cells. A nucleocapsid-specific human monoclonal antibody was capable of activating ADNKA against infected cells (Figure 8F) and, although not to the extent of polyclonal serum, was superior to our best anti-spike antibody. Furthermore, when we used the serums from which Spike antibodies had been depleted (Figure 8D–E), and also depleted anti-nucleocapsid antibodies, we saw a significant reduction in ADNKA activity (Figure 8G–H), although considerable activity remained. Reagents are not available to deplete antibodies targeting ORF3a or membrane, so we instead deleted ORF3a from the virus genome. In line with existing data, this resulted in a small reduction (~1 log) in virus titres (not shown). We therefore assessed levels of viral antigens on the cell surface following infection, which revealed that deletion of ORF3a resulted in a small reduction in levels of spike and nucleocapsid, but not membrane (Figure 8I). To ensure that these alterations did not affect readouts, we used serums that had been depleted for antibodies targeting both Spike and Nucleocapsid, and compared ADNKA responses against wildtype or ΔORF3a virus (Figure 8J–K). Deletion of ORF3a resulted in a dramatic reduction in ADNKA activity, although this was not reduced completely to the level of sero-negative serum. We therefore conclude that nucleocapsid and ORF3a are targets for ADNKA activity against SARS-CoV-2 infected cells, with membrane potentially also contributing.
Spike-specific antibodies following vaccination are weak mediators of ADNKA
Since non-spike antigens are required to efficiently prime ADCC following natural infection, we investigated individuals who have been vaccinated against spike, but not exposed to the virus – since they will only have spike-specific antibodies. As with serum from naturally infected individuals, ELISA demonstrated effective depletion of spike antibodies (Figure 9A), which was accompanied by a marked loss of virus neutralisation activity (Figure 9B and C). In functional NK assays, these sera only mediated weak ADNKA (Figure 9D and E) and, unlike sera from naturally infected individuals, ADNKA activity was abrogated following depletion of spike antibodies. When we compared responses following natural infection or vaccination, vaccine mediated ADNKA was significantly weaker than responses seen following natural infection, and was not boosted following the second dose of the vaccine (Figure 9F). This was in stark contrast with the neutralisation activity of those same serum samples, which were dramatically increased following the second dose, with activity comparable to Patients with severe COVID-19 disease (Figure 9G).
Thus, anti-spike antibodies can mediate ADNKA, but this activity is significantly weaker than responses seen during natural infection, which targets a broader repertoire of viral antigens.
Discussion
The host innate immune system plays a critical role in both early SARS-CoV-2 infection, and later COVID-19 disease. This is emphasised by the identification of multiple interferon antagonists encoded by SARS-CoV-2, and the increased disease severity in patients with genetic and acquired interferon deficiencies (Lei et al., 2020; Sa Ribeiro et al., 2020; Miorin et al., 2020; Schroeder et al., 2021). To determine whether the virus evades other components of the host immune system we took a proteomic approach to systematically analyse how SARS-CoV-2 infection manipulates the cell surface during the time course of SARS-CoV-2 infection. We find that SARS-CoV-2 remodelling of the plasma membrane leads to the downregulation of multiple cell surface immune ligands involved with the interferon response, cytokine function, and NK activation. This may enable SARS-CoV-2 to evade numerous effector arms of the host immune system. Of particular interest, NK activating ligands
Figure 7. Monoclonal anti-spike antibodies bind infected cells strongly, but only weakly activate ADNKA.
(A–B) AAT cells were either mock infected, or infected with SARS-CoV-2 (MOI = 5), or (C) 293T cells were transfected with an expression plasmid for spike. After 24 hr (A–B) or 48 hr (C), cells were detached with TrypLE and mixed with PBMC and the indicated antibodies, or a serum from a moderate case of COVID-19. Cells were incubated for 5 hr in the presence of golgipost, golgiplug, and CD107a antibody, before staining for CD3, CD56, CD57, and Live/Dead Aqua. Cells were gated on live CD57+ NK cells, and the percentage of cells positive for CD107a calculated. Assays were run in technical triplicate. Two-way ANOVA ***p<0.001, ****p<0.0001.
The online version of this article includes the following figure supplement(s) for figure 7:
Figure supplement 1. Anti-spike antibodies bind to SARS-CoV2 infected cells.
Figure supplement 2. Monoclonal anti-spike antibodies only weakly activate ADNKA.
appear particularly susceptible to viral shutoff of host gene expression, and this results in inhibition of NK cell activation. This provides an explanation for how small RNA viruses may be able to target the NK response without encoding the large repertoire of specific NK-evasins seen in the large DNA viruses (Patel et al., 2018; Berry et al., 2020), and indicates that shutdown of host transcription
Figure 8. The ADNKA response is dominated by non-spike antibodies following natural infection. Serums from individuals naturally infected with SARS-CoV-2 were depleted of anti-spike antibodies using spike trimer protein (A–E) or both spike trimer and nucleocapsid (G–H) conjugated to magnetic beads. (A) ELISA for spike trimer was used to measure levels of antibodies before and after depletion. (B, C) the ability of the original, or anti-spike...
Figure 8 continued
depleted, serums to neutralise the ability of SARS-CoV-2 to infect VeroE6 cells was determined across a range of concentrations, then NT50 values calculated. Example plots (B) and NT50 values for multiple donors (C) are shown. (D–K) AAT cells were either mock infected, or infected with SARS-CoV-2 (D–H), or with SARS-CoV-2 from which ORF3 had been deleted (J, K) for 24 h (MOI = 5), detached using TrypLE, then mixed with PBMC in the presence of golgistop, CD107a antibody, and serial dilutions of serum, or monoclonal antibody. After 5 hr, cells were stained for CD3, CD56, CD57, and live/dead aqua, then analysed by flow cytometry for the percentage of CD107a-positive CD57+ NK cells. AUC values were then calculated. Example plots (D, G, J) and AUC values for multiple donors (E, H, K) are shown. Kruskal–Wallis *p<0.05, **p<0.01, ****p<0.0001. (I) Twenty-four hr after infection, cells were detached and stained for the indicated proteins after analysis by flow cytometry.
and translation is likely to play a broader role in the ability of the virus to establish initial infection than previously appreciated. Later in disease, following the production of antibody, ADNKA leads to significant degranulation, and production of pro-inflammatory cytokines. Somewhat surprisingly, spike antibody is not responsible for the robust ADNKA which develops after natural infection, and only weak ADNKA is generated following spike vaccination.
Genetic variation in both viruses and their hosts affects the ability of viruses to modulate NK responses, and influence pathogenesis (Patel et al., 2018; Vitzten et al., 2021a). SARS-CoV-2 appears to have evolved to antagonise NK activation by targeting the expression levels of multiple activating NK ligands. Nectin-1 is a ligand for CD96/TACTILE (Seth et al., 2007), which activates human NK cells (Holmes, 2019), B7-H6 is a ligand for NKP30, while ULBP2 and MICA are ligands for NKG2D. NKG2D is ubiquitously expressed on γδ cells and CD8+, as well as some CD4+, T-cells in addition to NK cells (Zingoni et al., 2018). Targeting NKG2D ligands may therefore enable the virus to impact additional effector mechanisms beyond just NK cells. Amongst NKG2D ligands, MICA is particularly polymorphic (100+alleles), A549 cells express MICA*001/004 (Seidel et al., 2015), while the truncated MICA*008 is the most common allele worldwide. This diversity is largely driven by co-evolution of humans with virus infections, and reflects the broad repertoire of viral immune-evasins (Zingoni et al., 2018). MICA variation therefore has the potential to play a role in the extremely variable outcome of SARS-CoV-2 infection.
A recent study demonstrated that NK cells stimulated with IL-12 and IL-15 were capable of controlling SARS-CoV-2 following infection of VeroE6 or Calu3 cells (Witkowski et al., 2021). NK ligands are highly diverse between species, thus VeroE6 (i.e. African green monkey) cells cannot inform on the ability of human NK cells to control infection, while expression levels of NK ligands were not assessed on Calu3 cells, making it difficult to draw comparisons between the studies. Nevertheless, NK cell activity is heavily dependent on stimulation, and it is highly likely that strongly activating cytokines such as IL-12/IL-15 are capable of stimulating NK cells sufficiently to contribute to viral control despite viral evasion mechanisms.
In contrast to the effect on NK ligands, we observed minimal downregulation of MHC-I, implying that SARS-CoV-2 cannot prevent peptide presentation to antagonise adaptive cytotoxic cellular immunity. Nor do infected cells bind human IgG from seronegative donors, indicating that it does not encode Fc receptors as ADNKA decoys. These observations are consistent with SARS-CoV-2 acting as an acute ‘hit and run’ virus, which has replicated and transmitted before host adaptive immunity develops. A previous study has demonstrated that SARS-CoV-2 downregulates HLA-A2 via ORF8, which contrasts somewhat with our results (Zhang et al., 2021). This may indicate a HLA- or cell-type-specific effect, it will be interesting to determine whether coronaviruses evade innate and adaptive immunity in their original bat host, and whether this contributes to their persistence in that species.
In animal models of vaccination (Gorman et al., 2021) and monoclonal antibody administration (Chan et al., 2020; Schäfer et al., 2021; Winkler et al., 2020; Suryadevara et al., 2021; Yamin et al., 2021) against SARS-CoV-2, antibody-mediated activation of cellular immunity is a critical component of the protective immune response. However, inflammation dominates severe COVID-19 disease (Horby et al., 2021b; Horby et al., 2021a). The high levels of TNFα and IFNγ observed following ADNKA are likely to exacerbate disease under these circumstances. In support of this, TNFα and IFNγ correlate with severe disease (Karki et al., 2021), and critically ill patients have a higher proportion of α-fucosylated antibodies that may promote a stronger ADCC response (Larsen et al., 2021). Given that ADCC can potentially contribute to both protection and immunopathology, it is important to
Figure 9. Vaccine responses focussed on spike are weak activators of ADNKA. Serums from donors that had been vaccinated against SARS-CoV-2 but were seronegative prior to vaccination were depleted of anti-spike antibodies using spike trimer protein conjugated to magnetic beads. (A) ELISA for spike trimer was used to measure levels of antibodies before and after depletion. (B, C) The ability of the original, or anti-spike depleted, serums to neutralise the ability of SARS-CoV-2 to infect VeroE6 cells was determined across a range of concentrations, then NT50 values calculated. Example Figure 9 continued on next page
plots (B) and NT50 values for multiple donors (C) are shown. (D, E) AAT cells were either mock infected, or infected with SARS-CoV-2 for 24 h (MOI = 5), detached using TrypLE, then mixed with PBMC in the presence of golgistop, CD107a antibody, and serial dilutions of serum. After 5 hr, cells were stained for CD3, CD56, CD57, and live/dead aqua, then analysed by flow cytometry for the percentage of CD107a positive CD57+ NK cells. AUC values were then calculated. All serums were additionally tested against mock infected cells to ensure no non-specific NK activation occurred (not shown). Example plots (D) and AUC values for multiple donors (E) are shown. Note that (D) is plotted on the same scale as Figure 8D to enable easy comparisons. Neutralisation (F) and ADNKA (G) values are compared for samples categorised according to disease or vaccination status. Kruskal–Wallis *p<0.05, **p<0.001.
understand what determines the magnitude and quality of the ADCC response. Viral entry glycoproteins are a common focus as mediators of ADCC. For example ADCC mediated by Env antibodies have been a major focus in HIV (Forthal and Finzi, 2018), and gB-specific antibodies have been studied in HCMV (Nelson et al., 2018). Although antibodies targeting these antigens can clearly bind infected cells, using similar approaches to the present study we recently showed that non-structural accessory proteins were more potent ADCC targets during HCMV infection (Vlahava et al., 2021). This conclusion is reinforced here, where the neutralising antibody response is dominated by spike, but spike antibodies are poor activators of ADNKA, with other viral antigens driving more efficient ADNKA following natural infection. In support of this data, monoclonal anti-spike antibodies were only effective at activating Fc-mediated control of infection in animal models following engineering to enhance activity (Beaudoin-Bussières et al., 2021). Numerous spike mAbs were capable of potently activating ADNKA against transfected cells, but failed to stimulate NK cells in the presence of infected cells; this may result from differential post-translational modifications of spike between these contexts, the fact that the reduction in activating NK ligands as a result of infection alters the threshold for activation through ADNKA, or the fact that viral CPE affects the formation of an immunological synapse (Stanton et al., 2014). Nevertheless, this underscores the importance of testing immune responses against live virus infected cells in order to assess efficacy. Importantly, the ability of monoclonal spike antibodies to bind to infected cells did not correlate with their ability to mediate ADNKA, implying that the epitope, position, or angle, at which the antibody binds to the cell surface is critical; it’s notable that 4/5 anti-spike antibodies that activated ADNKA bound the NTD, suggesting that this site is structurally advantageous for Fc-mediated responses.
A similar phenomenon may underly the greater ability of non-spike antigens to generate a ADNKA response. Nucleocapsid, ORF3a, and membrane are all present on the infected cell surface, and can promote ADNKA if appropriate antibodies are present. In some studies, antibodies targeting ORF3a and membrane have been reported as present in only a subset of patients, while almost everyone developed antibodies targeting nucleocapsid (Shrock et al., 2020). However, other studies have shown that antibodies targeting ORF3a and membrane are much more common and found in most patients (Heffron et al., 2021). Our functional work is consistent with this latter data, and suggests that antibodies targeting all three proteins may be major targets for ADCC during natural SARS-CoV-2 infection, identifying a potential functional role for antibodies binding these immunodominant targets for the first time. Although it is surprising to observe nucleocapsid on the cell surface, Influenza nucleoprotein is also detected at the plasma membrane (Yewdell et al., 1981; Fujimoto et al., 2016; Virelizier et al., 1977), and antibodies targeting nucleoprotein can mediate ADCC (Vanderven et al., 2016; Jegaskanda et al., 2017; Laidlaw et al., 2013). Structural proteins involved in genome packaging may therefore represent a common target for ADCC across multiple virus families.
The identification of the antigens that drive ADCC is important to our understanding of the mechanisms that underlie pathogenesis and disease. A skewing of the spike:nucleocapsid antibody ratio is associated with severe disease (Röltgen et al., 2020; de Campos Mata et al., 2020; Atyeo et al., 2020), where ADCC-mediating nucleocapsid antibodies might be promoting inflammation. Both the breadth of the nucleocapsid antibody response, and the particular epitopes targeted, have also been correlated with disease severity (Shrock et al., 2020; Voss et al., 2021). These correlations now need to be followed up functionally, to determine how the epitopes bound by anti-nucleocapsid antibodies affect ADCC. Critically, the same surface-bound antibodies that activate NK cells are likely to promote inflammation by activating myeloid cells and complement (Schulte-Schrepping et al., 2020; Szabo et al., 2021; Merad and Martin, 2020), both of which are hallmarks of severe COVID-19.
Although Fc-dependent mechanisms of cellular immune activation could contribute to immunopathology via multiple mechanisms in severe disease, all patients with mild/asymptomatic disease also developed strong and persistent ADNKA responses. Furthermore, lineage defining mutations in the viral variants of concern B.1.1.7, B.1.351, and P.1, include non-synonymous mutations in membrane, CRF3a, and nucleocapsid, and these can result in reduced antibody binding (Moore et al., 2021; Del Vecchio et al., 2021). Virus variants may therefore evolve to evade ADCC responses as well as neutralising responses, supporting an important role for ADCC in protection. It is therefore significant that spike-vaccine generated antibody responses were poor ADNKA inducers when tested against infected cells. The addition of other viral proteins such as nucleocapsid to vaccines would engage a wider range of immune effector pathways. This approach might improve efficacy against both viral transmission and disease, resulting in vaccines that are more resistant to viral variants containing mutations that diminish antibody neutralisation (Madhi et al., 2021).
### Materials and methods
#### Key resources table
| Reagent type (species) or resource | Designation | Source or reference | Identifiers | Additional information |
|-----------------------------------|-------------|---------------------|-------------|------------------------|
| Strain, Strain Background (SARS-CoV-2) | England 2 | Public Health England | Genome identical to NC_045512 | |
| Cell Line (Human) | A549 | ATCC | CCL-185 | |
| Cell Line (African Green Monkey) | VeroE6 | ATCC | CCL-81 | |
| Antibody | Mouse Monoclonal anti-CD107a-FITC | Biolegend | Cat No. 328,606 | Flow cytometry (1:100) |
| Antibody | Mouse monoclonal anti-CD56-BV605 | Biolegend | Cat No. 362,538 | Flow cytometry (1:100) |
| Antibody | Mouse monoclonal anti-CD3-PC7 | Biolegend | Cat No. 300,420 | Flow cytometry (1:100) |
| Antibody | Mouse monoclonal anti-CD57-APC | Biolegend | Cat No. 359,610 | Flow cytometry (1:100) |
| Antibody | Mouse monoclonal anti-B7-H6 | Biotechne | Cat No. MAB7144 | Flow cytometry (1:50) |
| Antibody | Mouse monoclonal anti-Nectin-1 | Biolegend | Cat No. 340,402 | Flow cytometry (1:200) |
| Antibody | Mouse monoclonal anti-MICA | BAMOMAB | Cat No. AMO1-100 | Flow cytometry (1:200) |
| Antibody | Mouse monoclonal anti-ULBP2 | BAMOMAB | Cat No. BUMO1 | Flow cytometry (1:200) |
| Antibody | Mouse monoclonal anti-Spike | Insight | Cat No. GTX632604 | Flow cytometry (1:500) |
| Antibody | Mouse monoclonal anti-Nucleocapsid | Stratech | Cat No. BSM-41411M | Flow Cytometry (1:300) |
| Antibody | Goat polyclonal anti-mouse IgG-AF647 | Thermo Fisher | Cat No. A-21235 | Flow Cytometry (1:500) |
| Antibody | Mouse monoclonal CD3-BV711 | Biolegend | Cat No. 344,837 | Flow cytometry (1:100) |
| Antibody | Mouse monoclonal CD57-PECy7 | Biolegend | Cat No. 359,623 | Flow cytometry (1:100) |
| Antibody | Mouse monoclonal TNFα-BV421 | Biolegend | Cat No. 502,931 | Flow cytometry (1:100) |
| Antibody | Mouse monoclonal IFNγ-APC | Biolegend | Cat No. 502,511 | Flow cytometry (1:100) |
| Antibody | Goat polyclonal Anti-mouse AF594 | Thermo Fisher | Cat No. A48288 | IFA (1:500) |
| Antibody | Human monoclonal anti-nucleocapsid | Acro | Cat No. NUN-S41 | Flow cytometry (10 µg/ml) |
| Other | Phalloidin-AF488 | ThermoFisher | Cat No. A12379 | IFA (1:100) |
| Commercial assay, kit | Anti-spike | Acro | RAS-T025 | |
| Commercial assay, kit | Anti-Spike Magnetic beads | Acro | MBS-K015 | |
| Commercial assay, kit | Anti-nucleocapsid Magnetic Beads | Acro | MBS-K017 | |
#### Cells and viruses
All cell lines tested negative for mycoplasma, and A549 were authenticated by Short tandem Repeat analysis. A549 were transduced with lentiviruses expressing human ACE2, and TMPRSS2 (AAT cells), as previously described (Rihn et al., 2021). The England2 strain of SARS-CoV-2 was obtained from Public Health England (PHE), and grown on VeroE6 cells. This strain has a genome...
that is identical to the original Wuhan isolate. A virus lacking ORF3a, along with the parental virus, was a kind gift from Luis Martinez-Sobrido (Texas Biomedical Research Institute; Silvas et al., 2021). Virions were concentrated by pelleting through a 30% sucrose cushion to remove contaminating soluble proteins, and titrated by plaque assay on both VeroE6, AAT, and Caco2, as previously described (Rihn et al., 2021). All cell lines were grown in DMEM containing 10% FCS (Gibco), at 37 °C and in 5% CO₂. Throughout the study, multiple batches of virus were used, and no overt differences were noted between them. For assays, cells were plated out the day before, then infected at a multiplicity of infection (MOI) of 5, for 1 hr on a rocking platform. The inoculum was removed, and fresh DMEM containing 2% FCS was added, then cells were incubated until the assay. To confirm that phenotypes were dependent on active virus replication, virus was inactivated by heating to 56 °C for 30 min.
**Plasma membrane profiling**
Cell surface proteins were labelled essentially as described (Weekes et al., 2014; Weekes et al., 2012). Briefly, cells were incubated in a solution containing sodium periodate, aniline and aminoxy biotin to label predominantly sialic acid containing glycans at the cell surface. Cell lysates were then enriched for labelled proteins using streptavidin-agarose beads. After extensive washing trypsin was added to liberate peptides of the enriched proteins. The resulting peptide pools were dried prior to labelling with TMT reagents.
**TMT labelling and clean-up**
Samples were resuspended in 21 µL 100 mM TEAB pH 8.5. After allowing to come to room temperature, 0.2 mg TMT reagents (Thermo Fisher) were resuspended in 9 µL anhydrous acetonitrile (ACN) which was added to the respective samples and incubated at room temperature for 1 hr. A 3 µL aliquot of each sample was taken and pooled to check TMT labelling efficiency and equality of loading by LC-MS. After checking each sample was at least 98% TMT labelled total reporter ion intensities were used to normalise the pooling of the remaining samples such that the final pool was as close to a 1:1 ratio of total peptide content between samples as possible. This final pool was then dried in a vacuum centrifuge to evaporate the majority of ACN form labelling. The sample was acidified to a final 0.1% Trifluoracetic Acid (TFA) (~200 µL volume) and fluoroacetic acid (FA) was added until the SDC visibly precipitated. Four volumes of ethyl acetate were then added and the sample vortexed vigorously for 10 s. Sample was then centrifuged at 15,000 g for 5 min at RT to effect phase separation. A gel loading pipette tip was used to withdraw the lower (aqueous) phase to a fresh low adhesion microfuge tube. The sample was then partially dried in a vacuum centrifuge and brought up to a final volume of 1 mL with 0.1% TFA. FA was added until the pH was <2, confirmed by spotting onto pH paper. The sample was then cleaned up by SPE using a 50 mg tC18 SepPak cartridge (Waters). The cartridge was wetted with 1 mL 100% Methanol followed by 1 mL ACN, equilibrated with 1 mL 0.1% TFA and the sample loaded slowly. The sample was passed twice over the cartridge. The cartridge was washed 3 x with 1 mL 0.1% TFA before eluting sequentially with 250 µL 40% ACN, 70% ACN and 80% ACN and dried in a vacuum centrifuge.
**Basic pH reversed phase fractionation**
TMT labelled samples were resuspended in 40 µL 200 mM Ammonium formate pH10 and transferred to a glass HPLC vial. BpH-RP fractionation was conducted on an Ultimate 3,000 UHPLC system (Thermo Scientific) equipped with a 2.1 mm × 15 cm, 1.7 µ Kinetex EVO column (Phenomenex). Solvent A was 3% ACN, Solvent B was 100% ACN, solvent C was 200 mM ammonium formate (pH 10). Throughout the analysis solvent C was kept at a constant 10%. The flow rate was 500 µL/min and UV was monitored at 280 nm. Samples were loaded in 90% A for 10 min for a gradient elution of 0–10% B over 10 min (curve 3), 10–34% B over 21 min (curve 5), 34–50% B over 5 mins (curve 5) followed by a 10 min wash with 90% B. 15s (100 µL) fractions were collected throughout the run. Fractions containing peptide (as determined by A280) were recombined across the gradient to preserve orthogonality with on-line low pH RP separation. For example, fractions 1, 25, 49, 73, 97 are combined and dried in a vacuum centrifuge and stored at −20 °C until LC-MS analysis. 24 Fractions were generated in this manner.
Mass spectrometry
Samples were analysed on an Orbitrap Fusion instrument on-line with an Ultimate 3000 RSLC nano UHPLC system (Thermo Fisher). Samples were resuspended in 10 µL 5% DMSO/1% TFA and all sample was injected. Trapping solvent was 0.1% TFA, analytical solvent A was 0.1% FA, solvent B was ACN with 0.1% FA. Samples were loaded onto a trapping column (300 µm x 5 mm PepMap cartridge trap (Thermo Fisher)) at 10 µL/min for 5 min at 60 degrees. Samples were then separated on a 75 cm x 75 µm i.d. 2 µm particle size PepMap C18 column (Thermo Fisher) at 55 degrees. The gradient was 3–10% B over 10 min, 10–35% B over 155 min, 35–45% B over 9 min followed by a wash at 95% B for 5 min and reequilibration at 3% B. Eluted peptides were introduced by electrospray to the MS by applying 2.1kV to a stainless-steel emitter (5 cm x 30 µm (PepSep)). During the gradient elution, mass spectra were acquired with the parameters detailed in Figure 1—figure supplement 2 using Tune v3.3 and Xcalibur v4.3 (Thermo Fisher).
Data processing
Data were processed with PeaksX+, v10.5 (Bioinformatic Solutions). Processing parameters are shown in detail in Figure 1—figure supplement 3. Briefly, raw files were searched iteratively in three rounds, with unmatched de novo spectra (at 1% PSM FDR) from the previous search used as the input for the next. The three iterations were as follows (1) Swissprot Human (27/03/2020)+common contaminants, (2) the same databases as search 1 but permitting semi-specific cleavage, (3) tREMBL Human (27/03/2020), with specific cleavage rules. Proteins were then quantified using the parameters outlined in Figure 1—figure supplement 3. Identified proteins and their abundances were output to .csv format and further subjected to statistical analysis. The mass spectrometry proteomics data have been deposited to the ProteomeXchange Consortium via the PRIDE partner repository (Perez-Riverol et al., 2019) with the dataset identifier PXD025000 and 10.6019/PXD025000. Supplementary file 1 contains the analysed data.
Statistical analysis and K-means clustering
Prior to statistical analysis, proteins were filtered for those quantified across all TMT reporter channels and with more than one unique peptide. Only proteins with a plasma membrane related GO:CC annotation as previously described (Weekes et al., 2010) were then carried forward for statistical analysis. All SARS-CoV-2 proteins quantified with more than one unique peptide were also included. Statistical tests were performed with the aov and p.adjust functions in the R base stats package (version 4.0.3) to calculate Benjamini-Hochberg corrected p-values for changes in protein abundance across the measured time-points.
Proteins with a p-value <0.05 and a maximum fold-change across the time-course of >1.5-fold were selected for k-means clustering. Mean intensities of each time-point were scaled using the scale function in base R and utilised to cluster proteins into five groups using the kmeans function in R base stats package.
Functional annotation clustering
Assessment of enriched gene annotation terms in temporal cluster one was carried out using the Functional Annotation Clustering tool at DAVID (david.ncifcrf.gov) v6.8 (Huang et al., 2009), using the default clustering settings for medium stringency and the following libraries: Uniprot UP, Keyword, GOTERM:MF_ALL, BIOCARTA, KEGG_PATHWAY and REACTOME_PATHWAY. Output clusters were curated with representative names based on the enriched terms within. The background for enrichment was a list of proteins detected in the PMP dataset with more than one peptides and a plasma membrane associated GO:CC term. Functional annotation clusters with an enrichment score of >1.5 are shown, and any clusters in which no individual annotation term had a Benjamini-Hochberg correct p-value of <0.05 were excluded.
Biochemical analysis of NK ligands
Replication-deficient adenovirus vectors (RAd) expressing B7-H6, MICA, and ULBP2, have been described previously (Fielding et al., 2017). To analyse glycosylation of these proteins, cells were infected with RAd-MICA and RAd-GFP at MOI = 100 and RAd-B7-H6 and RAd-ULBP2 at MOI = 500, then 48 hr later cells were either mock-infected or infected with SARS-CoV-2 MOI = 5 for a further
24 hr. For some experiments, lysates were digested overnight at 37 °C with EndoH or PNGaseF (NEB) according to manufacturer’s instructions. In some experiments, MG132 (10 µM), Leupeptin (200 µM), or cycloheximide (CHX, 2.5 µg/ml) inhibitors were added 18 hr prior to harvest. Samples were then analysed by SDS-PAGE followed by western blotting for proteins of interest. Membranes were stained with primary antibodies (anti-MICA/B, BAMOMAB, BAMO1, 1:2000; anti-B7-H6, Abcam, ab121794, 1:2000; anti-ULBP-2, R&D Systems, AF1298, 1:2000; anti-GFP, FL, SC-8334, Santa Cruz Biotechnology, 1:2000; anti-Spike, Genetex, 1A9, 1:2000; anti-Actin, Sigma, 1:2000), followed by anti-mouse, anti-rabbit or anti-goat HRP-conjugated secondary antibody, then developed using Supersignal West Pico, and imaged in a Syngene XX6.
**Immunofluorescence**
Cells were plated on coverslips, then infected with SARS-CoV-2. After 24 hr, cells were fixed with 4% paraformaldehyde, then stained with nucleocapsid mAb (1C7), followed by anti-mouse AF594, Phalloidin-AF488, and DAPI. Coverslips were washed, then mounted in prolong gold anti-fade (Thermofisher), before being imaged on a Zeiss LSM800 confocal microscope.
**Flow cytometry**
Cells were dissociated using HyQtase, then stained with primary antibody for 30 min at 4 °C. Following washing, they were incubated with secondary antibody, again for 30 min at 4 °C. Cells were washed, fixed in 4% paraformaldehyde, and data collected on an Attune cytometer (Thermofisher). In one experiment (Figure 1A), cells were fixed and permeabilised (Cytotix/Cytoperm, BD) before staining. Antibodies used were against HLA-ABC (W632; AbD Serotec), NCR3L1/B7-H6 (MAB7144, Biotechnie R&D Systems), Nectin 1 (R1.302; Biolegend), MICA (AMO1-100; BAMOMAB), MICB (BMO2-100; BAMOMAB), ULBP2 (BUMO1; BAMOMAB), Spike (1A9; Insight), Nucleocapsid (1C7; Stratech), anti-mouse IgG AF647 (Thermofisher).
**ELISA**
To measure levels of spike antibodies, an ELISA using the spike trimer (Acro Biosystems) was used according to manufacturers instructions. Each sample was measured in duplicate, and compared to a standard curve. A pre-pandemic serum was included in each assay to define the cut-off.
**Plasmids and transfections**
Lentivirus plasmids encoding each SARS-CoV-2 ORF individually, with a C-terminal twin-strep tag, were obtained from Addgene, and have been validated for expression previously (Gordon et al., 2020). Plasmids were midiprepped (Nucleobond Xtra Midi; Machery-Nagel), and transfected into 293T cells using GeneJuice (Merck) according to manufacturers’ instructions.
**NK activation assays**
PBMCs from healthy donors were thawed from liquid N2 storage, rested overnight in RPMI supplemented with 10% FCS, and L-glutamine (2 mM). For assays investigating viral inhibition of NK activation, PBMC were stimulated overnight with IFN-α (1,000 U/ml) to provide a baseline level of activation against which inhibition could be seen. For ADNKA this stimulation is not required, and so cells were used unstimulated (Vlahava et al., 2021). To confirm that phenotypes were due to direct effects on NK cells, NK cells were purified by depletion, using the human NK cell purification kit (Miltenyi) according to manufacturer’s instructions. Target cells were harvested using TrypLE Express (Gibco), preincubated for 30 min with the relevant antibody or serum preparations, then mixed with effectors at an effector:target (E:T) ratio of 10:1 (PBMC) or 1:1 (purified NK cells) in the presence of golgistop (0.7 µl/ml, BD Biosciences), Brefeldin-A (1:1000, Biolegend) and anti-CD107a-FITC (clone HA43, BioLegend). Cells were incubated for 5 hr, washed in cold PBS, and stained with live/dead Fixable Aqua (Thermo Fisher Scientific), anti-CD3–PECy7 (clone UCHT1, BioLegend) or anti-CD3-BV711 (Clone SK7, Biolegend), anti-CD56–BV605 (clone 5.1H11, BioLegend), anti-CD57–APC (clone HNK-1, BioLegend) or anti-CD57–PECy7 (clone HNK-1, Biolegend), and anti-NKG2C–PE (clone 134591, R&D Systems). In some experiments, cells were also fixed/permeabilized using Cytotix/Cytoperm (BD Biosciences) and stained with anti-TNFα–BV421 (clone MAB11, BioLegend) and anti-IFNγ–APC (clone 4 S.B3, BioLegend). Data were acquired using an AttuneNxT (Thermo Fisher) and analyzed...
with Attune NxT software or FlowJo software version 10 (Tree Star). Individual assays were run in technical triplicate. To ensure inter-assay variation did not affect results, a donor serum demonstrating moderate ADCC activity against SARS-CoV-2 was included as a positive standard in every assay, while a serum collected before 2020 was included as a negative control in every assay. Where sera were tested at a range of dilutions, the area under the curve (AUC) was calculated using Graphpad Prism 9. This value was then normalised to the AUC for the standard serum in that particular assay. In all experiments, serums were additionally tested against mock infected cells to control for non-specific activation of NK cells by serum components. An example gating strategy is shown in Figure 4—figure supplement 1, and involved gating on NK cells defined as CD56 positive, CD3 negative. This strategy will capture all ‘classical’ NK cells; however, it will miss the recently described CD56-negative NK cell population. Since these are only present at substantial levels in specific conditions such as chronic HIV infection, and older people with HCMV or EBV infection (Müller-Dorovic et al., 2019), and have not been described to expand during SARS-CoV-2 infection, they are unlikely to play a major role in the NK response examined herein.
**Serums**
Serums were collected from healthy donors vaccinated with the BNT162b2 vaccine, a minimum of 3 weeks after the first dose, or 1 week after the second. A pre-vaccine sample was taken from every donor, and an ELISA for SARS-CoV-2 RBD performed as previously described (Amanat et al., 2020), to determine pre-exposure to live SARS-CoV-2. Longitudinal serums from naturally infected individuals have been described previously, clinical characteristics are in Supplementary file 3; (Seow et al., 2020). Those labelled ‘mild’ had severity scores of 0, 1, 2 or 3, and ‘severe’ was 4 or 5, as described previously (Seow et al., 2020).
**Virus neutralisation assays**
600PFU of SARS-CoV-2 was incubated with appropriate dilutions of serum, in duplicate, for 1 hr, at 37 °C. The mixes were then added to pre-plated VeroE6 cells for 48 hr. After this time, monolayers were fixed with 4% PFA, permeabilised for 15 min with 0.5% NP-40, then blocked for 1 hr in PBS containing 0.1% Tween (PBST) and 3% non-fat milk. Primary antibody (anti-nucleocapsid 1C7, Stratech, 1:500 dilution) was added in PBST containing 1% non-fat milk and incubated for 1 hr at room temperature. After washing in PBST, secondary antibody (anti-mouse IgG-HRP, Pierce, 1:3000 dilution) was added in PBST containing 1% non-fat milk and incubated for 1 hr. Monolayers were washed again, developed using Sigmafast OPD according to manufacturers’ instructions, and read on a Clariostar Omega plate reader. Wells containing no virus, virus but no antibody, and a standardised serum displaying moderate activity were included as controls in every experiment. NT50 were calculated in Graphpad Prism 9.
**Antibody depletions**
Anti-spike or anti-nucleocapsid antibody was depleted from sera using magnetic bead conjugated spike trimer protein or nucleocapsid protein (Acrobiosystems). Beads were resuspended in PBS +0.05% BSA, then 50 µl serum was mixed with 150 µl beads. Mixtures were incubated on a rotating mixer at 4 °C overnight. Serum diluted in buffer alone was used as a control. Magnetic beads were then removed using a 3D printed magnetic stand. All values given in assays are corrected for this initial fourfold dilution. Levels of anti-spike antibody were measured using a spike trimer ELISA (Acrobiosystems).
**Acknowledgements**
This work was partly funded by the MRC/NIHR through the UK Coronavirus Immunology Consortium (CiC; MR/V028448/1). RS was supported by the MRC (MR/S00971X/1), Wellcome Trust (204870/Z/16/Z), and Ser Cymru. ECYW was funded by the MRC (MR/P001602/1, MR/V000489/1). PJL was funded by the Wellcome Trust through a Principal Research Fellowship (210688/Z/18/Z), the MRC (MR/V011561/1), the Addenbrooke’s Charitable Trust and the NIHR Cambridge Biomedical Research Centre. KLD was supported by King’s Together Rapid COVID-19 Call, Huo Family Foundation Award, and a Wellcome Trust Multi-User Equipment Grant 208354/Z/17/Z. CG was supported
by the MRC-KCL Doctoral Training Partnership in Biomedical Sciences (MR/N013700/1). BM was supported by an NIHR Academic Clinical Fellowship in Combined Infection Training.
**Additional information**
**Funding**
| Funder | Grant reference number | Author |
|-------------------------------|------------------------|-------------------------|
| National Institute for Health Research | MR/V028448/1 | Ceri Alan Fielding |
| | | Pragati Sabberwal |
| | | Eddie CY Wang |
| | | Richard J Stanton |
| Medical Research Council | MR/S00971X/1 | Richard J Stanton |
| Wellcome Trust | 204870/Z/16/Z | Ceri Alan Fielding |
| | | Eddie CY Wang |
| | | Richard J Stanton |
| Ser Cymru | | Ceri Alan Fielding |
| | | Eddie CY Wang |
| | | Richard J Stanton |
| Medical Research Council | MR/P001602/1 | Eddie CY Wang |
| Medical Research Council | MR/V000489/1 | Richard J Stanton |
| Wellcome Trust | 210688/Z/18/Z | Paul J Lehner |
| Medical Research Council | MR/V011561/1 | Paul J Lehner |
| Wellcome Trust | 208354/Z/17/Z | Katie Doores |
| Medical Research Council | MR/N013700/1 | Carl Graham |
The funders had no role in study design, data collection and interpretation, or the decision to submit the work for publication. For the purpose of Open Access, the authors have applied a CC BY public copyright license to any Author Accepted Manuscript version arising from this submission.
**Author contributions**
Ceri Alan Fielding, Richard J Stanton, Conceptualization, Data curation, Formal analysis, Funding acquisition, Investigation, Methodology, Project administration, Supervision, Validation, Visualization, Writing - original draft, Writing - review and editing; Pragati Sabberwal, Edward JD Greenwood, Thomas WM Crozier, Wioleta Zelek, Formal analysis, Investigation, Methodology; James C Williamson, Formal analysis, Investigation, Methodology, Writing - review and editing; Jeffrey Seow, Formal analysis, Investigation, Methodology, Resources; Carl Graham, Isabella Huettner, Methodology, Resources; Jonathan D Edgeworth, Katie Doores, Methodology, Resources, Writing - review and editing; David A Price, Blair Merrick, Sam J Wilson, Funding acquisition, Methodology, Resources, Writing - review and editing; Paul B Morgan, Funding acquisition, Resources, Writing - review and editing; Kristin Ladell, Funding acquisition, Investigation, Methodology, Resources; Matthias Eberl, Funding acquisition, Investigation, Methodology, Project administration, Resources; Ian R Humphreys, Funding acquisition, Methodology, Project administration, Resources; Paul J Lehner, Funding acquisition, Methodology, Resources, Supervision, Writing - review and editing; Eddie CY Wang, Conceptualization, Funding acquisition, Investigation, Methodology, Project administration, Resources, Supervision, Writing - review and editing
**Author ORCIDs**
Ceri Alan Fielding [http://orcid.org/0000-0002-5817-3153](http://orcid.org/0000-0002-5817-3153)
Edward JD Greenwood [http://orcid.org/0000-0002-5224-0263](http://orcid.org/0000-0002-5224-0263)
David A Price [http://orcid.org/0000-0001-9416-2737](http://orcid.org/0000-0001-9416-2737)
Matthias Eberl [http://orcid.org/0000-0002-9390-5348](http://orcid.org/0000-0002-9390-5348)
Sam J Wilson [http://orcid.org/0000-0002-8085-0895](http://orcid.org/0000-0002-8085-0895)
Paul J Lehner [http://orcid.org/0000-0001-9383-1054](http://orcid.org/0000-0001-9383-1054)
Eddie CY Wang (http://orcid.org/0000-0002-2243-4964)
Richard J Stanton (http://orcid.org/0000-0002-6799-1182)
Ethics
Human subjects: PBMC were extracted from apheresis cones obtained from the Welsh Blood Service (WBS) via an ad-hoc agreement or from blood samples from healthy volunteers and stored in liquid N2 until use. Use of healthy volunteer PBMC for this project, including those from WBS, was ethically approved by the Cardiff University School of Medicine Research Ethics Committee (SMREC) nos. 20/55 and 20/101. Recruitment of healthy volunteers after vaccination was covered by the Cardiff University School of Medicine Research Ethics Committee under reference no. 18/04.
Decision letter and Author response
Decision letter https://doi.org/10.7554/eLife.74489.sa1
Author response https://doi.org/10.7554/eLife.74489.sa2
Additional files
Supplementary files
• Supplementary file 1. Processed Plasma Membrane Proteomics dataset.
• Supplementary file 2. List of interferon inducible genes identified in the filtered PM dataset.
• Supplementary file 3. Clinical characteristics of patients giving longitudinal serum samples.
• Supplementary file 4. Monoclonal Anti-spike Antibodies used, data taken from Seow et al., 2020.
• MDAR checklist
• Source data 1. Western Blot Source Data Information. Raw files for Figure 3B are provided as follows: Data 1 = MICA, Data 2 = Actin, Data 3 = Spike (all samples from RAd-MICA experiment). Data 4 = ULBP2, Data 5 = Actin, Data 6 = Spike (all samples from RAd-ULBP2 experiment), Data 7 = B7-H6, Data 8 = Actin, Data 9 = Spike (all samples from RAd-B7-H6 experiment). Raw files for Figure 3C are provided as follows: Data 1 = MICA, Data 2 = B7-H6, Data 3 = Actin, Data 4 = Spike Raw Files for Figure 4A are provided as follows: Data 1 = MICA, Data 2 = B7-H6, Data 3 = GFP, Data 4 = Actin
Data availability
All data generated are presented within the manuscript, with the exception of proteomics data. This has been uploaded to PRIDE (identifier PXD025000).
The following dataset was generated:
| Author(s) | Year | Dataset title | Dataset URL | Database and Identifier |
|-----------|------|---------------|-------------|-------------------------|
| Fielding CA, Sabbirwal P, Williams JC, Greenwood EJD, Crozier TWM, Zelek W, Seow J, Graham C, Huettmer I, Estcourt JD, Price D, Moran BP, Ladel K, Eberl M, Humphreys IR, Merrick B, Doores K, Wilson SJ, Lehner PJ, Wang ECY, Stanton RJ | 2021 | Plasma Membrane Profiling Of SARS-CoV-2 Infected Cells | https://www.ebi.ac.uk/pride/archive/projects/PXD025000 | PRIDE, PXD025000 |
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BUSCA: an integrative web server to predict subcellular localization of proteins
Castrense Savojardo\textsuperscript{1}, Pier Luigi Martelli\textsuperscript{1,*}, Piero Fariselli\textsuperscript{2}, Giuseppe Profiti\textsuperscript{1,3} and Rita Casadio\textsuperscript{1,3}
\textsuperscript{1}Biocomputing Group, Department of Pharmacy and Biotechnology, University of Bologna, Bologna 40100, Italy,
\textsuperscript{2}Department of Comparative Biomedicine and Food Science, University of Padova, Padova 35020, Italy and
\textsuperscript{3}Institute of Biomembrane, Bioenergetics and Molecular Biotechnologies, Italian National Research Council (CNR), Bari 70126, Italy
Received January 24, 2018; Revised April 12, 2018; Editorial Decision April 14, 2018; Accepted April 17, 2018
ABSTRACT
Here, we present BUSCA (\url{http://busca.biocomp.unibo.it}), a novel web server that integrates different computational tools for predicting protein subcellular localization. BUSCA combines methods for identifying signal and transit peptides (DeepSig and TP-pred3), GPI-anchors (PredGPI) and transmembrane domains (ENSEMBLE3.0 and BetAware) with tools for discriminating subcellular localization of both globular and membrane proteins (BaCellO, MemLoci and SCHloro). Outcomes from the different tools are processed and integrated for annotating subcellular localization of both eukaryotic and bacterial protein sequences. We benchmark BUSCA against protein targets derived from recent CAFA experiments and other specific data sets, reporting performance at the state-of-the-art. BUSCA scores better than all other evaluated methods on 2732 targets from CAFA2, with a F1 value equal to 0.49 and among the best methods when predicting targets from CAFA3. We propose BUSCA as an integrated and accurate resource for the annotation of protein subcellular localization.
INTRODUCTION
Subcellular localization is one of the main aspects defining protein function. Proteins have evolved to be functional in specific subcellular compartments: the biological processes directing a nascent protein sequence to its target destination, referred to as protein sorting, are still far from being completely understood and characterized. Computational methods aiming at predicting subcellular localization of proteins play a major role in large-scale functional annotation projects, whose ultimate goal is to understand the role of each protein in the context of cell complexity. For this reason, many methods have been developed in the last years (and they are reviewed in (1–3)).
The Bologna Unified Subcellular Component Annotator (BUSCA) (\url{http://busca.biocomp.unibo.it}) is a novel web-server integrating several published methods designed by the Bologna Biocomputing Group for the prediction of specific sub-cellular localization starting from protein sequence. The BUSCA annotation system relies on different machine/deep-learning approaches, devised to recognize and predict features that are relevant to determine protein subcellular localization.
More specifically, BUSCA integrates tools belonging to two different categories. The first includes methods suited to identify, along the input protein sequence, localization-related features such as signal and transit peptides, glycosphosphatidylinositol (GPI) anchors and transmembrane domains (both α-helical and β-barrel). In particular, secretory signal peptides (and their respective cleavage sites) are identified using DeepSig (4), a recently developed approach based on deep-learning methods. Mitochondrial and chloroplast transit peptides are detected with the TP-pred3 predictor (5). The presence and location of GPI-anchoring domains are predicted with PredGPI (6). Helical and beta stranded transmembrane domains are identified using ENSEMBLE3.0 (7) and BetAware (8), respectively.
The second category of methods comprises approaches devised to predict subcellular localization from sequence, namely BaCellO (9) and MemLoci (10) for globular and membrane proteins, respectively, and SCHloro (11), specialized on sub-chloroplast localization in plants.
These tools are organized by BUSCA in five prediction pipelines specific for animals, plants, fungi, Gram-positive and Gram-negative bacteria, respectively. Each pipeline predicts a different number of compartment classes by analyzing, processing and integrating the outcomes of the different tools.
*To whom correspondence should be addressed. Tel: +39 0512094005; Fax: +39 0512094005; Email: firstname.lastname@example.org
© The Author(s) 2018. Published by Oxford University Press on behalf of Nucleic Acids Research. This is an Open Access article distributed under the terms of the Creative Commons Attribution Non-Commercial License (http://creativecommons.org/licenses/by-nc/4.0/), which permits non-commercial re-use, distribution, and reproduction in any medium, provided the original work is properly cited. For commercial re-use, please contact email@example.com
MATERIALS AND METHODS
Benchmarking datasets
We evaluated BUSCA and other methods against two benchmarking datasets obtained from the two most recent Critical Assessment of Function Annotation (CAFA) experiments (http://biofunctionprediction.org/cafa/). CAFA is an experiment designed to provide a large-scale assessment of computational methods for the prediction of protein function, including subcellular localization.
CAFA edition 2 (CAFA2) (12) was carried out in 2013. According to CAFA2 rules, the set of protein targets has been obtained by selecting all the sequences that acquired Gene Ontology (GO) experimental annotations for the cellular component sub-ontology, in the time-frame elapsed between releases 2013_12 and 2014_10 of the UniProtKB database. The following GO evidence codes are considered as experimental by CAFA (12): ‘Inferred from experiment’ (EXP), ‘Inferred from direct assay’ (IDA), ‘Inferred from mutant phenotype’ (IMP), ‘Inferred from genetic interaction’ (IGI), ‘Inferred from expression pattern’ (IEP), ‘Traceable author statement’ (TAS) and ‘Inferred by curator’ (IC). According to UniProtKB release 2014_10, CAFA2 benchmarking dataset comprises 2732 protein targets endowed with experimental GO annotation in the cellular component sub-ontology. We used this set to benchmark our BUSCA with respect to other approaches evaluated during the CAFA2 experiment (12). Proteins included in the dataset are distributed as follows: 2512 proteins are from animals, 26 from fungi, 105 from plants, 87 from Gram-negative and 2 from Gram-positive bacteria.
CAFA3 started in September 2016 and it is still ongoing. Since results are yet unreleased, we used available CAFA3 targets to simulate an in-house experiment. Among the initial 130,787 CAFA3 targets, we selected proteins that acquired GO Cellular Component (CC) annotations between January and December 2017. To this aim, we downloaded and compared the UniProt—Gene Ontology Annotation (UniProt-GOA, https://www.ebi.ac.uk/GOA/) relative to releases 2016_12 and 2017_12 of UniProtKB. With this procedure, we ended up with 3764 protein targets: 2559 from animals, 535 from fungi, 489 from plants, 165 from Gram-negative and 16 from Gram-positive bacteria. Table 1 summarizes the distribution of proteins among different cellular compartments in the CAFA 2 and 3 experiments: a protein is classified in a given compartment if it is endowed with an experimental GO term that is equal to or a descendant of the term associated to that compartment.
Furthermore, in order to cope with the low abundance of Gram-positive bacteria, we extracted from UniProtKB/SwissProt release 2018_03, all the protein sequences classified as Firmicutes and Actinobacteria and endowed with experimentally annotated subcellular localization. After homology reduction to 25% sequence identity and filtering-out protein sequences already included into BUSCA training sets, we ended up with a blind Gram-positive test set, including 1667 non-redundant protein sequences whose subcellular localizations are distributed as follows: 510 cytoplasmic, 245 extracellular and 912 plasma membrane.
BUSCA overview
Two main annotation pipelines are defined in BUSCA for processing Eukaryotic and Bacterial proteins, respectively, and their description is reported below.
Eukaryotic workflow. Eukaryotic proteins are processed using the general pipeline depicted in Figure 1. The pipeline is organized as a directed rooted computational graph where each node corresponds to the execution of a specific tool. The graph root is the query protein sequence, while leaves correspond to predicted subcellular localizations, here represented as GO terms of the cellular component ontology. A path from the root to one leaf is determined by the outcomes of the different tools. In Figure 1, GO terms and tools highlighted in green are only applied for plant proteins.
At the very first level, the query sequence is scanned for the presence of signal peptide using the DeepSig predictor (4). If the signal sequence is found (suggesting the sorting of the protein through the secretory pathway), the mature protein sequence is determined by cleaving the predicted signal peptide. The resulting mature sequence is then analyzed by the subsequent tools. Firstly, PredGPI (6) determines the presence of GPI-anchors. If an anchor is found, the sequence is classified as Membrane anchored component (GO:0046658). Otherwise, the sequence is filtered for the presence of α-helical TransMembrane (TM) domains using ENSEMBLE3.0 (7). If at least one TM domain is found, the protein is predicted as membrane protein and passed to MemLoci (10), which predicts the final membrane protein localization that includes: Endomembrane system (GO:00112505), Plasma membrane (GO:0005886) and Organelle membrane (GO:0031090). If no TM domain is found, the protein is predicted to be localized in the Extracellular space (GO:0005615).
Proteins not directed to the secretory pathway (as predicted with DeepSig) are analyzed for their potential organelle localization using TPpred3 (5), which predicts the presence of organelle-targeting peptides and distinguishes between mitochondrial and chloroplast sorting for plant proteins.
If no targeting peptide is detected with TPpred3, ENSEMBLE3.0 is used to discriminate membrane from globular proteins: MemLoci or BaCelLo (9) are hence applied to predict localization of membrane and globular protein, respectively. In particular, BaCelLo is able to distinguish among five different cellular compartments (four in case of animal or fungi proteins): Nucleus (GO:0005634), Cytoplasm (GO:0005737), Extracellular space (GO:0005615), Mitochondrion (GO:0005739) and, for plant proteins, Chloroplast (GO:0009507). Moreover, since BaCelLo adopts different optimized models for animals and fungi, information about the taxonomic origin of the input is also provided as a parameter to the predictor.
When a mitochondrial targeting signal is detected, this is cleaved-off to determine the mature protein sequence. ENSEMBLE3.0 is then used to determine whether the mature protein is localized into a Mitochondrial membrane (GO:0031966) or, more generally, into the Mitochondrion (GO:0005739).
Table 1. Distribution of proteins in CAFA2 and CAFA3 datasets among different subcellular compartments
| Compartment | CAFA2 | | | | | CAFA3 | | | | |
|----------------------|-------|-------|-------|-------|-------|-------|-------|-------|-------|-------|
| | A | F | P | G- | G+ | A | F | P | G- | G+ |
| Nucleus | 682 | 2 | 32 | - | - | 574 | 130 | 97 | - | - |
| Extracellular | 940 | 0 | 0 | 0 | 0 | 208 | 4 | 17 | 0 | 0 |
| Organelle membrane | 153 | 4 | 10 | - | - | 156 | 41 | 19 | - | - |
| Endomembrane system | 298 | 4 | 15 | - | - | 387 | 38 | 41 | - | - |
| Lysosome | 46 | 1 | - | - | - | 29 | 7 | - | - | - |
| Cytoplasm | 529 | 14 | 22 | 51 | 0 | 669 | 200 | 184 | 116 | 16 |
| Mitochondrion | 115 | 0 | 7 | - | - | 109 | 18 | 26 | - | - |
| Peroxisome | 7 | 1 | 2 | - | - | 5 | 7 | 9 | - | - |
| Plasma membrane | 338 | 5 | 27 | 29 | 2 | 368 | 37 | 44 | 44 | 0 |
| Outer membrane | - | - | - | 4 | - | - | - | - | 3 | - |
| Chloroplast | - | - | 26 | - | - | - | - | 111 | - | 0 |
| Other compartments | 363 | 6 | 5 | 11 | - | 590 | 82 | 32 | 28 | 0 |
| Total | 2512 | 26 | 105 | 87 | 2 | 2559 | 489 | 489 | 165 | 16 |
Labels are: A = animals, F = fungi, P = plants, G− = Gram-negative and G+ = Gram-positive.
Figure 1. The Eukaryotic BUSCA workflow. The different methods are organized in a rooted computation graph. The query sequence is processed by different methods whose output defines the path from the root (the query sequence) to the leaf (a predicted subcellular location). Chloroplast-related localizations (and the respective tools), are highlighted in green and are relevant only for plant sequences. Overall, up to sixteen and nine different compartments are predicted for plants and other eukaryotes (i.e. animals and fungi), respectively.
For plant proteins, TPpred3 is also able to distinguish potential chloroplast-targeting peptides. If detected, they are cleaved and the sequence submitted to SCHloro (11) that discriminates six different sub-chloroplast localizations: Outer membrane (GO:0009707), Inner membrane (GO:0009706), Plastoglobule (GO:0010287), Thylakoid lumen (GO:0009543), Thylakoid membrane (GO:0009535) and Stroma (GO:0009570).
Overall BUSCA is able to predict sixteen different compartments for plants and nine for animals and fungi.
**Bacterial workflow** Bacterial proteins are processed using the pipeline depicted in Figure 2. In the first step, BetAware (8) is applied to detect a beta-barrel structure inserted into the bacterial Outer membrane (GO:0009707). Note that this step (highlighted in yellow) is performed only for proteins coming from Gram-negative bacteria, which are endowed with outer membranes. If BetAware does not recognize a beta-barrel domain (or if the protein belongs to a Gram-positive bacterium), the protein is analyzed with DeepSig (parametrized with respect to Gram-positive or negative classes, depending on the origin of the input sequence). When the signal is found, the sequence is classified as localized into the Extracellular space (GO:0005615). Otherwise, the protein is finally processed using ENSEMBLE3.0 to determine whether it is inserted into the Plasma membrane (GO:0005886) or it is localized into the Cytoplasm (GO:0005737).
Overall BUSCA predicts four different compartments for Gram-negative and three for Gram-positive bacteria.
**Generation of sequence profiles**
Tools included in BUSCA require, for each input sequence, the computation of a sequence profile from a multiple sequence alignment. These are computed using three runs of PSI-BLAST, with e-value threshold set to 1e-3 and using the UniprotKB/SwissProt (release 2017.11) as backend database.
**Performance evaluation**
Different scoring measures evaluate prediction performance of BUSCA and other methods.
For sake of comparison with other approaches scored in the context of the CAFA experiments, methods are evaluated using the $F1$ score, defined as the harmonic mean between precision and recall, both computed at the level of GO-term assignments. In particular, precision and recall for GO-term prediction are computed as follows:
$$Pr = \frac{1}{m} \sum_{i=1}^{m} \frac{\sum_{t \in P_i} 1_{\{t \in T_i\}}}{|P_i|}$$
$$Rc = \frac{1}{n} \sum_{i=1}^{n} \frac{\sum_{t \in T_i} 1_{\{t \in P_i\}}}{|T_i|}$$
where $m$ and $n$ are the number of proteins for which at least one GO term has been predicted and the total number of proteins in a dataset, respectively; $P_i$ and $T_i$ are the sets of predicted and annotated GO terms for the $i$-th protein, respectively. The function $1_{\{c\}}$ is an indicator that equals 1 when the condition $c$ is true, 0 otherwise, and $|\cdot|$ indicates the cardinality of the sets $P_i$ and $T_i$, respectively. Complete GO annotations including all the ancestors of predicted or annotated GO terms are considered in the computation of the scores.
$F1$ is then defined as:
$$F1 = \frac{2 \times Pr \times Rc}{Pr + Rc}$$
For some method (including BUSCA), $m = n$, since a prediction is always provided for any given input protein sequence. In general, $m \leq n$, and hence we define the coverage as the ratio:
$$C = \frac{m}{n}$$
$C$ measures the fraction of benchmark proteins for which the method provides prediction.
Methods are also scored at the level of individual subcellular compartments. To this aim, we use the Matthews Correlation Coefficient (MCC), defined as:
$$MCC = \frac{(TP_i \times TN_i - FP_i \times FN_i)}{\sqrt{(TP_i + FP_i) \times (TP_i + FN_i) \times (TN_i + FP_i) \times (TN_i + FN_i)}}$$
where $TP_i$, $TN_i$, $FP_i$ and $FN_i$ are, respectively, true positives, true negatives, false positives and false negatives computed for compartment $i$.
**RESULTS**
**Assessing BUSCA performance on CAFA experiments**
As a first benchmark, we evaluated the performance of BUSCA on CAFA2/3 targets using the evaluation procedure adopted in CAFA experiments.
Table 2. $F1$ and $C$ scores obtained by different methods on the CAFA2 benchmark dataset.
| Method | $F1$ | $C$ |
|-----------------|--------|--------|
| BUSCA | 0.49 | 1.0 |
| EVEX (13) | 0.46 | 0.98 |
| Go-FDR (21) | 0.46 | 0.98 |
| dcGO (20) | 0.46 | 0.99 |
| MS-kNN (19) | 0.45 | 0.98 |
| FFpred (18) | 0.45 | 1.0 |
| CONS (16) | 0.44 | 1.0 |
| LocTree3 (17) | 0.44 | 0.98 |
| PULP (15) | 0.44 | 0.94 |
| FunFams (14) | 0.43 | 0.89 |
| BLAST | 0.35 | 0.98 |
Results for all methods except BUSCA were taken from (12). $F1$, the harmonic mean of precision and recall, and $C$, the fraction of predicted protein in the dataset, are computed as described in the "Performance evaluation" section (see text).
In Table 2 we report results obtained with BUSCA and other methods on the CAFA2 targets. Results for all the methods except BUSCA were taken from the official CAFA2 paper (12). In particular, we selected published methods among the ten top performing approaches as scored by the CAFA2 assessors: EVEX (13), FunFams (Orengo Lab) (14), PULP (15), CONS (16), LocTree3 (ROSTLab) (17), FFpred (Jones-UCL Lab) (18), MS-kNN (19), dcGO (Gough Lab) (20) and Go-FDR (Tian Lab) (21). For sake of comparison, we also report the performance of a baseline method, transferring GO terms from the highest-scoring BLAST hit.
In Table 2, all the methods outperform the baseline BLAST approach. BUSCA outperforms all other methods, scoring with $F1$ equal to 0.49, three percentage points higher than the top scoring method (EVEX, $F1 = 0.46$). Concerning coverage, being BUSCA a purely predictive approach (like FFpred and CONS), it always provides a prediction ($C = 1$). This is not true for other tools: for instance, FunFams does not provide predictions for 11% of the tested proteins ($C = 0.89$).
Since CAFA2 targets were released before some of the methods included in BUSCA were developed (in particular, DeepSig, Schloro, TPpred3 and BetAware), we evaluated the performance of BUSCA selecting only those CAFA2 proteins that were not used to train such predictors. In particular, we identified 826 CAFA2 targets that were included into training sets. After removing them from the benchmark, the BUSCA F1 measure only decrease by 1 percentage point (from 0.49 to 0.48), indicating high robustness on prediction performance.
We further investigated BUSCA performance using the more recent CAFA3 benchmark. On this dataset, BUSCA scores with $F1$ equal to 0.58, nine percentage points higher than the one obtained on CAFA2 targets. This further confirms that BUSCA performs at the state-of-the-art. Unfortunately, results of the CAFA3 have not been published yet, so we cannot directly compare with other approaches using the CAFA evaluation procedure.
As done for the CAFA2 benchmark, we scored BUSCA after removing CAFA3 targets included into training sets. In this case, we identified 690 CAFA3 targets. Filtering-out these proteins from the benchmark we obtained exactly the same $F1$ score (0.58), highlighting again a small influence on the performance evaluation.
Evaluating the prediction performance at compartment level
CAFA3 targets were used to perform a comparative benchmark among different prediction tools including BUSCA, two recently developed methods, namely the ensemble method SubCons (22,23) and DeepLoc (24), based on deep-learning, as well as LocTree3 (17) and Cello2.5 (25). All methods run using the respective web servers and their predictions are scored at the level of individual compartments using the Matthews Correlation Coefficient (MCC) (see the Performance evaluation section). Specifically, ten different protein localizations are considered: nucleus, extracellular, cytoplasm, plasma membrane, endomembrane system, mitochondrion, peroxisome, lysosome, organelle membrane and chloroplast (in plants). This choice is the one that allows to fairly compare different tools which predict different output localizations. Moreover, to ensure a sufficient number of proteins and a reasonable coverage of the different compartments, methods are scored separately on Animals + Fungi, Plants and Prokaryotes (aggregating Gram-positive and Gram-negative proteins).
Table 3 lists the results. With the exception of Cello2.5, which shows very low MCCs for some compartments (e.g. endomembrane system in Plants), all methods perform quite well and their performances are in general similar.
In the Animal+Fungi dataset, LocTree3 and SubCons are better than others for mitochondrial proteins, DeepLoc outperforms other methods in extracellular and plasma membrane compartments while BUSCA is the best-performing method for nucleus, organelle membrane, endomembrane system and cytoplasm compartments.
When scored on plant proteins, BUSCA outperforms other methods in many compartments including extracellular space, organelle membrane, endomembrane system, cytoplasm and chloroplast (in this case with same performance of LocTree3).
Overall, thanks to specialized tools such as MemLoci, TPPrred, DeepSig and Schloro, the BUSCA pipeline is more effective for proteins localized into organelle membranes and endomembrane system as well as chloroplast proteins in plants. Given the present combination of tools included in BUSCA, our pipeline is not able to predict proteins that are localized in lysosomes and peroxisomes.
Among the five methods considered, only three, BUSCA, LocTree3 and Cello2.5, explicitly support prediction on prokaryotes. In this dataset, BUSCA and LocTree3 perform equally on cytoplasmic proteins while LocTree3 outperforms on plasma membrane proteins. Interestingly, only BUSCA was able to identify outer membrane beta-barrel proteins, thanks to the BetAware tool included in the pipeline.
The prokaryotic subset only contains 16 proteins from Gram-positives. In order to benchmark BUSCA on a larger number of Gram-positives sequences, we originated a blind dataset (see the "Benchmarking datasets" section). This set includes 1667 protein sequences with experimental annotation (510 cytoplasmic, 245 extracellular and 912 plasma
Table 3. Performance comparison of different methods on the CAFA3 dataset.
| Compartment | Dataset | LocTree3 | SubCons | DeepLoc | Cello2.5 | BUSCA |
|----------------------|--------------------------|----------|---------|---------|----------|-------|
| Nucleus | Animals + Fungi | 0.46 | 0.32 | 0.42 | 0.28 | **0.48** |
| Extracellular | Animals + Fungi | 0.35 | 0.37 | - | 0.28 | 0.42 |
| Organelle membrane | Animals + Fungi | 0.20 | - | 0.23 | - | **0.24** |
| Endomembrane system | Animals + Fungi | 0.21 | 0.18 | 0.21 | 0.07 | **0.22** |
| Lysosome | Animals + Fungi | - | 0.09 | 0.11 | 0.04 | - |
| Cytoplasm | Animals + Fungi | 0.29 | 0.25 | 0.29 | 0.12 | **0.38** |
| Mitochondrion | Animals + Fungi | **0.42** | **0.42** | 0.34 | 0.37 | 0.37 |
| Peroxisome | Animals + Fungi | 0.11 | 0.11 | 0.13 | 0.29 | - |
| Plasma membrane | Animals + Fungi | 0.35 | 0.38 | **0.45** | 0.26 | 0.37 |
| Nucleus | Plants | **0.42** | 0.30 | 0.39 | 0.31 | 0.41 |
| Extracellular | Plants | 0.21 | 0.30 | 0.33 | 0.10 | **0.39** |
| Organelle membrane | Plants | 0.11 | - | 0.13 | - | **0.20** |
| Endomembrane system | Plants | 0.26 | 0.11 | 0.26 | 0.00 | **0.37** |
| Cytoplasm | Plants | 0.38 | 0.40 | 0.30 | 0.25 | **0.43** |
| Mitochondrion | Plants | 0.29 | **0.32** | 0.29 | 0.25 | 0.27 |
| Peroxisome | Plants | **0.18** | 0.08 | 0.14 | 0.00 | - |
| Plasma membrane | Plants | 0.48 | 0.34 | **0.51** | 0.30 | 0.44 |
| Chloroplast | Plants | **0.37** | - | 0.22 | 0.23 | **0.37** |
| Cytoplasm | Prokaryotes | **0.50** | - | - | 0.37 | **0.50** |
| Plasma membrane | Prokaryotes | **0.55** | - | - | 0.40 | 0.50 |
| Outer membrane | Prokaryotes | 0.00 | - | - | 0.00 | **0.32** |
Methods are scored using the MCC, computed for individual compartments as detailed in the "Performance evaluation" section (see text). Predictions for SubCons (22,23), DeepLoc (24), Cello2.5 (25) and LocTree3 (17) were obtained using the respective web servers. Predictions on bacterial proteins are scored only for methods providing dedicated modules for prokaryotic data (i.e. LocTree3, Cello2.5 and BUSCA). Highest MCC scores for each compartment are highlighted in bold face.
membrane). Against this dataset, and considering the experimental annotations of UniprotKB, BUSCA scores with very good MCC values in all the three compartments (0.73, 0.40 and 0.74 MCC values for Cytoplasm, Extracellular and Plasma membrane compartments, respectively; see Supplementary Table S1). This further confirms the effectiveness of our pipeline also for the annotation of Gram-positive proteins.
Scoring BUSCA on feature annotation
We also evaluated the ability of BUSCA to discriminate localization-related features. We identified within the CAFA3 dataset proteins endowed with annotations (extracted from UniprotKB) for signal and transit peptides, GPI-anchors and transmembrane regions. Then, for each feature type, we evaluated the fraction of correctly identified experimental annotations. The value ranges from 0.69 for transit peptides, to 0.91, 0.93 and 1 for Transmembrane, Signal peptides and GPI-anchors, respectively.
The BUSCA web server
The BUSCA web server accepts as input protein sequences in FASTA format. The server accepts up to 500 protein sequences per submission. Before submitting, the user is also asked to specify the taxonomic origin of the input protein sequences, choosing among five options: Animals, Fungi, Plants, Gram-positive and Gram-negative bacteria. Depending on the user's choice, the proper prediction protocol (see "Materials and Methods" section) is applied by BUSCA to process the input sequences. Upon request submission, if input sequences pass validation checks, the server automatically redirects to the final output page which is periodically reloaded until the prediction job is completed. Alternatively, the page can be bookmarked and accessed at a later stage.
A typical BUSCA output is shown in Figure 3. Prediction results for the submitted protein sequences are displayed in tabular format. For each input sequence, basic information includes the protein accession/identifier, the predicted GO-terms, the score assigned to the prediction, an alternative localization (when available) and a summary of features that have been predicted on the sequence. Prediction scores are probabilities attached to each predicted compartment and are internally computed by the method providing the final prediction. Specifically, all the tools included in BUSCA, with the only exception of BaCelLo, already compute a prediction score. Concerning BaCelLo, which is based on a decision tree of SVMs (9), the score is computed by remapping the value of the SVM discrimination function in the range [0,1]. The mapping has been computed using a logistic function whose parameters have been calibrated on the BaCelLo training dataset (9).
An alternative localization is reported only when the final predicted compartment is computed with BaCelLo, MemLoci and SChloro. In particular, SChloro supports prediction of multiple localizations: in this case, we provide the highest-scoring prediction as primary localization and other predicted compartments (if any) as alternative localizations. BaCelLo and MemLoci do not support multi-label prediction: in these cases, the alternative localization corresponds to the second most-probable compartment with a prediction score greater than 0.1.
The user can also open a detailed report for each sequence, which graphically displays the precise positions of predicted features along the sequence. Predicted locaPredicted GO-terms and protein features
| Protein Accession/ID | GO-id | GO-term | Score | Alternative Localization | Features |
|----------------------|-----------|--------------------------------|-------|--------------------------|-----------------------------------------------|
| A2Y9J8 | GO:0005934 | Cytosol | 1 | - | |
| F4J736 | GO:0012925 | Cismembrane system | 0.94 | GO:0005886 - C plasma membrane (score=0.86) | Signal Peptide, Transmembrane Alpha Helix |
| Q8VFW4A | GO:0009737 | Cytoplasm | 0.7 | GO:0005934 - Cytosol (score=0.3) | |
| Q8VFW4I | GO:0009737 | Cisplastid outer membrane | 0.67 | - | Chloroplast Transit Peptide, Transmembrane Alpha Helix |
Figure 3. Example output from the BUSCA web server showing results for five different plant proteins. Protein accession/identifier, predicted GO terms, prediction score, alternative localization (if any) and protein features are reported for each input sequence. A detailed report for each protein graphically displays positions of predicted features along the sequence.
izations and protein features can be also downloaded as Comma-Separated Values (CSVs) and/or JavaScript Object Notation (JSON) formats.
BUSCA is implemented using the Django Python Web framework (https://www.djangoproject.com). The user interface builds on top of technologies such as jQuery (https://jquery.com), Bootstrap (https://getbootstrap.com) and DataTables (https://datatables.net) to improve usability. Workflows aggregating the different tools are developed using an ad-hoc framework implemented using the Python programming language. In developing the framework, we mainly focused on reducing the effort needed in the future to update existing tools and/or to integrate new tools that will be made available.
The computation of sequence profiles represents a bottleneck that increases the computational time. In order to avoid unnecessary computations and to speed-up the prediction process, the required sequence profile is generated by a single run of PSI-BLAST whose result is subsequently shared by the different tools. Moreover, once generated, the sequence profile is cached, avoiding expensive rebuilding in case of resubmission of an identical protein sequence.
CONCLUSION
In this paper, we present BUSCA, a novel web server which centralizes several resources devised to predict protein subcellular localization, including protein feature predictors like DeepSig, TPPred3, PredGPI, BetAware and ENSEMBLE3.0, and protein localization predictors like MemLoci, BaCeLo and SChloro. Each predictor has been described and benchmarked before. Here the novelty is the rational integration of the tools into the BUSCA web server for allowing the prediction of subcellular localization in a systematic way, with the final goal of predicting the subcellular localization of the protein depending on the protein source. Furthermore, BUSCA also annotates relevant protein features such as signal/transit peptides, GPI-anchors and transmembrane domains providing a detailed characterization of query protein sequences.
We benchmark BUSCA on protein targets derived from the two most recent CAFA experiments using the same procedure described by CAFA assessors. By this, we can also compare our performances with other top-scoring available approaches. The results clearly indicate that BUSCA well compares with the state-of-the-art approaches, and it is somewhat superior in the assigned task.
We scored our method and other recently published approaches at the level of annotation of individual subcellular compartments. In these benchmarks, BUSCA performance is overall comparable to the ones achieved by other approaches.
The BUSCA web server has been implemented using modern web technologies to ensure usability and extensibility. Therefore, new retrained versions of the tools and/or new tools can easily be integrated into BUSCA, providing an updated and centralized resource for a large-scale annotation of protein subcellular localization.
DATA AVAILABILITY
BUSCA is available as web server at http://busca.biocomp.unibo.it.
SUPPLEMENTARY DATA
Supplementary Data are available at NAR Online.
FUNDING
European Union RTD Framework Program [Action BM1405 to R.C.]; University of Bologna [R.F.O. 2017 to P.L.M.]. Funding for open access charge: University of Bologna [R.F.O. 2017 to R.C.].
Conflict of interest statement. None declared.
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Hybrid PVDF/PANI Membrane for Removal of Dyes from Textile Wastewater
Hifza Nawaz, Muhammad Umar, Iqra Nawaz, Azeem Ullah, Muhammad Tauseef Khawar, Marek Nikiel, Humaira Razzaq, Muhammad Siddiq, and Xuqing Liu*
Treatment of textile wastewater has been a matter of considerable interest because of the potential toxicity, colloidal stability, and deformable nature of dyes. Herein, a novel polyaniline (PANI)/polyvinylidene fluoride (PVDF) hybrid membrane is developed to remove textile wastewater dyes. The hybrid membrane’s contact angle decreases by increasing the concentration of polyaniline in the PVDF matrix, enhancing the hybrid membrane’s hydrophilicity. Membrane properties, including porosity, antifouling property, solvent content, and pure water flux, are improved in the hybrid membrane compared with neat PVDF membranes. The purified water flux is enhanced from 28 to 47 L m$^{-2}$ h$^{-1}$, which indicates the impact of PANI on the hydrophilicity of the hybrid membranes. Among the hybrid membranes, 3P exhibits 85% dye rejection at 0.1 MPa operating pressure. Hence, the incorporation of PANI in the PVDF matrix is proposed to enhance the hybrid membrane’s dye rejection and antifouling properties.
1. Introduction
The pollution of the ecosystem, including air, water, and soil, is a severe concern in this current world. Water contributes to 78% of the Earth’s surface and serves as a critical component for the human body and other living organisms. These facts show the essential relation of human health with water and the ecosystem. The provision of clean water is necessary for every human being and their growth.[1] Wastewater released from the textile industry is one of the extensive sources of pollution for water and soil. For the protection of aquatic ecosystems, harmless treatment has tremendous importance in textile wastewater treatment. Wastewater from textile industries containing fixed and unfixed dyes without appropriate treatment causes numerous problems in the nearby water resources.[2] The major problem associated with textile wastewater is increased color concentration, leading to the reduction of light transmittance in water, limiting aquatic life growth.[3]
Purification of textile wastewater by conventional methods includes ozonation, bleaching, hydrogen peroxide treatment/UV treatment, and electrochemical techniques.[4] One of the significant problems associated with these techniques is that they cannot decompose complex aromatic molecular structures that are stable toward light and oxidizing agents.[5] However, several modern methods used to reduce the contamination in textile wastewater from the industries include biological and physicochemical processes.[6] The problem with biological processes is that they cannot wholly remove the adverse effects of dyes and cause problems for the aquatic life and aquatic ecosystem. The other method includes the addition of certain compounds that leads to secondary pollution.[7] Scientists and engineers are working to introduce more efficient methods for removing dyes from textile wastewater. In this context, pressure-driven membrane technology is getting much attention as it offers a cleaner, more convenient, and energy-efficient method for dye removal.[8] These include ultrafiltration (UF), nanofiltration (NF), and reverse osmosis (RO). UF had been used to recycle high-molecular-weight compounds, insoluble dyes (e.g., indigo and disperse), and auxiliary chemicals. UF is now used as a pretreatment step to reduce contamination by suitable pore sizes before treating NF and RO.[9] UF is used for color filtration, but it cannot remove dyes and compounds with low molecular weight.[10]
Mostly polyvinylidene fluoride (PVDF)[11] is used for the fabrication of UF membranes due to its excellent properties such as good film-forming ability, mechanical strength, high thermal
stability, excellent aging resistance, and chemical stability. Zheng et al.\[11\] prepared a PVDF membrane which has remarkable rejection for reactive dyes. For textile wastewater treatment, PVDF-based membranes have been gaining significant attention for their excellent separation performance. Wu et al.\[12\] reported pure PVDF membranes for filtration of reactive red dye from textile wastewater and found that the pure water flux of membrane was 12–50 L m$^{-2}$ h$^{-1}$ and retention of dye was about 77–94%. Malaisamy\[13\] prepared polysulfide composite membranes that can degrade brilliant green by the adsorption process from contaminated water. He et al. reported a combined method based on blending and photoreduction to synthesize the PVDF/TiO$_2$/Ag composite membrane that has shown high antibacterial activity as tested through the inactivation of bacteria under the illumination of visible light.\[14\]
In the past few years, most researchers have modified the membrane’s surface to increase its hydrophilicity.\[15\] Modifications on the surface of the membrane were done using different techniques such as grafting, plasma, and blending with other hydrophilic polymers or nanoparticles that show excellent results.\[16\] The polymer blend is one of the easy methods to improve membrane separation properties, among others. Yan et al.\[17\] reported that membrane blending is a cost-effective method for membrane modification. Polyaniline (PANI)\[18\] offers suitable substitutes for hydrophilic characteristics within the synthesized membrane because of its specific properties such as good steric hindrance, excellent adsorption capacity, easy preparation, and different functional groups for chemical interactions with PVDF during the process of membrane casting.
Our research article mainly focuses on the design of hybrid membranes to remove dye molecules from contaminated water. For this purpose, we synthesized the pure PVDF and PANI/PVDF hybrid filtration membranes through the phase-inversion process. A series of characterizations such as scanning electron microscopy (SEM), tensile strength, X-ray diffraction (XRD), thermogravimetric analysis (TGA), and Fourier-transform infrared spectroscopy (FTIR) was done to check the properties of the hybrid membrane. Permeation properties (shrinkage ratio, porosity, pure water flux, solvent content, and bovine serum albumin [BSA] rejection) of PVDF/PANI membranes were investigated to check the performance of synthesized membranes in water purification.
### 2. Experimental Section
#### 2.1. Materials
Chemicals PVDF (Alfa Aesar), PANI (polyaniline) with the molecular weight of 10 000 g mol$^{-1}$ (Sigma-Aldrich), N,N-dimethyl formamide (DMF) synthesis grade 97% (scharlu), 1-propanol (99.09%) (Alfa Aesar), ethanol ($\geq$99.07%) (scharlu), sodium hydroxide (NaOH, $\geq$97%) (Alfa Aesar), and acetic acid (CH$_3$COOH, $\geq$99%) were used as received.
#### 2.2. Fabrication of PVDF-PANI Hybrid Membranes
Hybrid PVDF membranes were synthesized by adding PANI (1–4 wt%) to enhance the PVDF membrane’s hydrophilicity. The 3% w/v polyaniline was found to be best for membrane preparation and filtration processes. By further increasing the PANI percentage, the synthesized membrane became brittle and broke during the drying process, so it could not be used for characterization and application processes. PVDF (11–15 wt%) and PANI (1–4 wt%) were solubilized in DMF solvent at 59 °C under constant stirring for 24 h to prepare a homogenous solution. Both PVDF and PANI were organic polymers in nature and readily miscible. Degassing was conducted by keeping the membrane’s casting solution in a vacuum oven for 1 h at 40 °C. The clear solution was spread on a glass plate substrate with a hand-casting knife, and then it was directly dipped into the coagulation bath, which contained deionized water at 25 °C.\[12\] For extraction of remaining solvents in the synthesized PVDF/PANI hybrid membrane, the shaped membrane was kept in fresh distilled water for 24 h. Figure 1 shows the membrane manufacturing process by phase-inversion technique.
The codes and compositions for different membrane samples are shown in Table 1.
#### 2.3. Characterizations
Synthesized membranes were characterized for structural and morphological analysis by SEM, XRD, FTIR, and TGA. XRD (Panalytical 304/60 expert PRO) in the range from 5° to 80° was used to evaluate membrane samples’ structural characteristics. For identifying functional groups of hybrid membranes, FTIR analysis was done within the range of 400–4000 cm$^{-1}$. The thermal stability of synthesized membranes was calculated by TGA (PerkinElmer, USA). SEM (VP-1450 Germany, LEO) was used to determine the cross-sectional area and surface morphology of the synthesized water purification membranes. Further, ImageJ software was used for the geometric analysis of the synthesized membrane.
### 3. Permeation Properties of the Synthesized Membrane
#### 3.1. Porosity
To measure the porosity of synthesized membranes, they were cut to 1 cm$^2$ pieces and then dipped into deionized water for 24 h. We measure the weight of the membrane’s pieces before and after submerging into water. The value of porosity was calculated using the following formula.\[19\]
$$\text{Porosity \%} = \frac{W_2 - W_1}{A_h} \times 100$$ \hspace{1cm} (1)
$A_h$ represents the cross-sectional area of membranes, $W_1$ is the weight of the dry membrane, and $W_2$ is the wet membrane’s weight.
#### 3.2. Solvent Content
To determine solvent content of the synthesized membranes, the membranes were cut into small pieces of 1 cm$^2$ and then dipped into various solvents, that is, ethanol, water, propanol, and
Figure 1. A schematic representation of membrane manufacturing process.
Table 1. Code of PVDF/PANI hybrid membranes.
| Code | PVDF [w/v %] | PANI [w/v %] | DMF [w/v %] | Total conc. [w/v %] |
|------|--------------|--------------|-------------|---------------------|
| 0P | 15 | 0 | 85.0 | 100 |
| 1P | 14 | 1 | 85.0 | 100 |
| 2P | 13 | 2 | 85.0 | 100 |
| 3P | 12 | 3 | 85.0 | 100 |
| 4P | 11 | 4 | 85.0 | 100 |
methanol. We measured the weight of dry and wet membranes after immersing in the earlier solvents. Solvent content was calculated using the following formula.\[20\]
\[
\text{Solvent Content \%} = \frac{W_2 - W_1}{W_2} \times 100 \tag{2}
\]
\(W_1\) is the weight of the dry membrane, whereas \(W_2\) is the weight of the wet membrane.
3.3. Pure Water Flux
Pure water flux was measured to check the performance of synthesized membranes in water purification. First, the membranes were immersed in distilled water for 30 min. A vacuum pump was used for measuring the water flux at 0.1 MPa.\[21\] The value of pure water flux was calculated using the following equation.
\[
\text{Pure Water Flux (J)} = \frac{Q}{At} \tag{3}
\]
where "A" represents the area of the membrane (cm\(^2\)) and "Q" the amount of water that passes through the membrane in time "t."
3.4. Membrane Shrinkage
A small piece of the membrane was dipped into distilled water for 12 h. Length and width were measured before and after dipping it in water through a screw gauge and vernier caliper. The value of the shrinkage ratio was calculated using the following formula.\[22\]
\[
\text{Shrinkage ratio \%} = \left[ 1 - \frac{(a \times b)}{(a_o \times b_o)} \right] \times 100 \tag{4}
\]
\(a_o\) and \(a\) represent the length of wet and dry membranes, whereas \(b_o\) and \(b\) show the thickness of wet and dry membranes, respectively.
3.5. Antifouling Properties
BSA solution was used to check the antifouling properties of the hybrid membrane. It is a model fouling protein used to investigate antifouling characteristics of the synthesized membrane. Initial water flux (\(J_{W1}\)) was measured using BSA (0.8 g L\(^{-1}\)) solution in the filtration cell. After filtration, the fouled membrane was washed by dipping it into distilled water for 30 min at 25 °C. Further, the pure water flux (\(J_{W2}\)) was again measured. Flux recovery ratio was calculated using the following formula.
\[
\text{FRR \%} = \frac{J_{W1}}{J_{W2}} \times 100 \tag{5}
\]
The following formula was used for measuring the value of BSA rejection.
\[
\% R = \left( 1 - \frac{C_p}{C_f} \right) \times 100 \tag{6}
\]
\(C_f\) and \(C_p\) represent the value of molarity of feed and permeate solutions.
A UV–vis spectrophotometer was used to analyze the molarity of permeate and feed of BSA\textsuperscript{19} solution ($\lambda_{\text{max}} = 280$ nm).
### 3.6. Experiments for Adsorption Process
We conduct all experiments with Erlenmeyer flask (250 mL) under continuous stirring at 298 K temperature. We optimized our results with pure PVDF and PVDF/PANI membrane. To check the membrane’s adsorption capacity, we dipped the 0.5 x g developed membrane into 100 L\textsuperscript{-1} dye solution at 6.5 pH, 298 K, and a continuous temperature at 100 rpm. Dye contamination was measured by UV–vis spectroscopy. We also measure the different parameters such as membrane concentrations, pH, and time through adsorption experiments.
The following formula was used to measure the value of adsorption ($q_e$).
$$\text{Adsorption } (q_e) = \frac{(C_0 - C_e)V}{m}$$ \hspace{1cm} (7)
We used 0.01 m NaOH and 0.01 m HNO\textsubscript{3} to adjust the value of pH. To study the kinetic adsorption isotherm, we dipped 0.6 x g of synthesized membranes into a different concentrated solution of methyl orange.
### 4. Results and Discussion
#### 4.1. Morphology of Membrane
Surface morphologies of synthesized membranes and polyaniline effects on membrane’s surfaces were investigated by SEM analysis. Figure 2 (A1–D1) shows SEM micrographs of hybrid membranes that contain 1% w/v, 2% w/v, and 3% w/v concentrations of polyaniline as hydrophilic polymers and pure PVDF membrane. According to the SEM image, the content of polyaniline improves the surface roughness of our developed membranes. The surface of the membrane also shows a pit-like structure. The number of pores within hybrid membranes increases, which enhances pure water flux and hydrophilicity of hybrid membranes. To investigate the structure and size of pores, we conducted geometric analysis of SEM images using ImageJ software, which shows that the number of pores on the membrane surface increased. Still, the size of pores gradually decreases with an increase in polyaniline concentration.\textsuperscript{[23]} The estimated diameter and distributions of the membrane’s pores are shown in Figure 2A2–D2. We observed that the synthesized PVDF membrane contains fewer pores on the surface, whereas the hybrid membranes have increased number of pores with increasing polyaniline content.\textsuperscript{[24]} The average diameter of pores for the hybrid PVDF/PANI membrane is around 0.78 µm, whereas the pure PVDF membrane’s diameter is about 1.53 µm. This reduction in the hybrid membrane’s pores’ diameter is evidence of complex structure formation due to its excellent chemical interactions between polyvinylidene fluoride and polyaniline.
The cross-sectional images of synthesized membranes are shown in Figure 2A3–D3. Results show that developed membranes have good polymer compatibility and do not display any phase separation. The cross-sectional images show the asymmetric morphology of the synthesized membrane. The thickness of synthesized membranes was about 100–150 µm. SEM images of neat PVDF membrane (A) show compact layer on the upper side and asymmetric structure of pores within the membrane. This thick layer on the top surface was due to the quick phase-inversion process into a coagulation bath. Hybrid PVDF/PANI membranes show a more porous structure with uniform distribution of pores throughout the membrane.\textsuperscript{[23]}
#### 4.2. Surface Composition of PVDF/PANI Membranes
XRD analysis represents diffractograms of PVDF and PVDF–PANI hybrid membrane with varying PANI amounts from 1% to 3% in the range of $10^\circ – 80^\circ$, as shown in Figure 3a. In the XRD pattern, PVDF has three crystalline phases $\alpha$, $\beta$, and $\gamma$. Among these three phases, $\beta$ and $\gamma$ are polar, whereas the $\alpha$-phase is nonpolar. The PVDF has 2$\theta$ values of 18.4$^\circ$ and 19.6$^\circ$, which correspond to the $\alpha$-phase of PVDF. For wastewater treatment applications, the polar phase in hybrid membranes is useful. The XRD spectra show a phase change from nonpolar to polar after 1–3% w/v of PANI in the hybrid membrane.\textsuperscript{[26]} The peak intensity of $\alpha$-phase at 18.4$^\circ$ slowly decreased and became invisible with addition and increasing polyaniline concentration. However, a more intense peak at 20.2$^\circ$ was observed. This peak is attributed to the stabilization of the $\beta$-crystallizing phase of the PVDF in the hybrid membrane. The intensity of peaks at 20.2$^\circ$ and 39.0$^\circ$ was also slightly increased by the addition of PANI, and the area under the peak at 20.2$^\circ$ broadened in hybrid membranes. XRD results conclude that developed hybrid membranes represent enhanced polar $\beta$-crystalline phase. When the polar phase within the hybrid membrane increases, then these membranes also exhibit enhanced hydrophilic nature.\textsuperscript{[27]} FTIR analysis was done for the determination of additives (polyaniline) that persisted or infiltrated into the coagulation bath during the synthesis of hybrid membranes. FTIR spectra of unadulterated PVDF and mixture PVDF/PANI layers at three fixations (1, 2, 3% w/v) are shown in Figure 3b. The trademark crusts of PVDF can be seen in all membranes. C–F stretching vibrations of PVDF were assigned at the wavenumber 1022 cm\textsuperscript{-1}, the ridge at 1232 cm\textsuperscript{-1} is compared with the C–H group in protonation. The peak intensity at around 1359 cm\textsuperscript{-1} for N–H bending increases upon the addition of PANI. The peak at 844 cm\textsuperscript{-1} is because of the aromatic ring present in polyaniline. The quinoid and benzoid rings of PANI appear at around 739 cm\textsuperscript{-1}. The peak at 1537 cm\textsuperscript{-1} corresponds to the benzoid ring’s C–N stretching at 1537 cm\textsuperscript{-1}.\textsuperscript{[28]}
TGA was used to study the thermal behavior of the pure and hybrid membranes. TGA of hybrid membranes with variable concentrations of PANI, that is, from 1 to 3 wt%, is shown in Figure 3c. At the TGA operating temperature from 35 to 800 °C, the pure PVDF membrane showed higher weight loss than the hybrid membranes. The hybrid membranes showed increased thermal decomposition (Td) between 405 and 468 °C.\textsuperscript{[29]} This increase in Td validates the hybrid membranes’ thermal stability. It establishes that the hybrid membranes’ thermal stability will increase as the concentration of PANI increases from 1% to 3%.\textsuperscript{[30]} The degradation temperature also increased due to the good interfacial interactions between the PANI and the
PVDF. PVDF is a flexible plastic polymer, and in the tensile stress–strain curve, it shows a typical ductile behavior associated with chain mobility beyond elastic limit upon applied stress. Figure 3d shows the stress–strain profile of neat PVDF and hybrid PVDF/PANI membrane. As evident from the results, the increase in PANI concentration increases the hybrid membranes’ mechanical strength. The mechanical performance of PVDF/PANI hybrid membranes increased due to the right chemical interactions between polymers (PANI and PVDF).[14] Young’s modulus increases from 45.01 to 90.21 MPa with PANI content, as shown in Table S2, Supporting Information. Similarly, the polymer membrane’s tensile strength increased with an increase in PANI content in the hybrid membrane because polyaniline forms adjacent bonding structure with PVDF molecules that reduce pore size and increase their mechanical strength. Elongation at break also shows an increasing trend due to the decrease in hydrogen bonding.[12]
4.3. Permeation Studies of the PVDF/PANI Hybrid Membranes
Contact angle measurements determined the hydrophilicity of the membrane’s surface. During the filtration process, air is filled within the porous structure of the membrane. It directly affects the contact energy of water droplets, which varies the value of contact angle. This effect of porosity on contact angle can be explained through Cassie–Baxter’s model.
\[
\cos \theta = P \cos \theta_p + (1 - P) \cos \theta_{np}
\]
(8)
Here \( \theta_p \) is the contact angle of the porous portion, whereas \( \theta_{np} \) is the contact angle of nonporous part of the developed membrane. \( P \) is the measured porosity of developed membranes. Cassie–Baxter’s model gives the value of contact angle of porous portion and rough surface area of nonporous portion. It shows that the area of the liquid–solid interface declines when the value of water contact angle increases. This is due to increase in surface roughness (as shown in SEM images), which reduces the adhesion between droplet and membrane surface and decreases the area of liquid–solid interface.[31] A decrease in contact angle leads to an increase in the hydrophilic property of the membrane. In this experiment, the contact angles of pure PVDF and PVDF/PANI membranes were investigated to compare the effect of the addition of various concentrations of PANI (1, 2, 3% w/v). Figure 4a shows that the addition and increase in PANI concentration led to the decreased contact angle of membrane surface due to the hydrophilic nature of PANI. PVDF is inherently hydrophobic; the –NH group in PANI results in hydrogen bonding.
with water molecules, thus imparting hydrophilicity to the hybrid membranes.\textsuperscript{[34]} The addition of PANI in the membrane casting solution results in an increased number of pores. It can be due to three main reasons; first, the membrane casting solution’s viscosity decreases with increased PANI concentration. The diffusional exchange rate of solvent accelerates with a decrease in the casting solution’s viscosity and increases the number of pores in PVDF/PANI hybrid membranes. The second reason is polyaniline, which acts as the hydrophilic polymer in the synthesis of the membrane. The third reason is the reduced compatibility of PVDF and PANI. The membrane porosity measurements are shown in Figure 4b. Porosity acts as an essential factor in membrane shrinkage properties. The higher the porosity, the lesser the percent shrinkage ratio. Graphical results of the percent shrinkage ratio are shown in Figure 4b. From the figure, unmistakably, the percent shrinkage proportion diminished continuously with an increment in polyaniline fixation. The shrinkage proportion is under 60% in these membranes, which is more effective for filtration.\textsuperscript{[35]}
The performance of the synthesized membrane in water purification was measured by calculating their solvent content. Different solvents in polarity from propanol to water were selected to determine the solvent absorption capacity of the hybrid membrane.\textsuperscript{[36]} The value of solvent contents was calculated by measuring the difference between the weight of dried and wet membranes. After investigation of solvent contents of membranes, the results are shown in Figure 4c. These results indicate that polyaniline increased the hydrophilic characteristic,\textsuperscript{[37]} increasing the hybrid membrane’s permeation properties by attracting the water molecule inside or outside the membrane surface.\textsuperscript{[38]} However, the hybrid membrane decreases the adsorption capacity for solvents of lower polarity (propanol < ethanol < methanol).\textsuperscript{[39]} Pure water flux was calculated to measure the water permeability of hybrid membranes at 0.1 MPa.\textsuperscript{[40]} Figure 4d shows that the pure water flux of PVDF/PANI membrane dramatically improved with increasing polyaniline concentration due to its hydrophilic properties.
### 4.4. Possible Mechanism of Dye Rejection and Effect of Dye Concentration
Two different types of dyes (allura red and methyl orange) were used to make 100 ppm solutions in distilled water to study dye rejection properties of synthesized membranes. Figure 5 shows the water filtration property of pristine PVDF (0P) and PVDF/PANI hybrid membrane (1P, 2P, and 3P). The dye solutions were passed through synthesized membranes at a pressure of 0.1 MPa. Synthesized membranes have dye rejection capacity because of their sieving mechanism and adsorption behavior.\textsuperscript{[41]} The ability of dye rejection through membranes directly depends...
Figure 4. a) Graphs for contact angle. b) Shrinkage ratio and porosity. c) Solvent content. d) Water flux of PVDF–PANI hybrid membranes with different concentrations of PANI.
Figure 5. a) Dye rejection (allura red) and flux of PVDF/PANI hybrid membranes. b) Dye rejection (methyl orange) and flux of PVDF/PANI hybrid membranes. c) Effect of dye concentrations on flux. d) Effect of dye concentration on dye rejection of the hybrid membrane.
upon the molecular weight of dye molecules. Here we used the same membrane for the filtration of two different dye solutions to check their performance. Results show that the rejection rate of synthesized membranes increased for high molecular weight.\[42\] Figure 5a,b shows that highly concentrated polyaniline membrane (3P) shows good performance for removal of dye molecules as compared with low-concentrate polyaniline membranes (1P and 2P) and neat PVDF membranes. The pore size of 3P membrane was less (about 0.78 μm) than the diameter of the dye molecule. Due to this, hybrid membranes show the sieving mechanism and restrict dye molecule flow through the membrane. Results show that the dye flux of synthesized PVDF membranes is less (about 23 L m\(^{-2}\) h\(^{-1}\)) than that of hybrid membranes (1P, 2P, and 3P). Figure 5 shows that the removal efficiency of methyl orange was less than allura red due to its low molecular weight (327.33 g mol\(^{-1}\)) in comparison with allura red (496.42 g mol\(^{-1}\)).\[43\]
According to the Film theory equation, the concentration of dyes in feed solution directly affects the filtration performance of synthesized membranes.\[44\] To determine their effect on membrane flux and rejection efficiency, we prepared five solutions (50, 100, 200, 400, 800 ppm) with different methyl orange concentrations. According to Figure 5c, the dye flux of synthesized membranes was greatly affected by increasing the dye concentration in feed solutions. With increasing dye molecule concentration, the osmotic pressure on the membrane surface increased due to dye molecules’ accumulation and deposition effect. Flux gradually declined with increasing concentration of the dye (from 50 to 800 ppm) in the feed solution. As the dye concentration increases, dye molecules deposit and aggregate onto the membrane’s surface that cause a polarization effect and increased osmotic pressure within the membranes.\[45\] The aggregate of dye molecules blocks the pores of the synthesized membrane, which causes membrane fouling. So, the dye fluxes of 0P, 1P, 2P, and 3P were decreased by 44%, 15.9%, 12.1%, and 10.2%, respectively. A highly concentrated polyaniline hybrid membrane shows good antifouling properties. Therefore it offers a significantly less decrease in dye flux.\[46\] According to Figure 5d, the dye rejection rate was greatly affected by the increased dye concentration of feed solutions. Overall, the performance of synthesized hybrid membranes (3P) was less affected by increased dye concentration and good efficiency of dye rejection (84%). The experiment was conducted three times to check the reproducibility, and mean result values were displayed with their standard deviations.
The capacity of methyl orange adsorption through synthesized PVDF and PVDF/PANI membranes is shown in Figure 6a. All blends (PVDF/PANI) show better adsorption capacity than the pure PVDF membrane within order pristine PVDF (3.4%) < 1P (45%) < 2P (64.2%) < 3P (80%). We conducted these adsorption experiments for 1 day at pH = 6.0, T = 298 K, and with 100 mg L\(^{-1}\) of methyl orange concentration (initial). Results show that polyaniline improves the blend membrane’s adsorption capacity by increasing its concentration due to its hydrophilic nature, large surface area, and porous structure on the surface of the developed membrane. Polyaniline also increases the interactions (hydrogen bonding and π-π attraction) between dye molecules and the membrane’s surface to enhance the adsorption mechanism.\[47\] Figure 6b shows the effect of adsorption efficiency of methyl orange with change in concentration (0.5–4 g L\(^{-1}\)) of the developed membrane (3P) for the same interval of time (3 h). Results show that adsorption efficiency gradually increases the concentration of 3P membranes (adsorbent) due to the increased number of active sites for dye molecules’ adsorption on the membrane surface. Figure 6c shows the pH effect on adsorption efficiency of the developed membrane. The capacity of methyl orange adsorption greatly influences the change in pH from 4.5 to 11.5. At low pH (4.5–6.5), the adsorption of dye molecules gradually increased. However, with the further increase in pH value (6.5–11.5), the rate of adsorption gradually decreased due to the presence of hydroxyl ions (negative) on the membrane surface, which create repulsion between the membrane’s surface and dye molecules.\[48\] The pH value of permeate solution directly affects the functional group (such as the amine group) present on the developed membrane’s surface.\[49\] At low pH, amine groups are protonated, which increases the electrostatic force of attractions between membrane and dye molecules. When we further increase the pH value, these functional groups are deprotonated, which increases the repulsion between the dye molecule and membrane surface. The adsorption capacity of the developed 3P membrane for the different time intervals is shown in Figure 6d. We divided this adsorption time into two distinct stages. During the first 11 h (first stage), the adsorption rate of the 3P membrane gradually increased over time and attained the adsorption equilibrium by occupying the active sites.\[50\] In the second stage, the adsorption rate remains constant due to the unavailability of dye molecules’ adsorption site and saturation effect on the membrane surface.
Table S3, Supporting Information, shows the adsorption isotherm of dye adsorption through synthesized membranes. We analyzed our dye adsorption properties through Langmuir and Freundlich isotherm models. Table S3, Supporting Information, shows that the process of dye adsorption takes place on a monolayer, and the adsorption sites on the membrane surface are homogenous.\[51\] Because the coefficient for the Langmuir isotherm model is 0.99698, which is larger than the Freundlich isotherm model (0.9869), we can explain the adsorption mechanism of methyl orange through the Langmuir isotherm model. The maximum adsorption capacity (\(q_m\)) of the dye molecule through 3P (PVDF/PANI) membrane is more significant than pure PVDF membrane. Values of \(1/n\) (0.249) also indicate that the developed membrane’s surface is suitable for dye adsorption on these conditions (membrane’s weight = 4.5 g, pH = 6.5, temperature = 298 K). There are two criteria for the determination of the adsorption kinetics model on the composite membrane. The first criterion is the value of \(R^2\), and second criterion depends on the importance of adsorption capacity. The kinetics model is more favorable when the value of \(R^2\) is higher, and the difference of value in adsorption capacity is more significant. We determine the kinetics of dyes adsorption based on correlation coefficient (\(R^2\)) and the difference in dye adsorption capacity between kinetics models and our experimental results. Table S4, Supporting Information, shows the different parameters and correlation coefficient (\(R^2\)) of the pseudo-first-order (PFO) model and pseudo-second-order model (PSO). Results show that PSO is more suitable for describing the kinetics of the dye adsorption process because the value of \(R^2\) for PFO (0.9745) is smaller than that for PSO (0.9803). The value of \(q_e\) is also greater for PSO (398.4) than for PFO (298.6).
4.4.1. Practical Implications and Reusability Testing of Membranes
During the filtration process, dye flux of the membrane declined due to the penetration of different particles and solutes on the membrane’s surface that caused membrane fouling.\[52\] The fouling of membrane is unavoidable, but suitable strategies can be applied for reducing hydrophilic property in pure PVDF membranes. In this study, PANI was used as a hydrophilic additive to increase the membrane’s hydrophilicity, improving its antifouling properties. Dye flux for a long time through synthesized membranes is shown in Figure 7a. The dye flux of the highly concentrated polyaniline membrane remained constant compared with other synthesized membranes due to the hydrophilic property of polyaniline in the hybrid membrane.\[53\] To check the reusability of synthesized membranes, dye molecules (MO) in feed solution were used as the fouling agent. To remove these fouling agents, we washed these contaminated membranes with the solution of sodium hydroxide (0.05 M) for 30 min after each cycle, and then we again checked their filtration efficiency.\[54\] BSA (model fouling agent) was used for checking the antifouling properties of the membrane. Pure water flux was measured before and after BSA solution filtration and described as fouling recovery ratio. Figure 7b shows that synthesized PVDF membranes were not sufficient for the rejection (39%) of BSA solution due to their hydrophobic nature. Polyaniline increases the hydrophilic properties (1P, 2P, and 3P) of developed membranes as the rates of BSA rejection improved to about 51%, 66%, and 71%, respectively.\[55\] Figure 7c shows that after three different cycles, the flux recovery ratio of hybrid membranes (1P, 2P, and 3P) is high compared with the neat PVDF membrane.
To check the developed membrane’s recycling properties, we use different solutions to remove the contaminant from the developed membrane. Results in Figure 7d show that sodium hydroxide is more suitable for the desorption of methyl orange. This is due to the repulsive forces between dye molecules in an alkaline medium. Figure 7e shows the concentration effect of NaOH (sodium hydroxide). The process of desorption is high in a low concentration of sodium hydroxide. Na\(^+\) ions may form the complex with dye molecules at a high concentration that decreases the process of desorption from the surface of blend membranes. For the evaluation of the developed PVDF/PANI membrane’s stability, experiments were run to estimate the membrane’s long-term performance. A water filtration test was conducted for 450 h at 0.1 MPa pressure.\[56\] The dye flux and dye rejection were calculated after every 5 h. Rejection of dyes through sieving and adsorption mechanism is important for membrane stability and environmental conservation.\[57\] Therefore, this hybrid membrane’s long-term stability is high and can be easily cleaned after treating it with sodium hydroxide solution.\[58\] The fouled membrane was washed with sodium hydroxide after 6 days. Results of dye flux and dye rejection of hybrid membrane are shown in Figure 7f. It was noted that dye flux slightly decreased to about 8% over time, but it recovered after being treated with HCl solution. Similar behavior was observed with dye rejection. The rate of dye rejection was dropped to about 6%, but it was also recovered to 96% after cleaning.
Results show that the composite PVDF/PANI hybrid membrane has excellent potential for removing the contaminants (dyes) from wastewater. We compared some significant parameters and their key results with the commercially available PVDF membrane to demonstrate the superior properties of the synthesized hybrid membrane in real wastewater treatment. Our results show that our synthesized membranes’ contact angle was lower (46.11°) compared with the previously synthesized PVDF membrane (89°). Therefore, it shows the hydrophilic nature and excellent antifouling property.[59] The pure water flux of commercial PVDF membranes (25 L m⁻² h⁻¹) was less than that of our novel synthesized membranes (46 L m⁻² h⁻¹).[60] The membrane recycling test results indicate that the synthesized hybrid membrane contains long-term stability during the water filtration process. We can say that our synthesized membranes can provide a new route for a sustainable environment by removing hazardous contaminants from textile wastewater.
5. Conclusion
In this study, we investigated the properties and applicability of hybrid membrane based on poly (vinylidene fluoride)/polyaniline for the treatment of textile wastewater. The hybrid membranes were fabricated by addition of various concentrations of PANI into PVDF used the phase-inversion method. The presence of PANI was confirmed using different characterization techniques such as SEM, FTIR, and XRD. TGA analysis showed better thermal stability of the hybrid membrane due to good interfacial interactions among PANI and PVDF, leading to increase in the degradation temperature. Experimental results indicated that membrane properties (pure water flux, solvent content, porosity, etc.) were improved with addition of polyaniline in the pure PVDF membrane. SEM analysis indicated that polyaniline not only improves the surface of membrane but also reduces the diameter of pores of the pure PVDF membranes from ≈1.53 to 0.78 μm. Gradual decrease in contact angle represents that the polyaniline could effectively improve the hydrophilicity of pure PVDF membrane. The adsorption kinetics of methyl orange through developed membranes show that the results are well fitted in Langmuir’s isotherm. The hybrid PVDF/PANI membrane also exhibits high rejections of methyl orange and allura red, about 81% and 85%, respectively. These results imply that PVDF/PANI hybrid membranes can be effectively used for the treatment of textile wastewater.
Supporting Information
Supporting Information is available from the Wiley Online Library or from the author.
Acknowledgements
Our research work was funded by Global Challenges Research Fund (GCRF), United Kingdom Research and Innovation, and The University of Manchester.
Conflict of Interest
The authors declare no conflict of interest.
Data Availability Statement
The data that supports the findings of this study are available in the supplementary material of this article.
Keywords
antifouling, phase inversions, polyaniline, polyvinylidene fluoride, ultrafiltration membranes
Received: June 8, 2021
Revised: August 5, 2021
Published online: September 12, 2021
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Comparison of Physical Realizations of Multidimensional Voronoi Constellations in Single Mode Fibers
Citation for the original published paper (version of record):
Mirani, A., Vijayan, K., Li, S. et al (2022). Comparison of Physical Realizations of Multidimensional Voronoi Constellations in Single Mode Fibers. European Conference on Optical Communication, ECOC
N.B. When citing this work, cite the original published paper.
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Comparison of Physical Realizations of Multidimensional Voronoi Constellations in Single Mode Fibers
Ali Mirani\textsuperscript{(1)}, Kovendhan Vijayan\textsuperscript{(1)}, Shen Li\textsuperscript{(2)}, Zonglong He\textsuperscript{(1)}, Jochen Schröder\textsuperscript{(1)}, Peter Andrekson\textsuperscript{(1)}, Erik Agrell\textsuperscript{(2)}, Magnus Karlsson\textsuperscript{(1)}
\textsuperscript{(1)} Photonics Laboratory, Department of Microtechnology and Nanoscience, Chalmers University of Technology, Gothenburg, Sweden, firstname.lastname@example.org
\textsuperscript{(2)} Department of Electrical Engineering, Chalmers University of Technology, Gothenburg, Sweden
Abstract We investigate experimentally and numerically the impact of using different fiber dimensions to spread out the 32-dimensional Voronoi constellations. We find similar performance in experiments and less than 5.4% reach improvements in long-haul transmission simulations by spreading the constellation dimensions over time slots compared to wavelengths. ©2022 The Author(s)
Introduction Geometric and probabilistic constellation shaping are used to close the 1.53 dB shaping gap to the Shannon limit\textsuperscript{[1]}. Probabilistic shaping has the advantage of rate adaptability while increasing the complexity and latency of the system with a distribution matcher\textsuperscript{[2]}. On the other hand, geometric shaping (GS) is usually used in fixed rates and can be designed for either linear or nonlinear channels as well as adapted to different impairments\textsuperscript{[3]}. For instance, in\textsuperscript{[4]}, constellations are geometrically designed to tolerate laser phase noise. In the presence of transceiver impairments, end-to-end learning was applied in\textsuperscript{[5]} to design geometrically shaped constellations. In\textsuperscript{[6],[7]}, 4-dimensional constellations are optimized in a multi-span nonlinear fiber channel.
The Voronoi constellations (VC) based on multidimensional lattices are a type of GS with low-complexity encoding and decoding algorithms without look-up tables to store the constellation symbols\textsuperscript{[8]}. In contrast to many other geometrically shaped constellations, increasing the constellation size or spectral efficiency (SE) does not add algorithmic complexity. VCs have been studied for the additive white Gaussian noise (AWGN) channel\textsuperscript{[9],[10]}, single wavelength and polarization\textsuperscript{[11]}, or multiple wavelengths and polarizations systems\textsuperscript{[12]}. However, different physical realizations of VCs over the available dimensions of standard single mode fibers have not been compared.
In this work, we compare different physical realizations of 32-dimensional VCs with SEs of 1 and 2 bits/symbol/dimension. These modulation formats are simulated for both the AWGN and nonlinear fiber channels, and experimentally investigated in multiple time slots, wavelengths, and polarizations in the presence of transceiver and fiber channel impairments. We experimentally show that when the transmitted signal is dominated by the noise from the optical amplifier, there is a similar performance between spreading the physical dimensions over wavelengths or polarizations compared to time slots. Furthermore, in the long-haul transmission simulations without transceiver impairments, we show almost 0 and 5.4% reach improvements when the constellations dimensions are spread from 8 wavelengths to 8 time slots at SEs of 1 and 2 bits/symbol/dimension, respectively.
Voronoi constellation realizations In this work, we consider two 32-dimensional Voronoi constellations based on the first-order Reed-Muller code\textsuperscript{[9]} with SEs of 1 (BW32B1) and 2 (BW32B2) bits/symbol/dimension and constellation sizes of $2^{32}$ and $2^{64}$, respectively. The bit-to-symbol mapping and symbol-to-bit demapping algorithms are described in\textsuperscript{[8],[13],[14]}.
In order to transmit the multidimensional VCs over physical fiber dimensions, we convert the 32-dimensional real symbols into multiple complex numbers to modulate the amplitude and phase (in-phase and quadrature (I/Q) components) in different sets of time slots (ts), polarizations (pol), or wavelengths (wl). We use the frame structure in\textsuperscript{[15]} for the I/Q components in each polarization and wavelength.
In the receiver, after detecting all physical dimensions and offline pilot-aided signal processing\textsuperscript{[16]}, we convert the complex numbers into real multidimensional symbols and apply the closest point algorithm based on decoding unions of cosets\textsuperscript{[17]} to estimate the transmitted symbols and calculate the bit error rate (BER). The quadrature amplitude modulation (QAM) formats with Gray labeling and maximum likelihood detection are used as a benchmark to compare the performance of
VCs at the same SE.
**Simulation and experimental setups**
We perform simulations for both the AWGN channel and a long-haul transmission link. In the long-haul transmission simulations, we solve the nonlinear Schrödinger equation (NLSE) numerically using the Manakov equation\(^{[16]}\) and split-step Fourier method\(^{[19]}\) to model the transmission in a fiber with 0.2 dB/km attenuation, 16.8 ps/nm/km dispersion, and 1.3 (W km)\(^{-1}\) nonlinearity. Each span of fiber is 80 km and it is followed by an erbium-doped fiber amplifier (EDFA) with 5 dB noise figure and a gain equivalent to the span loss. The dispersion is only compensated at the receiver side.
The experimental setup is shown in fig. 1. The optical carriers generated from two independent external cavity lasers (ECLs) of linewidths \(<100\) kHz operating at 1550.16 nm and 1550.26 nm are split up into two arms by 3 dB couplers. Each arm is modulated by an I/Q modulator driven by amplified electrical signals from an arbitrary waveform generator (AWG) with a 10 Gbaud signal. A variable optical attenuator (VOA) after each I/Q modulator is used to balance or block the power of the arms. For each wavelength, the output of the VOAs are combined using a polarization beam combiner to create a dual-polarization (DP) signal. The modulated wavelengths are then combined with a 3 dB coupler and amplified with a booster EDFA. A VOA is used to sweep the power into the pre-amplifier changing the optical signal-to-noise ratio (OSNR) for noise loading and to set the required launch power, \(P\), at the transmission span input in case of the fiber transmission. The OSNR is defined over 0.1 nm bandwidth and it is normalized per wavelength and polarization for all of the experiments. The fiber and EDFA parameters are approximately similar to the long-haul transmission simulation parameters.
On the receiver side, the signal is pre-amplified and filtered to remove the out-of-band noise. It is then fed into a coherent receiver with 22 GHz
small-signal bandwidth. A free-running ECL with $\leq 100$ kHz linewidth is used as local oscillator for both channels at their average wavelength 1550.21 nm. The electrical signals from the coherent receiver are sampled using a real-time oscilloscope and processed offline to compensate for channel and receiver impairments.
**Results and discussions**
We compare the uncoded BER performance of VCs with regular QAM formats at the same SEs both in simulation and experiment.
In fig. 2(a), modulation formats are simulated for the AWGN channel. There is a crossing point where for lower BERs, VCs outperform QAM formats. At the hard-decision forward error correction (HD-FEC) threshold\(^{[23]}\) of BER = $2.26 \times 10^{-4}$, the OSNR improvement for VCs are 0.85 and 1.7 dB at SEs of 1 and 2 bits/symbol/dimension, respectively. Fig. 2(a) can be used to measure the implementation penalties for different realizations over physical fiber dimensions. For instance, in fig. 2(d), using 1 wavelength, 1 polarization, and 16 time slots to implement a 32-dimensional space, the implementation penalties are approximately 0.65, 0.4, 1.45, and 0.95 dB for 4QAM, BW32B1, 16QAM, and BW32B2, respectively, at the HD-FEC threshold. Comparing the simulation and experiment, the reasons for higher OSNR improvements in fig. 2(d, e, f) than fig. 2(a) at low BERs are the enhanced sensitivity and lower implementation penalties of VCs compared to QAM formats. Furthermore, by spreading over other physical dimensions than time slots, the implementation penalty increases due to the differences in performance of transceiver components. Moreover, the OSNR improvement of VCs compared to QAM formats decreases slightly by spreading the dimensions from time slots to wavelengths and polarizations as shown in fig. 2(d, e, f).
Fig. 2(b, c) show the results of a single-span transmission in 1 and 2 wavelengths experiment, respectively, where both transceiver and fiber impairments arise. Due to the dual-wavelength detection with a single coherent receiver in fig. 2(c) (similar to fig. 2(f)), we see that the power improvement for 2 bits/symbol/dimension increases from 2.0 to 7.2 dB at the HD-FEC threshold. However, at 1 bits/symbol/dimension, there is no improvement in the optical power between different realizations.
In fig. 3, the long-haul nonlinear fiber simulations are shown as we spread the physical dimensions from time slots to wavelengths. In fig. 3(a), single wavelength simulations are shown comparing QAM formats and VCs at the same SEs. At the HD-FEC threshold, we show 173 and 1110 km reach improvements for VCs compared to QAM formats at 1 and 2 bits/symbol/dimension, respectively. In fig. 3(b, c), we compare different realizations of VCs in a long-haul transmission link with 8 wavelengths and 2 polarizations. At 1 bits/symbol/dimension in fig. 3(b), different realizations have the same reach at the HD-FEC threshold. However, fig. 3(c) shows 103 km (5.4%) reach improvement when bits are transmitted using 8 BW32B2 each spread over 8 time slots compared to 1 BW32B2 spread over 8 wavelengths.
**Conclusions**
We compare different implementations of VCs over time slots, polarizations, and wavelengths in fiber simulations and experiments. We experimentally show similar performance between different realizations using time slots, wavelengths, and polarizations. Long-haul nonlinear simulations show a reach improvement of near 0 and 5.4% by spreading the VCs dimensions over time slots compared to wavelengths at 1 and 2 bits/symbol/dimension, respectively.
**Acknowledgements**
This work was supported by the Knut and Alice Wallenberg Foundation, grant No. 2018.0090, and the Swedish Research Council (VR) under grant No. 2017-03702 and 2019-04078.
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Minutes of the proceedings of the **REGULAR PUBLIC MEETING** held on Wednesday, April 28, 2021, in the virtually via zoom app, at 8:00 PM. Sebastian Rodriguez, Board President, presided.
I. Salute to the Flag
II. Presiding Officer's Meeting Notice Statement
"I hereby call to order the Regular Public Meeting of the Teaneck Board of Education, held on Wednesday, April 28, 2021, virtually via the Zoom app link located on the district website, at 8:00 PM. Adequate notice of this meeting has been sent to the Record, filed with the Municipal Clerk and posted on the school district website at www.teaneckschools.org, on April 21, 2021."
III. Roll Call
| Board Member | Present | Absent |
|-----------------------|---------|--------|
| Mrs. Burns (Linda) | x | |
| Mr. Clark, Sr. (Harold)| x | |
| Mr. Cooper (Damen) | x | |
| Mrs. Fisher (Victoria)| x | |
| Mrs. Gee (Danielle) | x | |
| Mrs. Rappoport (Sarah)| x | |
| Mr. Reiner (Gerald) | x | |
| Mr. Rodriguez (Sebastian)| x | |
| Ms. Sanders (Denise) | x | |
IV. Reaffirmation of District Goals
V. Superintendent's Report (If Needed)
Please click on the link below for the Superintendent's report:
https://eduvision.tv/l?emAtmtg
VI. Public Comment (Agenda and Non Agenda Items)
Please click the link below for the public comments:
https://eduvision.tv/l?emAtety
VII. Board Presentations (If Needed)
Please click below for the Budget presentation:
https://eduvision.tv/l/?emAtmOD
VIII. Board Committee Reports (As Available)
- Mrs. Rappoport presented the Policy Committee meeting report
- Ms. Sanders presented the Curriculum Committee meeting report
- Mrs. Burns presented the Personnel Committee meeting report
- Mrs. Fisher presented the Finance Committee meeting report
IX. Agenda Items
X. Executive Session (If Needed)
Mrs. Rappoport motioned to adjourn the workshop meeting and convene into the Executive session at 9:50pm. Said motion was seconded by Mr. Reiner and carried by an unanimous vote.
| Motion: S. Rappoport | Second: G. Reiner |
|----------------------|-------------------|
| Board Member | Yes | No | Abstain | Absent |
| Mrs. Burns (Linda) | x | | | |
| Mr. Clark, Sr. (Harold) | x | | | |
| Mr. Cooper (Damen) | x | | | |
| Mrs. Fisher (Victoria) | x | | | |
| Ms. Gee (Danielle) | x | | | |
| Mrs. Rappoport (Sarah) | x | | | |
| Mr. Reiner (Gerald) | x | | | |
| Mr. Rodriguez (Sebastian) | x | | | |
| Ms. Sanders (Denise) | x | | | |
Mrs. Rappoport motioned to adjourn the Executive session at 10:30pm and convene back into the workshop public meeting. Said motion was seconded by Mrs. Gee and carried by an unanimous vote.
| Motion: S. Rappoport | Second: D. Gee |
|----------------------|----------------|
| Board Member | Yes | No | Abstain | Absent |
| Mrs. Burns (Linda) | x | | | |
| Mr. Clark, Sr. (Harold) | x | | | |
| Mr. Cooper (Damen) | x | | | |
| Mrs. Fisher (Victoria) | x | | | |
| Ms. Gee (Danielle) | x | | | |
| Mrs. Rappoport (Sarah) | x | | | |
| Mr. Reiner (Gerald) | x | | | |
| Mr. Rodriguez (Sebastian) | x | | | |
| Ms. Sanders (Denise) | x | | | |
XI. Adjournment
Mrs. Rappoport motioned to adjourn the public meeting at 10:45pm. Said motion was seconded by Mrs. Fisher and carried by a unanimous vote.
| Motion: S. Rappoport | Second: V. Fisher |
|----------------------|-------------------|
| Board Member | Yes | No | Abstain | Absent |
| Mrs. Burns (Linda) | x | | | |
| Mr. Clark, Sr. (Harold) | x | | | |
| Mr. Cooper (Damen) | x | | | |
| Mrs. Fisher (Victoria) | x | | | |
| Ms. Gee (Danielle) | x | | | |
| Mrs. Rappoport (Sarah) | x | | | |
| Mr. Reiner (Gerald) | x | | | |
| Mr. Rodriguez (Sebastian) | x | | | |
| Ms. Sanders (Denise) | x | | | |
Respectfully submitted,
Melissa Simmons
Business Administrator/Board Secretary
Mission: The Teaneck Public School District educates and empowers students by providing a high-quality, rigorous educational experience which prepares students for success within a diverse, global society.
Vision: The Teaneck Advantage: Educational Excellence for All
Board Goals
GOAL 1: Teachers and administrators in the Teaneck Public Schools will further elevate academic programs by creating varied learning pathways and by improving student supports.
GOAL 2: The Teaneck Public Schools will continue to improve facilities and technology in support of 21st Century learning opportunities.
GOAL 3: The Teaneck Public Schools will execute effective communications and solidify quality relationships with educational partners within and throughout the community.
GOAL 4: The Teaneck Public Schools will create equitable and inclusive learning opportunities for all students.
GOAL 5: The Teaneck Public Schools will ensure operational excellence in hiring, developing and retaining staff.
CONSENT AGENDA
Be It Resolved, that the Teaneck Board of Education, upon the recommendation of the Superintendent of Schools, approves the following Consent Agenda:
Policy 01 thru 02
Board Operations 01 thru 01
School Operations and Curriculum 01 thru 01
Finance and Budget 01 thru 04, 06-07 and 09 thru 25
Personnel 01 thru 14
Motion to approve all items under Consent Agenda except #1 under Board Ops and #1 under Finance & Budget for review.
| Motion: S. Rappoport | Second: D. Gee |
|----------------------|---------------|
| **Board Member** | Yes | No | Abstain | Absent |
| Mrs. Burns (Linda) | x | | | |
| Mr. Clark, Sr. (Harold) | x | | | |
| Mr. Cooper (Damen) | x | | | |
| Mrs. Fisher (Victoria) | x | | | |
| Ms. Gee (Danielle) | x | | | |
| Mrs. Rappoport (Sarah) | x | | | |
| Mr. Reiner (Gerald) | x | | | |
| Mr. Rodriguez (Sebastian) | x | | | |
| Ms. Sanders (Denise) | x | | | |
Motion to approve #1 and 2 under Board Operations
| Motion: V. Fisher | Second: S. Rappoport |
|-------------------|----------------------|
| **Board Member** | Yes | No | Abstain | Absent |
| Mrs. Burns (Linda) | x | | | |
| Mr. Clark, Sr. (Harold) | x | | | |
| Mr. Cooper (Damen) | x | | | |
| Mrs. Fisher (Victoria) | x | | | |
| Ms. Gee (Danielle) | x | | | |
| Mrs. Rappoport (Sarah) | x | | | |
| Mr. Reiner (Gerald) | #1 | #2 | | |
| Mr. Rodriguez (Sebastian) | x | | | |
| Ms. Sanders (Denise) | x | | | |
Be It Resolved, that the Teaneck Board of Education, upon the recommendation of the Superintendent of Schools, approves the following Policy resolutions:
1. Policies Second Reading P0145, P1642, P7425
that the Board approve the SECOND READING of the following Board Policies:
- Policy 0145 - Board Member Resignation and Removal - Revised
- Policy 1642 - Earned Sick Leave - New
- Policy 7425 - Lead Testing of Water in Schools - Revised
2. Policies First Reading P2415, P2431, P4125, P6360, P8330, P9713, P5600
that the Board approve the FIRST READING of the following Revised Board Policies:
- P2415 - Every Student Succeeds
- P2431 - Athletic Competition
- P4125 - Employment of Staff Members
- P6360 - Political Contributions
- P8330 - Student Records
- P9713 - Recruitment of Special Interest Groups
- P5600 - Student Code of Conduct
BOARD OPERATIONS
Be It Resolved, that the Teaneck Board of Education, upon the recommendation of the Superintendent of Schools, approves the following Board Operations resolutions:
1. that the Board approve the minutes of the Public Workshop meeting, Regular Public meeting held on Wednesday, March 10, 2021, and March 17, 2021 respectively.
2. that the Board waive the provisions of Board Policy #7510 – Use of School Facilities for the 2020-2021 school year for the Teaneck Community Charter School for use of the Benjamin Franklin Middle School outdoor baseball field. The dates are Mon-Wed-Fri from 4:00pm – 6:00pm as follows: 4/30, 5/3, 5/5, 5/10, 5/12, 5/14, 5/17, 5/19, 5/21, 5/24, 5/26, 6/2, 6/4, 6/7 and 6/9/21. The letter of waiver is attached.
| Motion: V. Fisher | Second: S. Rappoport |
|-------------------|----------------------|
| **Board Member** | **Yes** | **No** | **Abstain** | **Absent** |
| Mrs. Burns (Linda)| x | | | |
| Mr. Clark, Sr. (Harold) | x | | | |
| Mr. Cooper (Damen) | x | | | |
| Mrs. Fisher (Victoria) | x | | | |
| Ms. Gee (Danielle) | x | | | |
| Mrs. Rappoport (Sarah) | x | | | |
| Mr. Reiner (Gerald) | x #1 | x #2 | | |
| Mr. Rodriguez (Sebastian) | x | | | |
| Ms. Sanders (Denise) | x | | | |
Be It Resolved, that the Teaneck Board of Education, upon the recommendation of the Superintendent of Schools, approves the following School Operations and Curriculum resolutions:
1. that the Board approve Dr. Constance McKenzie, to provide a presentation focused on careers in law enforcement to high school students in grades 9-12 enrolled in the PASS (Police/Parents and Student/School Partnership Program) on May 3, 2021. This is a free program with no cost to the district.
2. that the Board approve the students to remain in the Teaneck Public Schools tuition-free for the 2020-21 school year as indicated:
| Student # | School | Grade |
|-------------|-------------------------|-------|
| 106374 | Theodora Lacey School | K |
| 104764 | Whittier Elementary | 4 |
| 102545 | Thomas Jefferson M.S. | 5 |
| 105659 | Thomas Jefferson M.S. | 7 |
| 102357 | Thomas Jefferson M.S. | 7 |
| 103310 | Thomas Jefferson M.S. | 8 |
| 102178 | Thomas Jefferson M.S. | 8 |
| 102343 | Teaneck High School | 11 |
| Motion: V. Fisher | Second: S. Rappoport |
|-------------------|----------------------|
| Board Member | Yes | No | Abstain | Absent |
| Mrs. Burns (Linda)| x | | | |
| Mr. Clark, Sr. (Harold) | x | | | |
| Mr. Cooper (Damen) | x | | | |
| Mrs. Fisher (Victoria) | x | | | |
| Ms. Gee (Danielle) | x | | | |
| Mrs. Rappoport (Sarah) | x | | | |
| Mr. Reiner (Gerald) | x | | | |
| Mr. Rodriguez (Sebastian) | x | | | |
| Ms. Sanders (Denise) | x | | | |
Be It Resolved, that the Teaneck Board of Education, upon the recommendation of the Superintendent of Schools, approves the following Finance and Budget resolutions:
1. that the Board approve payment of the following 2020-2021 bills and payroll, as detailed in lists attached to the Minutes of this meeting, including adjustments to previously approved bill payments, and that the Business Administrator/Board Secretary be hereby authorized to release the warrants in payments of these bills per the list appended to and made part of the minutes.
February 1, 2021 through February 28, 2021
| Category | Amount |
|-------------------|--------------|
| General | $9,066,690.77|
| Special Revenue | $649,904.28 |
| Enterprise | $7,212.67 |
| Food Service | $1,428.28 |
| Capital Projects | $106,366.00 |
| Capital Outlay | $150,534.88 |
Total of Approved Payments $9,982,136.88
2. that the Board approve the budget transfers for the month of February 2021 previously approved by a member of the Finance Committee, which are attached and a part of the official record.
3. WHEREAS, the Board of Education has received the Report of the Board Secretary and the Report of the Treasurer of School Monies for the month of February 2021 and determined that both reports are in agreement; and
WHEREAS, in compliance with N.J.A.C. 6A:23A-16.10(c)3 the secretary has certified that, as of the date of the reports, no budgetary line item account has obligations and payments (contractual orders) which in total exceed the amount appropriated by the Board of Education except as noted; now
BE IT RESOLVED, that in compliance with N.J.A.C. 6A:23A-16.10(c)4, the Board of Education certifies that, after review of the secretary’s monthly financial reports (appropriate section) and upon consultation with the appropriate district officials, to the best of its knowledge, no major account or fund has been over-expended in violation of N.J.A.C.6A:23A-16.10(c)4, and that sufficient funds are available to meet the district’s financial obligations for the remainder of the year (which would become a part of the Minutes of this meeting); and
BE IT FURTHER RESOLVED, that pursuant to P.L. 2004 Ch. 73 (S-1701), the Board certifies that after a review of the Secretary’s Monthly Financial Report and upon consultation with the appropriate district officials, that there is a budgetary transfer that cumulatively exceeds 10% that would require the approval of the Executive County Superintendent. The letter has been sent to the county for approval.
4. that the Board approve the attached list of virtual Professional Development for the staff indicated for professional improvement or development, as approved by the Superintendent (District funded $249) (Title II Funded $7,650) total cost $7,899.00.
5. that the Board approve the attached list of Student Field Trips, as approved by the Superintendent (FORUM Grant Funded $0) and (District Funded $0) (PTA Funded $1500) total cost $1,500.00.
6. that the Board approve the attached list of Student Fundraising activities by school.
7. that the Board approve the contracts, for out-of-district tuition, for students who would require a Special Education program during the 2020-2021 school year, as per the attached list.
8. that the Board approve the contracts with those clinicians and agencies on the attached list who would provide related services and/or independent evaluations during the 2020-2021 school year.
9. that the Board adopt the budget for the 2021-2022 school year.
| | GENERAL FUND | SPECIAL REVENUE | DEBT SERVICE | TOTAL |
|----------------------|--------------|-----------------|--------------|-------------|
| Total Appropriations | $105,589,239 | $7,467,856.00 | $716,950 | $113,774,045|
| LESS: Anticipated Revenue | $10,566,732 | $7,467,856.00 | $0.00 | $18,034,588 |
| Taxes to be Raised | $95,022,507 | $0.00 | $716,950 | $95,739,457 |
10. Be It Resolved, that the Board approve the motion to accept Budgeted Excess Surplus of $2,257,313 and Maintenance Reserve in the amount of $250,000 to support required maintenance projects to be appropriated in the 2021-2022 Budget. The Budget Hearing public meeting is scheduled for Wednesday, April 28, 2021.
11. RESOLUTION OF THE TOWNSHIP COUNCIL OF THE TOWNSHIP OF TEANECK AUTHORIZING THE TOWNSHIP TO PARTICIPATE IN THE UNION COUNTY COOPERATIVE PRICING AGREEMENT
WHEREAS, N.J.S.A. 40A:11-1 et. seq. authorizes contracting units to enter into Cooperative Pricing Agreements; and
WHEREAS, the County of Union hereinafter referred to as "the Lead Agency" has offered voluntary participation in a renewal participation in a Cooperative Pricing System for the purchase of work, materials and supplies; and
WHEREAS, the Township of Teaneck in the County of Bergen desires to participate in the Union County Cooperative Pricing Agreement.
NOW, THEREFORE, BE IT RESOLVED, by the Township Council of the Township of Teaneck, in the county of Bergen, State of New Jersey, that the Township Council authorizes the Township of Teaneck to participate in the Union County Cooperative Pricing Agreement and execute a Cooperative Pricing Agreement with the County of Union upon its approval by the Division of Local Government Services; and
BE IT FURTHER RESOLVED, that that County of Union as Lead Agency is expected to comply with the provisions of the Local Public Contracts Law (N.J.S.A. 40A:11-1 et seq. and all of the provisions of the revised statutes of the State of New Jersey).
12. that the Board approve the Teaneck School district to join The Interlocal Purchasing System (TIPS) Cooperative Purchasing unit to use different services in the Coop. Application on file in the Business Office.
13. Whereas, the current trackless snow removal machine that was purchased in 1997 is now 24 years old, does not operate well, and has passed its useful life. The original cost of this machine is $76,620.
Whereas, this machine is vital for the bulk of snow removal and salting of the District sidewalks.
Be It Resolved, that the Board approve the purchase of the trackless tractor through US Municipal Supply authorized distributor of the Trackless Vehicles Ltd. product lines for the States of Pennsylvania, Maryland, New Jersey, Delaware and Virginia. The total amount of the tractor less 5% discount is $158,729.75. The price includes freight, installation and services. (see quote and Coop attached).
WHEREAS, the Public School Contracts Law, N.J.S.A. 18A:18A-4.1a, authorizes district Boards of education to competitively contract for the procurement of proprietary computer software and services; and
WHEREAS, the New Jersey School Boards’ Association (NJSBA), N.J.S.A. 18A:6-45 et. seq., on behalf of its membership has competitively contracted to procure on an aggregated basis digital and electronic products and services, E-Rate Consulting and Processing Services, and other technology products and programs to enhance Members readiness for Future Ready Schools, as well as energy aggregation services, supplies and materials, time and materials; and such other services and products as two or more participating local boards in the system agree can be purchased on a cooperative basis; and
WHEREAS, N.J.S.A. 18A:18A-11 specifically authorizes two or more local district boards of education (hereinafter referred to as local Boards) to enter into a Cooperative Pricing Agreement for the purchase of work, materials, and supplies; and
WHEREAS, NJSBA is conducting a voluntary Cooperative Pricing System within the State of New Jersey, utilizing the administrative purchasing services and facilities of NJSBA; and
WHEREAS, this Cooperative Pricing Agreement (hereinafter referred to as the Agreement) is to effect substantial economies in the purchase of energy and technology products and services for local Boards across this State; and
WHEREAS, all parties to this Agreement have approved this Agreement by resolution, in accordance with N.J.S.A. 18A:18A-1 et. seq. and regulations promulgated thereunder; and
WHEREAS, it is the desire of all parties to enter into such Agreement for said purposes;
NOW, THEREFORE, IN CONSIDERATION OF the promises and of the covenants, terms, and conditions hereinafter set forth, it is mutually agreed as follows: (in the attached agreement).
WHEREAS, the Board approves the SEMI Corrective Action Plan (CAP) for Fiscal Year 2022.
Be It Resolved, that the Board approve the 2021-2022 SEMI Corrective Action Plan. (See attached)
that the Board accept funds awarded to Hawthorne Elementary School from the Exxon Mobil Educational Alliance Program, in the amount of $500.
Whereas, the Board approve for the month of March 2021, the additional funding of $20,399. for Chapter 192/193 in accordance with the fees approved by the NJDOE.
Be It Resolved, that the Board approve the New Jersey Department of Education Chapter 192/193 additional funding on an as-needed basis for students attending non-public schools.
| Chapter 193 – Supplementary Instruction | $20,399. |
|----------------------------------------|-----------|
| Total | $20,399. |
18. that the Board approve payment to the listed staff member for conducting a Parent Engagement Event at the rate of $50 per hour, (1 hour preparation and 1.5 hours presentation) not to exceed $150.00:
Amanda Meller
19. that the Board approve payment to Up In Arms to perform their program Helping Drew on March 24, 2021 at Theodora Smiley Lacey School. A virtual presentation of Helping Drew will be provided by the artists for online viewing. Title IV funds will be utilized in an amount not to exceed $300.00. Account # 20-280-100-300-73-50-I-0 (Title IV Purchased Professional Services).
20. that the Board approve both the submission of and subsequent acceptance of the 2020-2023 Coronavirus Response and Supplemental Appropriations Act of 2021 (CRRSA) Consolidated Grant Application and its allocations in the following amounts:
| Grant | Amount |
|--------------------------------------------|------------|
| Elementary and Secondary School Emergency Relief Fund (ESSER II) Grant | $2,142,715.00 |
| Learning Acceleration Grant | $137,509.00 |
| Mental Health Supports and Services Grant | $45,000.00 |
| **Total** | **$2,325,224.00** |
21. that the Board approve Daniele Kaplan, to conduct one workshop to be held on May 4, 2021 with the PASS (Police/Parents and Student/School Partnership Program) for middle school students grades 5-8 and one session held on May 5, 2021 with high school students grades 9-12 on Art Therapy, in an amount not to exceed $200. (Account #: 20-009-100-300-73-50-G-H FORUM/J. Justice Purchase Ed. Svs)
22. that the Board approve Daniele Kaplan, to conduct one workshop on Art Therapy on May 26, 2021 with the Young Women’s Institute, high school students grades 9-12 in an amount not to exceed $200. (Account #: 20-010-100-300-73-50-G-H Township Forum Purchase Ed. Svs)
23. that the Board approve compensation to Lisa Athan, MA, Grief Recovery Specialist to conduct one session held on June 2, 2021 with the Young Women’s Institute high school students grades 9-12 on Grief and Loss: Overcoming Hard Times, in an amount not to exceed $250. (Account #: 20-010-100-300-73-50-G-H Twnshp Forum Purchase Ed. Svs.)
24. that the Board amend Motion #7 under Finance and Budget of the September 11, 2019 Agenda to correct the placement for student #95415 from Camp HASC to JCC Camp.
25. **Be It Resolved**, that the Teaneck Board of Education appoint the following Mental Health Clinicians as independent contractors, to work with students for the period November 13, 2020 to June 30, 2021 at the rate of $120 per hour, not to exceed 12 hours per week, to be paid out of the School Climate Transformation Grant Funds Acct # 20-427-200-320-57-50-0-0. The vendors were procured through the process of submitted quotes for services.
Mr. Jose Posos
Ms. Mariana Peralta
Ms. Jhiree Davis
Ms. Ahylzabeth Giannantino
26. **WHEREAS** Dr. Christopher Irving, Chief School Administrator, approved and certified on 1/25/2021, that Heichal Hatorah was approved as a recipient of the Teach STEM Classes in the Nonpublic Schools Grant Program. The NJDOE would send the District funds to compensate the teacher for participation in the program. The district would pass along the funds to the teacher; distribution and related processes would be the extent of the district’s role in the program (summary of STEM Grant attached).
**WHEREAS** The grant award for Ken Chung, Teaneck Public Schools, is $8,214. It is based on the hourly rate for the teacher of $78.23 and the total number of hours teaching or 105. The grant award would be paid based on the actual hours taught, but cannot exceed 105.
**WHEREAS** Mr. Ken Chung (Teacher) to teach STEM classes at the nonpublic school in FY2021 as follows:
Course 1 – Geometry – Monday to Thursday 4:40 pm – 5:25 pm for 105 hours.
Course 2 – Algebra I – Monday to Thursday 5:30 pm – 6:15 pm for 105 hours.
The time and hours were mutually agreed upon by the teacher, nonpublic school, and school district.
**WHEREAS** Grant funding to the teacher would be reimbursed by the Department of Education to the district. The district would collect timesheets from the teacher that are signed by the chief administrator of the nonpublic school to verify hours of STEM teaching at the school.
**BE IT RESOLVED** that the Board approve the submission to the Department of Finance; a payroll expenditure report, including the teacher’s name, payroll dates and amounts paid. The Department of Education would then reimburse the district for the hours the teacher worked at the nonpublic school.
27. that the Board amend Motion #24 under Finance and Budget of the March 17, 2021 Agenda to update the staff members for tutoring assignments at Theodora Smiley Lacey school from TBA to the list below.
1. Arielle Van Gulick – Program Instructor
2. Meilinh LaMui – Program Instructor
3. Jessica Brown – Program/Data Coordinator and Substitute Program Instructor (when needed)
that the Board accept with grateful appreciation a donation of food relief for families in the Teaneck School District who may be in need. This donation of food came from Convoy of Hope which donated it to The Life Christian Church in West Orange, New Jersey, of which Olivia Betances is a member. The items donated were non-perishable food items such as: cereal, crackers, pancake mix, mac and cheese, mash potatoes, wafers, water, milk, gatorade, among a number of other items.
Motion to table item#1 under Finance and Budget
| Motion: V. Fisher | Second: S. Rappoport |
|-------------------|----------------------|
| **Board Member** | **Yes** | **No** | **Abstain** | **Absent** |
| Mrs. Burns (Linda)| x | | | |
| Mr. Clark, Sr. (Harold) | x | | | |
| Mr. Cooper (Damen) | x | | | |
| Mrs. Fisher (Victoria) | x | | | |
| Ms. Gee (Danielle) | x | | | |
| Mrs. Rappoport (Sarah) | x | | | |
| Mr. Reiner (Gerald) | | | x | |
| Mr. Rodriguez (Sebastian) | x | | | |
| Ms. Sanders (Denise) | x | | | |
Motions 5, 8 and 26-28 to approve under F&B
| Motion: S. Rappoport | Second: V. Fisher |
|----------------------|------------------|
| **Board Member** | **Yes** | **No** | **Abstain** | **Absent** |
| Mrs. Burns (Linda) | x | | | |
| Mr. Clark, Sr. (Harold) | x | | | |
| Mr. Cooper (Damen) | x | | | |
| Mrs. Fisher (Victoria) | x | | | |
| Ms. Gee (Danielle) | x | | | |
| Mrs. Rappoport (Sarah) | x | | | |
| Mr. Reiner (Gerald) | x | | | |
| Mr. Rodriguez (Sebastian) | x | | | |
| Ms. Sanders (Denise) | x | | | |
Be It Resolved, that the Teaneck Board of Education, upon the recommendation of the Superintendent of Schools, approves the following Personnel resolutions:
1. that the Board approve the following certificated staff appointment, following a 90-day probationary period, effective dates as indicated, pending criminal history review:
a. Aishwarya Nair, Computer Science Teacher, at an annual salary of $56,000 (TTEA BA/step 2) assigned to Teaneck High School, effective September 01, 2021 through June 30, 2022, replacing Rachel Lee, resigned (PC#: 10-12-11/afb).
2. that the Board approve the following non-certificated staff appointments, following a 90-day probationary period, effective dates as indicated, pending criminal history review:
a. Caren Spooner, Coordinator of Payroll & Employee Benefits, at the annual salary of $70,000 (off-guide), assigned to the Business Office, effective April 26, 2021 through June 30, 2021 (Resume attached).
b. Linval Joseph, Grounds Crew I, at an annual salary of $45,000 assigned to Operations & Maintenance, effective April 29, 2021 through June 30, 2021, replacing Marc Trama, resigned (51-16-89/avf).
3. that the Board approve the salary guide reclassification effective April 29, 2021 for the following Operations and Maintenance staff members:
| Name | Title | Salary | Title | New Salary |
|---------------|-------------|-----------|-------------|------------|
| a. Joseph Miraglio | Groundsman | $39,571 | Grounds Crew I | $45,000 |
| b. Douglas Post | Grounds Crew | $49,225 | Grounds Crew II | $60,000 |
4. that the Board approve the following long term substitute teacher at $260 per-diem, after twenty-one days of employment, assigned to a non-tenure track position, effective date as indicated, pending criminal history review:
a. Tanya Rivera, April 29, 2021 through June 30, 2021, with no benefits, assigned to Lowell Elementary School, replacing employee #4830.
5. that the Board accept the resignation of the following staff member:
a. Jose DeJesus, Bus Driver, Central Office, effective May 21, 2021.
b. Michelle Dilullo, Grade 1 Teacher, Hawthorne Elementary School, effective June 30, 2021.
c. Anthony Bianchi, School Treasurer, Business Office, effective June 30, 2021.
6. that the Board approve the following leaves of absence for the dates and reasons indicated:
a. Employee ID# 0226, paid medical leave of absence with benefits, from March 04, 2021 through April 20, 2021, using 28 sick days under FMLA.
b. Employee ID# 2536, paid medical leave of absence with benefits, from March 08, 2021 through March 19, 2021, using 10 sick days under FMLA. Unpaid family leave of absence with benefits, from March 22, 2021 through April 27, 2021, under FMLA and NJFLA.
c. Employee ID# 2226, paid medical leave of absence with benefits, from March 05, 2021 through April 1, 2021, using 20 sick days under FMLA.
d. Employee ID# 4634, unpaid maternity leave of absence with benefits, from September 1, 2021 through November 23, 2021, under FMLA and NJFLA.
e. Employee ID# 5116, paid medical leave of absence with benefits, from March 26, 2021 through April 16, 2021, using 10 sick days under FMLA.
f. Employee ID# 5388, paid medical leave of absence with benefits, from March 30, 2021 through March 31, 2021, using 2 sick days under FMLA. Unpaid medical leave of absence with benefits, from April 1, 2021 through April 21, 2021 under FMLA
7. that the Board rescind the appointment of Joseph Costa as a substitute safety officer for the 2020-2021 school year, effective immediately.
8. that the Board approve Olivia Betances and Lourdes Melendez, for the 2020-2021 school year, to volunteer as advisors for the newly formed Fashion Club.
9. that the Board approve payment to the following teachers, for assuming a sixth period assignment, on a temporary basis, at their negotiated contractual per class rate, effective February 22, 2021 through April 19, 2021. Staff members will receive payment upon submission of appropriate bill form for each pay date, and will receive their payment on the subsequent pay date:
| Name | Subject | Rate |
|--------------------|-------------|---------------|
| Hazel Santana Rivas | Language Arts | $60.00 (BA) |
| Paula Fischkelta | Language Arts | $70.00 (MA) |
| Amanda Detrick | Language Arts | $70.00 (MA) |
| Allen Gonzalez | Language Arts | $80.00 (MA+32)|
10. that the Board approve the attached job description for the Television and Production Teacher.
11. that the Board approve the revision of the following job descriptions (attachment) for the 2021-2022 school year:
a. Assistant Superintendent for Curriculum and Schools
b. Assistant Superintendent of Education Services
12. that the Board approve the revision and title change for the Supervisor of Instructional Programs and Services: Humanities and Gifted Education job description (attachment) for the 2021-2022 school year:
13. that the Board approve the appointment of the following staff as Strive site supervisors, effective April 29, 2021 - June 10, 2021, to be funded by the Forum/Township of Teaneck Grant, for up to 3 hours per week at a rate of $50 per hour.
| Name | Position | Stipend Amount (Not to exceed) |
|--------------------|---------------------------|-------------------------------|
| Joseph LaBorde | Strive site supervisor | $1,050.00 |
| Christina DeLeon | Strive site supervisor | $1,050.00 |
TOTAL: $2,100.00
14. that the Board approve the following staff members as Extended School Year Program Lead Teachers, at a rate of $50 per hour, effective April 01, 2021 through August 02, 2021, 120 hours working without students and 60 hours working with students, not to exceed $18,000:
| Name | Position | Hours | Stipend Amount |
|--------------------|---------------|-------|----------------|
| Iris Hernandez | Lead Teacher | 180 | $9,000.00 |
| Gillian Iappelli | Lead Teacher | 180 | $9,000.00 |
TOTAL: $18,000.00
15. that the Board approve Geri Stack, for serving as Web Content Manager, effective May 01, 2021 through August 31, 2021, total stipend amount $1,500.
16. that the Board approve payment to Jenine Kea for the Coordinator of Payroll and Employee Benefits differential for the 5 months she served as the 'defacto coordinator' due to the resignation of the Coordinator of Payroll and Employee Benefits, at the rate of 5.4% of her salary, prorated for the 5 months, which is $1,501.88 (December 2020 to April 2021).
17. that the Board approve the attached job description for the Assistant School Business Administrator/Assistant Board Secretary.
18. that the Board approve the following leaves of absence for the dates and reasons indicated:
a. Employee ID# 5438, unpaid paternity leave of absence with benefits, from May 24, 2021 through June 07, 2021, under FMLA and NJFLA.
b. Employee ID# 5346, paid medical leave of absence with benefits, from April 19, 2021 through April 23, 2021, under FMLA.
c. Employee #5118, unpaid leave of absence without benefits, from March 9, 2021 through May 7, 2021.
d. Employee #0144, paid leave of absence with benefits, from April 12, 2021 through April 29, 2021, under FMLA.
19. that the Board approve payment to the following teachers, for assuming a sixth period assignment, on a temporary basis, at their negotiated contractual per class rate. Staff members will receive payment upon submission of appropriate bill form for each pay date, and will receive their payment on the subsequent pay date:
| Name | Subject | Effective Date | Rate |
|-----------------|-----------------------|----------------|---------------|
| Carole Petit-Bielen | Civilisation Francaise | February 16, 2021 | $60.00 (BA) |
| Jeff Slominsky | Computer Science I | March 15, 2021 | $80.00 (MA+32)|
| Shaun Reilly | Computer Game Design | March 15, 2021 | $80.00 (MA+32)|
20. that the Board approves Elzbieta Bernacka for Home Programming Instruction, not to exceed 50 hours, to be completed by August 31, 2022, and be paid at the rate of $50 per hour, for Student ID# 96155. Any hours not utilized by August 31, 2022 shall be waived.
21. that the Board accept the resignation of the following staff member:
a. Thomas De Lyon, Electrician, Operations & Maintenance, effective May 24, 2021.
that the Board approve the following job descriptions (attachment) for the 2021-2022 school year:
a. Chief Equity Officer
b. School Comptroller
c. Supervisor of Visual & Performing Arts
| Motion: S. Rappoport | Second: V. Fisher |
|----------------------|------------------|
| **Board Member** | **Yes** | **No** | **Abstain** | **Absent** |
| Mrs. Burns (Linda) | x | | | |
| Mr. Clark, Sr. (Harold) | x | | | |
| Mr. Cooper (Damen) | x | | | |
| Mrs. Fisher (Victoria) | x | | | |
| Ms. Gee (Danielle) | x | | | |
| Mrs. Rappoport (Sarah) | x | | | |
| Mr. Reiner (Gerald) | x | | | |
| Mr. Rodriguez (Sebastian) | x | | | |
| Ms. Sanders (Denise) | x | | | |
0145 BOARD MEMBER RESIGNATION AND REMOVAL
The membership of a Board of Education member shall terminate immediately upon:
1. The cessation of the member’s bona fide residency in the school district the member represents (N.J.S.A. 18A:12-2.2); or
2. The member’s election or appointment to the office of mayor or member of the governing body of ________________________ the Township of Teaneck (municipality(ies) within district) (N.J.S.A. 18A:12-2.2); or
3. The member’s disqualification from voting pursuant to N.J.S.A. 19:4-1 (N.J.S.A. 18A:12-2.2); or
4. The member’s conviction for false swearing for having falsely affirmed or declared that he/she is qualified to vote falsely affirms or declares that he/she is not disqualified as a voter pursuant to N.J.S.A. 19:4-1 or that he/she is not disqualified from membership on the Board due to conviction of a crime or offense listed in N.J.S.A. 18A:12-1; or
5. The removal of the member by the Commissioner of Education; or
6. Recall of a Board member pursuant to N.J.S.A. 19:27A-1 et seq.
A member who fails to attend three consecutive meetings of the Board without good cause may be removed from office on the affirmative votes by majority of the remaining Board members, provided that:
1. The member’s removal was proposed at the immediately previous Board meeting; and
2. Notice of the proposed removal was given to the affected member at least _____________ forty-eight hours in advance of the meeting at which the vote will be taken.
N.J.S.A. 18A:12-2; 18A:12-2.2; 18A:12-3; 18A:12-29
N.J.S.A. 19:27A-1 et seq.
1642 EARNED SICK LEAVE LAW
All persons holding any office, position, or employment in local school districts, regional school districts, or county vocational schools of the State who are steadily employed by the Board of Education or who are protected by tenure in their office, position, or employment under the provisions of N.J.S.A. 18A:30-2 or any other law, except persons in the classified service of the civil service under Title 11, Civil Service, of the Revised Statutes, shall be allowed sick leave with full pay for a minimum of ten school days in any school year in accordance with the provisions of N.J.S.A. 18A:30-2.
However, a Board of Education may determine some persons holding an office, position, or employment are not eligible for sick leave in accordance with N.J.S.A. 18A:30-2. These persons shall be covered under the provisions of the New Jersey Earned Sick Leave Law (Act), N.J.S.A. 34:11D-1 through 34:11D-11. Policy and Regulation 1642 outline the provisions of the Act for those persons the Board of Education determines are not eligible for sick leave in accordance with the provisions of N.J.S.A. 18A:30-2 or any rule or law of New Jersey other than the Act.
For the purposes of Policy and Regulation 1642, “employer” means a local school district, regional school district, county vocational school, or charter school of the State who does not provide sick leave with full pay to an employee pursuant to N.J.S.A. 18A:30-2 or any other law, rule, or regulation of New Jersey and is required to comply with the requirements of the Act.
For the purposes of Policy and Regulation 1642, “employee” means an individual engaged in service for compensation to a local school district, regional school district, county vocational school, or charter school of the State who is not provided sick leave with full pay pursuant to N.J.S.A. 18A:30-2 or any other law, rule, or regulation of New Jersey and is eligible to accrue earned sick leave in accordance with the requirements of the Act.
In accordance with the provisions of N.J.S.A. 34:11D-2, for every thirty hours worked, an employee eligible to accrue earned sick leave under the Act shall accrue one hour of earned sick leave commencing no later than October 29, 2018.
The employer will provide an employee with the full complement of earned sick leave for a benefit year as required under N.J.S.A. 34:11D-2 on the first day of each benefit year in accordance with the provisions of N.J.S.A. 34:11D-2.a.
The employer will permit the employee to accrue or use in any benefit year, or carry forward from one benefit year to the next, more than forty hours of earned sick leave.
Unless the employee has accrued earned sick leave prior to October 29, 2018, the earned sick leave shall begin to accrue on October 29, 2018 for any employee who is hired and commences employment before October 29, 2018 and the employee shall be eligible to use the earned sick leave beginning February 26, 2019 after the employee commences employment.
If the employee’s employment commences after October 29, 2018, the earned sick leave shall begin to accrue upon the date that employment commences. The employee shall be eligible to use the earned sick leave
Select one option below:
Option 1—beginning on the 120th calendar day after the employee commences employment.
OR
Option 2—______ days after employment commences, but no longer than 120 calendar days after employment commences.]
The employer shall be in compliance with N.J.S.A. 34:11D-2 if the employer offers paid time off to an employee, which is fully paid and shall include, but is not limited to personal days, vacation days, and sick days, and may be used for the purposes of N.J.S.A. 34:11D-3 in the manner provided by the Act, and is accrued at a rate equal to or greater than the rate described in N.J.S.A. 34:11D-2.
The employer shall pay the employee for earned sick leave at the same rate of pay with the same benefits as the employee normally earns, except that the pay rate shall not be less than the minimum wage required for the employee pursuant to N.J.S.A. 34:11-56a4.
The employer shall permit an employee to use the earned sick leave accrued pursuant to the Act for any of the reasons outlined in N.J.S.A. 34:11D-3.a.
No employer shall take retaliatory personnel action or discriminate against an employee who accrues sick leave under the Act because the employee requests or uses earned sick leave either in accordance with the Act or the employer’s own earned sick leave policy for employees covered under the Act. Any complaints alleging a violation of the Act shall be filed in accordance with the provisions of N.J.S.A. 34:11D-4.
In accordance with N.J.S.A. 34:11D-5, failure of the employer to comply with the provisions of the Act shall be regarded as a failure to meet the wage payment requirements of the “New Jersey State Wage and Hour Law.”
The employer shall retain records documenting hours worked and earned sick leave taken by employees covered under the Act in accordance with the provisions of N.J.S.A. 34:11D-6.
The employer shall provide notification, in a form issued by the Commissioner of Labor and Workforce Development, to employees of their rights under the Act; post the notification; and provide a copy of the notification to employees eligible to accrue earned sick leave under the Act in accordance with the provisions of N.J.S.A. 34:11D-7.
N.J.S.A. 34:11D-1 through 34:11D-11
Adopted:
7425 LEAD TESTING OF WATER IN SCHOOLS
The health, safety, and welfare of the children in the school district are of utmost importance to the Board of Education. The potential exposure to lead-contaminated drinking water poses serious health problems, particularly for children, as well as for teachers and school personnel, since the risk of lead contamination can come from pipe and plumbing fixtures in school facilities or on school grounds. The Board shall assure the availability of potable drinking water through sanitary means in school facilities or on school grounds. The Board of Education shall provide, in accordance with N.J.A.C. 6A:26-12.4, testing for lead in all district sources of drinking water.
The Board shall conduct lead sampling and analysis in all drinking water outlets to which a student or staff member has, or may have, access in each school facility, other facility, or temporary facility, as soon as practicable, but no later than July 13, 2017, unless the district qualifies for an exemption in accordance with N.J.A.C. 6A:26-12.4(d)(h)(i)(j). This testing lead sampling and analysis shall be conducted with a lead sampling plan in accordance with N.J.A.C. 6A:26-12.4(d)1, 2, and 3, and shall be in accordance with the Safe Drinking Water Act, N.J.S.A. 58:12A-1.
The Superintendent of Schools or designee shall complete a review of the final laboratory results within seventy-two hours of receipt. Within twenty-four hours after the Board Superintendent or designee has completed a review of final laboratory results in accordance with the provisions of N.J.A.C. 6A:26-12.4(e), the test results shall be made publicly available at the school facility and on the Board of Education’s website. If any results exceed the permissible lead action level, the Board shall provide written notification to the parents of all students attending the facility, facility staff, and the New Jersey Department of Education. This written notification shall include: a description of the measures taken by the Board Superintendent or designee to immediately end the use of each drinking water outlet where the water quality exceeded the permissible lead action level; any additional remedial action taken or planned by the Board of Education; the measures taken to ensure that alternate drinking water has been made available to all students and staff members; where the water outlet(s) is located; and information regarding the health effects of lead in accordance with N.J.A.C. 6A:26-12.4(c)1 and 2. After the initial screening, the Board will conduct these lead screenings every six years and
Notwithstanding the results or date of any prior testing, the Board shall continue to test drinking water outlets in the designated Statewide required testing year, which shall be every third school year beginning with the 2021-2022 school year and subsequently occurring in the 2024-2025 school year. By no later than June 30 of the designated Statewide required testing year, the Board shall test all drinking water outlets in accordance with N.J.A.C. 6A:26-12.4(g)1. The Board shall sample for lead after the replacement of any drinking water outlet or any other alteration to plumbing or service lines that may impact lead levels at the outlet, in accordance with N.J.A.C. 6A:26-12.4(f)(g)1. and 2.
The Board shall submit to the New Jersey Department of Education by June 30 of each year a statement of assurance, that the school district completed lead testing in accordance with N.J.A.C. 6A:26-12.4; that notifications were provided consistent with N.J.A.C. 6A:26-12.4; and that alternative drinking water continues to be made available to all students and staff, if necessary, pursuant to N.J.A.C. 6A:26-12.4(g)(i).
The Board may apply for reimbursement for the costs of any water supply testing and analysis conducted, in accordance with N.J.A.C. 6A:26-12.4(j)(k).
N.J.S.A. 58:12A-1 et seq.
N.J.A.C. 6A:26-12.4
Adopted:
The No Child Left Behind Act (NCLB) of 2001 Every Student Succeeds Act (ESSA) is a reauthorization of the Elementary and Secondary Education Act (ESEA)/Improving America’s Schools Act (IASA)-1994, of 1965 that provides providing Federal funds to help all New Jersey’s school children achieve, at a minimum, proficiency in the State standards. NCLB embodies four key principles or pillars of education reform: accountability, flexibility, choice, and methodology. The purpose of the ESSA is to ensure all students have equitable access to high-quality educational resources and opportunities and to close educational achievement gaps. The Board of Education elects to augment the instructional program of students by projects supported by Federal funds allocated under the ESSA NCLB and the district will comply with the requirements of all the programs authorized by the ESSA NCLB.
The district may be eligible for several grant programs funded through the ESSA NCLB, including, but not limited to, Title I through Title VII. Many of the Titles of the ESSA NCLB have several parts and subparts that provide a funding source for specific purposes.
Application Procedure
The district will submit an annual ESSA No Child Left Behind Consolidated Formula Subgrant Application to the New Jersey Department of Education (NJDOE). The school district’s application shall include all information required by the NJDOE and the ESSA NCLB for the district to be considered for funding under the ESSA NCLB.
Covered Programs
Formula grants under the ESSA are non-competitive grants that school districts are eligible for based on the make-up of their student bodies. These formula grants for each Title are committed to different purposes and may be used to support different activities and programs.
The intent of NCLB is that all children will meet State academic achievement standards to reach their potential through improved programs. The NCLB Consolidated Formula Subgrant includes the following programs:
1. Title I, Part A provides the programs and resources for disadvantaged students to meet this intent. It requires the State and the district to close the achievement gap by placing a highly qualified teacher in every classroom, improving the qualifications of paraprofessionals who work with disadvantaged students, and using instructional practices that have proven to be effective.
2. Title I, Part D serves neglected and delinquent youth in institutions, community day programs, and correctional facilities to assure they also attain high academic levels of performance.
3. Title II, Part A provides the resources for improving teacher and Principal quality and increasing the number of highly qualified teachers and Principals in classrooms and schools, thereby raising student achievement in the academic subjects. It focuses on preparing, training, and recruiting high-quality teachers and Principals and requires the State to develop plans with annual measurable objectives that will ensure all teachers teaching in core academic subjects are highly qualified by the end of the 2005-2006 school year.
4. Title II, Part D facilitates comprehensive and integrated educational technology strategies that target the specific needs of individual schools. It improves student academic achievement through the use of technology in elementary and secondary schools, while addressing the digital divide such that every student is technologically literate by the end of eighth grade. Effective integration of technology resources and systems with teacher training and curriculum development are encouraged in order to identify and showcase best practices in educational technology.
5. Title III, Part A focuses on the teaching of English to limited English proficient (LEP) children, including immigrant children and youth.
6. Title IV, Part A provides resources for fostering a safe and drug-free learning environment that supports academic achievement.
7. Title V, Part A provides a flexible source of funding to help districts in the development and implementation of various innovative reform initiatives.
8. Title VI, Part B addresses the unique needs of rural school districts.
9. Title IX covers the general provisions applicable to some/all of the programs.
Throughout NCLB, the use of solid research to improve teaching and learning as well as student behavior is required and promoted, and parent(s)/legal guardian(s) are provided with information and options to improve the educational opportunities provided for their children. The emphasis on scientifically based methodology encourages the use of teaching techniques and practices that are founded on research and proven to produce positive results.
Title I
The largest Federal program supporting elementary and secondary education is Title I. The ESSA NCLB strengthens Title I requirements for the State’s assessments, accountability system, and support for school improvement. The law also establishes minimum qualifications for teachers and paraprofessionals in Title I programs.
The school district must use the best available measure for identifying children from low-income families to: identify eligible school attendance areas, determine the ranking of each area, and determine allocations as identified in the Title I guidelines and regulations.
The school district will offer Title I services to eligible children enrolled in private elementary and secondary schools. The services and benefits will be equitable in comparison to services and benefits for participating public school children.
The school district will provide the New Jersey Department of Education assurances it will provide the maximum coordination between the Title I program, the regular school program, and services provided by other programs for specialized populations. The Title I program will consider the special needs of homeless children, migrant children, children with disabilities and limited English proficient (LEP) Language Learner (ELL) children. Title I funds will be reserved so that migrant children who are otherwise eligible to receive Title I services, even if they arrive during the school year, are served.
Type of Title I Program
The school district will offer a ________ (School-wide or Target Assistance or Public School Choice) Title I program.
[___] School-wide Program
High-poverty schools (a school with at least those with 40% poverty or any school below 40% poverty with a waiver issued by the New Jersey Department of Education) more students from low-income families) are eligible to adopt school-wide programs to raise the achievement of low-achieving students by improving instruction throughout the entire school, thus using Title I funds to serve all children in the school. A school-wide program must be established in accordance with the Title I guidelines and regulations and the New Jersey Department of Education.
___ Target Assistance Program
Schools that are not eligible for (or do not choose to operate) school-wide Title I programs must use Title I funds to provide targeted services to low-achieving students. A Target Assistance program must be established in accordance with the Title I guidelines and regulations and the New Jersey Department of Education.]
Academic Standards, Academic Assessments, and Accountability New Jersey Department of Education Accountability System
The district will comply with the accountability system requirements established by the New Jersey Department of Education and outlined in the New Jersey State Plan and approved by the United States Department of Education as outlined in Policy 2415.01 – Academic Standards, Academic Assessments, and Accountability in accordance with the NJDOE and NCLB.
Fiscal Responsibility
The district will comply with the requirements as outlined in Policy 2415.02 Title I – Fiscal Responsibilities in accordance with the NJDOE and the ESSA NCLB.
Staff
The district will comply with the staff certification requirements of the ESSA and the NJDOE requirements as outlined in Policy 2415.03 – Highly Qualified Teachers in accordance with the NJDOE and NCLB. In addition, the district will ensure all paraprofessionals meet the requirements as established required by the ESSA NCLB and as outlined in Policy 4125 – Employment of Support Staff Members.
Parental Involvement
The district will comply with the requirements as outlined in Policy 2415.04 – Parental Involvement in accordance with the NJDOE and the ESSA NCLB.
Student Surveys, Analysis, and/or Evaluations
The Protection of Pupil Rights Amendment (PPRA) applies to school districts that receive Federal funding from the United States Department of Education. The district will comply with the requirements as outlined in Policy 2415.05 - Student Surveys, Analysis, and/or Evaluations in accordance with the PPRA.
Unsafe School Choice Option
In the event there is a school in the district designated as Persistently Dangerous in accordance with the Victims of Violent Criminal Offenses as outlined in the ESSA NCLB, the district will comply with the requirements of Policy 2415.06 – Unsafe School Choice Option in accordance with the NJDOE and the ESSA NCLB.
Property
Property acquired through Title I funds for use in public or private schools will be acquired in accordance with the Public School Contracts Law, will be held in title by the Board of Education, and will not be used for other purposes so long as it is required in the Title I program. Property no longer required for Title I purposes will be used for other, similarly funded projects or disposed of in accordance with State and Federal guidelines.
Capital Expenses
The Superintendent will assure the district abides by New Jersey’s Public Contracts Law; consults appropriate private school officials prior to making any decisions regarding capital expenses; ensure funds that are received to cover capital expenses provide equitable Title I services to private school students; ensure accounts for any capital funding is separately maintained; and assure lease purchase agreements are consistent with applicable statute and administrative code.
Post-Award Requirements
The school district will maintain all project records for five years following the completion of the activity for which the funds were used. The school district will prepare and submit all reports as required by the State Department of Education in a timely manner.
Supplement, Not Supplant
Grant funds provided under Federal programs, including the ESEA of 1965 as amended by the ESSA No Child Left Behind funding, shall supplement, not supplant the funds that would, in the absence of such other non-Federal funds, be made that are available to provide programs and services to eligible from State and local sources for the education of students; participating in unless otherwise provided in the grant programs assisted under the ESEA of 1965 as amended by the ESSA.
State Waiver from Certain Provisions of No Child Left Behind (NCLB)
The State of New Jersey may receive a waiver(s) from certain provisions of NCLB from the United States Department of Education. A waiver(s) may affect the applicability of the school district’s NCLB policies and/or regulations. In the event a waiver(s) affects the applicability of Board of Education NCLB policies and/or regulations, the waiver provisions shall supersede current Board policies and/or regulations and the school district shall comply with the requirements as outlined by the New Jersey Department of Education in accordance with the waiver(s) application and approval(s) from the United States Department of Education.
Evaluation
The Superintendent or designee will evaluate the ESSA NCLB programs as required by the United States and the New Jersey Departments of Education.
No Child Left Behind Act of 2001
Elementary and Secondary Education Act of 1965 (20 U.S.C. 2701 et seq.) as amended by the Every Student Succeeds Act.
2415.02 TITLE I – FISCAL RESPONSIBILITIES
The ____________________ Board of Education will comply with the requirements of the Elementary and Secondary Education Act (ESEA) of 1965 (20 U.S.C. 2701 et seq.) as amended by the Every Student Succeeds Act (ESSA) No Child Left Behind Act of 2001.
Maintenance of Effort
To be in compliance with the requirements of the Elementary and Secondary Education Act of 1965 (20 U.S.C. 2701 et seq.) ESEA as amended by the ESSA No Child Left Behind Act of 2001, §1120A(a), the _______________ Board of Education will maintain either a combined fiscal effort per student; or aggregate expenditures; of State and local funds with respect to the provision of the free public education by in the Local Education Agency (LEA) for the preceding fiscal year that is not less than ninety percent of the combined fiscal effort per student; or the aggregate expenditures; for the second preceding fiscal year.
Comparability with Multiple Schools
To be in compliance with the requirements of the Elementary and Secondary Education Act of 1965 (20 U.S.C. 2701 et seq.) ESEA as amended by the ESSA No Child Left Behind Act of 2001, §1120A(e), the _______________ Board of Education directs the Superintendent to assign teachers, administrators, and auxiliary personnel to the schools in such a way that the equivalence of personnel is ensured among schools. The school district will ensure that State and local funds are used to provide comparable services for Title I and non-Title I schools.
Comparability of Materials and Supplies
To be in compliance with the requirements of the Elementary and Secondary Education Act of 1965 (20 U.S.C. 2701 et seq.) ESEA as amended by the ESSA No Child Left Behind Act of 2001, §1120A(e), the _______________ Board of Education directs the Superintendent to distribute curriculum materials and instructional supplies to the schools in such a way that the equivalence of such material is ensured among schools.
Supplement, Not Supplant
Grant funds provided under Federal programs, including the ESEA as amended by the ESSA, shall supplement, not supplant the funds that would, in the absence of such Federal funds, be made available from State and local sources for the education of students participating in programs assisted under the ESEA as amended by the ESSA.
No Child Left Behind Act of 2001, §1120A
Elementary and Secondary Education Act of 1965 (20 U.S.C. 2701 et seq.) as amended by the Every Student Succeeds Act.
Adopted:
2415.05 STUDENT SURVEYS, ANALYSIS, AND/OR EVALUATIONS
The Protection of Pupil Rights Amendment (PPRA) (20 U.S.C. §1232h; 34 CFR Part 98) applies to school districts that receive funding from the United States Department of Education.
Consent
PPRA requires written consent from parents/legal guardians of unemancipated minor students and students who are eighteen years old or emancipated minor students before such minor students are required to participate in a survey, analysis, or evaluation funded in whole or in part by a program of the United States Department of Education that concerns one or more of the following nine areas referred to as “protected information surveys”:
1. Political affiliations or beliefs of the student or student’s parent;
2. Mental or psychological problems of the student or student’s family;
3. Sex behavior or attitudes;
4. Illegal, anti-social, self-incriminating or demeaning behavior;
5. Critical appraisals of others with whom respondents have close family relationships;
6. Legally recognized privileged or analogous relationships, such as with lawyers, physicians, and ministers;
7. Religious practices, affiliations, or beliefs of the student or parents;
8. Income (other than that required by law to determine eligibility for participation in a program or for receiving financial assistance under such program); or
9. Social security number.
This consent requirement also applies to the collection, disclosure or use of student information for marketing purposes, referred to as “marketing surveys”, and for certain physical examinations and screenings.
“Opt a Student Out” Notice
The parents of unemancipated minor students and eligible students who are eighteen years old or emancipated minor students will be provided an opportunity to opt a student out of participating in:
1. The collection, disclosure, or use of personal information obtained from students for marketing, to sell, or otherwise distribute information to others;
2. The administration of any other “protected information survey” not funded in whole or in part by the United States Department of Education; and
3. Any non-emergency, invasive physical examination required as a condition of attendance, administered by the school district or its agents, and not necessary to protect the immediate health and safety of a student, except for hearing, vision, scoliosis screenings, or any physical examination or screening permitted or required under State law.
Inspection
The parents of unemancipated minor students and eligible students who are eighteen years old or emancipated minor students, upon request and before administration or use, have the right to inspect:
1. Protected information surveys of students;
2. Instruments used to collect personal information from students for any of the above marketing, sales, or other distribution purposes; and
3. Instructional material used as part of the educational curriculum.
The Superintendent or designee ____________ shall be responsible for obtaining the consent, annual direct notification to parents and eligible students at the start of each school year and after any substantive changes of the “opt a student out” rights, and the inspection rights provisions of PPRA and this Policy. The “opt a student out” notice shall include any specific or approximate dates of the activities eligible for a student to “opt out.”
PPRA Consent/Opt Out Violations
Parents or students who believe their rights under PPRA may have been violated may file a complaint with United States Department of Education.
The Protection of Pupil Rights Amendment (PPRA)
(20 U.S.C. §1232h; 34 CFR Part 98)
No Child Left Behind Act of 2001, Title X, Part F, §1061
Elementary and Secondary Education Act of 1965 (20 U.S.C. 2701 et seq.) as amended by the Every Student Succeeds Act.
2415.20 EVERY STUDENT SUCCEEDS ACT NO-CHILD-LEFT-BEHIND COMPLAINTS
Pursuant to 20 USC 7844, See 9304 (a)(3)(C), of the No Child Left Behind Act of 2001 (NCLB), The Every Student Succeeds Act (ESSA) reauthorized the Elementary and Secondary Education Act of 1965 (ESEA). A Board of Education shall adopt a policy and written procedures for resolving a written complaint presented by an individual or organization that alleges that offer parent(s)-or legal guardian(s), public agencies, other individuals, or organizations a method for receipt and resolution of complaints alleging violations in the administration of the ESSA NCLB programs as identified by the New Jersey Department of Education (NJDOE).
Policy and Regulation 2415.20 set forth the requirements for resolving complaints presented by any individual or organization that:
1. A school, school district, other agency authorized by the school district, or by the NJDOE violated the administration of education programs authorized required by the Elementary and Secondary Education Act ESEA as amended by the ESSA NCLB; and/or
2. The NJDOE violated the administration of education programs required by the ESEA Elementary and Secondary Education Act as amended by the ESSA NCLB.
Complaints regarding nonpublic school officials alleging school district noncompliance must pertain to at least one of the following three specific reasons:
1. The school district did not engage in consultation that was meaningful and timely;
2. The school district did not give due consideration to the views of the nonpublic school officials; or
3. The school district did not make a decision that treats the nonpublic school or its students equitable and in accordance with ESEA Section 1117 or Section 8501.
A Complaint shall be a written and must identify, at a minimum, the alleged ESEA violation; a description of previous steps taken to resolve the matter; allegation that shall identify the alleged NCLB violation, the facts supporting the alleged violation as understood by the complainant at the time of submission; and any supporting documentation.
A Complaint alleging a school in the district, school district, or other agency authorized by the school district, or the NJDOE violated the administration of a program must be submitted to the __________________________ (district administrator responsible for ESSA NCLB compliance). The __________________________ (district administrator responsible for ESSA NCLB compliance) shall be responsible to coordinate the investigation of the Complaint. The __________________________ (district administrator responsible for ESSA NCLB compliance) shall submit a written report regarding the outcome of the investigation to the complainant.
If the complainant is not satisfied with the outcome of the investigation by the school district, the complainant must submit a written complaint may initiate a Complaint by submitting a written Complaint to the NJDOE to the attention of the Executive County Superintendent for the county where the school district is located. This process does not apply to alleged violations concerning participation of nonpublic school children.
The Executive County Superintendent will coordinate the investigation of a Complaint. When the investigation is complete, the Executive County Superintendent will notify the complainant in writing regarding the outcome of the investigation. If it is determined a violation has occurred, the Executive County Superintendent will identify and impose the appropriate consequences or corrective action in accordance with statute and/or regulation to resolve the complaint. Assistant Commissioner assigned to oversee the matter shall identify and impose appropriate consequences or corrective actions as required by regulation to resolve the Complaint. If the complainant is not satisfied with the determination that is made by the Executive County Superintendent does not agree with the NJDOE’s decision.
the complainant may submit a written request for review of that determination to the Assistant Commissioner appeal to the United States Department of Education Secretary.
A complaint alleging the NJDOE violated the administration of a program must be submitted to the designated New Jersey Department of Education Assistant Commissioner Chief of Staff or the United States Department of Education Secretary. The NJDOE requests the complainant first contact the New Jersey Department of Education Chief of Staff to resolve the issue. The appropriate NJDOE Office assigned by the Assistant Commissioner of Strategic Initiatives and Accountability will coordinate the investigation of a complaint. When the investigation is complete, the Assistant Commissioner Chief of Staff will notify the complainant in writing regarding the outcome of the investigation. If it is determined a violation has occurred, the Assistant Commissioner Chief of Staff shall will identify and impose the identify and impose appropriate consequences or corrective actions as required by statute and/or regulation to resolve the complaint.
If a complainant does not agree with the NJDOE’s decision, the complainant may appeal to the Secretary of the United States Department of Education Secretary.
To initiate a complaint regarding participation of nonpublic school children, a complainant must submit a written complaint to the NJDOE Nonpublic Ombudsman in accordance with NJDOE procedures.
New Jersey Department of Education 1/26/07 Memorandum—No Child Left Behind Elementary and Secondary Education Act (ESEA) Complaint Policy and Procedure
Adopted:
2431 ATHLETIC COMPETITION
The Board of Education recognizes the value of athletic competition as an integral part of the total school experience. Game activities and practice sessions, sports, and other athletic activities provide opportunities to learn the values of competition and good sportsmanship.
For the purpose of this Policy, programs of athletic competition include all activities relating to competitive sports contests, games, events, or sports exhibitions involving individual students or teams of students when such events occur within or between schools within this district or with any schools outside this district. The programs of athletic competition shall include, but are not limited to, high school interscholastic athletic programs, middle school interscholastic athletic programs where school teams or squads play teams or squads from other school districts, intramural athletic programs within a school or among schools in the district, and any cheerleading program or activity in the school district.
Eligibility Standards
A student who wishes to participate in a program of athletic competition must submit, on a form provided by the district, the signed consent of his/her parent. The consent of the parent of a student who wishes to participate in a program of athletic competition will include an acknowledgment of the physical hazards that may be encountered in the activity in accordance with N.J.A.C. 6A:32-9.1(d) and (e).
Student participation in a program of athletic competition shall be governed by the following eligibility standards:
[For School Districts with High School Students and NJSIAA Athletics]
1. To be eligible for participation in the interscholastic athletic program of a New Jersey State Interscholastic Athletic Association (NJSIAA) member school, all high school students must meet, at a minimum, all the eligibility requirements of the Constitution, Bylaws, and Rules and Regulations of the NJSIAA.
[Home School Options for High School Students and NJSIAA Athletics]
_____ Home schooled children are not eligible to participate in the high school interscholastic athletic program of this district.
_____ Home schooled children are eligible to participate in the high school interscholastic athletic program of this district only if the school district, the parent, and the home schooled child comply with the Guidelines, Constitution, Bylaws, Rules and Regulations of NJSIAA, and the policies and regulations of the Board of Education.
[Options for School Districts with Elementary and Middle School Students]
2. _____ A student in grades ______ through ______ is eligible for participation in school district sponsored programs of athletic competition if he/she passed all courses required for promotion or graduation in the preceding _____ (semester, marking period, or other).
_____ A student in grades ________ through ________ is eligible for participation in school district sponsored programs of athletic competition if he/she ___________________________________________________________ ___________________________________________________________.
_____ Home schooled children in grades ___ through ___ are (___ eligible ___ not eligible) to participate in school district sponsored programs of athletic competition of this district.]
[Options for All Students
3. A student in any grade must maintain a satisfactory record of attendance to be eligible for participation in school district sponsored programs of athletic competition. An attendance record is unsatisfactory if the number of unexcused absences exceed ____________ school days in the (____ school year ____ marking period ____ semester ____ other ________________) prior to the student commencing participation in school district sponsored programs of athletic competition.
A student who is absent (____ with an excused absence ____ with an unexcused absence) for a school day may not participate in school district sponsored programs of athletic competition the afternoon or evening of that school day.
A student who is serving an (____ in-school ____ out-of-school ____ in-school or out-of-school) suspension may not participate in school district sponsored programs of athletic competition while serving the suspension.]
[Optional
4. A student in any grade who fails to observe school rules for student conduct may forfeit his/her eligibility for participation in school district sponsored programs of athletic competition.]
Notice of the school district’s eligibility requirements shall be available to students.
Required Examinations – Interscholastic or Intramural Team or Squad
Students enrolled in grades six to twelve must receive a medical examination, in accordance with the provisions of N.J.S.A. 18A:40-41.7, prior to participation on a school-sponsored interscholastic or intramural team or squad and any cheerleading program or activity.
The examination shall be conducted within 365 days prior to the first day of official practice in an athletic season with examinations being conducted at the medical home of the student. The “medical home” is defined as a health care provider and that provider’s practice site chosen by the student’s parent for the provision of health care pursuant to N.J.A.C. 6A:16-1.3. If a student does not have a medical home, the school district shall provide the examination at the school physician’s office or other comparably equipped facility. The parent may choose either the school physician or their own private physician to provide this medical examination. The medical examination required prior to participation shall be in accordance with the requirements as outlined in N.J.A.C. 6A:16-2.2(h)1 and Regulation 2431.2 and shall be documented using the Preparticipation Physical Evaluation form required by the Department of Education.
The school district shall distribute the Commissioner of Education developed sudden cardiac arrest pamphlet to a student participating in or desiring to participate in an athletic activity, as defined in N.J.S.A. 18A:40-41.e., and the student’s parent(s) shall each year and prior to participation by the student in an athletic activity comply with the requirements of N.J.S.A. 18A:40-41.d.
The school district shall annually distribute the Commissioner of Education developed educational fact sheet relative to use and misuse of opioid drugs for sports related injuries to parents of students who participate in athletic activities and comply with the requirements of N.J.S.A. 18A:40-41.10.
Information concerning a student’s HIV/AIDS status shall not be required as part of the medical examination or health history pursuant to N.J.S.A. 26:5C-1 et seq. The health findings of this medical examination shall be maintained as part of the student’s health record.
Emergency Procedures
Athletic coaches shall be trained in first aid to include sports-related concussion and head injuries, the use of a defibrillator, the identification of student-athletes who are injured or disabled in the course of any athletic program or activity, and any other first aid procedures or other health related trainings required by law or the Superintendent.
The Superintendent or designee shall establish and implement an emergency action plan for responding to a serious or potentially life-threatening sports-related injury in accordance with N.J.S.A. 18A:40-41.11. The plan shall document the proper procedures to be followed when a student sustains a serious injury while participating in sports or other athletic activity in accordance with N.J.S.A. 18A:40-41.11.
The emergency action plan shall be reviewed annually and updated as necessary. The plan shall be rehearsed annually in each school by the individuals who will be responsible for executing the plan in an emergency pursuant to N.J.S.A. 18A:40-41.11.
The Superintendent or designee shall prepare and present to the Board for its approval procedures for the emergency treatment of responding to a non-serious or non-life-threatening injury sustained by a student while participating in sports or other athletic activity, injuries and disabilities that occur in the course of any athletic program or activity. Emergency These procedures shall be reviewed annually, updated as necessary, not less than once in each school year and shall be disseminated to appropriate staff members.
Interscholastic Standards
The Board shall approve annually a program of interscholastic athletics and shall require that all facilities utilized in that program, whether or not the property of this Board, properly safeguard both players and spectators and are kept free from hazardous conditions.
The Board adopts the Constitution, Bylaws, Rules, and Regulations of the New Jersey State Interscholastic Athletic Association as Board policy and shall review such rules on a regular basis to ascertain they continue to be in conformity with the objectives of this Board.
[For School Districts with High School Students and NJSIAA Athletics
The Superintendent shall annually prepare, approve, and present to the Board for its consideration a program of interscholastic athletics that includes a complete schedule of athletic events.]
District may choose one of the following options if above is included:
_____ and may inform the Board of changes in that schedule.
_____ and shall request Board approval of any changes in the schedule.]
N.J.S.A. 2C:21-11
N.J.S.A. 18A:11-3 et seq.; 18A:40-41; 18A:40-41.10; 18A:40-41.11
N.J.A.C. 6A:7-1.7(d); 6A:16-1.3; 6A:16-2.1 et seq.; 6A:32-9.1
4125 EMPLOYMENT OF SUPPORT STAFF MEMBERS
The Board of Education believes it is vital to the successful operation of the school district that support staff member positions be filled with highly qualified and competent professionals.
In accordance with the provisions of N.J.S.A. 18A:27-4.1, the Board shall appoint, transfer, remove, or renew a certificated or non-certificated officer or employee only upon the recommendation of the Superintendent of Schools and by a recorded roll call majority vote of the full membership of the Board. The Board shall not withhold its approval for arbitrary and capricious reasons. The Board shall approve the employment, fix the compensation, and establish the term of employment for every support staff member employed by this district.
The Board may will employ substitutes and/or contract for substitutes for absent support staff members in order to ensure continuity in a program. The Board and will annually approve a list of substitutes and rate of pay and/or the Board will approve a contract for a contracted service provider to provide substitute support staff members. The Superintendent or designee shall select substitutes from the list approved by the Board to serve in the place of an absent support staff member.
The Board may use a private contractor to secure a substitute support staff member.
The Board of Education shall not employ for pay or contract for the paid services of any support staff member or any other person serving in a position which involves regular contact with students unless the Board has first determined consistent with the requirements and standards of N.J.S.A. 18A:6-7.1 et seq. that no criminal history record information exists on file in the Federal Bureau of Investigation, Identification Division, or the State Bureau of Identification which would disqualify the individual from being employed or utilized in such capacity or position.
An individual employed by the Board or a school bus contractor holding a contract with the Board, in the capacity of a school bus driver, shall be required to meet the criminal history record requirements as outlined in N.J.S.A. 18A:39-19.1.
The Board will employ paraprofessional school aides and/or classroom aides to assist in the supervision of student activities under the direction of a Principal, teacher, or other designated certified professional personnel. Aides will serve the needs of students by performing nonprofessional duties and may work only under the direct supervision of a teaching staff member(s).
In accordance with the requirements of No Child Left Behind Act of 2001, the Every Student Succeeds Act (ESSA), paraprofessionals hired after January 8, 2002, who work in a program supported with Title I, Part A funds, with certain exceptions, must meet one of the following criteria:
1. Completed at least two years of study at an institution of higher education;
2. Obtained an associate’s (or higher) degree; or
3. Met a rigorous standard of quality and be able to demonstrate, through a formal State or local academic assessment, knowledge of and the ability to assist in instructing, reading, writing, and mathematics (or, as appropriate, reading readiness, writing readiness, and mathematics readiness).
Paraprofessional staff working in a Title I school, and whose salary is paid for in whole or in part with Title I funds, must have met one of the criteria listed above by the end of the 2005-2006 school year. The Superintendent or designee will ensure paraprofessionals working in a program supported with Title I funds meet the above stated requirements.
An individual employed by the Board in any substitute capacity or position shall be required to undergo a criminal history record check in accordance with the provisions of N.J.S.A. 18A:6-7.1b.
An individual, except as provided in N.J.S.A. 18A:6-7.1g, shall be permanently disqualified from employment or service in the school district if the criminal history record check reveals a record of conviction for any crime or offense as defined in N.J.S.A. 18A:6-7.1 et seq.
The Board or contracted service provider may employ an applicant on an emergent basis for a period not to exceed three months, pending completion of a criminal history record check if the Board or contracted service provider demonstrates to the Commissioner of Education that special circumstances exist which justify the emergent employment as prescribed in N.J.S.A. 18A:6-7.lc. In the event the criminal history record check is not completed for an emergent hired employee within three months, the Board or contracted service provider may petition the Commissioner for an extension of time, not to exceed two months, in order to retain the employee.
No criminal history record check shall be performed unless the applicant shall have furnished written consent to such a check. The applicant shall bear the cost for the criminal history record check, including all costs for administering and processing the check. The district will deny employment to an applicant if the applicant is required and refuses to submit to a criminal history record check.
The Board of Education prohibits any relative of a Board member or the Superintendent of Schools from being employed in an office or position in the school district in accordance with the provisions of N.J.A.C. 6A:23A-6.2 and Board Policy 0142.1 – Nepotism.
A support staff member’s misstatement of fact material to his/her qualifications for employment or the determination of his/her salary will be considered by the Board to constitute grounds for dismissal.
N.J.S.A. 18A:6-5; 18A:6-6; 18A:6-7.1; 18A:6-7.1b; 18A:6-7.1c; 18A:6-7.2; 18A:16-1 et seq.; 18A:26-1 et seq.; 18A:27-1 et seq.; 18A:27-4.1; 18A:27-7; 18A:27-8; 18A:39-19.1
N.J.S.A. 18A:54-20 [vocational districts]
Adopted:
6360 POLITICAL CONTRIBUTIONS
Political Contribution Disclosure Requirements
In accordance with the requirements of Section 2 of P.L. 2005, Chapter 271 (N.J.S.A. 19:44A-20.26), the Board of Education shall have on file, to be maintained with other documents related to a contract, the following documents to award a contract to any business entity receiving a contract with an anticipated value in excess of $17,500, regardless of the basis upon which the contract is awarded:
1. A Political Contribution Disclosure (PCD) form submitted by the business entity (at least ten days prior to award); and
2. A Business Registration Certificate (anytime prior to award).
“Business entity” means a for-profit entity that is a natural or legal person, business corporation, professional services corporation, limited liability company, partnership, limited partnership, business trust, association or any other legal commercial entity organized under the laws of New Jersey or any other State or foreign jurisdiction.
The $17,500 contract amount is not related to the Board’s bid threshold and does not exempt the district from the requirements of the Public School Contracts Law or other applicable purchasing statutes.
The $17,500 contract amount threshold is subject to the principle of aggregation rules in accordance with the Division of Local Government Services guidance. Unlike the Public School Contracts Law, aggregation thresholds for this Policy and Chapter 271 purposes shall be calculated at the vendor level – meaning, when a vendor receives more than $17,500 in a school district’s fiscal year, a PCD form shall be required.
The disclosure provisions of N.J.S.A. 19:44A-20.26 do not apply in cases where there is a “public emergency” that requires the immediate delivery of goods or services.
Insurance companies and banks are prohibited under State law from making political contributions. However, because the PCD form reflects contributions made by partners, Boards of Directors, spouses, etc., PCD forms are required ten days prior to the approval of a depository designation resolution or insurance company contract awarded by the Board. A PCD form is also required when a contract in excess of $17,500 is made to an insurance broker. A PCD form is required from the company receiving the contract, regardless of the entity issuing an insurance policy.
PCD forms are required for Board of Education contracts in excess of $17,500 with a New Jersey Department of Education “Approved In-State Private School for the Disabled.” Chapter 271 also applies to in-State private special education schools, supplemental educational services under any Federally funded program NCLB, early childhood school providers – DHS approved, and other similar programs.
If the school district spends more than $17,500 in a school year with a newspaper, the selection of the newspaper is subject to the provisions of Chapter 271.
PCD forms are not required for regulated public utility services, as the Board is required by the Board of Public Utilities to use a specific utility. This exception does not apply to non-regulated public utility services, such as generated energy (not tariffed), or long-distance telephone services where other procurement practices are used.
PCD forms are not required for membership to the New Jersey School Boards Association.
A non-profit organization having proper documentation from the Internal Revenue Service (IRS) showing it is registered with the IRS as a 501(c) type corporation is not required to file a PCD form.
A PCD form is not required for contracts with governmental agencies, including State colleges and universities.
If the original contract provided for the possibility of an extension(s), Chapter 271 compliance is not required if the extension/continuation is based on that original contract.
N.J.S.A. 19:44A-1 et seq.
N.J.A.C. 6A:23A-6.3
New Jersey Department of Community Affairs Local Finance Notices - 6/4/07 & 1/15/10
Adopted:
8330 STUDENT RECORDS
The Board of Education believes that information about individual students must be compiled and maintained in the interest of the student’s educational welfare and advancement. The Board will strive to balance the student’s right to privacy against the district’s need to collect, retain, and use information about individual students and groups of students. The Board authorizes the establishment and maintenance of student files that include only those records mandated by law, rules of the State Board of Education, authorized administrative directive, and those records permitted by this Board.
The Superintendent shall prepare, present to the Board for approval, and distribute regulations that implement this Policy and conform to applicable State and Federal law and rules of the State Board of Education.
General Considerations
The Board of Education shall compile and maintain student records and regulate access, disclosure, or communication of information contained in educational records in a manner that assures the security of such records in accordance with the provisions of N.J.A.C. 6A:32-7.1 et seq. Student records shall contain only such information as is relevant to the education of the student and is objectively based on the personal observations or knowledge of the certified school personnel who originate(s) the record. The school district shall provide annual, written notification to parents, adult students, and emancipated minors of their rights in regard to student records and student participation in educational, occupational, and military recruitment programs. Copies of the applicable State and Federal laws and local policies shall be made available upon request. The school district shall make every effort to notify parents and adult students in their dominant language.
A nonadult student may assert rights of access only through his or her parent(s). However, nothing in this Policy N.J.A.C. 6A:32-7 shall be construed to prohibit certified school personnel from disclosing at their discretion student records to non-adult students or to appropriate persons in connection with an emergency, if such knowledge is necessary to protect the health or safety of the student or other persons.
No liability shall be attached to any member, officer, or employee of the Board of Education—permitting access or furnishing student records in accordance with N.J.A.C. 6A:32-7.1 et seq.
Student Information Directory
A student information directory is a publication of the Board of Education that includes information relating to a student as defined in N.J.A.C. 6A:32-2.1. This information includes: name; grade level; date and place of birth; dates of school attendance; major field of study; participation in officially recognized activities; weight and height relating to athletic team membership; degrees; awards; the most recent educational agency attended by the student; and other similar information. The student information directory shall be used only by authorized school district personnel and for designated official use by judicial, law enforcement, and medical personnel and not for general public consumption.
In the event the school district publishes a student information directory, the Superintendent or designee will provide a parent or adult student a ten-day period to submit to the Superintendent a written statement prohibiting the school district from including any or all types of information about the student in any student information directory before allowing access to such directory to educational, occupational, and military recruiters pursuant to N.J.S.A. 18A:36-19.1 and P.L. 107-110 see. 9528, 20 U.S.C. §8528 - Armed Forces Recruiter Access to Students and Student Recruiting Information of the Elementary and Secondary Education Act (ESEA) of 1965 No Child Left Behind Act of 2001. In accordance with N.J.S.A. 18A:36-19.1, military recruiters will be provided the same access to a student information directory that is provided to educational and occupational recruiters.
School Contact Directory for Official Use
A school contact directory for official use is a compilation by the school district that includes the following information for each student: name; address; telephone number; date of birth; and school enrollment. The district shall compile and maintain a school contact directory for official use that is separate and distinct from the student information directory. The student contact directory may be provided for official use only to judicial and law enforcement personnel, and to medical personnel currently providing services to the student in question. To exclude any information from the school contact directory for official use the parent, adult student, or emancipated minor shall notify the Superintendent or designee in writing.
Mandated and Permitted Student Records
Mandated student records are those records school districts have been directed to compile by State statute, regulations, or authorized administrative directive in accordance with N.J.A.C. 6A:32-7.3.
Permitted student records are those student records not mandated pursuant to N.J.A.C. 6A:32-7.3, but authorized by the Board to promote the student’s educational welfare. The Board shall authorize the permitted records to be collected by adopting Policy and Regulation 8330, which will list such permitted records.
Maintenance and Security of Student Records
The Superintendent or designee shall be responsible for the security of student records maintained in the school district. Policy and Regulation 8330 assure that access to such records is limited to authorized persons.
Records for each individual student may be stored electronically or in paper format. When student records are stored electronically, proper security and backup procedures shall be administered.
Student health records, whether stored on paper or electronically, shall be maintained separately from other student records, until such time as graduation or termination, whereupon the health history and immunization record shall be removed from the student’s health record and placed in the student’s mandated record. Records shall be accessible during the hours in which the school program is in operation.
Any district internet website shall not disclose any personally identifiable information about a student without receiving prior written consent from the student’s parent, in accordance with the provisions of N.J.S.A. 18A:36-35. Personally identifiable information means student names; student photos; student addresses; student e-mail addresses; student phone numbers; and locations and times of class trips.
Access to Student Records
Only authorized organizations, agencies, or persons as defined in N.J.A.C. 6A:32-7.5 shall have access to student records, including student health records. Access to student records shall be provided to persons authorized such access under N.J.A.C. 6A:32-7.1 et seq. within ten days of a request, but prior to any review or hearing conducted in accordance with N.J.A.C. 6A.
The district shall control access to, disclosure of, and communication regarding information contained in student health records to assure access only to people permitted by Federal and State statute and regulations in accordance with N.J.A.C. 6A:32-7.5.
The district may charge a reasonable fee for reproduction of student records, not to exceed the schedule of costs set forth in N.J.S.A. 47:1A-5, provided that the cost does not effectively prevent the parents or adult students from exercising their rights under N.J.A.C. 6A:32-7 or other Federal and State rules and regulations regarding students with disabilities, including N.J.A.C. 6A:14.
Access to and disclosure of a student’s health record shall meet the requirements of the Family Education Rights and Privacy Act, 34 C.F.R. Part 99 (FERPA).
Only authorized organizations, agencies, or persons as defined in N.J.A.C. 6A:32-7.5 shall have access to student records, including student health records.
Nothing in N.J.A.C. 6A:32-7.1 et seq. or in Policy and Regulation 8330 shall be construed to prohibit school personnel from disclosing information contained in the student health record to students or adults in connection with an emergency, if such knowledge is necessary to protect the immediate health or safety of the student or other persons.
In complying with N.J.A.C. 6A:32-7 – Student Records, individuals shall adhere to requirements pursuant to N.J.S.A. 47:1A-10, the Open Public Records Act (OPRA) and 34 CFR Part 99, the Family Educational Rights and Privacy Act (FERPA).
Conditions for Access to Student Records
All authorized organizations, agencies, and persons defined in N.J.A.C. 6A:32-7.1 et seq. shall have access to the records of a student subject to conditions outlined in N.J.A.C. 6A:32-7.6(a).
Rights of Appeal for Parents and Adult Students
Student records are subject to challenge by parents and adult students on the grounds of inaccuracy, irrelevancy, impermissible disclosure, inclusion of improper information or denial of access to organizations, agencies, and persons in accordance with N.J.A.C. 6A:32-7.7(a).
To request a change in the record or to request a stay of disclosure pending final determination of the challenged procedure, the parent or adult student shall follow the procedures pursuant to N.J.A.C. 6A:32-7.7(b).
Appeals relating to student records for students with disabilities shall be processed in accordance with the requirements of N.J.A.C. 6A:32-7.7(b).
Regardless of the outcome of any appeal, a parent or adult student shall be permitted to place in the student record a statement commenting upon the information in the student record or setting forth any reasons for disagreement with the decision made in the appeal. Such statements shall be maintained as part of the student record as long as the contested portion of the record is maintained. If the contested portion of the record is disclosed to any party, the statement commenting upon the information shall also be disclosed to that party.
Retention and Disposal of Student Records
A student record is considered to be incomplete and not subject to the provisions of the Destruction of Public Records Law, N.J.S.A. 47:3-15 et seq., while the student is enrolled in the school district. The school district shall retain the student health record and the health history and immunization record according to the School District Records Retention Schedule, as determined by the New Jersey State Records Committee.
Student records of currently enrolled students, other than that described in N.J.A.C. 6A:32-7.8(e), may be disposed of after the information is no longer necessary to provide educational services to a student and in accordance with the provisions of N.J.A.C. 6A:32-7.8(b).
Upon graduation or permanent departure of a student from the school district, the parent or adult student shall be notified in writing that a copy of the entire student record will be provided to them upon request. Information in student records, other than that described in N.J.A.C. 6A:32-7.8(e), may be disposed of, but only in accordance with the Destruction of Public Records Law, N.J.S.A. 47:3-15 et seq. Such disposition shall be in accordance with the provisions of N.J.A.C. 6A:32-7.8(c)2.
No additions shall be made to the record after graduation or permanent departure without the prior written consent of the parent or adult student.
In accordance with N.J.A.C. 6A:32-7.8(e), the New Jersey public school district of last enrollment, graduation, or permanent departure of the student from the school district shall keep for 100 years a mandated record of a student’s name, date of birth, name of parents, gender, health history and immunization, standardized assessment results, grades, attendance, classes attended, grade level completed, year completed, and years of attendance.
N.J.S.A. 18A:36-19; 18A:36-19.1; 18A:40-4; 18A:40-19
N.J.A.C. 6A:32-7.1; 6A:32-7.2; 6A:32-7.3; 6A:32-7.4; 6A:32-7.5;
6A:32-7.6; 6A:32-7.7; 6A:32-7.8
20 U.S.C. §8528
Adopted:
9713 RECRUITMENT BY SPECIAL INTEREST GROUPS
Choose only one of the following alternatives:
Option-1
[The Board of Education prohibits recruitment activities by outside organizations on school premises, regardless of the purpose of the recruitment or the nature of the recruitment agency. Except as required and referenced below no information about individual students will be released for the purpose of approaching students for educational, occupational, military, or any other recruitment purpose.
However, a school district that receives funds under ESEA, on request from a military recruiter or an institution of higher education, must provide access to the names, addresses, and telephone listings of each secondary student served by the Board of Education. Parents(s), legal guardian(s) and/or the adult students may submit a written request to the Superintendent or designee to opt out of the disclosure of such information for the student in which case the information will not be released without the parent’s or adult student’s written consent request that such information not be released for the child without the prior written parental, legal guardian and/or adult student approval.
Parent(s) or legal guardian(s) of secondary students and adult students shall will be informed annually in writing of their right to request a secondary student’s excusal from participation in all recruitment activities and/or from having their child’s name, address, and/or telephone listing provided to a military recruiter, an institution of higher education, or a prospective employer listing in the student information directory distributed for recruitment purposes.
The district will give military recruiters the same right of access to secondary students as generally provide to post-secondary institutions and prospective employers.]
Option 2
[The Board of Education will permit access to school students on school premises and access to certain information about individual students for educational, occupational, and military recruitment activities. Access for recruitment purposes will be equally available to all recruitment agencies, in accordance with law.
Representatives of bona fide educational institutions, occupational agencies, and the United States Armed Forces may recruit students on school premises by participation in assembly programs, career day activities, and the like and by distributing literature. Permission to recruit on school premises must be requested in writing at least forty-five _____________ working days before the planned activity and must be approved in advance by the Superintendent or designee. The Superintendent or designee shall not favor one recruiter over another, but shall not approve an activity that, in the Superintendent’s judgment of the Superintendent or designee, carries a substantial likelihood of disrupting the educational program of the school or school this district.
Each representative of a bona fide educational institution, occupational agency, and the United States Armed Forces will be given, on request, a copy of the student information directory, compiled in accordance with Policy No. 8330.]
Parent(s) or legal guardian(s) and adult students will be informed annually in writing of their right to request a student’s excusal from participation in all recruitment activities and/or from a listing in the student information directory distributed for recruitment purposes.
Nothing in this Policy shall be construed as requiring the Board to approve or participate in an activity that appears to advance or inhibit any particular religious sect or religion generally.
N.J.S.A. 18A:36-19.1
Elementary and Secondary Education Act of 1965 – §8528
No Child Left Behind §9528
Cross reference: Policy Guide No. 8330
Adopted:
The Board of Education adopts this Student Discipline/Code of Conduct Policy to establish standards, policies, and procedures for positive student development and student behavioral expectations on school grounds and, as appropriate, for conduct away from school grounds. Every student enrolled in this district shall observe promulgated rules and regulations and the discipline imposed for infraction of those rules. The Student Discipline/Code of Conduct Policy shall be based upon concepts of restorative justice that focus on mediation and agreement rather than punishment and shall be based on respect, responsibility, accountability, relationship-building and relationship-repairing.
The Superintendent of Schools will establish a process for the annual review and update of the district’s Student Discipline/Code of Conduct Policy and Regulation that may involve a committee of parents, students, and community members that represent, where possible, the composition of the district’s schools and community. This annual review shall examine ways of building a strong community within the school and laying the groundwork for responsibility and respect; attempts to resolve conflicts within the schools and heal the harm caused by students behaviors that are in violation of the Code of Conduct; supports for students reentering the school community after a suspension or expulsion and individualized support. The Superintendent will report to the Board the process used for the annual review of this Policy and Regulation and will recommend to the Board updates, if any, to the Student Discipline/Code of Conduct Policy and Regulation.
The Student Discipline/Code of Conduct Policy and Regulation shall be disseminated annually to all school staff, students, and parents. The Board of Education shall provide to all employees annual training on the Student Discipline/Code of Conduct Policy and Regulation, which shall include training on restorative justice, the prevention, intervention, and remediation of student conduct that violates the district’s Policy and Regulation. Information on the Student Discipline/Code of Conduct Policy and Regulation shall be incorporated into the orientation for new employees.
The Board provides for the district’s Student Discipline/Code of Conduct’s equitable application. Student discipline and the Code of Student Conduct will be applied without regard to race; color; religion; ancestry; national origin;
nationality; sex; gender; sexual orientation; gender identity or expression; martial, domestic-partnership, or civil union; mental, physical or sensory disability; or by any other distinguishing characteristic, pursuant to N.J.S.A. 10:5.-1 et seq.
For students with disabilities, subject to Individualized Education Programs in accordance with 20 U.S.C. §1400 et seq., the Individuals with Disabilities Education Improvement Act and accommodation plans under 29 U.S.C. §§ 794 and 705(20), the Code of Student Conduct shall be implemented in accordance with the components of the applicable plans.
The Student Discipline/Code of Conduct is established for the purposes outlined in N.J.A.C. 6A:16-7.1(b).
Policy and Regulation 5600 include a description of student responsibilities that include expectations for academic achievement, behavior, and attendance, pursuant to N.J.A.C. 6A:32-8 and 12.1; a description of behaviors that will result in suspension or expulsion, pursuant to N.J.S.A. 18A:37-2; and a description of student rights pursuant to N.J.A.C. 6A:16-7.1(c)3.i through vii; a description of mediation, peer mediation and conflict resolution programs centered upon preventing harmful behavior and repairing and restoring positive relationships.
The Board of Education approves the use of comprehensive behavioral supports that promote positive student development and the students’ abilities to fulfill the behavioral expectations established by the Board. These behavioral supports include, but are not limited to, positive reinforcement for good conduct and academic success including the programs that honor and reward student conduct and academic achievement; supportive intervention and referral services including those services outlined in Policy 2417; remediation of problem behaviors that take into account the behavior’s nature, the students’ developmental ages and the students’ histories of problem behaviors and performance; and for students with disabilities, the behavior interventions and supports shall be determined and provided pursuant to N.J.A.C. 6A:14.
Policy and Regulation 5600 include a description of school responses to violations of behavioral expectations established by the Board that, at a minimum, are graded according to the severity of the offenses, and consider the developmental ages of the student offenders and their histories of inappropriate behaviors pursuant to N.J.A.C. 6A:16-7.1(c)5.
Students are required to be in compliance with Policy and Regulation 5200 – Attendance pursuant to N.J.A.C. 6A:16-7.6 and Policy 5512 – Harassment, Intimidation, and Bullying pursuant to N.J.A.C. 6A:16-7.7.
The Building Principal shall maintain a current list of community-based health and social service provider agencies available to support a student and the student’s family, as appropriate, and a list of legal resources available to serve the community.
The Building Principal or designee shall have the authority to assign discipline to students. School authorities also have the right to impose a consequence on a student for conduct away from school grounds that is consistent with the district’s Code of Student Conduct pursuant to N.J.A.C. 6A:16-7.5. This authority shall be exercised only when it is reasonably necessary for the student’s physical or emotional safety, security, and well-being or for reasons relating to the safety, security, and well-being of other students, staff, or school grounds, pursuant to N.J.S.A. 18A:25-2 and 18A:37-2. This authority shall be exercised only when the conduct that is the subject of the proposed consequence materially and substantially interferes with the requirements of appropriate discipline in the operation of the school. Consequences pursuant to N.J.A.C. 6A:16-7.5 shall be handled in accordance with Policy and Regulation 5600, pursuant to N.J.A.C. 6A:16-7.1, and as appropriate, in accordance with N.J.A.C. 6A:16-7-2, 6A:16-7.3, or 6A:16-7.4. School authorities shall respond to harassment, intimidation, or bullying that occurs off school grounds, pursuant to N.J.S.A. 18A:37-14 and 15.3 and N.J.A.C. 6A:16-1.3, 7.1, and 7.7.
Consequences and appropriate remedial action for a student who commits one or more acts of harassment, intimidation, or bullying may range from positive behavioral interventions up to and including suspension or expulsion. The factors for determining consequences and remedial measures and examples of consequences and remedial measures are listed in Policy 5512 – Harassment, Intimidation, and Bullying. Consequences for a student who commits an act of harassment, intimidation, or bullying shall be varied and graded according to the nature of the behavior, the developmental age of the student and the student’s history of problem behaviors and performance, and shall be consistent with this Policy and the school district’s Student Discipline/Code of Conduct Policy pursuant to N.J.A.C. 6A:16-7.1. Remedial measures for one or more acts of harassment, intimidation, or bullying shall be designed to correct the problem behavior; prevent another occurrence of the problem; protect and provide support.
for the victim of the act; and take corrective action for documented systemic problems related to harassment, intimidation, or bullying.
Consequences and remedial measures to address acts or incidents of dating violence at school shall be consistent with the school district’s Student Discipline/Code of Conduct Policy. The factors for determining consequences and remedial measures and examples of consequences and remedial measures are included in Policy and Regulation 5519 – Dating Violence at School and shall be used to address the act or incident as well as serve as remediation, intervention, education, and prevention for all individuals involved. The responses shall be tiered with consideration given to the seriousness and the number of previous occurrences of acts or incidents in which both the victim and aggressor have been involved. Consequences for acts or incidents of dating violence at school may range from admonishment to suspension or expulsion. Retaliation towards the victim of any act or incident of dating violence shall be considered when administering consequences to the aggressor based on the severity of the act or incident. Remedial measures/interventions for acts or incidents of dating violence at school may include, but are not limited to: parent conferences, student counseling (all students involved in the act or incident), peer support groups, corrective instruction or other relevant learning or service experiences, supportive student interventions (Intervention and Referral Services - I&RS), behavioral management plans, and/or alternative placements.
The Board of Education may deny participation in extra-curricular activities, school functions, sports, graduation exercises, or other privileges as disciplinary sanctions when designed to maintain the order and integrity of the school environment, in accordance with N.J.A.C. 6A:16-7.1(d).
Any student to be disciplined shall be provided the due process procedures for students and their families as set forth in Policy and Regulation 5600 and N.J.A.C. 6A:16-7.2 through 7.4.
In accordance with the provisions of N.J.A.C. 6A:16-7.9, when a student transfers to a public school district from another public school district, all information in the student’s record related to disciplinary actions taken against the student by the school district and any information the school district has obtained pursuant to N.J.S.A. 2A:4A-60, Disclosure of Juvenile Information, Penalties for Disclosure, shall be provided to the receiving public school district, in accordance with the provisions of N.J.S.A. 18A:36-19(a) and N.J.A.C. 6A:32-7.5.
The Superintendent may be required to submit a report annually to the New Jersey Department of Education on student conduct, including all student suspensions and expulsions, and the implementation of the Student Discipline/Code of Conduct Policy in accordance with the format prescribed by the Commissioner of Education. The Superintendent shall report to the Commissioner of Education each incident of violence, including harassment, intimidation, and bullying, vandalism, and alcohol and other drug offenses, pursuant to N.J.A.C. 6A:16-4.3, in the school district utilizing the Student Safety Data System (SSDS), pursuant to N.J.A.C. 6A:16-5.3.
N.J.S.A. 18A:6-1; 18A:36-25.1; 18A:25-2; 18A:36-19a;
18A:37-1 et seq.; 18A:37-13.1 et seq.
N.J.A.C. 6A:16-7.1 et seq.; 6A:14-1.1 et seq.
April 2021
Dear Teaneck Board of Education,
My name is Michael Tuozzolo and I am the Athletic Coordinator and a Physical Education/Health Teacher at Teaneck Community Charter School. I am writing to request a waiver for the Field Usage fee, to use the baseball field at BF Middle School, as you have done in the past.
Over the past several years, I have worked with the coaches and Athletic Director from your district to use the fields at times that do not disrupt their schedules. The players on our team are in grades 5-8 and are students who will attend your high school in a few short years. Our program has proven to be a great starting point for players who wish to come and play for the Teaneck High School team.
I hope we can continue to work together to provide the students of Teaneck with these great opportunities.
Sincerely,
Michael Tuozzolo
Athletic Coordinator
Teaneck Community Charter School
201-833-9600
| ACCOUNT | DESCRIPTION | AMOUNT TRANSFERRED |
|---------|-------------|--------------------|
| 18937 | INSTRUC'L SUPPLIES/TECH MNGMT | (315,929.98) |
| 18937 | TECHNOLOGY LEASE PURCHASE | $315,929.98 |
| | **EXPLANATION:** Chromebook Lease Adj Adjustment | |
| 18938 | INSTRUC'L SUPPLIES/TECH MNGMT | (443,644.00) |
| 18938 | TECHNOLOGY LEASE PURCHASE | $443,644.00 |
| | **EXPLANATION:** Tech Upgrade lease adj Adjustment | |
| 18943 | SOC STUD/TEXTBOOKS/DIST | (4,750.00) |
| 18943 | INSTRL TECH/EQUIP | $4,750.00 |
| | **EXPLANATION:** C&I-keyboardconulntns Adjustment | |
| 18944 | SUBS OT/ASST.SUPT.ED SERVICES | (15,000.00) |
| 18944 | SUPPLIES ASST SUPT EDECL SVC | $15,000.00 |
| | **EXPLANATION:** Educational Svcs Supplies Adj Adjustment | |
| 18945 | PRCH SERV/PERSONNEL ADS | (54.54) |
| 18945 | SUPPLIES & MATERIALS/HRM | $54.54 |
| | **EXPLANATION:** HRM-Legal Posters Adj Adjustment | |
| 18946 | TRAVEL/CONFERENCES/TECH | (2,501.00) |
| 18946 | INTERNET SERVICE | $2,501.00 |
| | **EXPLANATION:** Tech Upgrde-cable&inet BOE adj Adjustment | |
| 18947 | SOC STUD/TEXTBOOKS/DIST | (600.00) |
| 18947 | ED/CONSULT/C & I | $600.00 |
| | **EXPLANATION:** C&I-Make better 4 youth PD adj Adjustment | |
| 18948 | TUITN/PRIV SCH/SP'L ED | (257,677.92) |
| 18948 | TUITN/PRIV SCH/SP ED/OUT STATE | (77,184.19) |
| 18948 | EQUIPMENT LEASE PURCHASE | $334,862.11 |
| | **EXPLANATION:** EQUIP LEASE PURCHASE Adjustment | |
| 18949 | PRCH SERV/RECRUITMENT/HRM | (1,497.00) |
| 18949 | FURNITURE SUPPLIES/GENERAL | $1,497.00 |
| | **EXPLANATION:** HR-Legal Accomodations Adj Adjustment | |
| 18950 | INS EMPL/GROUP HLTH BNFT | (1,854.00) |
| 18950 | PERS CONTRIBUTION | $1,854.00 |
| | **EXPLANATION:** ANNUAL PERS CONTRIBUTION Adjustment | |
| 18951 | CLERICAL OVERTIME | (10,000.00) |
| 18951 | SUBS/SECRETARIAL/DISTRICT WIDE | (12,000.00) |
| 18951 | CONTR/SAL SECRETARIAL | $22,000.00 |
| | **EXPLANATION:** BUDGET ADJ - SECURITY SECY.110 Adjustment | |
| 18953 | SOC STUD/TEXTBOOKS/DIST | (1,200.00) |
| 18953 | SOC STUD/INTTR SUPPLIES/DIST | $1,200.00 |
| | **EXPLANATION:** SECURITY TECH-AUTO ALLOWANCE Adjustment | |
| ACCOUNT | DESCRIPTION | AMOUNT TRANSFERRED |
|---------|-------------|--------------------|
| 18961 | TRANS/EXTRA CURRIC ACTIVITIES | (20,000.00) |
| 18961 | FIELD TRIPS/AII | (1,500.00) |
| 18961 | EQUIP/THS/ADMIN | $21,500.00 |
**EXPLANATION:** THS-Buy Promethan Boards Adj Adjustment
| 18962 | PRCH SERV/PERSONNEL ADS | (88.93) |
| 18962 | SUPPLIES & MATERIALS/HRM | 88.93 |
**EXPLANATION:** HRM-Office Supplies Adj Adjustment
| 18981 | REALLOC TITLEI SUPPL THS | (1,499.00) |
| 18981 | REALLOC TITLE EDUC SVC THS | (3,000.00) |
| 18981 | TITLE I REALLOC. SUPPLIES THS | 4,499.00 |
**EXPLANATION:** THS-NonInstructSupplies Adj Adjustment
| 18986 | EQUIP/ART/SUPT - DW | (80,000.00) |
| 18986 | SUPPLIES & MATERIALS/TECH-NTWK | 80,000.00 |
**EXPLANATION:** SuprIntendentOffice Adj Adjustment
| 18988 | CAR & TECH ALLOWANCE SECURITY | (6,000.00) |
| 18988 | AUTO & TECH ALLOWANCE/SECURITY | 6,000.00 |
**EXPLANATION:** SECRTY TECH-AUTO ALLOWANCE Adjustment
| 19001 | INSTL SUPPLIES/LOWELL | (18,700.00) |
| 19001 | EQUIPMENT LOWELL SCHOOL | 18,700.00 |
**EXPLANATION:** LOWELL-ProMethanBoards Adj Adjustment
| 19017 | MAINTENANCE/OVERTIME | (0.04) |
| 19017 | CONTR SAL/O & M SECY | 0.04 |
**EXPLANATION:** O&M Secy Sal Adj Adjustment
| 19022 | CONTRACT SAL/BUS DRIVER/OTHER | (0.04) |
| 19022 | CONTR SAL/TRANS/P GENERAL ED | 0.04 |
**EXPLANATION:** Contr Sal Adj Adjustment
| 19023 | STIPENDS/ABA SERVICES/IN-DIST | (2,200.00) |
| 19023 | CONTR SAL/SPCH THERPST | 2,200.00 |
**EXPLANATION:** Spch Therpst sal adj Adjustment
| 19024 | BLDG IMPR/RENO | (10,122.93) |
| 19024 | ADMIN. BLDG. CONSTRUCTION | 10,122.93 |
**EXPLANATION:** Admin Bldg Constr Adj Adjustment
| 19026 | CON SL/SEC/GUID/AD CR/HS | (625.15) |
| 19026 | CONTR SAL/TECH ASSIST - SASI | 625.15 |
**EXPLANATION:** TechAsst-Sasi Contr Sal Adj Adjustment
| 19027 | CONTR SAL/SUPT OFF/SECRETARY | (994.42) |
| 19027 | CONTR SAL/SUPT OF SCHLS | 994.42 |
**EXPLANATION:** SuptSchls Contr Sal Adj Adjustment
| ACCOUNT | DESCRIPTION | AMOUNT TRANSFERRED |
|---------|-------------|--------------------|
| 19028 | CON SAL/TCH EL/MUSIC VOC | $ (58,000.00) |
| 19028 | CONTR SAL/UK TEACHERS/T.LACEY | $ 58,000.00 |
| | **Total** | **$ (58,000.00)** |
**EXPLANATION:** TCHR SAL ACCT, ADJ LACEY Adjustment
| ACCOUNT | DESCRIPTION | AMOUNT TRANSFERRED |
|---------|-------------|--------------------|
| 19031 | SUBS/NURSES/DISTRICT WIDE | $ (5,955.91) |
| 19031 | FEES/PHYSICIANS & PRCH MED SRV | $ (16,394.09) |
| 19031 | CONTR SAL/NURSES/LOWELL | $ 10,550.00 |
| 19031 | CONTR SAL/NURSES/TJ MS | $ 11,800.00 |
| | **Total** | **$ (22,350.00)** |
**EXPLANATION:** ContrSalNurses adj Adjustment
| ACCOUNT | DESCRIPTION | AMOUNT TRANSFERRED |
|---------|-------------|--------------------|
| 19033 | CONTR SAL/CORE TCHRS/TJ | $ (46,717.20) |
| 19033 | CONTR SAL/TCHR HS/MATH | $ 46,717.20 |
| | **Total** | **$ (46,717.20)** |
**EXPLANATION:** THS TCHR SAL ACCT. ADJ Adjustment
| ACCOUNT | DESCRIPTION | AMOUNT TRANSFERRED |
|---------|-------------|--------------------|
| 19034 | PURCH'D PROF'L SERV/ABA | $ (13,200.00) |
| 19034 | CONTR SAL/BEHAVIORIST | $ 13,200.00 |
| | **Total** | **$ (13,200.00)** |
**EXPLANATION:** ContrSal Behaviorist Adj Adjustment
| ACCOUNT | DESCRIPTION | AMOUNT TRANSFERRED |
|---------|-------------|--------------------|
| 19036 | CONTR SAL/CLIN SERV/CST | $ (49,875.02) |
| 19036 | CONT SAL/SEC/CLIN.SERV. | $ 49,875.02 |
| | **Total** | **$ (49,875.02)** |
**EXPLANATION:** ContrSalSecCinServ Adj Adjustment
| ACCOUNT | DESCRIPTION | AMOUNT TRANSFERRED |
|---------|-------------|--------------------|
| 19038 | PURCH SERV/ELEC LIBR/ELEM | $ (5,050.00) |
| 19038 | PURCH SERV/ELEC LIBR/MS | $ (1,350.00) |
| 19038 | CONTR SAL/AIDES LIBR/#4 | $ 3,900.00 |
| 19038 | CONTR SAL/AIDES LIBR/#5 | $ 1,250.00 |
| 19038 | CONTR SAL/AIDES LIBR/#7 | $ 1,250.00 |
| | **Total** | **$ (6,400.00)** |
**EXPLANATION:** ContrSalLibrAides Adj Adjustment
| ACCOUNT | DESCRIPTION | AMOUNT TRANSFERRED |
|---------|-------------|--------------------|
| 19041 | EXT SCH YR/PROF SERV/LLD | $ (2,235.60) |
| 19041 | CONTR SAL/TCHR/BD/ELEM | $ (77,400.00) |
| 19041 | EXT SCH YR/PROF SERV/BD | $ (21,480.00) |
| 19041 | CONTR SAL/TCHR SE/LLD #4 | $ 12,400.00 |
| 19041 | CONTR SAL/TCHR SE/LLD/5 | $ 69,400.00 |
| 19041 | CONTR SAL/TCHR SE/LLD/TJ | $ 19,315.60 |
| | **Total** | **$ (101,115.60)** |
**EXPLANATION:** TEACHER SALARY ACCT ADJ Adjustment
| ACCOUNT | DESCRIPTION | AMOUNT TRANSFERRED |
|---------|-------------|--------------------|
| 19042 | CONTR SAL/TCHR SE/RR BF | $ (62,400.00) |
| 19042 | CONTR SAL/TCHR/MULT DISBL | $ 62,400.00 |
| | **Total** | **$ (62,400.00)** |
**EXPLANATION:** TEACHER SALARY ACCT ADJ Adjustment
| ACCOUNT | DESCRIPTION | AMOUNT TRANSFERRED |
|---------|-------------|--------------------|
| 19046 | CONTR SAL/TCHR SE/RR HS | $ (104,306.00) |
| 19046 | CONTR SAL/TCHRPSD | $ 104,306.00 |
| | **Total** | **$ (104,306.00)** |
**EXPLANATION:** TCHR SAL ACCT. ADJ Adjustment
| ACCOUNT | DESCRIPTION | AMOUNT TRANSFERRED |
|---------|-------------|--------------------|
| 19047 | EQUIP RPR/INSTR EQUIPMT/TJ | $ (400.00) |
| 19047 | EQUIP RPR/ADMIN/SP SV OFF | $ (2,000.00) |
| 19047 | EQUIP RPR/HEALTH/BF | $ (400.00) |
| 19047 | MAINT-REPAIR/HEALTH EQUIP | $ (2,000.00) |
| 19047 | CONTR SAL/GROUNDS | $ (15,903.95) |
| 19047 | CONTR SAL/MAINT. MECH | $ (3,937.59) |
| 19047 | FURNITURE SUPPLIES/GENERAL | $ 24,641.54 |
| | **Total** | **$ (24,641.54)** |
**EXPLANATION:** FurnitureSupp/General Adj Adjustment
| ACCOUNT | DESCRIPTION | AMOUNT TRANSFERRED |
|---------|-------------|--------------------|
| 19048 | CONTR SAL/TCHR SE/RR HS | (121,777.80) |
| 19048 | CON SAL/REMEDIAL & PRE K | 121,777.80 |
**EXPLANATION:** TCHR SAL ACCT. ADJ Adjustment
| ACCOUNT | DESCRIPTION | AMOUNT TRANSFERRED |
|---------|-------------|--------------------|
| 19049 | ATHLETIC SUPPLIES | (5,374.23) |
| 19049 | CONTR SAL/ATHL TRAINER | 1,249.23 |
| 19049 | CONTR SAL/SECRETARIAL/ATHLETIC | 4,125.00 |
**EXPLANATION:** ATHLETICS SAL ACCT ADJ Adjustment
| ACCOUNT | DESCRIPTION | AMOUNT TRANSFERRED |
|---------|-------------|--------------------|
| 19050 | CONTRACT SAL/BUS DRIVER/OTHER | (2,000.00) |
| 19050 | SUBS/OT/TRANSPORTATION | 2,000.00 |
**EXPLANATION:** SubsOTransportation Adj Adjustment
| ACCOUNT | DESCRIPTION | AMOUNT TRANSFERRED |
|---------|-------------|--------------------|
| 19051 | STIPENDS/ABA SERVICES/IN-DIST | (7,300.00) |
| 19051 | OTHR SAL/HOME INSTR/SPED | (40,184.40) |
| 19051 | E.S.L./TCHR CONTR SAL/RYS | 47,484.40 |
**EXPLANATION:** ATHLETICS SAL ACCT ADJ Adjustment
| ACCOUNT | DESCRIPTION | AMOUNT TRANSFERRED |
|---------|-------------|--------------------|
| 19052 | CONTR SAL/BLDG ADMIN/#4 | (14,824.67) |
| 19052 | CONTR SAL/SECRETARIAL HS | (5,895.27) |
| 19052 | CONTR SAL/BLDG ADMIN/HS | 17,219.94 |
| 19052 | CONTR SAL/SECRETARIAL #5 | 3,500.00 |
**EXPLANATION:** ContrSalBldgAdminSec adj Adjustment
| ACCOUNT | DESCRIPTION | AMOUNT TRANSFERRED |
|---------|-------------|--------------------|
| 19055 | MEDIA CTR SUPPLIES/DW | (2,055.65) |
| 19055 | CONTR SAL/ATTENDANCE | 430.16 |
| 19055 | CONTR SAL/STUDENT INFO SYSTEM | 1,625.49 |
**EXPLANATION:** ATTENDANCE SAL. ACCT ADJ Adjustment
## Professional Development
**Name:** Debbie Salkin
**School or Department:** Yeshiva He’Atid (Non-Public)
**Conference/Seminar/Workshop/Vendor:** Teachers College, Columbia University – Writing Institute: June 2021 (Reading and Writing Project Network, LLC)
**Dates:** June 21st – June 25th, 2021 (Virtual)
**Estimated Cost:** $850.00 (Funded with Title II Non-Public Funds: 20-270-200-320-92-50-I-9)
**Name:** Debbie Golubtchik
**School or Department:** Yeshiva He’Atid (Non-Public)
**Conference/Seminar/Workshop/Vendor:** Teachers College, Columbia University – Writing Institute: June 2021 (Reading and Writing Project Network, LLC)
**Dates:** June 21st – June 25th, 2021 (Virtual)
**Estimated Cost:** $850.00 (Funded with Title II Non-Public Funds: 20-270-200-320-92-50-I-9)
**Name:** Jenny Goldstein
**School or Department:** Yeshiva He’Atid (Non-Public)
**Conference/Seminar/Workshop/Vendor:** Teachers College, Columbia University – Writing Institute: June 2021 (Reading and Writing Project Network, LLC)
**Dates:** June 21st – June 25th, 2021 (Virtual)
**Estimated Cost:** $850.00 (Funded with Title II Non-Public Funds: 20-270-200-320-92-50-I-9)
**Name:** Geela Weisburg
**School or Department:** Yeshiva He’Atid (Non-Public)
**Conference/Seminar/Workshop/Vendor:** Teachers College, Columbia University – Writing Institute: June 2021 (Reading and Writing Project Network, LLC)
**Dates:** June 21st – June 25th, 2021 (Virtual)
**Estimated Cost:** $850.00 (Funded with Title II Non-Public Funds: 20-270-200-320-92-50-I-9)
**Name:** Kara Siegel
**School or Department:** Yeshiva He’Atid (Non-Public)
**Conference/Seminar/Workshop/Vendor:** Teachers College, Columbia University – Writing Institute: June 2021 (Reading and Writing Project Network, LLC)
**Dates:** June 21st – June 25th, 2021 (Virtual)
**Estimated Cost:** $850.00 (Funded with Title II Non-Public Funds: 20-270-200-320-92-50-I-9)
**Name:** Matthew Rudoy
**School or Department:** Yeshiva He’Atid (Non-Public)
**Conference/Seminar/Workshop/Vendor:** Teachers College, Columbia University – Writing Institute: June 2021 (Reading and Writing Project Network, LLC)
**Dates:** June 21st – June 25th, 2021 (Virtual)
**Estimated Cost:** $850.00 (Funded with Title II Non-Public Funds: 20-270-200-320-92-50-I-9)
Name: Janice Jacobs
School or Department: Yeshiva He’Atid (Non-Public)
Conference/Seminar/Workshop/Vendor: Teachers College, Columbia University – Writing Institute: July 2021 (Reading and Writing Project Network, LLC)
Dates: July 12th – July 16th, 2021 (Virtual)
Estimated Cost: $850.00 (Funded with Title II Non-Public Funds: 20-270-200-320-92-50-I-9)
Name: Noah Kalter
School or Department: Yeshiva He’Atid (Non-Public)
Conference/Seminar/Workshop/Vendor: Teachers College, Columbia University – Writing Institute: July 2021 (Reading and Writing Project Network, LLC)
Dates: July 12th – July 16th, 2021 (Virtual)
Estimated Cost: $850.00 (Funded with Title II Non-Public Funds: 20-270-200-320-92-50-I-9)
Name: Leiku Perles
School or Department: Yeshiva He’Atid (Non-Public)
Conference/Seminar/Workshop/Vendor: Teachers College, Columbia University – Writing Institute: July 2021 (Reading and Writing Project Network, LLC)
Dates: July 12th – July 16th, 2021 (Virtual)
Estimated Cost: $850.00 (Funded with Title II Non-Public Funds: 20-270-200-320-92-50-I-9)
Name: Maura Tuite
School or Department: Special Education
Conference/Seminar/Workshop: The NJ Special Education Annual Summit
Location: Virtual
Dates: May 7, 2021
Estimated Cost: $149.00 (District Funded)
Professional Development
Name: Jaclyn Kiely
School or Department: Thomas Jefferson Middle School
Conference/Seminar/Workshop: Capstone Conference (Completing the Alternate Route/New Pathways Program)
Location: Virtual Conference
Dates: May 21, 2021
Estimated Cost: $0.00 – Substitute Required (No Funding Required)
Name: Ramon Ortiz
School or Department: Thomas Jefferson Middle School
Conference/Seminar/Workshop: The Principal/Assistant Principal/Vice Principal Survival Guide
Location: Virtual Workshop
Dates: June 9, 2021
Estimated Cost: $100.00 – Substitute Not Required (District Funded)
Field Trips
Name: Elizabeth Rynd, Tomasina Schwarz, Dr. Antoinette Bush, Emmanuel Viray, Paulette Szalay, Natalie De La Cruz, Robert Davis Jr, 12 Parent Chaperones
School or Department: Thomas Jefferson Middle School
Trip Planned: Teaneck Swim Club
Location: Teaneck, NJ
Date(s): May 26, 2021
Depart: 8:30 AM
Return: 3:00 PM
Rain Date: May 27, 2021
Estimated Cost: $1,500.00 - Substitute Not Required (PTA Funded)
EXPLANATION: This is the eighth grade culminating and celebratory graduation trip.
Fundraising Activities by School
School or Department: Teaneck High School
Fundraising Activity: Clothing Drive
Sponsoring Organization: PTSO – Project Graduation
Name of sponsors: Ms. Melanie Gonzalez – Parent Organization
Participants: The parent organization will host a clothing drive for THS graduates.
Location(s): Teaneck Community
Date(s): May 2, 2021
Estimated funds to be raised by this activity: $150
Funds to sponsoring organization: 100%
EXPLANATION: The funds will be used to purchase gifts for the senior class.
School or Department: Teaneck High School
Fundraising Activity: Food Drive
Sponsoring Organization: National Honor Society
Name of sponsors: Ms. Luigi Venezia & Ms. Brenda Cierech – Staff
Participants: The students of the national honor society with the helping hands of Teaneck/Smile.
Location(s): Teaneck High School
Date(s): May 2021
Time: 10am - 2pm
Estimated funds to be raised by this activity:
Funds to sponsoring organization: 100%
EXPLANATION: The items collected will be donated to local shelters to help the less fortunate.
| Student ID# | Placement | Tuition | Start Date | 1:1 Aide |
|------------|-------------------------|-------------|--------------|----------|
| 106516 | Cornerstone Day School | $26,026.00 | 3/22/2021 | |
| Student ID# | Placement | Discipline/Rate | NOT TO EXCEED | Start Date |
|------------|-------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------|------------|
| 105212 | Berger Learning Group | ABA Program Set up $150/hr. ABA Program Supervision/Coordination by BCBA $150 per hr, including direct service by BCBA. 1:1 ABA direct instruction $80 per hr. ABA clinic (BCBA) $150 per hr, ABA clinic $80 per hr (per therapist). Make up session due to COVID-19 closure. | $5,000.00 | |
THIS INTERLOCAL CONTRACT ("Contract"), made and entered into pursuant to the Texas Interlocal Cooperation Act, Chapter 791, Texas Government Code (the "Act"), by and between the Houston-Galveston Area Council, hereinafter referred to as "H-GAC," having its principal place of business at 3555 Timmons Lane, Suite 120, Houston, Texas 77027, and Teaneck Board of Education, a local government, a state agency, or a non-profit corporation created and operated to provide one or more governmental functions and services, hereinafter referred to as "End User," having its principal place of business at TEANECK PUBLIC SCHOOLS, 651 Teaneck Rd TEANECK, NJ 07666.
WITNESSETH
WHEREAS, H-GAC is a regional planning commission and political subdivision of the State of Texas operating under Chapter 391, Texas Local Government Code; and
WHEREAS, pursuant to the Act, H-GAC is authorized to contract with eligible entities to perform governmental functions and services, including the purchase of goods and services; and
WHEREAS, in reliance on such authority, H-GAC has instituted a cooperative purchasing program under which it contracts with eligible entities under the Act; and
WHEREAS, End User has represented that it is an eligible entity under the Act, that its governing body has authorized this Contract on 04/28/2021 (Date), and that it desires to contract with H-GAC on the terms set forth below;
NOW, THEREFORE, H-GAC and the End User do hereby agree as follows:
ARTICLE 1: LEGAL AUTHORITY
The End User represents and warrants to H-GAC that (1) it is eligible to contract with H-GAC under the Act because it is one of the following: a local government, as defined in the Act (a county, a municipality, a special district, or other political subdivision of the State of Texas or any other state), or a combination of two or more of those entities, a state agency (an agency of the State of Texas as defined in Section 771.002 of the Texas Government Code, or a similar agency of another state), or a non-profit corporation created and operated to provide one or more governmental functions and services, and (2) it possesses adequate legal authority to enter into this Contract.
ARTICLE 2: APPLICABLE LAWS
H-GAC and the End User agree to conduct all activities under this Contract in accordance with all applicable rules, regulations, and ordinances and laws in effect or promulgated during the term of this Contract.
ARTICLE 3: WHOLE AGREEMENT
This Contract and any attachments, as provided herein, constitute the complete contract between the parties hereto, and supersede any and all oral and written agreements between the parties relating to matters herein.
ARTICLE 4: PERFORMANCE PERIOD
The period of this Contract shall be for the balance of the fiscal year of the End User, which began 07/01/2021 and ends 06/30/2022. This Contract shall thereafter automatically be renewed annually for each succeeding fiscal year, provided that such renewal shall not have the effect of extending the period in which the End User may make any payment due an H-GAC contractor beyond the fiscal year in which such obligation was incurred under this Contract.
ARTICLE 5: SCOPE OF SERVICES
The End User appoints H-GAC its true and lawful purchasing agent for the purchase of certain products and services through the H-GAC Cooperative Purchasing Program. End User will access the Program through HGACBuy.com and by submission of any duly executed purchase order, in the form prescribed by H-GAC to a contractor having a valid contract with H-GAC. All purchases hereunder shall be in accordance with specifications and contract terms and pricing established by H-GAC. Ownership (title) to products purchased through H-GAC shall transfer directly from the contractor to the End User.
ARTICLE 6: PAYMENTS
H-GAC will confirm each order and issue notice to contractor to proceed. Upon delivery of goods or services purchased, and presentation of a properly documented invoice, the End User shall promptly, and in any case within thirty (30) days, pay H-GAC’s contractor the full amount of the invoice. All payments for goods or services will be made from current revenues available to the paying party. In no event shall H-GAC have any financial liability to the End User for any goods or services End User procures from an H-GAC contractor.
ARTICLE 7: CHANGES AND AMENDMENTS
This Contract may be amended only by a written amendment executed by both parties, except that any alterations, additions, or deletions to the terms of this Contract which are required by changes in Federal and State law or regulations are automatically incorporated into this Contract without written amendment hereto and shall become effective on the date designated by such law or regulation.
H-GAC reserves the right to make changes in the scope of products and services offered through the H-GAC Cooperative Purchasing Program to be performed hereunder.
ARTICLE 8: TERMINATION PROCEDURES
H-GAC or the End User may cancel this Contract at any time upon thirty (30) days written notice by certified mail to the other party to this Contract. The obligations of the End User, including its obligation to pay H-GAC’s contractor for all costs incurred under this Contract prior to such notice shall survive such cancellation, as well as any other obligation incurred under this Contract, until performed or discharged by the End User.
ARTICLE 9: SEVERABILITY
All parties agree that should any provision of this Contract be determined to be invalid or unenforceable, such determination shall not affect any other term of this Contract, which shall continue in full force and effect.
ARTICLE 10: FORCE MAJEURE
To the extent that either party to this Contract shall be wholly or partially prevented from the performance within the term specified of any obligation or duty placed on such party by reason of or through strikes, stoppage of labor, riot, fire, flood, acts of war, insurrection, accident, order of any court, act of God, or specific cause reasonably beyond the party’s control and not attributable to its neglect or nonfeasance, in such event, the time for the performance of such obligation or duty shall be suspended until such disability to perform is removed; provided, however, force majeure shall not excuse an obligation solely to pay funds. Determination of force majeure shall rest solely with H-GAC.
ARTICLE 11: VENUE
Disputes between procuring party and Vendor are to be resolved in accord with the law and venue rules of the State of purchase.
THIS INSTRUMENT HAS BEEN EXECUTED BY THE PARTIES HERETO AS FOLLOWS:
Teaneck Board of Education
Name of End User (local government, agency, or non-profit corporation)
TEANECK PUBLIC SCHOOLS, 651 Teaneck Rd
Mailing Address
TEANECK, NJ 07666
City, State ZIP Code
Melissa Simmons (Apr 1, 2021 14:20 EDT) 4/1/21
Signature of chief elected or appointed official | Date
Houston-Galveston Area Council
3555 Timmons Lane, Suite 120, Houston, TX 77027
By:
Executive Director
Date:
END USER DATA
Please sign and return the Interlocal Contract, along with this completed form, to H-GAC by emailing it to firstname.lastname@example.org or by faxing it to 713-993-2424. The contract may also be mailed to:
H-GAC Cooperative Purchasing Program
P.O. Box 22777, Houston, TX 77227-2777
Name of End User Agency: Teaneck Board of Education County Name: Bergen
Mailing Address: TEANECK PUBLIC SCHOOLS, 651 Teaneck Rd TEANECK, NJ 07666
Main Telephone Number: 201-833-5527 FAX Number: 201-837-2274
Physical Address: TEANECK PUBLIC SCHOOLS, 651 Teaneck Rd TEANECK, NJ >07666
Web Site Address: www.teaneckschools.org
Official Contact: MELISSA SIMMONS Title: Business Administrator
Mailing Address: TEANECK PUBLIC SCHOOLS, 651 Teaneck Rd TEANECK, NJ 07666
Ph No.: 201-833-5527
FX No.: 201-833-2274
E-Mail Address: email@example.com
Authorized Official: MELISSA SIMMONS Title: Business Administrator
Mailing Address: TEANECK PUBLIC SCHOOLS, 651 Teaneck Rd TEANECK, NJ 07666
Ph No.: 201-833-5527
FX No.:
E-Mail Address: firstname.lastname@example.org
Authorized Official: Anthony D'Angelo Title: Director of Facilities
Mailing Address: 1315 Taft Road TEANECK, NJ 07666
Ph No.: 201-833-5527
FX No.:
E-Mail Address: email@example.com
COOPERATIVE PRICING SYSTEM AGREEMENT
NJSBA ACES CPS #E8801
This Agreement, made and entered into this 14th day of April, 2023, by and between the New Jersey School Boards Association on behalf of the NJSBA Cooperative Pricing System and (insert name of participants) and other local district boards of education located in the State of New Jersey who may in the future choose to participate in the ACES (NJSBA) Cooperative Pricing System.
WITNESSETH
WHEREAS, the Public School Contracts Law, N.J.S.A. 18A:18A-4.1a, authorizes district boards of education to competitively contract for the procurement of proprietary computer software and services; and
WHEREAS, the New Jersey School Boards’ Association (NJSBA), N.J.S.A. 18A:6-45 et. seq., on behalf of its membership has competitively contracted to procure on an aggregated basis digital and electronic products and services, E-Rate Consulting and Processing Services, and other technology products and programs to enhance Members readiness for Future Ready Schools, as well as energy aggregation services, supplies and materials, time and materials; and such other services and products as two or more participating local boards in the system agree can be purchased on a cooperative basis; and
WHEREAS, N.J.S.A. 18A:18A-11 specifically authorizes two or more local district boards of education (hereinafter referred to as local boards) to enter into a Cooperative Pricing Agreement for the purchase of work, materials, and supplies; and
WHEREAS, NJSBA is conducting a voluntary Cooperative Pricing System within the State of New Jersey, utilizing the administrative purchasing services and facilities of NJSBA; and
WHEREAS, this Cooperative Pricing Agreement (hereinafter referred to as the Agreement) is to effect substantial economies in the purchase of energy and technology products and services for local boards across this State; and
WHEREAS, all parties to this Agreement have approved this Agreement by resolution, in accordance with N.J.S.A. 18A:18A-1 et. seq. and regulations promulgated thereunder; and
WHEREAS, it is the desire of all parties to enter into such Agreement for said purposes;
NOW, THEREFORE, IN CONSIDERATION OF the promises and of the covenants, terms, and conditions hereinafter set forth, it is mutually agreed as follows:
1. The products and services to be priced cooperatively may include, on an aggregated basis or not, digital and electronic products and services, E-Rate Consulting and Processing Services, and other technology products and programs to enhance Members readiness for Future Ready Schools-NJ, as well as energy aggregation services, supplies and materials, time and materials; and such other services and products as two or more participating local boards in the system agree can be purchased on a cooperative basis.
2. The services and classes of services which may be designated by the participating local boards hereto may be purchased cooperatively for the period commencing with the execution of this Agreement and continuing until terminated as hereinafter provided.
3. The NJSBA, on behalf of all participating contracting units, shall, upon approval of the System’s registration and upon the anniversary of the system’s registration publish a legal ad in such format as required by N.J.A.C. 5:34-7.12 in a newspaper normally used for such purposes by it, to include such information as:
a. NJSBA’s full name and the fact that it may be soliciting competitive bids or informal quotations; and
b. NJSBA’s address and telephone number; and
c. The names of the participating contracting units; and
d. The State Identification Code for the Cooperative Pricing System, and
e. The expiration date of the Agreement.
4. Each of the participating local boards shall designate, in writing, to NJSBA, products and services to be purchased and indicate therein the approximate quantities desired, the location for delivery and other requirements, to permit the preparation of specifications as provided by law.
5. The specifications shall be prepared and approved by NJSBA and no changes shall thereafter be made except as permitted by law. Nothing
herein shall be deemed to prevent changes in specifications for subsequent purchases.
6. A single advertisement for bids or the solicitation of informal quotations for the work, materials or supplies to be purchased shall be prepared by NJSBA on behalf of all of the participating local boards desiring to purchase products and services and some or all of the other services specified in this Agreement.
7. NJSBA shall receive bids or quotations on behalf of all participating local boards. Following the receipt of bids, NJSBA shall review said bids and on behalf of all participating local boards, either reject all or certain of the bids or make one award to the lowest responsible bidder. This award shall result in the opportunity for individual local boards to enter into individual contracts with the successful bidder providing for the estimated aggregate quantities to be purchased during the term of the individual contracts.
8. Upon determining to accept the bid provided through this Agreement, each participating local board shall:
a. Certify the funds available only for its own needs ordered;
b. Enter into a formal written contract directly with the successful bidder(s);
c. Issue purchase orders in its own name directly to successful bidder(s) against said contract;
d. Accept its own deliveries;
e. Be invoiced and receive statements from the successful bidder(s);
f. Make payment directly to the successful bidder(s) and
g. Be individually responsible for any tax liability associated with the individual contract.
9. No participating local board in the Cooperative Pricing System shall be responsible for payment for any services ordered or for performance generally by any other participating local board. Each participating local board shall, accordingly be liable only for its own performance and for items ordered and received by it and none assumes any additional responsibility or liability.
The provisions of paragraphs 7, 8 and 9 above shall be quoted or referenced and sufficiently described in all specifications so that each
bidder shall be on notice as to the respective responsibilities and liabilities of the participating contracting units.
10. No participating local board in the Cooperative Pricing System shall issue a purchase order or issue a contract for a price which exceeds any other price available to it from any other such system in which it is authorized to participate or from bids which it has itself received.
11. NJSBA reserves the right to exclude any item or service from within said system if, in its opinion, the pooling of purchasing requirements or needs of the participating contracting units is either not beneficial or practicable.
12. NJSBA shall appropriate sufficient funds to enable it to perform the administrative responsibilities assumed pursuant to this Agreement.
13. This Agreement shall become effective upon signing, subject to the review and approval of the Director of the Division of Local Government Services and shall continue in effect for the duration of the Cooperative Pricing System’s Registration with DCA unless any party to this Agreement shall give written notice of its intention to terminate its participation.
14. Additional local boards may from time to time, execute this Agreement by means of a Rider attached hereto, which addition shall not invalidate this Agreement with respect to the other signatories. NJSBA is authorized to execute the Rider(s) on behalf of the members of the Cooperative Pricing System.
15. All records and documents maintained or utilized pursuant to the terms of this Agreement shall be identified by the code number assigned to the System by the Director, Division of Local Government Services, and such other numbers as are assigned by the Lead Agency for purposes of identifying each contract and item awarded.
16. This Agreement shall be binding upon and enure to the benefit of the successors and assigns of the respective parties hereto.
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be signed and executed by their authorized corporate officers and their respective seals to be hereto affixed the day and year above written.
BY: ____________________________
Name and Title
New Jersey School Boards Association
Dr. Lawrence S. Feinsod
Executive Director
ATTEST BY: ____________________________
Name and Title
Cynthia J. Harrison
Executive Admin. Asst.
FOR THE PARTICIPATING LOCAL DISTRICT BOARD OF EDUCATION:
BY: Melissa R. Simmons
Name and Title
ATTEST BY: ____________________________
Name and Title
Karla Starks, Comptroller/Assistant Board Secretary
Signature: ____________________________
Melissa Simmons (Mar 30, 2021 19:03 EDT)
Email: firstname.lastname@example.org
## Teaneck Public Schools Special Education Medicaid Initiative (SEMI) Action Plan
In accordance with N.J.A.C. 6A:23A-5.3(f) and (g), failure to maximize SEMI, each district that has less than 90 percent participation of SEMI eligible students in the prebudget year or has failed to comply with all program requirements set forth in N.J.A.C. 6A:23A-5.3(e) shall submit a SEMI action plan to the Executive County Superintendent for review and approval as part of the district’s proposed budget submission. Districts should determine which items below relate to their specific areas of weakness and then specify activities to be implemented to improve and maximize SEMI participation.
**County:** Bergen
**District:** Teaneck 03-5150
**Date:** February 19, 2021
### Corrective Action Plan Table
| SEMI Action Plan Components | District Activities for Compliance | Person(s) Responsible | Projected Timelines | Documentation of Completion/Implementation | Date |
|--------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------|-------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------|
| **COVID-19:** The failure to achieve the revenue benchmark directly related to the State-wide declaration of a public health emergency, which resulted in school closures, thus reducing the number of Medicaid eligible services provided. Attestation that district will strive to deliver all required health-related direct and evaluation services in a safe manner and will submit for billing in a timely manner. | District will provide all required health-related direct via remote/virtual and/or in person sessions as per IEPs. Person(s) responsible will log such services. Distict will provide evaluation services in person in a safe manner following state, federal, and local timelines and in accordance with social distancing protocols and CDC recommendations and in accordance with parent/guardian consent for the evaluations/in person testing. | Case Managers, SEMI Coordinator, and Director of Special Services & Nursing Services | Current/On-going (February - June) | IEPs and provider logs. Contact with PCG is current and ongoing. List of eligible students in and out of district will be maintained by the SEMI Coordinator. Contracts and information from outside consultants. | |
| **Establishing Benchmarks for Maximum SEMI Participation:** Establish a benchmark of x percent for the current school year or for the first year that the district does not have an approved waiver pursuant to the provisions of N.J.A.C. 6A:23A-5.3(b), whichever is applicable, for obtaining maximum participation of all SEMI eligible students by the start of the subsequent school year. The benchmarks for the current school year or for the first year that the district does not have an approved waiver pursuant to (b) above, whichever is applicable, for achieving maximum participation shall close, at a minimum, the gap between current participation and maximum participation by 50 percent by the beginning of the subsequent school year; and The benchmarks shall be based on the percentage of parental consent forms collected from eligible students. The number of parental consent forms shall reflect one parental consent form or one document noting parental refusal for each eligible student. | As per N.J.A.C 6A:23A-5.3(f), an action plan is required because 100 percent of budgeted revenue was not met. The FY 2020 SEMI program performance report showed 65% of revenue was achieved and triggered an action plan. In order to increase the maximum participation and increase the budgeted revenue to the required 100%, the following activities will take place: 1) Ensure all services are delivered as per IEPs and logs maintained of sessions. 2) Ensure all independent contractors and agencies are included on the staff pool. | Case Managers, SEMI Coordinator, and Director of Special Services & Nursing Services | Current/On-going (February - June) | IEPs and provider logs. Contact with PCG is current and ongoing. List of eligible students in and out of district will be maintained by the SEMI Coordinator. Contracts and information from outside consultants. | |
| SEMI Action Plan Components | District Activities for Compliance | Person(s) Responsible | Projected Timelines | Documentation of Completion/Implementation | Date |
|--------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------|------------------------------------------------------------|----------------------|----------------------------------------------------------------------------------------------------------------|------|
| **Documenting Health-related Evaluation Services:** | We upload our student database containing IEP start and end dates monthly. | SEMI Coordinator and Child Study Team Case Managers | Monthly | The database is sent via secure email provided by PCG. | |
| Procedures to ensure that all SEMI eligible health-related evaluation services are documented in the third-party administrator’s system. Health-related evaluation Services are only claimable are only claimable for Medicaid if all requirements outlined in the SEMI Provider Handbook are met. | | | | | |
| **Documenting SEMI Eligible Health-Related Services:** | Logs are collected and the services entered monthly. | SEMI Coordinator and Child Study Team Case Managers | Report Health Related Evaluations to be Logged is monitored monthly. | Report Health Related Evaluations Logged and monitored monthly. | |
| Procedures to ensure that all SEMI eligible health-related services, including those provided by entities where the district has placed SEMI eligible students, are documented in the third-party administrator’s system. | | | | | |
| **Validation of IEP on File:** | We upload our student database containing IEP start and end dates monthly. | Child Study Team Case Managers | Monthly | IEP Direct Data Base, Skyward | |
| Procedures to ensure that a valid IEP is on file and the correct IEP date is documented in the third-party administrator’s system for each SEMI eligible student for whom parental consent has been obtained. | | | | | |
| **Validation of Service Provider Qualifications:** | To be documented in district data base. | SEMI Coordinator | Monthly | Personnel records indicating employment of appropriately certified staff, vendor contracts outlining services to be rendered and provider certifications and licensures of consultants. | |
| Procedures to ensure that service providers used by the district and entities where the district has placed SEMI eligible students have valid licenses and certifications and that these SEMI provider qualifications are documented in the third-party administrator’s system. | | | | | |
| **Participation in SEMI Training Opportunities:** | District attends regional meetings and online webinars. | SEMI Coordinator and Director of Special Education and Nursing Services | As needed | Attendance taken at off site training and online training. | |
| Procedures to ensure that staff participate in relevant training opportunities provided by the third-party administrator, including, but not limited to, regional meetings and online training. | | | | | |
| **Timely Certification of Quarterly Staff Pool List:** | SEMI Coordintor to update staff pool list as staff leave district or new staff are hired or to add contracted agencies and their service providers. | SEMI Coordinator | Quarterly/Annually | Staff pool list completed and certified by specified due date. | |
| Procedures to ensure that the quarterly staff pool list is certified under the time frames required in the implementation of cost settlement via the third-party administrator’s system. | | | | | |
## 2020-21 Funding Statement for Services Under Chapters 192 & 193 Laws of 1977 as Amended
### State Aid Amounts for Services Under Chapter 192
| Program | 2020-21 Rate/Pupil | Pupils | Alloc. for each Service 2020-21 | Add'l Pupils | Additional 2020-21 Funding | Total 2020-21 Funding to Date |
|--------------------------|--------------------|--------|---------------------------------|--------------|----------------------------|-------------------------------|
| Compensatory Education* | $995.33 | 76 | $66,189.00 | 52 | $36,752.00 | $102,941.00 |
| E.S.L.* | $1,015.00 | 24 | $24,315.00 | 0 | $0.00 | $21,315.00 |
| Transportation* | | | $17,894.00 | | $0.00 | $17,894.00 |
| **Total Alloc. for CH.192 Services - 2020-21** | | | $105,398.00 | | $36,752.00 | $142,150.00 (A) |
* Prorated at 81%
### State Aid Amounts for Services Under Chapter 193
| Program | 2020-21 Rate/Pupil | Pupils | Alloc. for each Service 2020-21 | Add'l Pupils | Additional 2020-21 Funding | Total 2020-21 Funding to Date |
|--------------------------|--------------------|--------|---------------------------------|--------------|----------------------------|-------------------------------|
| Initial Exam & Class.* | $1,326.17 | 113 | $148,860.00 | 0 | $0.00 | $146,860.00 |
| Annual Exam & Class.* | $380.00 | 113 | $42,081.00 | 0 | $0.00 | $42,081.00 |
| Corrective Speech* | $930.00 | 68 | $65,175.00 | 10 | $7,291.00 | $69,266.00 |
| Supplemental Instr.* | $826.00 | 127 | $102,804.00 | 69 | $126,117.00 | $23,315.00 |
| **Total Alloc. for CH.193 Services - 2020-21** | | | $553,720.00 | | $30,604.00 | $384,324.00 (B) |
* Prorated at 98%
**Total CH. 192/193 Allocation Payable (A + B):** $526,474.00
**Calculated Monthly Payments:**
- SEP: $44,406.00
- OCT: $44,065.00
- NOV: $46,065.00
- DEC: $47,961.00
- JAN: $50,384.00
- FEB: $54,239.00
- MAR: $54,239.00
- APR: $61,038.00
- MAY: $61,038.00
- JUN: $61,039.00
*Official monthly Funding Statements are available through School Aid - School Aid Payments and Notices website on the homeroom after requests have been certified and the payment is processed each month.*
NJ DOE STEM Teacher Program
The STEM Funding Program, through the NJ Department of Education, offers an opportunity for qualified STEM subject teachers (Math, Science, Engineering, Technology, etc.) to teach at nonpublic schools at NO COST to the nonpublic schools. This grant opportunity will help schools address the rising costs of STEM education, while also addressing the growing shortage of qualified STEM teachers and the need to expand STEM education offerings to all students to prepare them for the future.
Program Details
- The program will pay qualified math, science, engineering, technology teachers to teach one or more school courses at nonpublic schools.
- Teachers can teach grades 5-12 in nonpublic schools.
- All nonpublic schools are eligible to apply.
- Classes can be held virtually only to the extent the nonpublic school holds virtual classes during the regular school day.
- The State will compensate participating teachers for the instructional hours taught in nonpublic schools.
- Eligible courses are those in STEM subject areas, including any Science, Mathematics, IT, Coding, Technology, Robotics and other courses.
- Participating teachers in the program must follow the nonpublic school's faculty rules and guidelines.
FAQ’s
Q: Which teachers are eligible to apply?
A: To qualify for the program, an NJ public school teacher must either 1) hold a provisional or standard certificate in a STEM subject 2) be enrolled/plan to enroll in a degree program or coherent sequence of courses.
Q: What will happen to existing nonpublic school STEM teachers?
A: This program is intended to fill existing openings and to expand STEM offerings. It is not intended to replace current STEM teachers.
Q: How many teachers and courses may a nonpublic school request?
A: There is no specific limit on how many courses for which a school may apply. The DOE will have discretion to distribute funds for the program based on allocated funds and other factors.
Q: When will the program begin?
A: The application is due on April 23rd, 2021, and approved teachers will teach during the 2021-2022 school year (June 1st 2021-June 30th 2022).
Q: Will nonpublic schools save money?
A: Salaries for teachers typically make up the largest recurring expense in nonpublic schools' budgets. This program allows nonpublic schools to find qualified STEM educators and expand existing STEM related programs with funding from the State, not the school's operating budget.
Q: How will we choose subjects and hours?
A: The teacher and the nonpublic school will create classes schedule/s that work for both the teacher and school, with class times that fit around the teacher's public school schedule.
EXPERIENCE:
Bergen County Special Services School, Paramus NJ
Accountant
- Review and sign off on monthly purchase orders, and assist with accounts payables,
- Manage SNEARS reimbursements, lunch application, bond reimbursements and SEMI reports.
- Responsible for monthly journal entries, deposits, bank reconciliations, accounts receivable invoice receipts entries and data management
- Handle all administrators and staff work related travel, including board approval and reimbursements
- Monitor consultants and professional providers budget and expenses
Payroll Assistant
- Updated State of New Jersey Report of Contribution (ROC) including employee retro salary information
- Maintained employees’ pension data in Computer Solution Inc. (CSI) for payroll processing
- File and distribute employee pensions payroll certification; scan documents to database
Purchasing Agent
- Worked in collaboration with purchasing manager to approve purchase orders
- Prepared resolution and award letters, and organized bid logs with current bids and contracts.
- Assisted with bid openings, request for quotes (RFQ), request for proposal (RFP), affirmative action, political disclosure, and Iran statement request
Business Manager/Purchasing Agent
- Prepared and administered the school payroll, providing accounting documents and controls to meet state and local auditing requirements,
- Maintained contractual salaries, stipend and payment as approved by the board of education
- Reconciled and transmitted all payroll agency deductions, including FICA state and federal taxes, quarterly pension report, health benefit, professional dues, tax sheltered annuity programs and garnishments
- Assisted staff in learning payroll processes and systems by delivering informational presentations at new hire orientation
- Troubleshooted and resolved staff inquiries and concerns, and ensured comprehensive employee understanding of policies and procedures as needed
- Effectively maintained communications and work cooperatively with administration to resolve payroll issues and concerns
- Handled all documentation and forms for TPAF, PERS, DCRP, State of New Jersey Pension Plan, including loans, back deduction, retirement, withdrawals and interfund transfer
- Collaboratively work with administrators in creating and updating procedures in accordance with New Jersey school law, state, board of education rules and regulations and contractual obligations
- Reviewed the reconciliation of the school financial accounts including federal and state monthly and quarterly reporting, annual W2’s, and 1099
- Managed the distribution of payroll to budget line-item account and budgetary codes and changes
Treasurer of School monies
- Managed bank reconciliation statements immediately upon receipt
- Submitted written report for all bank accounts and generated monthly treasury report
CAREN SPOONER
Jersey City Board of Education, Jersey City, NJ Nov. 2008 – Aug. 2009
Accountant
• Worked in collaboration with budget manager on budget to resolve over expensed account line item
• Reconciled financial management reports and prepared journal entries as needed
• Calculated payroll encumbrances each month for budget funding accuracy
• Reconciled bank and petty cash accounts using QuickBooks
• Computed all financial management reports for management
Red Bank Charter School, Red Bank, NJ Aug. 2008 – Jan. 2009
Business Manager
• Worked remotely 50% of the time
• Managed the areas of accounting, budget, purchasing, capital planning, human resources, the child nutrition program and assisted with strategic planning
• Assisted with meeting agenda and attended Board meeting
Essex Valley School, West Caldwell, NJ Nov. 2006 – Dec. 2007
Business Manager
• Managed operations, budgeting, financial reporting, purchasing, payroll, accounts payables
• Responsible for reviewing controls, procedures, and policies for compliance with State and Federal rules and regulations
• Implemented new accounting program that closely follow the chart of accounts and financial reporting
Gray Charter School, Newark, NJ Sept. 2003 – Sept. 2006
Business Manager
• Maintained the day-to-day function of the business office, and oversaw the preparation of the district payroll and payroll tax returns
• Handled record keeping including grants processing and payment
• Managed all purchase orders and check disbursements for vendors
• Verified and posted all books and records to the general ledger
• Prepared board agenda and monthly board secretary reports
• Managed personnel files and records, pension accounts, and medical and dental insurance benefits
• Supervised the Food Service department
COMPUTERS SKILLS
• FileMaker Pro
• CDK Systems
• Microsoft office
• Computer Solutions
• Docuware
• QuickBooks
Volunteer
New Jersey Performing Arts Center, Newark, NJ Sept. 2017-Present
EDUCATION:
Masters in Business Administration - Management
Salem International University, Salem, WV
Bachelor of Science in Finance
NJ City University, Jersey City, NJ
CERTIFICATE:
Qualified Purchasing Agent, SBA
POSITION TITLE: Television and Production Teacher
ADMINISTRATIVE RELATIONSHIP: Reports to the building Principal and/or Supervisor/Director of Instructional Programs
ESSENTIAL QUALIFICATIONS:
1. Hold a master’s degree from an accredited college or university.
2. Standard New Jersey certification in Audio, Visual, Broadcasting Technology, Television Broadcasting or Interactive Media required.
3. Strong foundational background knowledge in television, audio and video production theories and concepts, cinematography equipment and editing media content.
4. Knowledge of industry-standard programs related to television production and cinematography.
5. Demonstrate excellent leadership and organizational skills as well as the ability to motivate people.
6. Demonstrate effective instructional delivery techniques and excellent communication skills.
7. Exhibit a personality that exemplifies excellent interpersonal skills in order to engage with students, staff, administration, parents and the community.
8. Demonstrate excellent communication skills, both in spoken and in written English.
9. Demonstrate the ability to use electronic equipment for word processing, data management, information retrieval, visual and audio presentations and telecommunications.
10. Ability to develop and utilize diverse techniques in order to reach all learners.
11. Proven ability to work harmoniously with diverse populations.
12. Other qualifications as the Board and/or Superintendent of Schools finds appropriate.
ESSENTIAL FUNCTIONS OF POSITION:
1. Instructs secondary school students in all phases of video production (to include scripting, recording, editing, audio, studio lighting, directing and computer graphics) in accordance with the course of study adopted by the Board of Education.
2. Develops clear and concise instructional lesson plans and organizes class time to provide a balanced program of preparation, instruction, and on-air time.
3. Provides individual and small group instruction and adapts the curriculum to the needs of students with varying abilities.
4. Uses a variety of instructional techniques appropriate for the ages and skill level of students.
5. Establishes and maintains standards of pupil behavior and creates a safe, orderly, and effective environment for learning during class time and on-air productions.
6. Instructs students in the proper care and use of video production equipment.
7. Organizes storage areas and controls the use of materials and equipment to prevent loss, abuse, injury or security breach.
8. Makes minor adjustments to video production equipment and requests repairs as appropriate.
9. Evaluates student performance and growth in knowledge and understandings and prepares regular progress reports.
10. Conferences regularly with parents/guardians regarding behavior observations and the performance of students.
11. Identifies student needs and cooperates with other professional staff members in helping students solve health, attitude, and learning problems.
12. Maintains thorough records for each student.
13. Selects, requisitions, and maintains books, instructional materials, video production equipment, and instructional aids.
14. Attends staff development programs, curriculum development meetings, and other professional activities.
15. Keeps abreast of developments, research, and new technology in the field of mass communications.
16. Supervise, monitor and assist students in various after hour productions when applicable.
17. Completes any additional duties as directed by the Superintendent of Schools.
Position descriptions are established by the Human Resource Management Office and adopted by the Board of Education. They are intended only to summarize the essential duties, responsibilities, qualifications, and requirements of the position for the purpose of clarifying the general nature and scope of a position’s role as part of the overall organization. Position descriptions are not designed to contain or be interpreted as a comprehensive inventory of all tasks an employee might be expected to perform. Nor do they not limit the right of the employer/supervisor to assign additional tasks or otherwise to modify duties to be performed. Individuals shall perform other duties as assigned, including work in other functional areas to cover absences or relief, to equalize peak work periods, or otherwise balance the workload. Every employee has a duty to perform all assigned tasks. The order of essential functions and duties of the position as listed in the position description is not designed or intended to rank the duties in any order of importance relative to each other.
**TERMS OF EMPLOYMENT:**
Ten-month position. Salary determined by negotiations between the Teaneck Board of Education and the Teaneck Township Educators Association
**EVALUATION:**
The annual performance evaluation will be based upon this position description and any applicable State regulations and/or Board of Education policies.
*Board Approved: 04/28/2021*
POSITION TITLE: Assistant Superintendent for Curriculum and Schools
JOB GOAL: Assumes the major duties of organizing, coordinating and directing the development, implementation and coordination of all district curriculum projects and academic programs, as well as the student registration process for all grades of the district, and is responsible for evaluating all District school principals and the Director of ELA, ESL and School Innovation.
ESSENTIAL QUALIFICATIONS:
1. Must be able to perform essential job functions with or without reasonable accommodations.
2. Doctorate preferred, Master’s degree is required from an accredited college/university with specialization in the areas of educational administration, supervision, and evaluation.
3. Minimum of seven (7) years’ experience as a school administrator.
4. Valid New Jersey Administrative Certificate with School Administrator, or Principal endorsement.
5. Demonstrated success in the supervision, development, implementation and evaluation of curriculum and instruction.
6. Demonstrated success in evaluation of school principals and other administrative professionals.
7. Such other qualifications of academic, professional and personal excellence as the Teaneck Board of Education may specify.
8. Demonstrate the ability to communicate effectively in English, both orally and in writing, using proper grammar and vocabulary.
9. Demonstrate the ability to use electronic equipment for word processing, data management, information retrieval, visual and audio presentations, and telecommunications.
10. Provide proof of U. S. citizenship or legal resident alien status by completing Federal Form I-9 in compliance with current federal immigration law.
11. Provide evidence that a criminal record history check has been conducted and clearance has been given by the Department of Education. During the initial six month period provide a sworn statement that the individual has not been convicted of a crime or a disorderly person’s offense in accordance with 18A:6-7.1.
12. Provide evidence that health is adequate to fulfill the job functions and responsibilities with reasonable accommodation pursuant to 42 U.S.C. 12101 and in accordance with N.J.A.C. 6A:32-6.3.
13. Pass the State required Mantoux Intradermal Tuberculin Test as required by N.J.A.C. 6A:32-6.3.
ESSENTIAL FUNCTIONS OF POSITION:
1. Direct the development, implementation and evaluation of all phases of the regular instructional program.
2. Participate in the selection and recommendation for adoption for all textbooks and supplementary instructional materials, achievement and professional journals.
3. Organize and review school level plans to ensure compliance with NJDOE and federal mandates.
4. Direct all phases of the district’s testing programs.
5. Serve as district liaison to county and state agencies for areas of responsibility, including NJQSAC, Curriculum Council and federal mandates.
6. Determine annual and long-range budget needs.
7. Coordinate the major activities, processes and development of the District Strategic Plan.
8. Prepare for publication of the school report card data.
9. Direct and ensure the advancement of technology integration across the curriculum for teaching and for assessment as well as student information data applications.
10. Coordinate the state-mandated mentoring program.
11. Direct and supervise all phases of the district’s in-service/staff development program for certified and non-certified personnel.
12. Prepare performance evaluations for all personnel who report directly to the Assistant Superintendent for Curriculum and Schools.
13. Ensure that the quality of observation and performance reports as written capture and reinforce Teaneck’s instructional standards as articulated in the BOE-adopted curriculum/programs and New Jersey Student Learning Standards.
14. Serve as district liaison to county and state agencies for oversight of the Local Professional Development Committee.
15. Ensure that all administrators meet the requirements for the NJDOE-required Professional Growth Plans.
16. Monitor annual programs of all professional teaching staff to comply with the 100-hour Professional Development Mandate.
17. Ensure district compliance of the NJDOE Comprehensive Equity Plan and relevant instructional/staff development areas of NJQSAC.
18. Direct and coordinate district scheduling of students and report card distribution.
19. Monitor compliance of all teacher observation and evaluation procedures and regulations.
20. Facilitate meetings for the Teaneck Curriculum Coordinating Committee.
21. Performs such other tasks and assumes such other responsibilities as may be assigned by the Superintendent of Schools.
22. Establish operational objectives, work plans, timelines and assignments for proposal development, determining how to use resources to meet objectives and schedule and collaborate with appropriate District staff and external partners.
23. Performs related duties as assigned.
24. Superintendent reserves the right to reassign department oversight at any time based upon the needs of the district.
Position descriptions are established by the Human Resource Management Office and adopted by the Board of Education and are intended only to summarize the essential duties, responsibilities, qualifications, and requirements of the position for the purpose of clarifying the general nature and scope of a position’s role as part of the overall organization. Position descriptions are not designed to contain or be interpreted as a comprehensive inventory of all tasks an employee might be expected to perform, and they do not limit the right of the employer/supervisor to assign additional tasks or otherwise to modify duties to be performed. Individuals shall perform other duties as assigned including work in other functional areas to cover absences or relief, to equalize peak work periods or otherwise balance the workload. Every employee has a duty to perform all assigned tasks. The order of essential functions and duties of the position as listed in the position description is not designed or intended to rank the duties in any order of importance relative to each other.
**TERMS OF EMPLOYMENT:**
Confidential, twelve-month position. No bargaining unit affiliation. Salary determined by negotiation with the Superintendent of Schools and approved by the Board of Education.
**SALARY RANGE:**
$150,000 - $175,000
**EVALUATION:**
The annual performance evaluation will be based upon this position description and any applicable State regulations and/or Board of Education policies.
*Board Approved: 04/28/2021*
POSITION TITLE: Assistant Superintendent of Educational Services
JOB GOAL: Assumes the major duties of organizing, coordinating and directing the development, implementation and coordination of all Special Education services, Nursing Services, Homeless Issues, Title I, guidance and counseling services, and is responsible for assuming the second-in-command responsibilities pursuant to the Job Description of the Superintendent of Schools in the absence of the Superintendent of Schools.
ESSENTIAL QUALIFICATIONS:
1. Must be able to perform essential job functions with or without reasonable accommodations.
2. Doctorate preferred. Master’s degree is required from an accredited college/university with specialization in the areas of educational administration, supervision, and evaluation.
3. Minimum of seven (7) years’ experience as a school administrator.
4. Valid New Jersey Administrative Certificate with School Administrator, or Principal endorsement.
5. Demonstrated success in the supervision, development, implementation and evaluation of curriculum and instruction.
6. Demonstrated success in evaluation of school principals and other administrative professionals.
7. Such other qualifications of academic, professional and personal excellence as the Teaneck Board of Education may specify.
8. Knowledge of issues associated with student homelessness, including, but not limited to McKinney-Vento requirements.
9. Demonstrate the ability to communicate effectively in English, both orally and in writing, using proper grammar and vocabulary.
10. Demonstrate the ability to use electronic equipment for word processing, data management, information retrieval, visual and audio presentations, and telecommunications.
11. Provide proof of U.S. citizenship or legal resident alien status by completing Federal Form I-9 in compliance with current federal immigration law.
12. Provide evidence that a criminal record history check has been conducted and clearance has been given by the Department of Education. During the initial six month period provide a sworn statement that the individual has not been convicted of a crime or a disorderly person’s offense in accordance with 18A:6-7.1.
13. Provide evidence that health is adequate to fulfill the job functions and responsibilities with reasonable accommodation pursuant to 42 U.S.C. 12101 and in accordance with N.J.A.C. 6A:32-6.3.
14. Pass the State required Mantoux Intradermal Tuberculin Test as required by N.J.A.C. 6A:32-6.3.
ESSENTIAL FUNCTIONS OF POSITION:
1. Direct the development, implementation and evaluation of all phases of the District Special Education instructional programs.
2. Continually monitors student achievement, using multiple sources of data, and recommends actions and initiatives to foster continuous improvement in student achievement.
3. Formally reports to the Superintendent of Schools and Board of Education at least annually on student achievement measures, and recommends refinements and improvements in the instructional program to address areas of concern or opportunities for growth.
4. Effectively communicates student achievement measures to the administration, instructional staff and to parents/guardians and the community at large; and, educates the entire school community about efforts and initiatives to improve student achievement.
5. Ensures that appropriate Intervention & Referral Services are available for pupils who are having difficulty in their classes and who have not been classified in need of special education.
6. Supervise and evaluate Special Education Department leadership.
7. Direct the development, implementation and evaluation of all phases of the District Nursing Services.
8. Direct the development, implementation and evaluation of all phases of the District Homelessness supports and programs.
9. Direct the development, implementation and evaluation of all phases of the District Title I programs.
10. Assists the Superintendent of Schools in the development, implementation and evaluation of all phases of the Superintendent of Schools’ duties and responsibilities.
11. Determine annual and long-range budget needs.
12. Coordinate the major activities, processes and development of the District Strategic Plan.
13. Work closely with special education and content area supervisors to coordinate program development and implementation.
14. Ensure compliance with Intervention and Referral Services Procedures and response to intervention procedures.
15. Direct and supervise all phases of the district’s in-service/staff.
16. Prepare performance evaluations for all personnel who report directly to the Assistant Superintendent of Educational Services.
17. Ensure that the quality of observation and performance reports as written capture and reinforce Teaneck’s instructional standards as articulated in the BOE-adopted curriculum/programs and New Jersey Student Learning Standards.
18. Ensure district compliance of the NJDOE Comprehensive Equity Plan and relevant instructional/staff development areas of NJQSAC.
19. Monitor compliance of all teacher observation and evaluation procedures and regulations.
20. Coordinate school-level Cultural Understanding Initiative/Equity Plans.
21. Establish operational objectives, work plans, timelines and assignments for proposal development, determining how to use resources to meet objectives and schedule and collaborate with appropriate District staff and external partners.
22. Assumes the responsibilities for administering the District in the absence of the Superintendent.
23. Performs such other tasks and assumes such other responsibilities as may be assigned by the Superintendent of Schools.
24. Superintendent reserves the right to reassign department oversight at any time based upon the needs of the district.
Position descriptions are established by the Human Resource Management Office and adopted by the Board of Education and are intended only to summarize the essential duties, responsibilities, qualifications, and requirements of the position for the purpose of clarifying the general nature and scope of a position’s role as part of the overall organization. Position descriptions are not designed to contain or be interpreted as a comprehensive inventory of all tasks an employee might be expected to perform, and they do not limit the right of the employer/supervisor to assign additional tasks or otherwise to modify duties to be performed. Individuals shall perform other duties as assigned including work in other functional areas to cover absences or relief, to equalize peak work periods or otherwise balance the workload. Every employee has a duty to perform all assigned tasks. The order of essential functions and duties of the position as listed in the position description is not designed or intended to rank the duties in any order of importance relative to each other.
**TERMS OF EMPLOYMENT:**
Confidential, twelve-month position. No bargaining unit affiliation. Salary determined by negotiation with the Superintendent of Schools and approved by the Board of Education.
**SALARY RANGE:**
$160,000 - $175,000
**EVALUATION:**
The annual performance evaluation will be based upon this position description and any applicable State regulations and/or Board of Education policies.
*Board Approved: 04/28/2021*
POSITION DESCRIPTION
POSITION TITLE: SUPERVISOR OF HUMANITIES AND GIFTED EDUCATION
REPORTS TO: Director of School Innovation, English and ESL
ESSENTIAL QUALIFICATIONS:
1. Must be able to perform essential job functions with or without reasonable accommodation.
2. Valid New Jersey Administrative Certificate with Supervisor endorsement.
3. Valid New Jersey Teaching Certificate in one or more of the following areas:
- Social Studies K-12; or
- Middle School with Subject matter Specialization: Social Studies in Grades 5 - 8 alongside an instructional certificate.
4. Master’s degree from an accredited college/university with extensive course work and recent evidence of advanced study in area of responsibility.
5. Minimum of five (5) years of successful social studies /history teaching experience.
6. In-depth knowledge of educating gifted students.
7. In-depth knowledge of equity within education and recognizes that different students need different resources to achieve the same goals as their peers.
8. In-depth knowledge of the New Jersey Learning Standards for Social Studies.
9. Strong background in instructional methodology for the teaching of Social Studies and Gifted Instruction methodology.
10. Ability to analyze formative, summative and demographic data to make informed decisions regarding instructional programming.
11. Demonstrated leadership in the application of high-quality social studies and gifted education.
12. Ability to work effectively with staff, parents, community members and students to maintain and strengthen sound human relations for the improvement of the school program.
13. Demonstrated ability to work harmoniously in a multicultural, diverse community.
14. Provide proof of U. S. citizenship or legal resident alien status by completing Federal Form I-9 in compliance with current federal immigration law.
15. Provide evidence that a criminal record history check has been conducted and clearance has been given by the Department of Education. During the initial six month period provide a sworn statement that the individual has not been convicted of a crime or a disorderly person’s offense in accordance with 18A:6-7.1.
16. Provide evidence that health is adequate to fulfill the job functions and responsibilities with reasonable accommodation pursuant to 42 U.S.C. 12101 and in accordance with N.J.A.C. 6A:32-6.3.
17. Pass the State required Mantoux Intradermal Tuberculin Test as required by N.J.A.C. 6A:32-6.3.
Such alternatives to the above qualifications as the Superintendent may find appropriate and acceptable.
ESSENTIAL FUNCTIONS OF POSITION:
1. Assist in the improvement of classroom instruction through a variety of means including conducting classroom observations and evaluations of teacher performance.
2. Evaluate social studies curriculum offerings and ability to make recommendations for effective modifications.
3. Evaluate and oversee the district’s gifted and talented programming meet the Strengthening Gifted and Talented Education Act.
4. Review findings with department members and recommend program adjustments to enhance academic achievement and professional development opportunities.
5. Ability to plan, organize and deliver district-level professional development programs as well as run district-wide department meetings.
6. Recommend and lead the adoption of new textbooks and instructional materials in accordance with district procedures.
7. Assist department members in developing budgetary requests and recommending department priorities.
8. Provide comprehensive instructional coaching in instructional practices for elementary and secondary practitioners.
9. Participate in the recruitment, selection and retention of department personnel.
10. Assume responsibility for the orientation and induction of new staff within the department to ensure a smooth adjustment to their new position.
11. Perform, as assigned by the Superintendent or his/her designee, additional or alternate duties which are within the scope of employment and certification.
Position descriptions are established by the Human Resource Management Office and adopted by the Board of Education and are intended only to summarize the essential duties, responsibilities, qualifications, and requirements for the purpose of clarifying the general nature and scope of a position’s role as part of the overall organization. Position descriptions are not designed to contain or be interpreted as a comprehensive inventory of all tasks an employee might be expected to perform, and they do not limit the right of the employer/supervisor to assign additional tasks or otherwise to modify duties to be performed. Individuals shall perform other duties as assigned, including work in other functional areas to cover absences or relief, to equalize peak work periods or otherwise balance the workload. Every employee has a duty to perform all assigned tasks. The order of essential functions and duties of the position as listed in the position description, is not designed or intended to rank the duties in any order of importance relative to each other.
**TERMS OF EMPLOYMENT:**
Twelve-month position. Salary determined by negotiations between the Teaneck Board of Education and the Teaneck Association of Administrators and Supervisors.
**SALARY RANGE:**
$115,000-$135,000
**EVALUATION:**
The annual performance evaluation will be based upon this position description and any applicable State regulations and/or Board of Education policies.
*Board Approved: 04/28/2021*
POSITION TITLE: Assistant School Business Administrator/Assistant Board Secretary
JOB GOAL: To assist the Business Administrator/Board Secretary with tasks necessary for the efficient operation of the district.
ESSENTIAL QUALIFICATIONS:
1. Master’s Degree from an accredited college/university.
2. Five (5) years’ experience accounting, finance and/or other related business fields.
3. New Jersey Department of Education Standard or C.E. as a School Business Administrator.
4. CPA Certification preferred.
5. Central Office experience in a large urban district strongly preferred.
6. Excellent writing and researching skills.
7. Hold and maintain a valid driver’s license with no serious violations (if applicable to assignment).
8. Provide proof of U.S. citizenship or legal resident alien status by completing Federal Form I-9 in compliance with the Immigration Reform and Control Act of 1986.
9. Provide evidence that a criminal record history check has been conducted and clearance has been given by the Department of Education, or, during the initial six month period provide a sworn statement that the individual has not been convicted of a crime or a disorderly person’s offense in accordance with 18A:6-7.1.
10. Provide evidence that health is adequate to fulfill the job functions and responsibilities with reasonable accommodation pursuant to 42 U.S.C. 12101 and in accordance with N.J.A.C. 6A:32-6.3
11. Pass the State required Mantoux Intradermal Tuberculin Test as required by N.J.A.C. 6A:32-6.3
12. Such other qualifications as the Board may find appropriate.
ESSENTIAL FUNCTIONS OF POSITION:
1. Evaluates and analyzes requisitions for expenditures to insure the availability of funds in the appropriate accounts and advises the appropriate personnel.
2. Compares amount of money involved in proposed operational and program changes to budgetary constraints and advises the appropriate personnel.
3. Analyzes the fiscal impact of proposed operational and program changes to budgetary constraints and advises the appropriate personnel.
4. Assists the business administrator/Board Secretary and is responsible for:
- Developing methods of budget and to control and to insure compliance with state law.
- Reviewing budget practices and recommends improvements when necessary.
- Formulating the annual budget.
- Developing and preparing financial and program activity reports.
- Assisting in the supervision and maintenance of plant and facilities and participates in capital planning and research.
- Formulating and conducting administrative studies to improve work standards, measurement techniques and reporting system.
- Assisting in the research and implementation of automating the central and district offices.
- Assisting in the implementation and monitoring of the management information systems.
- Assisting in providing leadership and supervision and evaluation of the business office staff.
- Preparing resolutions and documents for board meetings.
- Assisting the Business Administrator in preparing specifications and assuring compliance with state contract and bidding requirements.
5. Coordinates with funded programs and project directors on spending levels and available funds.
6. Maintains analysis of line item budgets to actual expenditures.
7. Prepares and/or reviews financial information for all special funding reports.
8. Reviews requisitions and vouchers and coordinates the purchases of supplies and other related items for the district as a whole to determine if cost savings can be realized by utilizing quantity discounts.
9. Communicates with school sites and department locations on the status of items ordered and available funds.
10. Assists in examining and investigating financial obligations of the district.
11. Assists in the preparation of schedules for the annual audit.
12. Submits and/or supervises the submission of payroll deductions, health, dental and pension benefits.
13. Maintains separate accounts for any other fund required and approved by the board and established by the business administrator/board secretary.
14. Prepares schedules of anticipated transfers needed to be presented to the board of education.
15. Records and maintains the minutes of the board of education in the absence of the business administrator/board secretary.
16. Monitors the food service and nutritional program for compliance with state and federal law and the recommendation for improvements in the program.
17. Completes mandated training programs as required by law.
18. Notifies immediately, appropriate personnel and agencies and follows established procedures when there is evidence of substance abuse, child abuse, child neglect, severe medical or social conditions, potential suicide or individuals appearing to be under the influence of alcohol, controlled substances, or anabolic steroids.
19. Evaluates staff according to TeachNJ and recommends the removal or other such action(s) for staff members whose work is unsatisfactory according to established procedures.
20. Must become certified and continue recertification process for the Board approved employee evaluation system.
21. Completes and adheres to district mandates as directed by the District Superintendent or designee; i.e. non-negotiables, bulletins, emails, goals and objectives, etc.
22. Performs all other duties within the scope of the job description and as assigned by the Superintendent, the Business Administrator/Board Secretary and/or requested by the Board.
Position descriptions are established by the Human Resource Management Office and adopted by the Board of Education and are intended only to summarize the essential duties, responsibilities, qualifications, and requirements of the position for the purpose of clarifying the general nature and scope of a position’s role as part of the overall organization. Position descriptions are not designed to contain or be interpreted as a comprehensive inventory of all tasks an employee might be expected to perform, and they do not limit the right of the employer/supervisor to assign additional tasks or otherwise to modify duties to be performed. Individuals shall perform other duties as assigned including work in other functional areas to cover absences or relief, to equalize peak work periods or otherwise balance the workload. Every employee has a duty to perform all assigned tasks. The order of essential functions and duties of the position as listed in the position description is not designed or intended to rank the duties in any order of importance relative to each other.
**TERMS OF EMPLOYMENT:**
Confidential, twelve-month position. No bargaining unit affiliation. Salary determined by negotiation with the Superintendent of Schools and approved by the Board of Education.
**SALARY RANGE:**
$100,000 - $120,000
**EVALUATION:**
The annual performance evaluation will be based upon this position description and any applicable State regulations and/or Board of Education policies.
*Board Approved: 04/28/2021*
POSITION TITLE: CHIEF EQUITY OFFICER
ADMINISTRATIVE RELATIONSHIP: Reports to the Superintendent
JOB GOAL: The Chief Equity Officer will provide guidance and advocacy for students and/or parents/guardians to address individual or systematic systems that underserve traditionally marginalized groups. The Chief Equity Officer will collect data to research and address issues of equity and present concerns to District officials in a hope to address questions, concerns and/or misinformation while making recommendations to District staff that should enhance communications with students and/or families.
ESSENTIAL QUALIFICATIONS:
1. Three to five years of demonstrated experience in equity, diversity and inclusion and providing culturally responsive service and teaching.
2. Baccalaureate degree required; a Master’s degree in counseling, social work, public policy, and/or public administration preferred.
3. Social services, psychology or guidance experience preferred.
4. The ability to create and maintain a climate of respect and fairness for all students and staff.
5. Must possess strong communication, managerial and leadership skills.
6. Must possess a strong commitment to equity and be able to communicate this commitment in clear, direct and actionable language.
7. Ability to effectively motivate and assess students academically and socially.
8. Ability to work as a member of a highly functioning team.
9. Understanding of the laws that govern students’ state and federal rights.
10. Strong understanding of power arrangements within systems, cultural proficiency, equity, opportunity and access required.
11. Must be able to perform essential job functions with or without reasonable accommodation.
ESSENTIAL FUNCTIONS OF POSITION:
1. Collects data relating to inequitable accounts of service, resources and/or treatment.
2. Communicates accurately and timely with students and their families to ensure a continuous school-family partnership exists.
3. Collects student and parent issues and presents data from findings to the direct report.
4. Assist with evaluating student progress including attendance, academic, and behavioral data.
5. Coordinates with community partners to build resources that directly address the achievement gap (parent communication, early childhood learning, use of assessment data, etc.) and maintain a robust resource portal for students and parents.
6. Maintains accurate records of student, parent, staff, and community contacts (the first year will be a baseline year; however, data should be collected and publicly shared).
7. Participates in stakeholder conferences to develop District action plans.
8. Assists with the supervision of students during instructional and non-instructional time.
9. Supports a positive school climate while interacting with students, families, staff and community members.
10. Maintains confidentiality when dealing with students, families, staff, and community members.
11. Facilitates social and emotional growth with students through professional development with parents/guardians and/or direct contact with students.
12. Identifies additional “gap closing” services and programming based on the experience of traditionally marginalized groups, including tutorial services, programming support, scheduling and supporting parents/students in teacher and/or administrator conferences, etc.
13. Conducts regular community conversations with traditionally marginalized groups regarding how students can best access resources with the District.
14. Participates in staff meetings at both site and District levels.
15. Participates frequently in trainings, workshops and/or conferences relating to cultural diversity, equity and access, systems of privilege, and anti-racist efforts.
16. Perform, as assigned by the Superintendent or his/her designee, additional or alternate duties that may add to the
effectiveness of the education program of the Teaneck Public Schools.
Position descriptions are established by the Human Resource Management Office and adopted by the Board of Education and are intended only to summarize the essential duties, responsibilities, qualifications, and requirements for the purpose of clarifying the general nature and scope of a position’s role as part of the overall organization. Position descriptions are not designed to contain or be interpreted as a comprehensive inventory of all tasks an employee might be expected to perform, and they do not limit the right of the employer/supervisor to assign additional tasks or otherwise to modify duties to be performed. Individuals shall perform other duties as assigned including work in other functional areas to cover absences or relief, to equalize peak work periods or otherwise balance the workload. Every employee has a duty to perform all assigned tasks. The order, of essential functions and duties of the position as listed in the position description, is not designed or intended to rank the duties in any order of importance relative to each other.
**TERMS OF EMPLOYMENT:**
Twelve-month employment. Non-bargaining union affiliation.
**EVALUATION:**
The annual performance evaluation will be based upon this position description and any applicable State regulations and/or Board of Education policies.
*Board Approved: 4/28/2021*
POSITION TITLE: School Comptroller
JOB GOAL: Under the direction of the Assistant Superintendent for Curriculum & Schools, assumes the responsibility for planning, organizing, coordinating, directing and monitoring all aspects of the financial operations of the district, including accounting, payroll, financial reporting/systems, budget, cash management and other finance-related functions.
ESSENTIAL QUALIFICATIONS:
1. Bachelor’s degree in Accounting or Finance, preferred.
2. Five (5) years experience in public school finance and five (5) years supervisory experience in a public school district.
3. Knowledge of Generally Accepted Accounting Principles (GAAP) procedures, other State and Federal accounting guidelines as they pertain to the operations of public school districts; and knowledge of the implementation of payroll, purchasing and accounts payable systems in public school districts.
4. Demonstrate the ability to communicate effectively in English, both orally and in writing, using proper grammar and vocabulary.
5. Demonstrate the ability to use electronic equipment for word processing, data management, information retrieval, visual and audio presentations, and telecommunications.
6. Provide proof of U.S. citizenship or legal resident alien status by completing Federal Form I-9 in compliance with current federal immigration law.
7. Provide evidence that a criminal record history check has been conducted and clearance has been given by the Department of Education. During the initial six month period provide a sworn statement that the individual has not been convicted of a crime or a disorderly person’s offense in accordance with 18A:6-7.1.
8. Provide evidence that health is adequate to fulfill the job functions and responsibilities with reasonable accommodation pursuant to 42 U.S.C. 12101 and in accordance with N.J.A.C. 6A:32-6.3.
9. Pass the State required Mantoux Intradermal Tuberculin Test as required by N.J.A.C. 6A:32-6.3.
ESSENTIAL FUNCTIONS OF POSITION:
1. Assists with the planning, compilation, and execution of the district school-based budgets.
2. Assists with reviewing the budget with administrative staff for accuracy before it is finalized.
3. Assists in the execution of the enacted budget including administrative controls where required.
4. Monitors the reliability and integrity of all the financial information submitted to the Assistant Superintendent of Curriculum & Schools.
5. Responsible for accuracy and reliability of all information and maintenance pertaining to school bank accounts.
6. Audits/reviews journal entries prepared by staff members for accuracy.
7. Assures that all school-based accounts are properly closed and balanced by the end of the fiscal year.
8. Manages and tracks cash flow for all school-based accounts/activities.
9. Reviews and evaluates audits of accounts, vouchers, and other financial records.
10. Implements and monitors effective internal controls.
11. Responsible for accurately accounting for and documenting all school-based funds.
12. Communicates information to administrative staff on policies and procedures for compliance.
13. Assists in supporting all financial school-based operations.
14. Have a thorough knowledge of all collective bargaining contracts that effect the Assistant Superintendent of Curriculum & Schools.
15. Performs other duties related to the operation of the school-based accounting, as assigned by the Assistant Superintendent of Curriculum & Schools.
Position descriptions are established by the Human Resource Management Office and adopted by the Board of Education and are intended only to summarize the essential duties, responsibilities, qualifications, and requirements of the position for the purpose of clarifying the general nature and scope of a position’s role as part of the overall organization. Position descriptions are not designed to contain or be interpreted as a comprehensive inventory of all tasks an employee might be expected to perform, and they do not limit the right of the employer/supervisor to assign additional tasks or otherwise to modify duties to
be performed. Individuals shall perform other duties as assigned including work in other functional areas to cover absences or relief, to equalize peak work periods or otherwise balance the workload. Every employee has a duty to perform all assigned tasks. The order of essential functions and duties of the position as listed in the position description is not designed or intended to rank the duties in any order of importance relative to each other.
**TERMS OF EMPLOYMENT:**
Confidential, twelve-month position. No bargaining unit affiliation. Salary determined by negotiation with the Superintendent of Schools and approved by the Board of Education.
**SALARY RANGE:**
$100,000 - $120,000
**EVALUATION:**
The annual performance evaluation will be based upon this position description and any applicable State regulations and/or Board of Education policies.
*Board Approved: 04/28/2021*
POSITION TITLE: SUPERVISOR OF VISUAL & PERFORMING ARTS
JOB GOAL: The Supervisor of Visual & Performing Arts coordinates the planning, development, implementation and evaluation of curriculum and instructional practices within the assigned area(s) to ensure that all students meet and exceed the New Jersey Student Learning Standards. The Supervisor works collaboratively with the administrative and instructional staff and communicates effectively with parents, members of the community and colleagues in other districts and schools.
ESSENTIAL QUALIFICATIONS:
1. Hold a Master’s Degree from an accredited college or university.
2. Hold a New Jersey administrative certificate in accordance with the requirements of N.J.S.A.18A:27.1 et seq., and N.J.A.C. Title 6 Chapter 11, with a supervisor endorsement (N.J.S.A.18A:26-2.1 and N.J.A.C 6:11-9.3 and 9.6). Hold a standard teaching certificate in Music, Art, Dance and/or Theater.
3. Have at least five (5) years successful teaching and/or administrative experience in the content area(s) to be supervised.
4. Hold and maintain a valid driver’s license with no serious violations (if applicable to assignment).
5. Demonstrate excellent leadership and organizational skills and the ability to motivate people.
6. Have excellent integrity and demonstrate good moral character and initiative.
7. Demonstrate knowledge and understanding of curriculum development and program evaluation, child growth and development, effective instructional strategies, classroom management, learning assessment and diagnosis, and research related to learning.
8. Exhibit a personality that demonstrates enthusiasm and interpersonal skills to relate well with students, staff, administration, parents, and the community.
9. Demonstrate the ability to communicate effectively in English, both orally and in writing, using proper grammar and vocabulary.
10. Demonstrate the ability to use electronic equipment for word processing, data management information retrieval, visual and audio presentations, and telecommunications.
11. Demonstrate experience as described in the duties and responsibilities set forth in this job description.
12. Provide proof of U. S. citizenship or legal resident alien status by completing Federal Form I-9 in compliance with the Immigration Reform and Control Act of 1986.
13. Provide evidence that a criminal record history check has been conducted and clearance has been given by the Department of Education, or, during the initial six month period provide a sworn statement that the individual has not been convicted of a crime or a disorderly person’s offense in accordance with 18A:6-7.1.
14. Provide evidence that health is adequate to fulfill the job functions and responsibilities with reasonable accommodation pursuant to 42 U.S.C. 12101 and in accordance with N.J.A.C. 6A:32-6.3.
15. Pass the State required Mantoux Intradermal Tuberculin Test as required by N.J.A.C. 6A:32-6.3.
16. Such other qualifications as the Board may find appropriate.
ESSENTIAL FUNCTIONS OF POSITION:
1. Establishes and promotes high standards and expectations for students and staff for academic performance and responsibility for behavior.
2. Works cooperatively and collectively with district administrators, principals, supervisors, and teachers to ensure that instructional programs and services are coordinated in the schools and are administered uniformly and equitably.
3. Ensures coordination of services and articulation between the secondary and elementary levels of the instructional programs by communicating frequently with supervisors, and principals on a regular basis.
4. Provides administrative and supervisory responsibility for assigned instructional programs in the respective New Jersey Student Learning Standards.
5. Develops, implements, supervises and evaluates curriculum and instructional practices that ensures that each student meets and exceeds New Jersey Student Learning Standards consistent with the mission, philosophy, values, and instructional goals of the district and meeting all laws, codes, Board Policies and Regulations.
6. Provides educational leadership for assigned programs, including:
a. Focus on individual student performance;
b. Clear procedures with consistent and fair application of policies and regulations;
c. Vertical and horizontal articulation of skills and content sequence;
d. Integrated, interdisciplinary thematic curriculum;
e. Effective and efficient utilization of instructional resources; and
f. Coordination of services with community agencies.
7. Collects and analyzes performance data, particularly state assessments, regarding the achievement of students and other pertinent information affecting the design and evaluation of curriculum and instructional practices.
8. Provides educational leadership and coordination in the development of curriculum and the implementation of instructional programs of the district, including the evaluation of classroom instruction on a regular basis to encourage differentiated instruction and the use of variety strategies and materials consistent with research on learning and child growth and development.
9. Ensures that the instructional programs engage the learner in tasks that require analytical and critical thinking, problem solving and creativity, that they address each student’s needs, interests and skill levels, that they encourage the student to define individual goals and accept responsibility for learning.
10. Organizes and implements a system for the evaluation and selection of equipment and instructional materials that are free of prejudice and stereotyping and designed to meet the New Jersey Student Learning Standards, using staff identified criteria reflecting the needs of the program.
11. Collaborates with the Director of School Innovation, English and ESL to ensure that appropriate reference materials are available to support the Visual & Performing Arts program.
12. In collaboration with building principals, observes classroom instruction to evaluate curriculum implementation (content, materials, pedagogy, pace and standards), student performance, and program effectiveness.
13. Ensures that personnel evaluation procedures are accomplished in a fair and consistent manner that encourages accountability, growth and excellence, in accordance with law, Board policy and contractual requirements.
14. In collaboration with the building principals recommends to the Human Resources Administrator the renewal, dismissal, withholding of increment, promotion or other actions for all personnel assigned, following established procedures and timelines.
15. Recommends staffing needs and assists the recruitment and selection of new personnel.
16. Provides orientation for new staff and ongoing opportunities for effective professional development that address the needs of the individual and the instructional program, including workshops, visitations, demonstration lessons, and team teaching in which the staff share successful practices and strategies.
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18. Establishes a professional rapport with students and with staff that earns their respect, maintaining visibility with students, staff, parents, and the community.
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21. Conducts meetings as necessary for the proper functioning of the Visual & Performing Arts instructional programs department.
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28. Completes mandated training programs as required by law.
29. Adheres to New Jersey School Law, State Board of Education Rules and Regulations, Board of Education Policies and Regulations, school regulations and procedures, and contractual obligations.
30. Evaluates staff according to AchieveNJ and recommends the removal or other such action(s) for staff members whose work is unsatisfactory according to established procedures.
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32. Posts and recommends personnel for approved stipends.
33. Performs all other duties that are assigned by the Superintendent, or designee.
Position descriptions are established by the Human Resource Management Office and adopted by the Board of Education and are intended only to summarize the essential duties, responsibilities, qualifications, and requirements for the purpose of clarifying the general nature and scope of a position’s role as part of the overall organization. Position descriptions are not designed to contain or be interpreted as a comprehensive inventory of all tasks an employee might be expected to perform, and they do not limit the right of the employer/supervisor to assign additional tasks or otherwise to modify duties to be performed. Individuals shall perform other duties as assigned including work in other functional areas to cover absences or relief, to equalize peak work periods or otherwise balance the workload. Every employee has a duty to perform all assigned tasks. The order, of essential functions and duties of the position as listed in the position description, is not designed or intended to rank the duties in any order of importance relative to each other.
**TERMS OF EMPLOYMENT:**
Twelve-month position. Salary determined by negotiations between the Teaneck Board of Education and the Teaneck Association of Administrators and Supervisors.
**EVALUATION:**
The annual performance evaluation will be based upon this position description and any applicable State regulations and/or Board of Education policies.
*Board Approved: 04/28/2021*
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Large-eddy simulation: Past, present and the future
Yang Zhiyin*
Department of Engineering and Design, University of Sussex, Brighton BN1 9RH, UK
Received 23 September 2014; revised 1 October 2014; accepted 21 October 2014
Available online 24 December 2014
KEYWORDS
Gas turbine combustor; Inflow boundary condition generation methods; Large-eddy simulation (LES); Sub-grid scale (SGS) model; Turbulent flows
Abstract
Large-eddy simulation (LES) was originally proposed for simulating atmospheric flows in the 1960s and has become one of the most promising and successful methodology for simulating turbulent flows with the improvement of computing power. It is now feasible to simulate complex engineering flows using LES. However, apart from the computing power, significant challenges still remain for LES to reach a level of maturity that brings this approach to the mainstream of engineering and industrial computations. This paper will describe briefly LES formalism first, present a quick glance at its history, review its current state focusing mainly on its applications in transitional flows and gas turbine combustor flows, discuss some major modelling and numerical challenges/issues that we are facing now and in the near future, and finish with the concluding remarks.
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1. Introduction
Almost all practical engineering and the vast majority of naturally occurring flows are turbulent and hence the focus of research in computational fluid dynamics (CFD) is devoted to flows in which turbulence plays a dominant role. Although the exact physical nature of turbulence has not been fully understood, it can be modelled to a sufficient degree of accuracy in numerical simulations.
Turbulence is always three-dimensional (3D) and unsteady with a large range of scale motions. As a result of this the primary problem with numerically computing (as well as measuring) turbulence is the enormous range of scales that must be resolved. The size of the computational domain must typically be at least an order of magnitude larger than the scales characterising the turbulence energy while the computational mesh must be fine enough to resolve the smallest dynamically significant length-scale (the Kolmogorov micro-scale) for accurate simulation. The most accurate approach for simulating turbulent flows is called the direct numerical simulation (DNS) in which the full Navier–Stokes equations are numerically solved directly using very fine mesh to capture all the scales that are present in a given flow, from the smallest to the largest eddies. Therefore computationally DNS is very expensive and at present it can be applied only to low Reynolds number flows over simple geometry.
In some cases, one is mainly interested in the steady-state fluid flow and hence it is not necessary to simulate the detailed instantaneous flow, leading to a great reduction of computational time. This is the basis for the Reynolds-averaged Navier–Stokes (RANS) approach in which one solves only for the averaged quantities while the effect of all the scales of instantaneous turbulent motion is modelled by a turbulence model. This approach has been the backbone in the industrial...
CFD applications for the last few decades due to its modest computing requirement. Nevertheless knowledge of the transient behaviour of the flow is necessary and the RANS approach is therefore not sufficient and in many cases it fails to predict the flow behaviour such as transition.
An alternative approach is called large-eddy simulation (LES) which was proposed in as early as 1963 by Smagorinsky.\textsuperscript{1} LES does not adopt the conventional time- or ensemble-averaging RANS approach with additional modelled transport equations being solved to obtain the so-called Reynolds stresses resulting from the averaging process. In LES the large scale motions (large eddies) of turbulent flow are computed directly and only small scale (sub-grid scale (SGS)) motions are modelled, resulting in a significant reduction in computational cost compared to DNS. LES is more accurate than the RANS approach since the large eddies contain most of the turbulent energy and are responsible for most of the momentum transfer and turbulent mixing, and LES captures these eddies in full detail directly whereas they are modelled in the RANS approach. Furthermore the small scales tend to be more isotropic and homogeneous than the large ones, and thus modelling the SGS motions should be easier than modelling all scales within a single model as in the RANS approach. Therefore, currently LES is the most viable/promising numerical tool for simulating realistic turbulent/transitional flows.
This paper presents briefly LES formalism first followed by the following sections: a short introduction to the history of LES and its development, a brief review of the present position of LES focusing mainly on its applications in aerodynamic related flows, the major challenges/issues of LES and concluding remarks.
The review in this paper is mainly limited to the traditional LES and will not review other approaches under the LES umbrella such as ILES (Implicit LES) or called MILES (Monotone Integrated LES), VLES (Very LES) and the hybrid LES/RANS approach. The author would like to declare that this review is by no means inclusive as it is impossible to include every piece of work published in this area and many points presented in this paper only reflect the author’s personal opinion.
2. Mathematical formulation
2.1. LES governing equation
The governing equations, called the Navier–Stokes equations, are derived from the fundamental conservation laws for mass, momentum and energy. In LES only large eddies (large scale motions) are computed directly and hence a low-pass spatial filter is applied to the instantaneous conservation equations to formulate the 3D unsteady governing equations for large scale motions. This is called explicit filtering and Fig. 1 illustrates the difference between the filtered velocity $\bar{u}_i$ and the instantaneous velocity $u_i$.
When the finite volume method is employed to solve the instantaneous governing equations numerically the equations are integrated over control volumes, equivalent to convolution with a top-hat filter, therefore there is no need to apply a filter to the instantaneous equation explicitly and this is called implicit filtering. However, it is worth pointing out that there is potentially a big shortcoming or pitfall in implicit filtering, i.e., a truly mesh independent results can never be achieved as with the refinement of mesh, smaller scale motions are resolved and if one keeps on refining the mesh then eventually a DNS is performed, not an LES. In other words, when implicit filtering is employed it is almost impossible to distinct between numerical and modelling errors and hence prohibits useful analysis of numerical schemes.
The filtered equations expressing conservation of mass and momentum in a Newtonian incompressible flow can be written in conservative form as
$$\partial_t \bar{u}_i = 0$$
$$\partial_j (\rho \bar{u}_i) + \partial_i (\rho \bar{u}_j \bar{u}_i) = -\partial_j \bar{p} + 2\partial_j (\mu \bar{S}_{ij}) - \partial_i (\tau_{ij})$$
$$\bar{S}_{ij} = \frac{1}{2} (\partial_j \bar{u}_i + \partial_i \bar{u}_j)$$
$$\tau_{ij} = \rho (\bar{u}_i \bar{u}_j - \bar{u}_i \bar{u}_j)$$
where $\rho$ is density; $\bar{u}_i$ is filtered velocity; $\bar{p}$ is filtered pressure; $\mu$ is molecular viscosity; $\bar{S}_{ij}$ is the filtered, or resolved scale strain rate tensor and $\tau_{ij}$ is the unknown SGS stress tensor, representing the effects of the SGS motions on the resolved fields of the LES, which needs to be modelled using a so-called SGS model so that the above governing equations can be solved.
2.2. SGS modelling
Many different kinds of SGS models have been developed\textsuperscript{2–5} and most of them make an eddy-viscosity assumption (Boussinesq’s hypothesis) to model the SGS stress tensor as follows:
$$\tau_{ij} = 2\mu_s \bar{S}_{ij} + \frac{1}{3} \delta_{ij} \tau_s$$
where $\mu_s$ is called SGS eddy viscosity and substitute this into Eq. (2) which then becomes
$$\partial_j (\rho \bar{u}_i) + \partial_i (\rho \bar{u}_j \bar{u}_i) = -\partial_j \bar{p} + 2\partial_j [(\mu + \mu_s) \bar{S}_{ij}]$$
Note that a modified pressure $\bar{P} = \bar{p} + \frac{1}{3} \tau_s$, has been introduced and as a result of this when the above equation is solved the pressure obtained is not just the static pressure only. The remaining problem now is how to determine the SGS eddy viscosity and the most basic model is the one originally proposed by Smagorinsky:\textsuperscript{1}
$$\mu_s = \rho (C_S \Delta)^2 S$$
$$S = (2\bar{S}_{ij} \bar{S}_{ij})^{\frac{1}{2}}$$
$$\Delta = (\Delta x \Delta y \Delta z)^{\frac{1}{3}}$$
 Difference between the filtered velocity and the instantaneous velocity.
where $C_S$ is the so-called Smagorinsky constant which depends on the type of the flow, e.g., the value of 0.18 gives reasonable results for isotropic turbulence whereas for flows near a solid wall it should be reduced to 0.1.
Although much efforts have been made in developing more advanced SGS models and there are many SGS models available, this very simple model is still used and proved surprisingly successful. Nevertheless it is well-known that this model has clear shortcomings such as too dissipative (not good for transition simulation) and the Smagorinsky constant needs to be adjusted for different flows. One way to avoid adjusting the constant artificially and hence to improve this simple SGS model was suggested by Germano et al.\textsuperscript{16} – a dynamic SGS model, allowing the model constants $C_S$ to be computed locally in space and in time during the simulation. More discussion and review of SGS models can be found elsewhere.\textsuperscript{16}
2.3. Numerical methods
The finite volume method has become the most popular numerical method for LES and when this numerical method is employed it is not necessary to apply a filter to the instantaneous equation explicitly, hence called implicit filtering as discussed in Section 2.1 so that filtering will not be discussed anymore in this section. There are still many other numerical issues in LES but in this section only a very brief discussion on spatial and temporal discretization will be presented and more discussion will be focused on the generation methods for the inflow boundary conditions.
2.3.1. Spatial and temporal discretization
One of the most popular spatial discretization scheme used in LES is the second-order central difference because it is non-dissipative and conservative (not only mass and momentum but also kinetic energy conserving), which are essential for LES. Usually, first- and second-order upwind schemes or any upwind-biased schemes are not used in LES since they produce too much numerical dissipation. When higher-order numerical schemes, generally speaking, are desirable and can be applied fairly easily in simple geometries, their use in complex geometries is rather difficult. Hence, it is likely that with increasing applications of LES to flows of engineering interest in complex geometries the second-order central difference scheme is still going to be wisely used.
As for the temporal discretization (time advancement), implicit schemes have the advantage of using larger time steps. Nevertheless, they are more expensive computationally to solve the governing equations at each time step compared against explicit schemes. Furthermore, large time steps are unlikely to be used in LES in order to resolve important time scales of turbulence. Therefore, explicit schemes seem to be more suitable for LES than implicit schemes and most researchers in LES use explicit schemes such as the second-order Adams–Bashforth scheme. Since the time steps are usually small in LES, it is not essential to use higher-order temporal schemes either.
2.3.2. Inflow boundary conditions
Boundary conditions are very important in any numerical simulations and this is particularly true for LES. Among all the boundary conditions the most important one is how to specify inlet boundary conditions accurately because the downstream flow development within the domain is largely determined by the inlet behaviour in many cases. Nevertheless, it is an extremely difficult task to generate inlet boundary conditions accurately in LES because, unlike the RANS computations where only time-averaged information is required, in LES three components of instantaneous velocity need to be specified at each time step, which should possess characteristics such as stochastically varying, with scales down to the filter scale (spatially and temporally), compatible with the Navier–Stokes equations, turbulent structures (turbulence intensities, length scales, spectrum etc.). Therefore it is extremely hard, if not impossible, to generate inlet boundary conditions in LES which have all the listed characteristics above. In particular it is possible to generate a wide range of flow fluctuations around the mean which may have specified spectral properties such as intensity and length scales, and even compatible with the Navier–Stokes equations. However those generated flow fluctuations may not have the structure of turbulence, i.e., coherent eddies across a range of spatial scales down to the Kolmogorov scale which interact with each other. In addition it is also worth pointing out that turbulent structures are different between free-stream turbulence and wall-bounded turbulence and so on.
Generally speaking, current inflow boundary condition generation methods in LES can be classified into two basic categories: the so-called “precursor methods” in which an addition simulation (precursor simulation) is performed and the required data are stored as the input for the required simulation, and “synthesis methods” in which some form of random fluctuation is generated/manipulated and combined with the given mean flow at the inlet. Precursor methods can generate the most realistic turbulence information at inflow boundary but the disadvantage is the necessity to set up and run a separate calculation, leading to usually very high computational cost. One way to save the computational cost is to integrate the precursor calculation into the main domain, with data downstream of the inlet being mapped back into the inlet. It is of course necessary to provide some mechanism for driving the flow towards a pre-specified target such as mean velocity profiles and turbulent stresses etc. by recycling and rescaling. This method, which was first developed for flat-plate boundary layers, consists of taking a plane of data from a location downstream and rescaling the inner and outer layers of velocity profiles separately, to account for the different similarity laws that are observed in these two regions. The rescaled velocity profiles are then reintroduced at the inlet. The main shortcoming is that the inlet must be placed in a region in which the flow is in an equilibrium or very slowly developing, well-known condition (mean velocity and turbulent quantities) and a fairly long domain must be used for the region of interest for the recycling.
Many synthesis generation methods have been developed and the simplest way is to specify the mean flow velocity profile plus some kind of random perturbations, e.g., adding a white-noise random component to the mean velocity at inlet, with an amplitude determined by the turbulent intensity level. This method is very easy to implement but not a good one at all since the white noise component has hardly any of the required characteristics of turbulent flow – in particular it possesses no spatial or temporal correlations at all. Therefore, they decay
rapidly and it takes usually a long distance downstream from the inflow boundary for a desired realistic turbulence to develop, and in some cases the use of random noise at the inlet does not develop turbulence downstream at all. Over the past decades significant efforts have been made to develop advanced synthesis techniques generating fluctuations which are more realistic with required spatial and/or temporal correlation. Available advanced synthesis generation methods can be broadly classified into four categories: Fourier techniques and related approaches, proper orthogonal decomposition (POD) methods, digital filter generation methods and finally vortex method or synthetic eddy method (SEM). Details on inlet boundary condition generation methods can be found in a review article. Nevertheless, all those advanced synthesis methods mentioned above can only generate inflow turbulence with certain properties and no methods available yet to generate inflow turbulence with all the desired characteristics such as turbulence intensity, shear stresses, length scales, power spectrum and proper turbulent structures as mentioned previously.
3. A very brief history of LES and its development
LES was first proposed in 1963 by Smagorinsky for atmospheric flow prediction and the early applications were also in this area. LES was first applied to engineering related flow by Deardoff in 1970 and by Schumann in 1975. The initial development of LES from the 1960s to about middle of the 1980s was slow and the applications were mainly simple, building-block flows; homogeneous turbulence, mixing layers, plane channel flows and so on. However, with the increase of computing power a very rapid development and sharp increase in applications of LES started from about middle of the 1980s, especially after the 1990s with significant growth of LES community and a wide range of applications of LES shifting from simple flows to complex flows including multi-phase flow, heat transfer, combustion, aerocoastics etc. Apart from the increase in computing power one major factor behind such rapid development and wide range of applications of LES is because it has become clear that RANS methods inherently cannot handle certain classes of complex turbulent flow problems.
The development and growing interest towards LES is clearly indicated by several distinct factors. Firstly, the number of articles published annually in international journals. Secondly, in parallel to this tremendous increase in journal publications, a noticeable increase in the number of contributed talks in international conferences. Thirdly, a very significant increase of LES research groups/people across the world. Fourthly LES becomes available in most commercial CFD software. Finally, many monographs dealing specifically with LES have been published.
4. Current state of LES
As mentioned in the above section, during the early period of LES applications it was used successfully to investigate the details of flow problems having relatively simple geometry and at low Reynolds numbers such as homogeneous turbulence, mixing layers, plane channel flows. Although use of LES in such an academic or fundamental setting continues today mainly for model validation and fundamental understanding of flow physics etc. emphasis has shifted to more complex configurations having flow characteristics where the RANS approach has failed. In particular, after several decade’s development in LES and the availability of massively parallel computers and affordable workstation clusters have stimulated industry interest in applying LES to complex engineering flows. Nevertheless LES has not replaced the RANS approach and will not replace it for the near future to become the main computational analysis tool for practical engineering problems due to two main reasons: firstly, even with the current computing power it is still far too expensive computationally to perform LES on a routine basis for practical engineering flow problems; secondly, LES has not reached such a level of maturity that users without significant experience and knowledge can obtain results with the level of solution fidelity that can be expected. For the foreseeable future LES will not become a design tool that can be employed by persons without extensive years of experience on LES techniques.
In this section a brief review of LES applications in transitional flows and gas turbine combustor flows will be given to illustrate the current state of LES rather than a precise summary of the current capabilities of LES, which is extremely hard, if not impossible.
4.1. LES of transitional flows
Earlier numerical simulations were mainly focused on understanding transition mechanisms of flows with simple geometry and there were much fewer LES studies of transitional flows compared with DNS studies (especially for natural transition where it is essential to capture the instabilities involved) because of concerns about the penalties arising from low resolution and SGS modelling such as the Smagorinsky model which is too dissipative for natural transition simulation. However, Ducros et al. demonstrated that with a proper SGS model LES could be used to simulate natural transition successfully and the SGS model used in their study is called the filtered-structure-function (FSF) model. Details of a natural transition process was also captured correctly in an LES by Huai et al. using a localised dynamic SGS model. Recently Sayadi and Moin carried out a detailed study to assess the performance of several SGS models in predicting natural transition.
Bypass transition appears to be different since the transition is early and short so that the detailed computation of the form of the instabilities is not crucial as shown for the first time by Yang et al. using a modified Smagorinsky SGS model to allow for the very low Reynolds number of the flow. The effects of a high free-stream turbulent field on a spatially evolving boundary layer was investigated using LES with a dynamic mixed SGS model and bypass transition was observed giving rise to mechanisms of turbulent energy production. LES of bypass transition along a flat plate was carried out using an SGS model constructed based on variational multiscale concepts and the results agreed well with the DNS data. LES of bypass transition for different sets of free-stream turbulence conditions with a localised Lagrangian-averaged dynamic SGS model was performed by Lardeau et al. to address mainly the evolution of the budgets, with particular
attention focusing on shear production relative to pressure-velocity interaction performed.
LES has also been successfully applied to investigating transitional separated flows\textsuperscript{57–59} and is still applied currently to this kind of fundamental research such as separated boundary layer transition under elevated free-stream turbulence level by Langari and Yang.\textsuperscript{58} Fig. 2 shows the computational domain and mesh used in Langari and Yang’s study.\textsuperscript{58} Using the multi-block functionality, the domain is divided into 14 blocks with a grid resolution of \((n_x, n_y, n_z) = (310, 140, 64)\) for the outer region and a refined C-grid \((420, 60, 64)\) around the plate covering the close wall region and the free shear layer region of the separation bubble, a total of 4.39 million mesh points. Figs. 3 and 4 present the comparison between the predicted mean streamwise velocity \(U\) and RMS (Root Mean Square) of streamwise velocity fluctuation \(u'\) normalised by the inlet velocity \(U_0\) of fluctuations with the experimental data (where \(l\) is the mean separation bubble length). As can be seen from both figures that an excellent agreement has been obtained between the predicted mean profiles and the experimental data at all locations. The predicted RMS of streamwise velocity fluctuations compare very well with the experimental data in terms of both peak values and their locations.
Fig. 5 shows the flow structures under very low free-stream turbulence and elevated free-stream turbulence level of 5.6%. For the very low free-stream turbulence case the spanwise oriented quasi-2D Kelvin–Helmholtz (KH) rolls are clearly visible at the early stage of the bubble and then become distorted/deformed due to 3D motion setting in as a result of a possible secondary instability. However, for the elevated free-stream turbulence case those spanwise oriented quasi-2D KH rolls are not visible and spanwise irregularity appears at the early stage of the bubble in the separated shear layer leading to the formation 3D hairpin like structures, bypassing the stage where the quasi-2D KH rolls exist, leading to a much earlier breakdown to turbulence, similar to the “bypass transition” process in attached boundary layers where TS instability stage is bypassed.
**Fig. 2** Computational domain and mesh.\textsuperscript{58}
**Fig. 3** Comparison of predicted mean streamwise velocity at different streamwise stations with experimental data.\textsuperscript{58}
Fig. 4 Comparison of predicted RMS of streamwise velocity fluctuation at different streamwise stations with experimental data.\textsuperscript{38}
(a) Very low free-stream turbulence case
(b) Elevated free-stream turbulence case
Fig. 5 Top and perspective views of the $Q$-criterion iso-surfaces showing flow structures\textsuperscript{38}.
It is much hard to simulate transition in realistic engineering flow cases as apart from the geometrical complex the flow is also very complex with many factors influencing the transition process: pressure gradients, Reynolds number, curvature, level and scale of turbulence, roughness, unstationarity etc. Nevertheless applications of LES to study transition in realistic engineering flow cases have started to appear such as transitional flows over turbine blades.\textsuperscript{61–66} Sarkar and Voke\textsuperscript{67} carried out an LES study of interactions of passing wakes and inflexional boundary layer over a low-pressure turbine blade and Fig. 6 shows flow structures due to the complex interactions of passing wakes and the separated shear layer. They further explained that flow topology generating coherent structures owing to the interactions of passing wakes and the separated shear layer over the blade could be schematically illustrated in Fig. 7.
4.2. LES applications in gas turbine combustors
The gas turbine has a wide variety of flow regimes from mainly high Reynolds number fully turbulent flows to transitional flows in some areas. The combination of such a wide range of flow phenomena with complex geometry makes it very difficult to model with the RANS approach. LES has demonstrated considerable promise for reliable prediction of flows in the gas turbine, especially those dominated by shear layer mixing such as in combustion chambers and exhausts where LES has demonstrated a clear superiority over RANS for moderately complex geometries. LES applications in gas turbines have been reviewed by Menzies\textsuperscript{68} and the focus here is on LES applications in combustors.
It becomes more complicated and places additional demands on LES to simulate reacting flows since the reaction results in large changes in density and temperature and
Fig. 6 Iso-surface of vorticity at an instant of time through the wake passing cycle showing flow structures.\textsuperscript{63}
Fig. 7 Schematic of coherent vortices formation mechanism.\textsuperscript{63}
Additional transport equations for the fuel distribution need to be solved. In aeronautical gas turbines, liquid fuel is used and hence the spray behaviour and its interaction with the gas phase including droplet break-up, evaporation and the interaction of the droplets with the turbulent eddies need to be captured in the simulation. In addition since combustion occurs at the very small (unresolved) scale a combustion SGS model is required to account for the two-way interaction between turbulence and combustion. Despite these additional modelling assumptions required and the complexity of the flow to be represented, LES has been applied successfully to simulating the flow in real combustion systems. A recent comprehensive review in this area is given by Gicquel et al.\textsuperscript{68}
4.2.1. Swirled fuel injector simulations
Real gas turbine fuel injector usually includes complex flow passages or veins with multiple obstacles and wing profiles that impose a rotating motion to the air streams to achieve better mixing. LES studies under iso-thermal conditions were carried out to investigate the intense mixing processes between the air and fuel streams in the near field of a swirling flow fuel injector typical of some gas-turbine engine combustors.\textsuperscript{69,70} Fig. 8 shows the fuel injector geometry and Fig. 9 presents comparisons of the first moment (mean value) of both axial velocity $\langle U \rangle / U$, and the scalar concentration $\langle \phi \rangle$ along the radial direction ($r$) normalised by the outer diameter of the swirl stream $D_s$ against experimental data, with emphasis on the near-field of the fuel injector where turbulence activity is the highest and scalar mixing the most rapid. It can be seen from Fig. 9 that the predictions are in very good agreement with the experimental data, demonstrating that the LES approach is capturing the correct physics. Further analysis of LES data provides evidence of the occurrence of the unsteady, helically spiralling vortex structures observed experimentally, and in fact identifies the origin of these as being a rotating separation event inside the fuel injector itself as shown in Fig. 10.
Due to the intense swirl of the fuel injector a recirculation region is generated, usually located immediately downstream and right along the axis of the swirled fuel injector. This recirculation is called inner recirculation zone (IRZ) (also called central recirculation zone in some literatures) and one of the main difficulty is to predict the IRZ accurately. Two swirled fuel injector flows were simulated using LES\textsuperscript{71,72} to assess flow dynamics and more specifically the position and breakdown of the IRZ. An LES\textsuperscript{73} was performed to study comprehensively the confined swirling flows in an operational gas turbine fuel injector and the calculated mean velocities as well as turbulence properties show good agreement with experimental data.
4.2.2. Single sector simulations
Kim et al.’s LES study of a gas turbine combustor flow\textsuperscript{74} was probably the first application of LES in a realistic gas turbine combustor (General Electric’s lean premixed dry low-NO$_x$ LM6000). The main objective of their study was to evaluate the potential of LES for design studies of realistic combustor. Their computed results agreed well with experimental data in spite of relatively coarse grid resolution employed. Their results have provided significant confidence that LES capability for design studies of practical interest is feasible in the future. More LES studies on real combustion chamber started to appear from 2004\textsuperscript{75–79}, which mainly focused on a single sector description of the full annular gas turbine combustor thereby imposing a periodic hypothesis on the flow realisation. Although the periodic assumption would not truly represent the flow in a full annular gas turbine combustor it would reduce the computational overhead of LES significantly.
Fig. 11 shows computational domains used in a single sector LES studies.
Since it is almost impossible to measure in details the reacting flow in real gas turbine combustors while it is possible to measure velocity, temperature and species fields in a whole laboratory combustor, real combustor data are usually limited only to a few temperature measurements at the chamber outlet and the total flow rate. One of the most important parameter that engineers would like to know is the mean exit temperature field of the combustion chamber because it controls the life-
**Fig. 9** Comparison of the first moment of both axial velocity and the scalar concentration between LES predictions and experimental data.\(^{70}\)
time of the turbine blades. Fig. 12 shows the normalised temperature profiles at the outlet of different real combustors and it can be seen that LES predictions are much better than the RANS predictions when compared against experimental data.
4.2.3. Full annular burner simulations
With the increase in computing power plus the availability of thousands of CPUs or even more it is possible to perform LES of a realistic full annular gas turbine combustor, which have been done recently.\textsuperscript{80–84} Nevertheless computationally it is very expensive and only necessary if information proceeds...
in the azimuthal direction which cannot be properly captured with a single sector hypothesis such as simulating flame propagation from a burner to the next after ignition and neighbouring flames that interact with each other or the existence of an azimuthal thermo-acoustic instabilities.
In the LES study of combustion instability in an annular helicopter combustion chamber equipped with 15 burners by Wolf et al., three grids were used and the fine grid consists of 336 million elements. Fig. 13 shows a snapshot of the temperature field on a cylindrical plane along with the pressure field that exhibits the presence of azimuthal pressure waves. They observed that the flames oscillate azimuthally, moving from left to right at a frequency close to 750 Hz. This azimuthal motion is accompanied by an axial displacement of all flames as well, which can never be captured by a single sector LES.
These studies have shown that LES can, at least, reproduce macroscopic unsteady flow in real gas turbine combustors and the results not only provide a demonstration of the current status of LES when used on massively parallel computers but also give massive unsteady flow field information which can never be obtained by other means. Indeed such unsteady fields need now to be studied to feed the design chain and complement design assessments based on RANS.
5. Challenges/issues of LES
Despite more than half a century’s intensive research/development, validation and applications in LES it has not become a mature numerical simulation tool which can be used with ease to perform complex engineering flow analysis. There are still many challenges/issues which will be discussed very briefly in this section and much more comprehensive discussion can be found elsewhere.
5.1. Development of accurate SGS models
There have been a lot of efforts made to develop new SGS models and the number of SGS models has increased significantly with numerous SGS models available now. Nevertheless, not many of those SGS models have been widely used (the simple Smagorinsky model and its variants are still probably the most widely used models) and hence one may argue that what is the point of developing a new SGS model? The argument is that if one takes “the traditional or proper LES approach” (more than 80% of the turbulent kinetic energy should be resolved and hence SGS may not play an important role) for fully turbulent flows maybe there is no need to develop more accurate and complex SGS models but there are many situations where the available SGS models are inadequate such as transitional flows, relaminarization and flows where aeroacoustics, mixing and chemical reaction need to be simulated accurately. In particular, when LES is applied to practical engineering calculations (complex geometry and high Reynolds number) it is not possible in many cases for the LES mesh to resolve more than 80% of the turbulent kinetic energy, which inevitably requires a more advanced and accurate SGS model to properly model the effects of SGS motions.
5.2. Generation of inflow boundary conditions
As already discussed in more details in Section 2.3.2 that specifying inflow boundary conditions properly are crucial for LES, and yet it is an extremely difficult task to generate inlet boundary conditions accurately in LES. Intensive research has been going on in the past decades and many inflow boundary condition generation methods have been developed. However, all those methods as discussed in Section 2.3.2 can only generate inflow turbulence with certain properties and no robust methods available yet to generate inflow turbulence with all the desired characteristics such as turbulence intensity, shear stresses, length scales, power spectrum and proper turbulent structures, i.e., coherent eddies across a range of spatial scales down to the Kolmogorov scale which interact with each other. Therefore research is still much needed in this area.
5.3. Wall layer modelling
Simulating near wall flow regions accurately is essential in many practical engineering configurations in order to correctly predict skin friction, heat transfer and so on. Ideally one needs to resolve the near wall flow structures (wall-resolved LES). However, close to walls, the flow becomes dominated by vortices with a characteristic length and spacing much smaller than those of the free flow. It is well known that when Reynolds number increases the mesh resolution needs increase correspondingly in the near-wall region, this re-dependence of the resolution is much steeper, since the near-wall eddies that need to be resolved scale with wall units. In most practical engineering flows, if not all, Reynolds number is very large and it would become far too expensive to perform a wall-resolved LES. It is therefore a big challenge to model the near wall flow properly in LES as many wall models such as the much earlier near wall treatments by adjusting the velocity near the solid wall to enforce the local near wall flow to satisfy the logarithmic law of the wall, similar to the wall function approach used in the RANS, are not satisfactory because in many engineering flows the assumption of the existence of a logarithmic law does not hold due to the presence of strong favourable or adverse pressure gradients, separated flow regions and highly three-dimensional behaviours. A comprehensive review on wall layer modelling is provided by Piomelli and as rightly pointed out by the author that “despite the increased attention to the problem, no universally accepted model has appeared”.
5.4. Accurate and robust numerical methods for unstructured grid
Most engineering flows occur in complex geometries such as flows in turbomachinery and significant efforts are required to generate good quality structure grids. Hence unstructured grid methods have become much more prevalent for RANS simulations because for complicated geometries the time needed for generating unstructured grids is significantly less than that for block-structured grids. Exploration of unstructured methods for LES has increased\textsuperscript{93,98} and the requirements for numerical schemes in LES is more stringent than in RANS since in LES it is crucial to eliminate numerical dissipation. Hence, probably the main challenge in utilising unstructured grids for LES is the difficulty in deriving higher-order (second-order or above) robust unstructured schemes that discretely conserve not only first-order quantities such as momentum, but also second-order quantities such as kinetic energy. A non-dissipative algorithm for unstructured grids was developed and applied to a variety of flows including a turbine combustor.\textsuperscript{94,99} There are also other issues when employing unstructured grids for LES such as the effects of different grid topologies (i.e., prismatic versus tetrahedral), rapidly changing grid volumes and etc. and only limited knowledge/experiences are available.
5.5. LES for compressible flows
Much less work has been done in LES for compressible flows compared with LES for incompressible cases and there are many challenges/issues in this area. For supersonic flows with shock waves extra efforts/requirements are needed to capture the shock in a stable and accurate manner, and at the same time provide the spatial accuracy required to simulate some of the fine-scale structures inherent in turbulence. Shock waves are most commonly treated by low-order methods, often employing upwind schemes, which are not really appropriate for LES.
In compressible flows, to avoid the introduction of SGS terms in the continuity equation Favre filtering is usually adopted and hence the knowledge/experiences gained in incompressible flows may not be relevant. In addition due to extra equations such as energy equation should be solved for compressible case more SGS terms such as SGS heat flux need to be modelled, which makes SGS modelling for compressible flows much more complicated. More details on LES for compressible flows can be found in a book by Garnier et al.\textsuperscript{36}
5.6. LES of turbulent combustion
LES of turbulent combustion started to appear in the 1990s and has increased very rapidly in the past decade with applications in a range of combustion problems. As chemical reactions occur on very small scales (usually smaller than the resolution of LES mesh), most of the combustion chemistry is occurring in SGS and models need to be developed. Despite this LES has shown great promises in this area and demonstrated clear superiority over the RANS approach even with relatively simple SGS combustion models. Nevertheless, there are tremendous challenges in this area because turbulent combustion is so complex, e.g., in aircraft engines it involves liquid fuel injection, liquid fuel atomization, droplets breakup and evaporation, large scale turbulent fuel air mixing, small scale molecular fuel air mixing, chemical reactions, and turbulence/chemistry interactions. Many of these processes occur on multiple time and length scales. Much more discussion on LES of turbulent combustion can be found in two review articles by Pitsch et al.\textsuperscript{99,100}
5.7. LES for aeroacoustics
Noise is becoming an more and more important environmental issue and a significant proportion of noise comes from air and land transport such as jet noise, fan noise, airframe noise and high-speed train noise. There are many physical processes which can produce noise and here only aerodynamic, flow-induced noise will be discussed (aeroacoustic) and turbulence is one major source of the aerodynamics noise. Since large scale fluctuations, which are known to contribute most to the noise generated in many problems, are computed directly in LES, which makes LES a very useful tool in aeroacoustics. Applications of LES for predicting aerodynamics noise probably started in the 1990s and has become a very active research area.\textsuperscript{100–112} A comprehensive review can be found in a dedicated book.\textsuperscript{12}
LES holds great promise for aeroacoustics computations, from advancing fundamental understanding of noise generation, to improvements in source modelling for acoustic analogies and practical prediction and design of engineering systems in the near future. If properly implemented and validated, LES codes should be able to simulate the flow physics accurately that captures the transfer of energy from turbulent to acoustic modes. Nevertheless significant challenges remain from proper SGS modelling to numerical issues such as high-order accuracy and careful application of the boundary conditions, to practical engineering configurations where flow Reynolds number is usually very high and it is impractical to apply LES for both noise source capturing and its propagation. In addition, for relatively simple LES applications, conventional validation analysis may be performed against accepted experimental databases (first order and second order quantities). For LES applications in aeroacoustics extra care should be taken for proper validation as shown in aeroacoustics theory that complicated statistics such as two-point space–time correlations are critical to flow-generated sound. Hence the validation, perhaps, can start with the simplest statistics and progressing to the more complex and acoustically relevant statistics.
6. Concluding remarks
This paper describes briefly LES formalism first followed by a short introduction to the history of LES and its development and a review of LES applications in transitional flows and gas turbine combustor flows. Several major challenges/issues associated with LES and its application such as SGS modelling, generation methods for initial boundary conditions, wall layer modelling, LES of turbulent combustion etc. have also been briefly discussed.
Since the 1960s researches have obtained great advances in the field of LES with demonstration of its capabilities in calculations of complex turbulent flows and its superiority over
RANS in numerous cases. Nowadays, thanks to the rapid progress of information analysis systems and various simulation codes, LES has become a very powerful and popular tool in simulating turbulent flow, and has been widely used for not only turbulent flow analysis but also for combustion, aero-acoustics and many other areas. It has also been demonstrated that it is feasible to perform LES of complex engineering flows such as a realistic full annular gas turbine combustor.
With its huge amounts of flow information included in 3D unsteady flow field, LES will be undoubtedly the main tool for engineering fluid analysis within a couple of decades since DNS will still be far too expensive. In the future, LES is likely to become used for a broader range of flow problems and for more complex problems including more multi-disciplinary applications. Nevertheless, there are still significant challenges remaining as discussed in this paper before LES can become a reliable, robust engineering analysis tool which can be used as an alternative to RANS. For the foreseeable future it is very unlikely that LES will replace RANS completely and become a design tool used by design engineers without extensive years of LES experiences.
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Yang Zhiyin received the Ph.D. degree from Sheffield University in 1989 and since then has been doing research in the development/validation/application of LES for transitional and turbulent flows. He is a leading expert in LES and separated boundary layer transition.
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Governing Council and Nominations
Nominations are now open for the positions on the Governing Council which will be open either because of a resignation or because a member has reached their term limit.
What is the Governing Council (GC)?
The Governing Council provides strategic leadership for CUMC and structures/oversees the mission, vision, and ministry of the church. The Governing Council establishes accountability systems to ensure strategic priorities are accomplished.
How many members on the GC?
There are 12 members, and each serves a specific position. There are three designated trustees, three staff parish (which is the Human Resources arm of the church), one young adult, one vice-chair and one chairperson. Each of these positions holds one vote.
Each position serves a three year term. Two consecutive terms may be served. After that, at least one year sabbatical must be observed before serving another term.
The Senior Pastor, Associate Pastor, and Business Administrator are regular members of the GC but hold no vote. The work of the secretary is accomplished by the office manager who also holds no vote.
Agenda of the Meetings
(meets the 3rd Monday of each month 6:30)
Meeting agenda includes:
1. Convene with review of vision statement, prayers
2. Operational business (Finance, Trustees and Staff Parish) and Business Administrator
3. Staff ministry reports from Senior Pastor and Associate Pastor
4. Each team offers an update of progress in their areas but also discussions will occur as needed on larger issues (for example, sale of the land and rebuild of the sign at the corner of 126th and Rangeline).
GC meetings are open to all membership. There are times during the meeting, typically done at the end of the meeting, when the session is closed. For example when there are personnel changes, these are handled in closed sessions held at the end of the regular GC meeting.
The Senior Pastor and Chair of GC will convene an annual retreat for in-depth planning work and strategic planning.
Who may apply to serve on the GC?
Anyone may apply who feels that they are called by God and has gifts and talents to contribute. We consider persons who have been actively engaged in the life of the church for at least a year. We desire the leadership to attend worship at least two times a month, participate in spiritual growth through classes or a grow group, serve in mission and to be tithing or working toward tithing.
What is the process?
The nomination process begins on June 1 and goes through August 1. The applications are reviewed by the GC, and candidates will be invited to speak before the GC when needed. GC will hold a vote and candidates will be notified Oct. 1. The newly elected persons are called to start service the upcoming Jan. They are invited to the December meeting prior to observe.
If you have any questions, please feel free to contact Jennifer Elkin serving as Chair of GC or myself.
~ Pastor Patti
Leadership at CUMC:
Pastoral Staff
Senior Pastor:
Rev. Patti Napier
Associate Pastor and Director of Young Adult Ministry:
Scott McDermid
Director of Music Ministry:
David Morton, Ed.S
Minister of Children & Families:
Rev. AJ Mildenberg
Director of Youth Ministry:
Matt Sherrill
Minister of Youth:
Kevin Andrews
Minister of Adult Discipleship:
Chris Thornsberry
Minister of Local Outreach:
Mike Podgorski
Minister of Shepherding & New Members:
Barbara Krueger
Minister of Visitation:
Jim Shirey
Retired Pastor in Residence:
Jack King
Preschool Director:
Tiffany Lehman
Office Staff
Church Administrator:
Kevin Sweeney
Office Manager:
Pat Morrison
Financial Secretary:
Elizabeth Shiverdecker
Communications & Media Specialist:
Rachel Ferry
Membership Secretary:
Karen McTaggart
Preschool Administrative Coordinator:
Nicole Todd
Children's Ministry Assistant:
Amy Severson
Music Associate:
Ray Lahrman
KICK Kid's Choir Director:
Jennifer Gafron
KICK Kid's Choir Accompanist:
Kyle Johnson
Cherub Choir Director:
Carol Getch
To email any staff: first initial, last name @carmelumc.org (i.e. firstname.lastname@example.org)
IN THIS ISSUE:
⇒ SUMMER MISSION TRIPS
⇒ SUMMER KIDS CAMPS
⇒ VBS!!!!
Church Governing Council
The Church Governing Council meets each month. If you have any questions regarding these meetings please contact Pat Morrison.
Congratulations....
Baptism...
- Josephine (Josie) Jean Howerton was baptized May 13, 2018. Josie is the daughter of Andrew & Jenny Howerton.
- Caitlin Marie McGill was baptized May 20, 2018, Caitlin is the daughter of Christine Moses.
Deaths...
- Aaron Carlisle & family, on the death of his grandfather, Roger Potts, who passed away April 24, 2018.
- Stacy Cartmel & family on the death of her mother, Carolyn Acton, who passed away April 25, 2018.
- Ray Lahrman & family, on the death of his mother, Sandy Lahrman, who passed away May 1, 2018.
Rachel and Paul Herbig have set-up a collection box in the Food Pantry Donation Room so you can drop-off children's books to be given to kids at Roberts Park UMC. Please stop by and donate!
Do you have a Bible you are not using anymore? Maybe your child has outgrown a children's or teen version. Maybe you are cleaning out your parents' books and find several Bibles that you do not need. Maybe you bought a new translation and you are not using your former Bible. We would like to maintain a library of Bibles so that if someone in our congregation needs one, we can give it to them. The Bibles would also be available if a pastor or mission team leader identifies someone who needs to have the word of God. Please bring them to the church office, and we will take it from there.
Nominations now until August open for Governing Council: descriptions of positions and application available online: carmelumc.org/gc
Season of change...
Season of farewells
It seems to me that the activity of nature during spring and fall does not necessarily reflect the activity of humanity for those seasons of life. Here is what I mean...
I am thinking that fall is the time when trees drop their leaves, flowers die back and vegetable gardens are ready for a break. Contrast this with humanity as this is a season for many of new starts as students and teachers return to the classroom and as new activities launch.
Spring is the beautiful season of new life as we have growing sunlight every day, trees bud and bloom and flower and vegetable gardens come alive. Contrast this with humanity as this is a season of good-byes as students and teachers and professors end the school year and award banquets and ceremonies signal the end of accomplishments.
This spring we will have our own season of change and time of farewell as Scott McDermid leaves Carmel UMC to pursue where God will call him to serve next. Scott will be very missed by this congregation, but we need to remember and celebrate him as a part of saying “good-bye”.
Looking back, we remember when he first came to Carmel UMC in 2005 having previously served the Carmel Friends Church in youth ministry. Scott arrived with a youthful look (his hairstyle was different and he sported no facial hair) and energy to match. Scott began as the Minister of Youth and instantly developed lasting relationships with many of the students at Carmel UMC. He identified the need and created the first regular opportunities for students to participate in a weekly worship service. He developed strong service opportunities including mission trips to places including Mexico, Nashville (Tennessee), and El Salvador. He expanded the ski trip over the years (now called “WinterBlast”) so that it has reached hundreds of students and become not only a time of fellowship, but also a time of worship with many over the years accepting Christ into their lives. His leadership contributed to the expansion of ministry through development of new part-time staffing roles as well as a dynamic volunteer team that continues to serve to this day.
Scott demonstrated strong preaching skills when leading youth worship on Sunday mornings, and was asked to lead the Contemporary Service as well. His leadership in this service has provided continuing growth in numbers and an increased sense of community among contemporary worshippers.
Initially, Scott also continued serving the youth part-time. It was identified that this ministry needed a full-time youth leader. This seemed to be God’s hand at work, as Scott was feeling called to develop a ministry for young adults. Over the years, Scott’s heart for students meant that he kept in touch long after they had graduated and were no longer his “responsibility”. The transition to young adult ministry was a natural outcome of the relational investment that he continued to have with former students. Scott has laid a strong foundation for the Young Adult ministry to build upon.
I will say further that as a team member, Scott has always had wonderful ideas and a positive attitude. He quickly jumps in to contribute in support of other ministry areas. You may remember each year of VBS as he would dramatically play the lead character in the skits…which assured him to be the target of kids all week and to lose his voice in the process. Scott’s leadership has had ripple effects on the entire congregation through opportunities including Kickoff Sunday which started as a youth program that grew to include the entire church.
Carmel UMC is a stronger congregation because of Scott’s work and more importantly his presence. His longevity in ministry has played a big part in strengthening this community of faith to understand that being a part of the body of Christ requires us to sow seeds into the lives around us. Well done, Scott! You’ve been faithful in planting, tending, pruning, and harvesting.
As the rest of us continue to pursue a deepening commitment to the way of Jesus, let us remember that, although the seasons change, our call to the ongoing rhythm of sowing and reaping remains. The task continues and we are reminded that the harvest is plentiful (Matthew 9:37) but the workers are few.
Will you be a willing worker in God’s field?
I can’t imagine a better way to honor Scott, and ultimately Christ himself, who is the reason Scott has served so faithfully.
~ Pastor Patti
2018 CARMEL UMC SCHOLARSHIP WINNERS
Congratulations to this year’s scholarship winners!
Here are the outstanding scholarship recipients:
- Sutton Saunders plans to attend Ball State University and major in Secondary Education.
- Alexander Spanenberg plans to attend Butler University and major in Pharmacy.
- Jacob Wenthe plans to attend Indiana University and major in Journalism.
Thank you to all of you who are supporting the scholarship fund through contributing to Scholar Dollars. Contributions can be made throughout the year to the scholarship fund by making checks to “Carmel United Methodist Church” and writing “Scholar Dollars” on the memo line and on your envelope.
Habitat For Humanity Carmel UMC Work Day!
The Carmel UMC build team met on May 19th for a very warm and wet day of building. As a team, we worked together to put siding on the home of a very deserving, extraordinary woman. We were blessed to work side-by-side with her and her children on the exterior of the home.
Thank you to Sandy Phillips and Ann Buskirk for providing lunch for the entire crew that day. We look forward to serving with Habitat again in the future.
It was a day filled with connecting, growing, and serving!
It has been a busy month as we celebrated The Week of the Young Child and Race Day! Both events celebrated God’s youngest children and were a time of fun and learning.
The preschool has completed its 2017-2018 school year! We had 70 students graduate from preschool and will be off to kindergarten in the fall. Please join me in praying for their successful journey and that they will continue to glorify God and his teachings.
CLICK HERE FOR MORE INFO ABOUT THE PRESCHOOL!
317-844-1958
Tiffany Lehman, Director
email@example.com
www.carmelumc.org
The 3rd Annual It’s in the Bag auction was so much fun! And we met our target to raise money to support local charities. We appreciate the volunteers and attendees to this wonderful event!
**Women Circles**
Ruth Anna Circle will gather for lunch at The Old Spaghetti Factory, 918 S. Rangeline Road at 11:45 on Tuesday June 12. Reservations are required. If you have not already signed up and are not on a calling list, please call Katie Kessler at 317-846-9785 to reserve your place at the table. All ladies are welcome. This will be our last meeting until September 11. Enjoy your summer.
Mom’s Circle is taking a break for the summer!
The ladies in the Quilting Circle have been working on Fidget Quilts for residents of the Green House Cottages, which is just east of our church. One of the cottages has 24 memory care residents. We are making these quilts with lots of interesting textures. We have 12 assembled so far. If you would like to get a kit to help with this project, please call Marie Harris 317-946-0272 or email at firstname.lastname@example.org.
BOOK GIVEAWAY!
We are making space in our Library/Conference Room for Grow Group and Discipleship materials for our groups and leaders. Subsequently, we are letting go of some of the books that are currently housed in the library. Each Sunday in June there will be a table outside the Library conference room with books available for you to take. All that we ask is that you would consider making a free will donation in the donation box on the table that will go toward maintaining and updating the library. Take as many books as you would like. For more information, contact Sandy Phillips at email@example.com.
FINANCIAL PEACE UNIVERSITY!
Join us on Monday, June 18th from 6-8 p.m. for our Financial Peace Preview Night. Led by Shaina and Curtis Murphy (veterans of the course), you’ll receive insight into what FPU classes look like and learn how you can sign up for our next 9 week course. This is a great opportunity to share with your friends, neighbors, co-workers, and family members. It’s also a great opportunity for new high school graduates or current college students to come and learn about how to manage their finances. To sign up for this preview night, please email the Murphy’s at firstname.lastname@example.org. We look forward to seeing you there! (The next Financial Peace University 9 week course will start July 9th.)
SHARING GOD’S WORD
Working in conjunction with Lifeway Resources and Stores, we will be joining the Share God’s Word Campaign this summer! This will be an opportunity for YOU to take Gods Word, the Bible, to one of your friends, neighbors, co-workers, or family members. Here’s how it works…the week of July 2nd through the 8th, you will need to go to the Lifeway store at 5458 E 82nd St, Indianapolis, IN 46250 in Castleton. You tell them that you are a part of the Share God’s Word Campaign from Carmel UMC. They will then give you a FREE BIBLE to share with anyone you know. We have 700 Bibles reserved for us for this week, so PLEASE take advantage of this opportunity to get God’s Word out to our community. If you have any questions, feel free to contact Chris Thornsberry, Minister of Adult Discipleship, at email@example.com or by calling the church office.
MEN’S GATHERING
We’ll be gathering once again as a group of dudes at Wolfie’s in Carmel at 7 p.m. on Wednesday, July 11th. We normally will meet the first Wednesday of the month, but with the first Wednesday next month being July 4th it will push us to the second Wednesday. So come and join us on July 11th for some good food, lots of fun, and great conversation! If you have any questions, feel free to contact Chris Thornsberry, at firstname.lastname@example.org or by calling the church office.
Family mission opportunity- bagel pick up and sorting for the Food Pantry! Kids all ages can help so it truly can be a family mission project. 1 time per month. If you would like to help- contact Jenny LeVora at email@example.com
MOVIE NIGHT - Finding Dori and Swiss Family Robinson
Get ready for Vacation Bible School as we gather together to watch a movie and start making decorations for the best Children’s Ministry week of the year at Carmel UMC.
Saturday June 9th at 6:15pm.
For both younger kids (Finding Dori) and older-(Swiss Family Robinson) and parents! This is not a drop-off event!
Summer camps provide an opportunity for your kids to have fun in a safe environment! This year we will only offer camps for 2 weeks in July. Kids may be here 1/2 day or all day- you choose. For kids 3 years old to 5th grade.
Sign up here
For more information, email firstname.lastname@example.org
VBS Vacation Bible School June 24-28, 6pm to 8:30pm. We will close registration Friday, June 22 or at 300 whichever is first!
Enjoy singing to a live band, experiencing Bible stories as they come to life, snacks, games and crafts.
Missions donations are: Kids Coats (coats, mittens, gloves, hats and scarves) CUMC Food Pantry (cereal)
Operation Classroom in Sierra Leone (school supplies), Soup’s On (children's books -new or used) and
Operation Leftover -Homeless ministry (hotel shampoo, conditioner and lotion) Invite your friends today!
We need lots of volunteers to make VBS a success- please sign up HERE to serve!
For kids 3 years old (if potty trained and parent volunteers) to 5th grade (current school year)
SEEKING THE FOLLOWING PIRATE BOOTY:
- Pool noodles
- Red duct tape
- Vanilla Wafers
- Quart plastic bags
- Hula Hoop
- Baking Soda
- 5 oz. paper cups
- Lacroix citrus Flavored Water
- Ping pong balls
- Cases of Water
- Old luggage
- White duct tape
- Swedish Fish
- Fishing line
- Vanilla pudding cups
- Skittles
- GoldFish crackers
- Tennis balls
- Fruit by the Foot
- Feather duster
- Graham crackers
- Pretzel sticks
- Vinegar
- Black duct tape
- Fruit juice
- Wet Wipes
- Gallon size plastic bags
- Straws
- Red ribbon 2 inches thick
- Colored GoldFish Crackers
COME ONE COME ALL! WE NEED WORKERS!
June 3 5:30- 8pm, any time basement - Childcare available
June 6 5:30-8pm any time basement orientation for new volunteers - Childcare available
June 9 6-8pm Movie Night and work night- Hub, youth area basement
June 20-23 9am- 12noon, basement - Childcare available
June 20 5:30pm Stage build – Childcare available
June 24 after Church Childcare available
June 3 through August 12, school ages are combined and parents help for the summer. Preschoolers and Kindergartners (current grade) will use Owlegories, an animated series that follows a group of student owls as they travel on adventures learning about nature, faith, and God! 1st –5th graders (current grade) will study What is a Christian? With the help of some animated friends, we will walk through the entire book of 1 John to find the answer. This pioneering series packs tons of good theology into short sessions that everyone from students to adults will enjoy. Learn not only what the Bible says, but also why and what it means for us today. We use rightnowmedia.org (Netflix for Christian shows and studies, the Church can add you to its subscription for free!) We ask parents to volunteer 1 time per child (this allows our regular Sunday School teachers a little break for the summer).
SIGN-UP HERE!
www.carmelumc.org
Please lift in prayer the 2018 Henderson Settlement Mission Team. This team will be travelling to Frakes, KY June 10-16 to be the hands and feet of Jesus. Not only are we grateful for their servant hearts, but for their time, energy, and efforts working with this amazing mission.
Shirley Anderson
Eric Ayers
Christine Bach
Bill Bennett
Krissy Booth
Sydney Booth
Mark Bourgea
John Boyer
Debbie Carriger
Richard Carriger
Amy Case
Rick Chandler
Chris Dobie
Adam Gardner
Julie Gardner
Doug Herbert
Bob Hinnard
Katie Hinnard
Terri Hinnard
Austin Keith
Christine Keith
Bailey Lenig
Bill Leonard
Wayne Lerner
Scott McDermid
Pat McNall
Sondra McNall
Karen McTaggart
Mary K Mann
Aj Mildenberg
Katherine Najjar
Bob Phillips
Morgan Phillips
Sandy Phillips
Sarah Phillips
Rosanne Pirtle
Nicole Todd
Richard Walton
Tammy Walton
Ron Williams
YOUTH THURSDAY NIGHT WORSHIP: Thursday’s from 7-8:30pm at the fire pit and gaga court. We will have games, campfire, worship music, and guests sharing their faith stories. Feel free to invite your friends. We look forward to seeing you!
Narrow Way Experience: A unique summer challenge for students that are looking to go deeper in their faith and put it into practice. Students will have weekly challenges, get out of their comfort zones, and hold each other accountable. In order to be a part of this, students must set up a meeting with Kevin and Matt ASAP! We will meet on Tuesdays at 10am.
Please keep the Youth Nashville Mission Team in your prayers during the coming weeks as we prepare for our trip June 18-23. We will be heading to Nashville, TN with more than 2 dozen individuals who will have the chance to learn God’s Word and serve in powerful ways. We will join with other churches and work with widows, immigrants, persons with disabilities and children.
Be praying for this group that we would have unity as a team, be led by God’s Spirit, and meet both physical and spiritual needs. Our greatest prayer is that students discover that serving is an act of worship.
Please consider joining the summer choir which sings every second Sunday of the months of June, July and August. Songs are:
**June - Shall We Gather At the River**
**July - The Hills are Alive (from the Sound of Music)**
**August - Give Me a Song**
All are invited to sing in the Summer Choir, so put these dates on your calendars! We will rehearse at 8:30 AM and sing at both the 9:00 AM and 10:45 AM traditional Worship services.
**HOSPITALITY VOLUNTEERS:** Are you interested in helping CUMC be one of the friendliest churches in Carmel? Do you have one Sunday morning a month that you can volunteer your time? We need door greeters, Welcome Center hosts, ushers, parking lot greeters (coming Fall 2018), and worship center greeters (coming Fall 2018) to help make our Sunday morning worship experience more friendly for first time guests and those who are regular attenders as well. If you’re interested in volunteering, we can provide you training. All you need to do is contact Chris Thornsberry, Minister of Adult Discipleship, at email@example.com or call the church office at 317-844-7275 to receive more information.
**GROW GROUP HOST HOMES:** We are in need of individuals or families who would be willing to offer their homes to host one of our Grow Groups. We have leaders who are unable to host due to distance, but are willing to lead a Grow Group…all we need is a home to meet in. If you have space for 12-15 individuals to meet twice a month in your home and would be interested in hosting, please contact Chris Thornsberry, Minister of Adult Discipleship, at firstname.lastname@example.org. Requirements for this opportunity are minimal. Contact Chris today!
A huge congrats to Mary & Sam who became US citizens this year. They are Coptic Christians in the ESL program & have worked hard to learn English.
It is wonderful to celebrate students who reach important milestones. **THANK YOU TO ALL ESL VOLUNTEERS!** These success stories happen in large part because of you.
If you are interested in learning more about the program (no teaching background is required to teach conversational English) contact @Barbara Krueger (email@example.com) 317-903-7007 or Jana Miller (firstname.lastname@example.org) 317-513-9656.
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**Hunger is NOT an option.**
MORE Volunteers are needed for the Food Pantry! The pantry is in need of regular volunteers to work during open pantry hours, to assist visitors. Additional volunteer opportunities are available for various tasks at the pantry, like stocking shelves and organizing (this would be a great family activity).
If interested, please contact Lisa Williams to arrange a time to volunteer via email: email@example.com or call: 317-507-7410
At Carmel UMC we are connecting with God and others, growing in faith and love through Biblical learning, and serving our community and world as followers of Jesus Christ.
ADDRESS SERVICE REQUESTED
CONTACT
UPCOMING EVENTS
- Day Trip to N. Kentucky's The Ark Encounter (July 2018)
- The Theology of Star Wars class (August 2018)
- The Footsteps of Jesus 2020 Holy Land Trip (February 2020)
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Magnetic charge propagation in spin-ice materials has yielded a paradigm-shift in science, allowing the symmetry between electricity and magnetism to be studied. Recent work is now suggesting the spin-ice surface may be important in mediating the ordering and associated phase space in such materials. Here, we detail a 3D artificial spin-ice, which captures the exact geometry of bulk systems, allowing magnetic charge dynamics to be directly visualized upon the surface. Using magnetic force microscopy, we observe vastly different magnetic charge dynamics along two principal directions. For a field applied along the surface termination, local energetics force magnetic charges to nucleate over a larger characteristic distance, reducing their magnetic Coulomb interaction and producing uncorrelated monopoles. In contrast, applying a field transverse to the surface termination yields highly correlated monopole-antimonopole pairs. Detailed simulations suggest it is the difference in effective chemical potential as well as the energy landscape experienced during dynamics that yields the striking differences in monopole transport.
1School of Physics and Astronomy, Cardiff University, Cardiff, UK. 2Center for Nonlinear Studies, Los Alamos National Laboratory, Los Alamos, NM, USA. 3Theoretical Division (T4), Los Alamos National Laboratory, Los Alamos, NM, USA. *email: firstname.lastname@example.org*
The concept of magnetic monopole transport within a condensed matter setting has captivated scientists, allowing established theory to become an experimental realization within the bulk pyrochlore systems known as spin-ice\textsuperscript{1}. In these three-dimensional (3D) systems, rare earth spins are located upon corner-sharing tetrahedra, and energy minimisation yields a local ordering principle known as the ice-rule, where two spins point into the centre of a tetrahedron and two spins point out. Representing each spin as a dimer, consisting of two equal and opposite ‘magnetic charges’ ($\pm q$), is a powerful means to understand the physics of spin-ice\textsuperscript{2}. Using this description, known as the dumbbell model, the ice-rule is a result of charge minimisation, yielding a net magnetic charge of zero in the tetrahedra centres ($Q = \sum_i q_i = 0$). Thus, the simplest excitation within this manifold produces a pair of magnetic charges ($\sum_i q_i = \pm 2q$) which, once created, can propagate thermally and only at an energy cost equivalent to a magnetic analogue of Coulomb’s law. The energy scale for the production of monopoles upon the spin-ice lattice is controlled by the chemical potential ($\mu$), which is governed by properties intrinsic to the material such as lattice constant and magnetic moment\textsuperscript{3–6}. Canonical spin-ice materials have a chemical potential that places them in a weakly correlated regime where only a small fraction of bound monopole–antimonopole pairs are found. Recent theoretical work has studied the ordering of magnetic charges upon cleaved spin-ice surfaces, perpendicular to the [001] direction\textsuperscript{7}. In such systems, the orphan bonds upon the surface are found to order in either a magnetic charge crystal or magnetic charge vacuum, depending upon the scales of exchange and dipolar energies\textsuperscript{8}. Experimental studies are now hinting at the presence of a surface-driven phase transition\textsuperscript{9} but the transport of magnetic charge across such surfaces has not been considered previously.
The arrangement of magnetic nanowires into two-dimensional lattices has recently shown to be a powerful means to explore the physics of frustration and associated emergent physics. These artificial spin-ice (ASI) systems\textsuperscript{9–15}, where each magnetic nanowire behaves as an effective Ising spin, have recently yielded an experimental realisation of the square ice model\textsuperscript{16} and have also been used to study the thermal dynamics of monopoles in the context of Debye–Hückel theory\textsuperscript{17}. Controlled formation of magnetic charge is an exotic means to realise advanced multistate memory devices. Such concepts have been shown in simple 2D lattices using magnetic force microscopy (MFM)\textsuperscript{18}. The extension of artificial spin-ice into true 3D lattices that capture the exact underlying geometry of bulk systems is paradigm-shifting, allowing the exploration of ground state ordering and magnetic charge formation in the bulk as well as upon the surface. The production of 3DASI systems harbouring magnetic charge also allows marriage with advanced racetrack device concepts\textsuperscript{19,20}.
In this study, we use state-of-the-art 3D nanofabrication and processing in order to realise a 3DASI in a diamond-bond 3D lattice geometry, producing an artificial experimental analogue of the originally conceived dumbbell model\textsuperscript{1}. MFM is then harnessed to image the formation and propagation of magnetic charge upon the 3D nanowire lattice.
**Results**
Figure 1a shows a schematic of the 3DASI, which is composed of four distinct layers, labelled by colour. The system is fabricated by using two-photon lithography\textsuperscript{21–24} to define a polymer lattice in a diamond-bond geometry, upon which 50 nm Ni$_{80}$Fe$_{19}$ is evaporated (see ‘Methods’ for further details). This yields NiFe nanowires within a diamond lattice geometry as shown previously\textsuperscript{24}. Each nanowire has a crescent-shaped cross-section (Fig. 1a inset), is single domain and exhibits Ising-like behaviour\textsuperscript{24}. The L1 layer which is coloured red, is the upper surface termination and consists of an alternating sequence of coordination two (bipods) and coordination four vertices (tetrapods). The L2 and L3 layers, coloured blue and green, respectively, are ice-like with only vertices of coordination four. Finally, the L4 layer, coloured grey, is the lower surface termination of the lattice and consists of vertices which alternate between coordination two and coordination four.
The overall array size is approximately 50 $\mu$m × 50 $\mu$m × 10 $\mu$m as seen in the scanning electron microscopy (SEM) image (Fig. 1b). Analysis of SEM data (see Supplementary Fig. 1) indicates the long axis of L1 wires is orientated at $\theta = (33.11 \pm 2.94)^\circ$ from the substrate plane, matching within error the angle of 35.25° which is expected for an idealised diamond-bond geometry\textsuperscript{25}. A higher magnification image clearly showing the L1 (red) and L2 layers (blue) can be found in Fig. 1c. The topography of the upper three layers can be measured using atomic force microscopy (AFM) as shown in Fig. 1d. The coordinate system used to define field directions is also shown in Fig. 1d.
The surface of the 3DASI lattice, which is composed of coordination two vertices upon L1 and coordination four vertices upon L2, provides interesting possibilities with respect to magnetic charge transport. In Fig. 1e, we illustrate how magnetic charge propagates along the L1 layer. Starting with a saturated state, applying a magnetic field above a critical value along the unit vector $(1,-1,0)$ leads to the nucleation of a domain wall (DW) (Fig. 1e, top-left) which carries a mobile magnetic charge of magnitude $\pm 2q$. When reaching the L1–L2 junction (Fig. 1e, top-right), the effective vertex magnetic charge becomes $Q = \pm 2q$. A further increment in magnetic field leads to the L1–L2 junction emitting another DW (Fig. 1e, bottom-left) and when this wire is fully switched a surface magnetic charge state of $Q = \pm 2q$ is realized (Fig. 1e, bottom-right). Note that a field applied in either direction along [110] with a projection along the L2 sub-lattice produces only magnetic charges at four-way junctions (see Supplementary Fig. 2). Overall, the 3DASI surface can realise effective magnetic charge magnitudes of $\pm 4q$, $\pm 2q$ and 0 as summarised in Fig. 1f.
**Imaging the magnetic configuration of a 3DASI.** MFM is a convenient method to deduce the magnetization configuration of the 3DASI during field-driven experiments. This imaging technique is sensitive to the second derivative of the stray field with respect to $z$ ($d^2 H_z / dz^2$) which makes it ideal for imaging magnetic charge\textsuperscript{25} upon the 3DASI lattice. In the present study, we focus upon the field-driven transport of magnetic charge upon the L1 and L2 layers. The volume of the individual nanowires is sufficiently high that the 3DASI system is frozen at room temperature and thus thermal energies are negligible when compared to the energy required to switch a wire.
It is initially insightful to first study the simplest scenarios where each sub-lattice is saturated. Optical magnetometry (see Supplementary Fig. 3) indicates 30 mT is well above the saturating field for each sub-lattice. Figure 2a presents an MFM image, taken at remanence following a $H = 30$ mT in-plane magnetic field, first applied along unit vector $(1,-1,0)$ and subsequently along unit vector $(-1,-1,0)$. Masks are placed over void regions to guide the eye to signal originating from L1 and L2. Unmasked data is provided in Supplementary Fig. 4. Every L1–L2 vertex within the array is seen to have identical contrast. A magnified example of the contrast associated with an individual L1–L2 vertex is also shown in Fig. 2b, top. Here, the dashed lines separate individual islands and a corresponding 3D pictorial representation of the magnetic configuration is shown in Fig. 2b, bottom. With our choice of tip magnetisation, the bright yellow lobes indicate a positive phase associated with the stray field at
magnetisation tail while bright red lobes indicate a negative phase associated with the stray field at magnetisation head. Focusing first upon the L1 nanowires, one can see lobes of strong positive contrast at the upper left of the nanowires and negative contrast in the lower right of the nanowires. Now focusing upon L2, strong positive contrast is seen in top right of nanowires, with negative contrast seen in bottom left. Overall, the vertex configuration is consistent with a type 2 ice-rule configuration produced by the applied field protocol. We note that near the bottom left of the L2 nanowires, faint positive contrast is seen (labelled A). A previous investigation, which took images in reversed tip configurations identified this as an artifact\textsuperscript{24}, due to the abrupt upwards change in topography experienced by the tip at this point. Since the signal originating from the artifact is approximately a factor of two smaller than the signal originating from magnetic contrast, its presence does not impede analysis of the magnetic configuration.
To demonstrate that each sub-lattice can reverse independently, we now take images after saturating fields along different principal axes. Figure 2c shows the large scale MFM image taken at remanence after a saturating field along unit vector $(-1,1,0)$. It is clear that contrast upon L1 wires have inverted. Further inspection of the magnified example (Fig. 2d) clearly shows the lobes of contrast upon L1 have indeed inverted showing the magnetization here has switched. This is also demonstrated pictorially in Fig. 2d, bottom. The contrast upon L2 is found to be unchanged, as expected. The system was then returned to the initial state (Fig. 2a), before a saturating field was applied along the unit vector $(1,1,0)$. Examination of Fig. 2e now shows contrast upon every L2 nanowire has changed. Close inspection of Fig. 2f now shows stronger positive contrast in bottom left and strong negative contrast in top right, suggesting the wires have switched, as shown pictorially in Fig. 2f, bottom. Overall, these results provide confirmation that L1–L2 vertices corresponding to saturated states can be identified. Our previous work\textsuperscript{24} suggests that faint contrast is also expected at the top of L1 coordination two vertices (black dashed line in Fig. 2b, d, f) and at mid points upon L2, close to the L2–L3 junction (blue dashed line in Fig. 2b, d, f). Such contrast is expected even for uniformly magnetized states, due to a change in sign of $M_z$ at the vertex. Upon L1, the effect of this is to smear out the edge contrast, such that fainter contrast of lower magnitude is seen at the L1 coordination two vertex. At the L2–L3 vertex, faint contrast is also seen, but we note that this is not currently sufficient to determine the magnetic state of the L3 layer.
With this fundamental understanding we next sought to understand the magnetic configuration of vertex states observed during the switching process to determine if monopole-excitations can be identified and tracked. Figure 3a shows an MFM image following a saturating field along the unit vector $(1,-1,0)$ and subsequent 9.5 mT field along the unit vector $(-1,1,0)$. Optical magnetometry indicates this is within the field range that switching is expected upon L1. A vector map of the magnetic configuration (Fig. 3b) has been produced through observations of the MFM contrast associated with each L1–L2 vertex as well as the surrounding wires. Unmasked images can be found in Supplementary Fig. 5. We note that there are multiple independent means to confirm the presence of a monopole. Firstly, contrast near the L1–L2 vertex is an excellent indication. If three of the four wires have contrast of the same sign, this is a monopole state. This can be further confirmed by then checking contrast upon the opposite ends of the wires. Finally, since the magnetic charge upon the wire ends closest to L1–L2 smears over the vertex area, the absolute magnitude of the phase is increased when compared to an ice-rule state. We have used all three...
criteria simultaneously to identify monopoles at the L1–L2 vertex. Interestingly, so long as a well-defined field protocol is used, it is also possible to infer the presence of monopoles at the L2–L3 vertex. Here, so long as L3 has been saturated, we expect this sub-lattice to be uniformly magnetised. However, if the extremities of two adjacent L2 nanowires both have positive or negative contrast, a monopole is implied at the L2–L3 vertex.
In Fig. 3a, b, every L1–L2 vertex in the observed area resembles one of the patterns seen in Fig. 2b and d, with two exceptions. These are two monopole-excitations, each with a charge of $Q = -2q$, readily identified due to the enhanced MFM signal, which is a factor of 2 greater than the corresponding ice-rule state. Furthermore, the signal associated with the L1 wires on either side of the monopoles is clearly seen to oppose, whereas the L2 wires are identical and so must be aligned. Figure 3c, d shows a similar intermediate state following a saturating field applied along unit vector $(-1,-1,0)$ and subsequent 8.0-mT field applied along $(1,1,0)$. This allows intermediate states to be probed upon the L2 layer. Here, 9 monopoles are identified through observations of the contrast associated with each L1–L2 junction, as well as the surrounding wires. Figure 3e–h shows magnified examples of monopole-excitations with $Q = \pm 2q$; in each case, one pair of colinear wires exhibits opposing contrast with respect to one another, while the other pair of colinear wires show matching patterns of contrast. We note that for both intermediate states (Fig. 3a, c), the sub-lattice that extends along the field direction is effectively demagnetized ($M < 0.1M_S$), so it is intriguing that a vast difference in the density of monopole-excitations is seen between the two images.
**Tracking monopole propagation on the 3D lattice.** To form a more complete understanding of the monopole behaviour on the surface, we now measure the detailed switching between two saturated states, taking images at 0.25-mT intervals. To do this we carry out direct observations of the reversal sequences for the L1 and L2 sub-lattices. Figure 4 shows vector maps representing snapshots (full MFM data can be found in Supplementary Figs. 6–9) of the switching process for the upper two layers of the lattice. Here each island corresponds to a bipod on the lattice, as defined in Fig. 1d. Each image contains ~70 wires on L1 and 70 wires on L2, only counting those where the majority of the wire is within the measured area. Analysis herein considers wires within this $8 \times 8 \mu m^2$ measured region, this is due to a compromise between size of the observed area and data acquisition time. Figure 4a illustrates the array after application of 8.5 mT along the unit vector $(-1,1,0)$. This field magnitude yields the first evidence of switching along this direction. Though much of the array remains saturated, six wires (three bipods) have switched yielding two monopole states, each with charge $-2q$ (Monopoles 1, 2). In both cases, the monopoles are found at the intersection between L1 and L2. Further field increments yield additional...
chains of wires switching (Fig. 4b–d), with a further two negative monopoles (monopoles 3, 4) residing at the L1–L2 junction, after which L1 reaches saturation within the sampled area (Fig. 4e).
Figure 4f illustrates the measured region after the array had been saturated along the unit vector (−1, −1,0) and a field of 6.75 mT applied in (1,1,0). Eight monopoles can be immediately seen (monopoles 5–12), all of which seem to have appeared in pairs of ±2q. Here, five monopoles reside upon the L1–L2 junctions, while the remaining two reside upon L2–L3 junctions. Additional field increments lead to the creation of further monopoles (monopoles 12–18), while others move along the L2 nanowires or propagate out of the measured area (Fig. 4g–j).
The differences in monopole formation upon the L1 and L2 sub-lattices is striking. Application of an external field with component along L1 yields few uncorrelated magnetic charges (see Supplementary Fig. 10a) within the measured region, which seem to only be observed within a narrow field window (8–10.5 mT). We note that while this yields a net charge locally in the measured area, charge neutrality is expected across the full lattice. Analysis of the switching also shows a distinct absence of magnetic charges upon surface vertices with coordination two. On the contrary, the L2 switching leads to nucleation of many correlated pairs yielding almost equal numbers of positive and negative magnetic charges (see Supplementary Fig. 10b), meaning the net charge within the measured area is close to zero throughout the field range (see Supplementary Fig. 10c). The magnetic charges are also formed at a lower field (6.5 mT) for the L2 sub-lattice and remain for a wider field range (6.5–10.75 mT).
**Modelling the 3DASI system.** Calculating the total energy density of every possible vertex state, within a micromagnetic framework (see Supplementary Fig. 11) is an insightful exercise and provides some initial understanding of the system. Here it can be seen that the energy density to create a magnetic charge upon a coordination two, surface vertex is 3.2 times higher than that of a monopole at a coordination four vertex suggesting surface charges will be very unfavourable. To understand the significance of this within the context of switching the entire array, we carry out Monte-Carlo (MC) simulations based upon a compass needle model (see ‘Methods’). This is carried out for varying surface energetics factor (α) and quenched disorder arising from fabrication ($d_s$, see ‘Methods’). A disorder of $d_s = 30\%$ showed good agreement with switching field distributions in experimental data. The surface energetics factor (α) scales the energy required to produce a monopole upon the coordination two vertex, when compared to a coordination four vertex. A series of simulations with varying α are shown in Supplementary Fig. 12. Simulations which considered degenerate monopole surface energetics (α = 1, Supplementary Fig. 12) with a field applied along projection of L1 (−1,1,0) showed the presence of magnetic charges upon surface coordination two vertices and also short Dirac strings, in contrast to experimental data. Increasing the surface energetics factor to the value calculated in finite element simulations (α = 3.2), now reduces the number of magnetic charges seen upon surface coordination two vertices but Dirac string lengths are still shorter than seen in experimental results.
Figure 5a–c shows the results of MC simulations performed with enhanced surface energetics (α = 6.4) for field applied along the unit vector (−1,1,0). Upon the threshold of switching (Fig. 5b), chains of islands switch upon the L1 sub-lattice producing uncorrelated monopoles and long Dirac strings as seen in the experimental data before the majority of the array becomes saturated (Fig. 5c). Critically, charges upon surface coordination two vertices are now very rare, which is in agreement with experiment. Figure 5d–f shows MC simulations for the field...
aligned along unit vector (1,1,0). Here, a low field immediately produces large numbers of correlated monopole–antimonopole pairs (Fig. 5e), separated by a single lattice spacing, closely aligned with the experimental data. Figure 5g summarises the simulation results by showing the fraction of excited states obtained upon L1 and L2, showing excellent qualitative agreement with the experimental data, presented in Supplementary Fig. 10.
**Discussion**
As in all ferromagnetic materials, the 3DASI studied here passes through a field-driven state whereby the component along the field is effectively demagnetized. It is interesting to identify two main ways that this can be achieved in this 3D nanostructured system. The first possibility is that of local demagnetization upon each vertex, whereby the production of monopole/anti-monopole pairs locally yield a net magnetization of zero upon the relevant sub-lattice. A second possibility is the production of stripes of alternating magnetization direction, yielding complete demagnetization upon a given sub-lattice. Here magnetic charges can only be found at the stripe ends. A key quantity which will be important in determining the means of demagnetization is that of the monopole effective chemical potential, which quantifies the extent to which monopoles remain closely correlated. This is defined as $\mu = \mu / u$, where $u = \mu_0 Q^2 / 4\pi a$. We note that when this value approaches half the Madelung constant (for diamond lattice, $M/2 = 0.819$) [26], a highly correlated monopole crystal is energetically favourable and hence is a possible state during the field-driven dynamics. Within a simple dipolar model, for a single spin-flip upon a coordination four vertex (Fig. 6a) we calculate (see ‘Methods’) $\mu = 1.03$. Surface energetics restrict magnetic charges upon coordination two vertices, so we must consider both the high-energy, coordination two intermediate state, modulated by the factor $\alpha$, and the final state in which some energy has been spent separating the monopoles from this intermediate state (Fig. 6b). We note that due to the micromagnetic nature of these nanowires, which switch via domain wall motion, this intermediate state must be surpassed.
The intermediate state requires an increase in energy per monopole of $E_{\text{int}} = 5.16$. Though the system must clear this energy barrier to transition to a more favourable state, it is more conventional to only consider the chemical potential with respect to the final state. Due to the less favourable Coulomb interaction of the monopoles, the effective chemical potential to produce a monopole across an L1 coordination two vertex is $\mu = 1.22$, overall yielding a larger fraction of uncorrelated charges. It is therefore this higher $\mu$ and the presence of a significant energy barrier for formation of magnetic charge upon a coordination two vertex that overall yields a large proportion of uncorrelated monopoles upon L1.
A key question that remains is the magnitude of surface energetic factor ($\alpha$) and why such large values are required in MC simulations ($\alpha = 0.4$) when compared to the magnitude implied by micromagnetics. The surface energetics in these systems arises due to a difference in how the magnetic charge is distributed for two-way and four-way junctions [24]. In both cases, this will be dictated by a balance between exchange and dipolar energies. For
coordination two vertices, the magnetic charge density has a smaller area over which it can distribute, since it can only travel along two wires, producing an unfavourably large energy for monopoles upon the vertex. In contrast, the coordination four system allows the magnetic charge to spread across the vertex area into all four wires, reducing the energy and yielding a stable monopole configuration\textsuperscript{24}. It is important to note that even when $\alpha = 5.2$ (value indicated by micromagnetic simulations) the resulting MC simulations still bear a far closer resemblance to experiments than when enhanced surface energetics are not considered ($\alpha = 1$), in terms of wiring length, monopole density, and density of charges upon surface coordination four vertices. However, increasing $\alpha$ beyond the value predicted by micromagnetic simulations yields an even closer resemblance to experiments, due to fundamental differences in the two methods. Specifically, the MC simulations use a compass needle model, where the magnetic charge associated with each wire is distributed evenly across each needle, effectively reducing the energy barrier for surface charges to form. Therefore, a greater value of $\alpha$ is required to suppress surface charges and hence approximate the experimental observations.
In conclusion, we have demonstrated the fabrication of a 3DASI system, where the magnetic configuration upon the upper two nanowire layers can be determined. We find a striking difference in the field-driven magnetic monopole transport along two principal axes. With a field applied along the projection of surface termination, magnetic imaging shows a low number of uncorrelated monopoles during the switching, which are always found at coordination four vertices. Applying a field along the projection of L2 yields large numbers of correlated monopoles. Micromagnetic and Monte-Carlo simulations, supported by simple calculations within a dipolar framework, suggest it is the difference in effective chemical potential, as well as the energy landscape experienced during surface monopole dynamics, which accounts for the measured differences. We anticipate that our study will inspire a new generation in artificial spin-ice study whereby the ground state in these 3DASI systems is explored as a function of key parameters such as magnetic moment and lattice spacing. Ultimately, this may also yield the realisation of monopole crystals as predicted in bulk spin-ice\textsuperscript{26} or bespoke spin-ice ground states only possible in artificial systems of novel 3D geometry. By utilizing a full suite of magnetic imaging techniques including MFM, nanoscale ballistic sensing\textsuperscript{27}, and novel synchrotron-based methods\textsuperscript{28}, it is hoped that full 3D characterization of the bulk and surface will soon be possible.
**Methods**
**Fabrication.** Diamond-bond lattice structures were fabricated upon glass coverslips via two-photon lithography (TPL). Substrates are first cleaned in acetone, followed by isopropyl alcohol (IPA), and dried with a compressed air gun. Next, droplets of Immobead 518 B immersion oil and HP 780 photoinitiator are applied to the lower and upper substrate surfaces respectively. Using a Nanoscribe TPL system, a polymer scaffold in the diamond-bond lattice geometry is defined within the negative tone photoreist, of dimensions $50 \times 50 \mu m \times 10 \mu m$. Samples are developed in propylene glycol monomethyl ether acetate for 20 min, then 2 min in IPA, to remove any unexposed photoreist. Once again, the samples are dried with a compressed air gun.
Using a thermal evaporator, a uniform 50-nm film of Permalloy (Ni$_{81}$Fe$_{19}$) was deposited on the samples from above, yielding a magnetic nanowire lattice upon the polymer scaffold. This deposition results in 0.06 g ribbons of Ni$_{81}$Fe$_{19}$, washed in IPA, and subsequently rinsed in ultrasonicated methanol twice, both in a hydrogen pressure of $10^{-5}$ mbar as achieved prior to evaporation, the deposition rate is 0.2 nm/s, as measured by a crystal quartz monitor.
**Scanning electron microscopy.** Imaging was performed using a Hitachi SU8230 SEM with an accelerating voltage of 10 kV. Images were taken from top view as well as at a 45° tilt with respect to the substrate plane.
Magnetic force microscopy. MFM measurements were performed in tapping mode using Bruker Dimension 3100 Atomic Force Microscope. Commercial low moment MFM tips were magnetised along the tip axis with a 0.5 T permanent magnet. Once mounted, uniform magnetic fields could be applied parallel to each sub-lattice using a bespoke quadrupole electromagnet, which was fixed upon the surface of the AFM stage. During the application of a field, the MFM tip was positioned at the same height above the sample so that the sample topography was not influenced. MFM data was taken at a lift height of 100 nm. Prior to capturing MFM images, feedback settings were carefully optimised to ensure sample topography was being accurately measured on the three uppermost lattice layers (L1, L2, L3).
In order to probe the transport of magnetic charge upon the 3DAS1 surface, the system was placed into a well-defined state by saturating the array along a principal direction ($H_{\text{sat}}$ obtained via optical magnetometry, see Supplementary Fig. 3). MFM images were then obtained after successive field increments in the reverse direction. MFM measures the stray field gradient $d^2 H_z / dz^2$ due to magnetic charges and hence is an ideal methodology to visualise such transport across the surface.
Finite element simulations. Micromagnetic simulations of bipod and tetrapod structures were carried out with NMag34, using finite element method discretisation. Geometries possessing wires with a crescent-shaped cross-section were designed such that the arcs subtend a 160° angle. The inner arc is defined from a circle with 80 nm radius centred at the centre of the feature size of the TFS structure. The outer arc is based on an ellipse with an 80 nm minor radius and 130 nm major radius, yielding a thickness gradient with a peak of 50 nm. The length of all wires is set to 780 nm, due to computational restraints. All geometries were meshed using adaptive mesh spacing with a lower limit of 3 nm and upper limit of 5 nm. Similar micromagnetic inputs to the Landau-Lifshitz-Gilbert equation upon a uniform magnet mesh. Typical Fe$_3$O$_4$ parameters were used, i.e. $M_s = 0.86 \times 10^6$ A m$^{-1}$, $A = 13 \times 10^{-12}$ Jm$^{-1}$ with zero magnetocrystalline anisotropy.
Monte-Carlo simulations. Each nanomagnet is modelled as an infinitesimally thin compass needle with a uniform, linear magnetic moment density $mL$, with exceptions to be made at corners or where two needles meet vertexes. The moment orients along the easy axis of the island. The interaction between compass needles is equivalent to two equal and opposite magnetic charges with charges $mL$ placed at their ends with exceptions for the coordination of two vertex energy. The coordination four energy calculated by the micromagnetic simulations corresponds to compass needles with $L = 0.92a$ while the micromagnetic energies for coordination two imply an interaction strength 3.2 times stronger than those between other charges. The compass needle energy obeys Coulomb’s law with corrections for experimental considerations:
$$E_{ij} = a_{ij} d_{ij} \left[ \frac{\mu_0 m_i^2}{4\pi L^2} \left( \frac{1}{r_w - r_{ij}} + \frac{1}{r_w - r_{ij}} - \frac{1}{r_h - r_o} + \frac{1}{r_h - r_o} \right) \right] - d_i m_i \cdot B$$
Where $r_w$ and $r_c$ are the locations of the negative and negative magnetic charge on the ith nanomagnet, $B$ is the external field applied either in the L1 or L2 direction with simulated magnitudes ranging between 1.89 and 3.77 mT, $m_i$ is each nanomagnet’s magnetic moment with amplitude $m = MV$ (with $M$ being the saturation magnetisation), $\mu_0$ is the magnetic permeability, $p_h$ is the magnetic permeability, and $L = 1000$ nm is the island length. The magnetisation was chosen to be $M = 850$ kA m$^{-1}$ in agreement with previous studies on nanoslides fabricated in the same manner. $a_{ij}$ is a factor which increases the interaction strength between $ij$ pairs at coordination number 2 vertexes on the L1 sub-lattice with respect to $ij$ pairs at all other vertices, thus capturing the enhanced surface interactions found by micromagnetic simulations. Reversals were simulated with $a_{ij} = 1, 3, 23$ and 64: at coordination number 2 vertexes on L1, $a_{ij} = 6.45$ was found to yield the closest agreement to experimental observations, all other vertices were consistently defined with $a_{ij} = 1$. Site disorder $d_i$ is drawn from the distribution $P(d_i) = \frac{1}{\sqrt{2\pi}} e^{-\frac{(x-\mu)^2}{2\sigma^2}}$ ($\alpha = 30\%$ is found to yield good agreement with experimental data in this case). This disorder arises due to subtle variations in 3D nanowire geometry. Systems of the same dimensions as the experiment, one unit cell deep and 15 by 15 unit cells wide and long, were simulated with 20 replicas apiece.
The initial state of the system was taken from our experiments. A random spin was selected and the energy to flip that spin was calculated. The corresponding spin-flip was carried out if the energy lost exceeded a threshold energy corresponding to the magnetic coercivity, an algorithm equivalent to the Metropolis algorithm with zero temperature as used in prior spin-ice studies. An attempt to flip a total number of total spins, sufficient for equilibration. The resulting arrow maps were plotted in Fig. 5a–l and Supplementary Fig. 12. In addition, the number of excited states was recorded from these final arrow maps and plotted as a function of field in Fig. 5g.
Dipolar approximation calculations. One can define an effective chemical potential $\mu = \mu/u$, where $u = \mu_0 Q^2/4\pi a u$ and $Q = 2a^3$, the smallest non-zero quanta of magnetic charge attributable in our system. Here $\mu$ is calculated within the dipolar approximation. Magnetic moments are located upon a diamond bond-lattice. The energy of interaction between moments can then be approximated as:
$$E_{12} = -\frac{u}{4} \left| \frac{\vec{m}_1 \cdot \vec{m}_2 - 3(\vec{m}_1 \cdot \vec{r})(\vec{m}_2 \cdot \vec{r})}{|\vec{r}|^3} \right|$$
This choice of deunitisation places the physical value of the lattice parameter $a$ in $u$. All geometric factors are then derived from distance where the lattice constant is one. The energy landscape for creation of an L2 ice state is shown in Fig. 6a. Considering any two spins within a coordination four geometry yields $E_{12} = \frac{u}{4} \sqrt{\frac{3}{8}} |u|$.
For an ice-state state there are four low energy pairs and two high-energy pairs yielding $E_{\text{ice}} = -\frac{u}{4} \sqrt{\frac{3}{8}} |u|$ [point a in Fig. 6a]. A doubly charged monopole can be created by flipping a single spin. Each monopole state has three low energy pairs and three high-energy pairs making $E_{\text{monopole}} = -\frac{3u}{4} |u|$ (point b in Fig. 6a).
It should be noted that this calculation of chemical potential typically ignores the next-nearest neighbour spin interactions, or, equivalently, the Coulomb interactions between the generated charges. Monopoles in a Coulomb phase dissociate in a rare gas, leading to an average interaction energy of zero. However, a Coulomb gas is not the final product in the system, so we must consider the pair of charges to be bound together apart and interact as directed by the Heisenberg model. That is, long-range interactions take the form $E_k = -\frac{u}{r_{\text{charge}}}^k$, where $r_{\text{charge}}$ is the distance between the monopoles. At a single lattice spacing, this reduces the energy of charge pair formation by $\frac{u}{4}$ or $\frac{u}{8}$ for each charge. The chemical potential can thus be obtained via $\mu = (\bar{E}_{\text{monopole}} - \frac{u}{8} - E_{\text{ice}}) = \frac{3u}{4} \sqrt{\frac{3}{8}} - \frac{u}{8} = \frac{u}{4} \sqrt{\frac{3}{8}} - \frac{u}{8}$. Therefore, the effective chemical potential, $\mu'$, for a coordination four geometry is $\frac{3u}{4} \sqrt{\frac{3}{8}} - \frac{u}{8}$ or about 1.030$\mu$. In units of Kelvin this yields ~600 K, as expected for a system in the frozen state.
Now turning to the creation of a monopole upon the L1 sub-lattice, the overall energy landscape is shown in Fig. 6b. Surface energetics restrict the presence of magnetic charges on the coordination of two vertexes. Imposing this constraint now...
requires the resulting monopole–antimonopole pair to separate now $\frac{2}{\sqrt{3}}$ lattice spacings apart. Using the dumbbell model for long-range interactions, the energy required to produce a surface monopole rises by the difference between the interaction of monopoles a lattice spacing apart and monopoles separated further. This instead only drops the cost of monopole formation by $u \frac{\sqrt{2}}{\sqrt{3}}$ for two charges, yielding an effective chemical potential for each charge, $\mu^*$ of $\frac{1}{\sqrt{3}} \frac{\sqrt{2}}{\sqrt{3}} = \frac{2}{3}$ or $-1.2247$ (direct transition between point a to point c in Fig. 6b). The chemical potential calculation upon the 111 plane does not take into account the detailed dynamics of these micromagnetic switch. Since switching is dictated by domain wall propagation, an intermediate high energy coordination from one monopole, though not necessarily stable, needs to be surpassed as part of the monopole nucleation dynamics. The emergence of a coordination two monopole is from a single favourable interaction, $-\frac{1}{\sqrt{3}} \frac{\sqrt{2}}{\sqrt{3}} u$, to a single unfavourable interaction, $\frac{2}{\sqrt{3}} \frac{\sqrt{2}}{\sqrt{3}} u$, each of which is modified by the $a$ factor described in the Monte–Carlo simulations. Again, including the Coulomb correction, this requires an energy change per monopole of $\left( \frac{1}{3} \sqrt{3a - 1} \right) u$ on the bipod and $\left( \frac{2}{3} \sqrt{3} - \frac{1}{3} \right) u$ on the tetrapod. The average of the two is the intermediate energy per monopole, $E_{int} = \left( \frac{5}{3} \frac{1}{3} + \frac{2}{3} \sqrt{3} - \frac{1}{3} \right) u$ (point b on Fig. 6b). For our experimentally confirmed $a = 6.4$, this implies a transition state that costs $E_{int} = 5.1644$.
**Magneto-optical Kerr effect magnetometry.** A 0.5-mW, 637-nm wavelength laser was expanded to a diameter of 1 cm, passed through a Glan–Taylor polarizer to obtain an s-polarized beam, then focused onto the sample using an achromatic doublet ($f = 10$ cm), to obtain a spot size of ~10 µm$^2$. During the source-to-sample path the laser is attenuated approximately reducing the intensity by a factor of 4. The reflected light was also collected using an achromatic doublet ($f = 10$ cm), passed through a second Glan–Taylor polarizer, from which the transmitted signal was directed onto an amplified Si photodetector, yielding the Kerr signal. After magneto-optical Kerr effect data was captured from the nanowire lattice, a second dataset was obtained from the substrate film. The film data was scaled to the lattice data and subtracted off. This corrected for any Kerr signal contributions originating from the film, during the lattice measurements.
**Data availability**
Information on the data presented here, including how to access them, can be found in the Cardiff University data catalogue [9].
**Code availability**
The code used to carry out Monte–Carlo simulations is available from the authors upon reasonable request.
Received: 18 August 2020; Accepted: 30 April 2021; Published online: 28 May 2021
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**Acknowledgements**
S.L. acknowledges funding from the Engineering and Physical Sciences Research Council (Grant number: EP/R009147/1). M.S. acknowledges the support of the Centre for Nonlinear Studies and Theory Division at Los Alamos, LA-UR-21-22706.
**Author contributions**
S.L. conceived of the study and wrote the first draft of the manuscript. Sample fabrication and magnetic force microscopy were carried out by A.M. Monte–Carlo simulations and chemical potential calculations were carried out by M.S. Finite element simulations were performed by A.M. and A.V. Optical magnetometry was carried out by J.A. and M.H. All authors contributed to writing the final manuscript.
**Competing interests**
The authors declare no competing interests.
**Additional information**
Supplementary Information The online version contains supplementary material available at https://doi.org/10.1038/s41467-021-23480-7.
Correspondence and requests for materials should be addressed to S.L.
Peer review information *Nature Communications* thanks the anonymous reviewers for their contribution to the peer review of this work.
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© The Author(s) 2021
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Single droplet combustion of aluminum nanoparticles added to a biofuel: effect of particle concentration and ambient temperature
Inês A. S. Ferrão*¹,²,³, Miguel A. A. Mendes², Ana. S. O. H. Moita³,⁴, André R. R. Silva¹
¹AEROG-LAETA, Universidade da Beira Interior, Covilhã, Portugal
²IDMEC-LAETA, Instituto Superior Técnico, Universidade de Lisboa, Lisboa, Portugal
³IN²~LARSyS, Instituto Superior Técnico, Universidade de Lisboa, Lisboa, Portugal
⁴CINAMIL, Portuguese Military Academy, Lisboa, Portugal
*Corresponding author email: email@example.com
Abstract
The fast expansion and growth of the aviation sector, coupled with the greenhouse gas and pollutant emissions, requires urgent solutions. A starting point to change this sector paradigm could be a new energy source for aviation gas turbines, focused on potential carbon neutral fuels, e.g., biofuels. A possible solution is nanoparticles addition to improve the biofuel properties and mitigate the problems inherent to their use. The present work experimentally evaluates the combustion characteristics of single droplets of HVO (NExBTL) with aluminum nanoparticles. The ambient temperature was varied from 600 °C to 1000 °C. Three particle concentrations (0.2, 0.5, and 1.0 wt.%) were investigated with a fixed particle size of 40 nm. This study examined the combustion of droplets with an initial diameter of 250 μm using a falling droplet method. The results reveal that for nanofuels, the droplet size evolution curve is not in agreement with $D^2$ law and display a unique disruptive burning phenomenon at the end of the droplet lifetime. It was noticed that the burning rate of biofuel is considerably enhanced with the addition of nanoparticles, being the highest value for the nanofuel with a particle concentration of 1.0 wt.%.
Keywords
Alternative fuels, nanofuel, single droplet combustion, drop tube furnace.
Introduction
The combustion of liquid fuels is a complex phenomenon employed in several applications such as gas turbines, diesel, and spark-ignition. The liquid fuel is atomized and dispersed at the combustion chamber, leading to the vaporization of cloud of droplets. The fuel is then mixed with the oxidant and finally ignition occurs.
To better comprehend spray combustion, a pre-requisite is understanding single droplet evaporation and combustion [1]. In the last decades, numerous studies were developed regarding single droplet evaporation and combustion involving mono and multi-component fuels. Pacheco et al. [2] evaluated single droplet combustion of jet-fuel, HVO biofuel, and their blends in a drop tube furnace. The introduction of alternative fuels in aviation is a subject that requires particular attention due to environmental concerns. This sector is specially sourced by a single fuel derived from fossil fuels. This fact, allied with the greenhouse gas and pollutant emissions, induce an interest in including an alternative energy source [3]. Biofuels are a renewable source derived from sustainable feedstock that reduce the pollutant emissions. Few biofuel technologies are approved and incorporated in the aviation sector, namely SIP-SPK, FT-SPK, FT-SPK/A, and HEFA. Hydroprocessed Esters and Fatty Acids (HEFA) produce alternative fuel based on vegetable oils with similar properties to conventional fuel with advantages including lower aromatic content [4]. However, these fuels also present drawbacks, mainly in viscosity, volatility properties that affect atomization and consequently combustion efficiency. Recently, the addition of nanoparticles has been proposed as a possible solution to enhance biofuel combustion performance [5]. Nanoparticles suspended in a liquid fuel as a potential secondary energy carrier have been recently studied due to nanotechnology development. These particles offer a
higher specific surface area and higher reactivity, and enhance thermophysical properties such as thermal conductivity, thermal diffusivity, viscosity, and convective heat transfer coefficients when compared with the base fuel [6]. Tyagi et al. [7] studied the ignition probability of diesel with aluminum and aluminum oxide nanoparticles. The authors reported that the ignition probability increases with the addition of nanoparticles compared to pure diesel. Tanvir and Qiao [8] evaluated the effect of particle concentration and droplet size of pure ethanol and ethanol with aluminum nanoparticles in a droplet stream combustion experiment. The study reveals that the droplet burning rate increases with increasing particle concentration, and the burning rate enhancement is mainly attributed to the radiation absorption of the nanoparticles suspended within the droplets. Focusing on a suspended droplet experiment, Javed et al. [9] performed an investigation to understand the effects of high ambient temperatures and various concentrations of nanoparticles on the autoignition and combustion characteristics of heptane-based droplets. The authors reported that at higher temperatures (750 – 850 °C), the burning rate of heptane + n-Al droplets was considerably increased compared to pure heptane droplets, regardless of particle concentration. This observation was attributed to the occurrence of droplet ruptures that promote a substantially reduced burning time and total combustion time. Increasing the particle concentration, micro-explosions are observed to occur more intensively. Similar phenomena were also reported by [10, 11]. Micro-explosions are identified as a disruptive burning phenomena that appear in the droplet lifetime and influence the combustion process. To further study the combustion of nanofuel droplets in a falling droplet method, the present work discusses the effect of particle concentration and the ambient temperature of aluminum nanoparticles suspended in aviation biofuel. The purpose is to study micrometer droplets (pure and nanofuel) in an experimental arrangement with considerable high temperatures (600 °C, 800 °C, 1000 °C) without using suspended fiber to avoid heterogeneous boiling promoted by a nucleating surface. Droplet size evolution and disruptive burning phenomena at the different operating conditions will be described in detail.
**Material and methods**
**Nanofuel preparation**
In the present work, three nanofuels with different concentrations were studied. Additionally, pure HVO was also tested for comparison purposes. The base fuel adopted was NExBTL (Neste Renewable Diesel), an HVO biofuel from Neste. Table 1 shows the properties of HVO and jet-fuel [2, 12].
| Parameter | HVO | Jet A-1 |
|------------------------------------------------|-------|---------|
| Density (kg/m³) (at 20 °C) | 780.6 | 798 |
| Surface tension (N/m) (at 20 °C) | 0.0265| 0.0247 |
| Kinematic viscosity (mm²/s) (at 25 °C) | 4.33 | 1.40 |
| Sulfur (wt.%) | 0.09 | 0.3 |
| Aromatics (wt.%) | 0 | 13.8 |
| Final boiling point (°C) | 308 | 237 |
| Lower heating value (MJ/kg) | 43.9 | 43 |
| Distillation 10 vol. % (°C) | 262 | 170 |
To accomplish the main objective of this work, aluminum nanoparticles were added to the biofuel. Aluminum shows many advantages in diverse fields. This metal is an excellent conductor of heat, has a relatively low cost, high combustion energy, and easy to acquire. To study nanofuel droplets, a specific procedure was performed. The purpose was to achieve a stable nanofuel with a low level of aggregation. The particle size used in this work was 40 nm. Three different concentrations were considered: 0.2, 0.5 and 1.0 wt.%. The nanofuel preparation
begins with a mixture of the base fuel with nanoparticles, using a magnetic stirrer for twenty minutes. The mixture is then maintained at the sonicator (model UP200Ht by Hielscher) in an ice bath for approximately 30 minutes. The stability was evaluated through the sedimentation visualization in different test tubes. No obvious sedimentation was noticed during the experiments. The nanofuel properties tested are presented in table 2. The density was measured with the pycnometer method and the viscosity with a rheometer (TA instruments ARI 500 ex) at ambient temperature with an accuracy of ± 5%. The surface tension was determined with the pendant drop method using an optical tensiometer THETA (Attension) [13].
| Nanofuels | Density (kg/m³) | Surface tension (N/m) | Viscosity (Pa.s) |
|----------------------------|-----------------|-----------------------|------------------|
| HVO + n-Al 40 nm (0.2 wt.%)| 770.5 | 0.0266 | 0.020 |
| HVO + n-Al 40 nm (0.5 wt.%)| 771.6 | 0.0265 | 0.020 |
| HVO + n-Al 40 nm (1.0 wt.%)| 773.2 | 0.0267 | 0.055 |
**Experimental setup**
The single droplet evaporation/combustion process occurs in a drop tube furnace, as shown in Figure 1. To support this, an illumination set, an acquisition system, and an injector device are also present in the experimental setup. The drop tube furnace (DTF) is composed of electrically heated coils and can achieve wall temperatures up to 1200 °C. A quartz tube with an inner diameter of 6.6 cm and a length of 82.6 cm is placed at the DTF interior, where the air and droplet injection occurs. The DTF has two windows dedicated to optical access. The illumination set is placed in a window opposite to the acquisition system.
The illumination set comprises a diffusive light to enhance the contrast and droplet visualization. Regarding the acquisition system, a high-speed CMOS camera and a computer was used. A high magnification lens (Zoom 6000@Lens System) is coupled to the camera CR600x2 from Optronics. The magnification lens is composed of a 6.5×Zoom, 12 mm FF, a 0.25×lens attachment and a 2.0×short adapter, with a magnifying range of 0.35-2.25. The image acquisition was pursued with 1000 fps with a resolution of 1200×500 pixels and an exposure time
of 1/12000 s. The droplet injection was generated with a TSI device, placed at the top of the drop tube furnace. It is a piezoelectric device with a pinhole of 200 \( \mu m \) that produces a stream of droplets. This equipment is connected to a syringe pump and signal generator. Droplets were released with an initial diameter of 250 \( \mu m \pm 8 \mu m \), an acceptable compromise between practical applications and the experimental conditions. However, this device produces a stream of droplets, and due to this, there is no adequate spacing to guarantee a single droplet phenomenon. To increase the inter-droplet space, a rotating disk was placed on the DTF injector and droplet generator. The rotating disk has a diameter of 12 cm and a rotational speed of 1200 rpm and possesses a slot with the dimensions of 1 cm x 1 cm. The image data processing was performed in the ImageJ software to evaluate the droplet size evolution, burning rate, among others. The droplet outline marked through the brightness gradient, allowing the droplet characteristics. For the optical configuration used in this work, the pixel size was 12 \( \mu m \).
**Results and discussion**
**Visualization and description of pure HVO droplet**
As previously mentioned, pure HVO was tested for comparison purposes. Figure 2 shows the droplet size evolution of pure HVO at \( T = 800 \ ^\circ C \). A visualization of the falling droplet of pure HVO and the correspondent droplet size evolution is presented. In this way, Figure 2 shows the square of the normalized droplet diameter as a function of the normalized time, where \( D_0 \) is the initial droplet diameter.
**Figure 2.** Droplet size evolution of pure HVO at \( T = 800 \ ^\circ C \).
For smoothen purposes, a three-point moving average was employed. Additionally, a statistical study was performed to ensure that the behavior of \( D^2 \) – law curves and burning rate were independent of sample size. Thus, in the present work, the droplet size evolution and burning rate were evaluated using 40 droplets.
When the droplet enters the quartz tube, a low intensity flame at the droplet wake is formed. The droplet with an initial diameter of 250 \( \mu m \) evaporates and burns as a fully liquid droplet without the occurrence of any disruptive burning phenomena. As time evolves, the diameter reduces, being the end of the droplet lifetime pronounced at approximately $t/D_0^2 = 0.65$ (s/mm²). The temporal evolution of the droplet size is an agreement with the $D^2$ – law. The classical liquid droplet combustion theory states that the normalized square diameter decreases linearly with time, with a nearly constant slope defined as the burning rate (K). The burning rate values of pure HVO at different temperatures will be discussed in the following paragraphs.
In general, at T = 600 °C, the majority of the droplets does not auto-ignite, and to provide an accurate comparison in all operating conditions, the droplet size evolution and the burning rate at this specific temperature will not be analyzed and explained in detail. The data obtained for T = 1000 °C depicts the same observation as T = 800 °C, meaning that the droplet size evolution follows the $D^2$–law, and due to the increase in the ambient temperature a reduction in the droplet lifetime is noticed. These observations are in concurrence with a previous experimental study, where no disruptive burning phenomena were detected for pure HVO at this exact temperature [2].
**Droplet size evolution and micro-explosions: Nanofuels with different particle concentration and at different ambient temperature**
Figure 3 shows the droplet size evolution for all the fuels used in this work at different temperatures. Each curve was performed using 40 droplets and a three-point moving average.
Figure 3 (a) shows the $D^2$ curves for pure HVO and three nanofuels with different concentrations at T = 800 °C. As mentioned, the normalized droplet diameter evolution of pure HVO obeyed the $D^2$ – law. However, with the addition of nanoparticles to the biofuel, a distinct conclusion was achieved. For HVO + 40 nm with 0.5 and 1.0 wt.%, a particular tendency is noticed. The presence of nanoparticles in a given concentration could hinder the evaporation rate at the end of the droplet lifetime, altering the droplet size evolution curve and consequently not following the $D^2$ – law.
**Figure 3.** (a) Droplet size evolution of pure HVO and nanofuels at T = 800 °C; (b) Droplet size evolution of pure HVO and nanofuels at T = 1000 °C.
At particle concentrations of 0.5 and 1.0 wt.%, a significant reduction in the temporal evolution of the droplet diameter is detected in comparison with the pure HVO. Nevertheless, at a lower particle concentration (0.2 wt.%), the results reveal that the droplet size evolution curve practically overlaps with the $D^2$ curve of pure HVO. This means that decreasing the particle concentration at a lower ambient temperature did not influence in a considerable way the droplet diameter of a nanofuel when compared with a pure fuel. This fact can be related to a decrease ambient temperature and also a lower radiation emission inside the drop tube furnace at lower
temperatures. However, when the ambient temperature is increased to $T = 1000$ °C, the tendency was not maintained. Figure 3 (b) shows the temporal evolution of pure HVO and three nanofuels at a higher temperature ($T = 1000$ °C). It was observed that the particle concentration of 0.5 and 1.0 wt.% presents a faster droplet diameter reduction when compared to pure HVO. Additionally, for these nanofuels, the curves are not in agreement with $D^2 - \text{law}$. A remarkable fact is detected for $\text{HVO + 40 nm}$ (0.2 wt.%). At a higher temperature, an enhancement in the evaporation rate occurs, is noticeable the offset of the pure biofuel and nanofuel droplet size evolution curves. Clearly, the addition of aluminum nanoparticles in biofuel influences the temporal evolution droplet diameter and its lifetime. For all the nanofuels, regardless of the ambient temperature, micro-explosions are detected pronouncing the end of the droplet lifetime. According to Ismael et al. [14], micro-explosions occur when the primary droplet disintegrates as a rapid breakup of fuel droplets leading to smaller droplets, enhancing fuel evaporation hence improving the air-fuel mixing process.
Figure 4 shows a sequence of images of micro-explosions for the nanofuels with different particle concentrations. As the liquid is evaporating, the nanoparticles remain inside the droplet.
**Figure 4.** Sequence of images of micro-explosions at $T = 1000$ °C: (a) $\text{HVO + 40 nm}$ (0.2 wt.%), (b) $\text{HVO + 40 nm}$ (0.5 wt.%), (c) $\text{HVO + 40 nm}$ (1.0 wt.%).
At this stage, the solid phase is predominant. Due to this, the appearance of local hot spots promote the occurrence of micro-explosions. This disruptive burning phenomenon is detected when the primary droplet disintegrates and occurs the ejection of particle agglomerates in several directions. These agglomerate ignite, promoting intense bright spots. The onset and intensity of micro-explosions depend greatly on particle concentration. For the highest particle concentration, micro-explosions occur earlier, as shown in Figure 4 (c). Thus, for HVO + 40 nm (0.2 wt.%), HVO + 40 nm (0.5 wt.%) and HVO + 40 nm (1.0 wt.%), micro-explosions appear at t = 46 ms, t = 40 ms and t = 30 ms, respectively. Moreover, HVO + 40 nm (1.0 wt.%) promotes a micro-explosion with a large number of bright spots in a wider region. As reported in the literature, the micro-explosions identified in the nanofuel droplet combustion are a mechanism responsible for reducing the droplet lifetime [15]. Similar findings were observed in the present work, being the pure HVO the fuel with the longest lifetime.
**Burning rate: Comparison between pure HVO and HVO with aluminum nanoparticles**
Table 3 shows the burning rate for all the fuels tested in this study. Similarly to the droplet size evolution, to examine the droplet burning rate, 40 droplets were considered. In terms of comparison, the values were analyzed until $D^2 / D_0^2 = 0.2$ as displayed in the earlier figures. The average burning rate was determined by $K = -\frac{d}{dt}(D^2)$. Pure HVO presents the lowest burning rate for all the ambient temperature tested. A slight increase in its burning rate was noticed from T = 800 °C to T = 1000 °C, leading to burning rate values from 1.46 to 1.65 mm²/s, respectively. Interestingly, as noticed in the droplet size evolution, nanofuels present higher burning rates regardless of particle concentration and ambient temperature. Focusing on the ambient temperature, the results show that the higher burning rate occurs at the higher ambient temperature (T = 1000 °C) for all the fuels. In this way, HVO + 40 nm (1.0 wt.%) presents the highest value. On the other hand, particle concentration also has a notorious influence on the burning rate. Regardless of the ambient temperature, decreasing the particle concentration leads to a decrease in the burning rate, being the lowest value for HVO + 40 nm (0.2 wt.%).
These remarks are related to the presence of nanoparticles stably suspended in a biofuel that enhances the evaporation/burning process. Moreover, for the present experimental conditions, an improvement in the biofuel combustion performance was noticed, and throughout this work, it was proved that the radiative absorption and the occurrence of micro-explosions are also highly relevant in this field of study [15].
| Fuels | T = 800 °C | T = 1000 °C |
|------------------------------|------------|-------------|
| Pure HVO | 1.46 ± 0.16 | 1.65 ± 0.15 |
| HVO + 40 nm (0.2 wt.%) | 1.58 ± 0.17 | 1.76 ± 0.18 |
| HVO + 40 nm (0.5 wt.%) | 1.96 ± 0.26 | 1.99 ± 0.33 |
| HVO + 40 nm (1.0 wt.%) | 2.05 ± 0.22 | 2.10 ± 0.23 |
**Conclusions**
The objective of the present work is to evaluate the addition of aluminum nanoparticles in a biofuel. Moreover, the effect of particle concentration and ambient temperature were investigated. It was concluded that only the pure biofuel obeyed the $D^2$-law. The droplet size evolution of nanofuels does not follow the $D^2$-law, and is considerably influenced by the particle concentration and ambient temperature. At the end of the nanofuel lifetime, disruptive burning phenomena appear. The micro-explosion onset and intensity depend on the particle concentration. Thus, increasing the particle concentration leads to an earlier occurrence of the micro-explosions and a higher intensity. Additionally, it was noticed an increase in the biofuel
burning rate when aluminum nanoparticles were added. Regardless of the ambient temperature, the pure HVO presents the lowest burning rate. On the other hand, the nanofuel with the highest concentration shows a higher burning rate.
Acknowledgements
Inês Ferrão acknowledges Fundação para a Ciência e Tecnologia (FCT) for the provision of Ph.D scholarship with the reference SFRH/BD/144688/2019. The present work was performed under the scope of the Laboratório Associado em Energia, Transportes e Aeronáutica (LAETA) and Laboratório de Robótica e Sistemas de Engenharia (LARSyS) activities and it was supported by FCT through the projects number UIDB/50022/2020 and UIDB/50009/2020. Authors would also like to acknowledge Fundação para a Ciência e Tecnologia for partially supporting this work through project PTDC/EME-SIS/2017.
Nomenclature
- $D$ Droplet diameter [m]
- $D_0$ Initial droplet diameter [m]
- $K$ Burning rate [$m^2/s$]
- $t$ Time [s]
- $T$ Temperature [°C]
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Depression and anxiety in people with cognitive impairment and dementia during the COVID-19 pandemic: Analysis of the English Longitudinal Study of Ageing
Brian Beach, Andrew Steptoe, Paola Zaninotto
1 Research Department of Epidemiology & Public Health, Institute of Epidemiology & Health Care, University College London, London, United Kingdom, 2 Research Department of Behavioural Science & Health, Institute of Epidemiology & Health Care, University College London, London, United Kingdom
* email@example.com
Abstract
Background
Some studies have identified declines in mental health during the Coronavirus Disease 2019 (COVID-19) pandemic in different age groups, including older people. As anxiety and depression are common neuropsychiatric symptoms among people with cognitive impairment, the mental health experiences of older people during the pandemic should take cognitive function into consideration, along with assessments made prior to the pandemic. This study addresses evidence gaps to test whether changes in depression and anxiety among older people through the COVID-19 pandemic were associated with cognitive impairment. It also investigates whether associations varied according to key sources of sociodemographic inequality.
Methods and findings
Using data from the English Longitudinal Study of Ageing (ELSA) collected from 2018/2019 to November/December 2020, we estimated changes in depression and anxiety for people aged 50+ in England across 3 cognitive function groups: no impairment, mild cognitive impairment, and dementia. Conditional growth curve models were estimated for continuous measures over 3 time points ($N = 5,286$), with mixed-effects logistic regression used for binary measures. All models adjusted for demographics (age, gender, ethnicity, and cohabiting partnership), socioeconomics (education, wealth, and employment status), geography (urban/rural and English region), and health (self-rated and the presence of multimorbidity).
We found that depression (measured with CES-D score) worsened from 2018/2019 to November/December 2020 for people with mild cognitive impairment (1.39 (95% CI: 1.29 to 1.49) to 2.16 (2.02 to 2.30)) or no impairment (1.17 (95%CI: 1.12 to 1.22) to 2.03 (1.96 to 2.10)). Anxiety, using a single-item rating of 0 to 10 also worsened among those with mild cognitive impairment (2.48 (2.30 to 2.66) to 3.14 (2.95 to 3.33)) or no impairment (2.20 (2.11 to 2.28) to 2.85 (2.77 to 2.95)). No statistically significant increases were found for those...
with dementia. Using a clinical cutoff for likely depression (CES-D $\geq 4$), we found statistically significant increases in the probability of depression between 2018/2019 and November/December 2020 for those with no impairment (0.110 (0.099 to 0.120) to 0.206 (0.191 to 0.222)) and mild impairment (0.139 (0.120 to 0.159) to 0.234 (0.204 to 0.263)).
We also found that differences according to cognitive function that existed before the pandemic were no longer present by June/July 2020, and there were no statistically significant differences in depression or anxiety among cognitive groups in November/December 2020. Wealth and education appeared to be stronger drivers for depression and anxiety, respectively, than cognitive impairment. For example, those with no impairment in the richest two-thirds scored 1.76 (1.69 to 1.82) for depression in June/July, compared to 2.01 (1.91 to 2.12) for those with no impairment in the poorest third and 2.03 (1.87 to 2.19) for those with impairment in the poorest third. Results may be limited by the small number of people with dementia and are generalizable only to people living in the community, not to those in institutional care settings.
**Conclusions**
Our findings suggest a convergence in mental health across cognitive function groups during the pandemic. This suggests mental health services will need to meet an increased demand from older adults, especially those not living with cognitive impairment. Further, with little significant change among those with dementia, their existing need for support will remain; policymakers and care practitioners should ensure this group continues to have equitable access to mental health support.
**Author summary**
**Why was this study done?**
- Early research conducted after the start of the COVID-19 pandemic suggested that the pandemic was having a negative impact on mental health.
- Older people with cognitive impairment or dementia are more vulnerable to the negative impacts of the pandemic, and they tend to have worse mental health than older people with no cognitive impairment.
- This study was done to test whether changes in mental health over time through the pandemic was associated with cognitive impairment, along with whether associations varied according to key sources of sociodemographic inequality.
**What did the researchers do and find?**
- This study draws on the richness of the English Longitudinal Study of Ageing, a study of people aged 50+ in England, which provides a robust way of assessing cognitive function and mental health (in terms of depression and anxiety) and includes measurements...
before the pandemic (2018/2019) and at 2 time points during it (June/July and November/December 2020).
- Using a statistical approach called conditional growth curve modelling, we found that depression and anxiety worsened for people with no cognitive impairment or mild cognitive impairment between 2018/2019 and November/December 2020. Average depression scores increased from 1.17 to 2.03 and 1.30 to 2.16, respectively, while anxiety ratings increased from 2.20 to 2.85 and 2.48 to 3.14.
- When using a measure for likely clinical depression, we found the probability of clinical depression also increase for people with no cognitive impairment or mild cognitive impairment between 2018/2019 and November/December 2020, from 0.110 to 0.206 and 0.139 to 0.234, respectively.
- In terms of inequalities, wealth and education appeared to be stronger drivers for depression and anxiety, respectively, than cognitive impairment. For example, those with no impairment in the richest two-thirds scored 1.76 for depression in June/July, compared to 2.01 for those with no impairment in the poorest third and 2.03 for those with impairment in the poorest third.
**What do these findings mean?**
- Our findings suggest a convergence in mental health over time among different cognitive function groups, with similar outcomes in November/December 2020 for those with no impairment, mild cognitive impairment, or dementia.
- Health professionals who provide mental health support to older people in the community should be aware that increasing demand for support is likely to come from those with no or mild cognitive impairment.
- With little significant change in mental health for those with dementia, those providing support will need to ensure this group continues to access services despite competing demands from those with no or mild cognitive impairment.
**Introduction**
Researchers and policymakers continue to be interested in the impact of the Coronavirus Disease 2019 (COVID-19) pandemic on mental health. Studies have identified declines in mental health over the course of the pandemic across the world, linked to concerns over infection, the consequences of lockdown and isolation measures, risks related to job insecurity and financial worries, and disruption in day-to-day activities [1–5]. While early findings drew on internet-based surveys during the pandemic [6–8], more recent research has examined pandemic experiences compared to information collected before the pandemic [2,9–15].
Different groups of the population face distinct challenges with respect to maintaining good mental health and how the pandemic impacted their lives. The prevalence of anxiety or depression has been found to decline with increasing age [16,17]. While older adults are at greater risk of adverse outcomes from exposure to COVID-19 and have been linked to greater
worries about it [18], older age has been linked to better mental health in terms of anxiety and depression during the pandemic [19,20]. Nonetheless, older people did experience a deterioration in mental health over the course of the pandemic compared to before its onset [21].
Older adults are also not a homogeneous group, and the likelihood of living with conditions such as cognitive impairment or dementia increases with age. Around 6.7% of people aged 65+ in England were estimated to have dementia in 2015 [22]. For mild cognitive impairment, estimates for prevalence range from 5.0% to 36.7% depending on the various definitions and diagnostic criteria used in different studies [23]. Moreover, anxiety and depression are common neuropsychiatric symptoms among people with dementia or mild cognitive impairment [24–26]. One meta-analysis estimated the pooled prevalence of depression and anxiety among people with dementia at 39% each [26]; this compares to estimated prevalence rates of 13.3% for depression in the overall older population and between 1.2% and 15% for anxiety in community samples of older people [27,28]. Prevalence rates further vary according to age, for example, with estimates for depression of 17.1% among those aged 75+ and 30% to 50% for those aged 90+ [29]. Such neuropsychiatric symptoms may also predict conversion from mild cognitive impairment to dementia [30], although the evidence is mixed for anxiety and depression specifically [31,32].
Examining the mental health experiences of older people during the pandemic should, therefore, take cognitive function into consideration. Some research has already investigated this to an extent: a rapid review of evidence related to the impact of COVID-19 isolation measures on mental health among people with dementia found that most studies identified worsening behavioral and psychological symptoms of dementia (BPSD) [33]. Some of the research found these results through subjective assessments made by caregivers [34], qualitative interviews of people with dementia and their caregivers [35,36], and across international contexts [37].
Only limited evidence has examined mental health among people with dementia across the pandemic using quantitative measures that were also assessed prior to the pandemic [38]; quantitative longitudinal research on the impact of COVID-19 on people with dementia was a key direction for future research called for by the United Kingdom–based expert working group on dementia well-being and COVID-19 [39]. Most of the existing relevant research on cognitive function and mental health during the pandemic also does not differentiate between dementia and mild cognitive impairment, although one small study from Greece did examine this distinction with respect to pre-pandemic measures [40].
This study addresses these gaps in the evidence base by testing whether changes in depression and anxiety among older people during the COVID-19 were associated with cognitive impairment. Using data from the English Longitudinal Study of Ageing (ELSA), we examine changes in depression and anxiety from before the pandemic (2018/2019) across 2 time points during the pandemic (June/July and November/December 2020) with respect to 3 levels of cognitive function. We also investigate whether the associations between cognitive function and mental health varied according to key sources of sociodemographic inequalities related to wealth, education, geographic region, and multimorbidity.
Methods
Data
Our project used data collected before and throughout the COVID-19 pandemic as part of the ELSA [41]. ELSA follows a representative sample of people aged 50+ across England since 2002, covering topics such as health, finances, and psychosocial well-being, with refreshment samples added periodically to ensure representativeness over time.
This analysis draws on the COVID-19 sub-study conducted as part of ELSA in 2020 [42]. ELSA members and their partners participated in 2 special surveys conducted in June/July and November/December 2020, capturing their perspectives during the pandemic. Response rates were notably high, at 75% for each wave of data collection and 94% longitudinally. For measures prior to the pandemic, we draw on pre-pandemic responses to the main ELSA survey (Wave 9), collected in 2018/2019. As our study made exclusive use of secondary data analysis, ethics approval was not applicable for the work presented here.
**Measures**
Our primary outcomes of interest include measures for depression and anxiety. Depression was measured using the 8-item Center for Epidemiological Studies Depression (CES-D) scale, a validated and reliable instrument for assessing depression among older adults [43]. The scale draws on responses to 8 yes/no questions to provide a continuous measure ranging 0 to 8 with higher scores reflecting greater levels of depressive symptoms. A binary measure was also constructed where scores of four or more were used to identify likely cases of clinical depression [44].
Anxiety was assessed using the 7-item Generalized Anxiety Disorder (GAD-7) scale, which has demonstrated validity and reliability for screening generalized anxiety disorder and assess its severity [45]. Each item is measured on a 4-point Likert scale ranging 0 to 3, providing GAD-7 scores ranging 0 to 21 with higher scores reflecting greater severity and association with higher levels of functional impairment. A binary measure to assess cases of generalized anxiety disorder was constructed using scores of 10 or more. The GAD-7 scale was only measured during the ELSA COVID-19 sub-study, restricting analyses to the 2 time periods included there.
Additional analyses also examined anxiety using a single-item response measured 0 to 10 that was included in ELSA Wave 9 as well as the COVID-19 sub-study, providing assessments at 3 time points. Some studies suggest that there is similar sensitivity and specificity between such single items and multiple-item scales for anxiety [46–48]. Using this measure will provide some insight into changes from before the pandemic.
The main exposure in our analysis is cognitive function status, classified as no cognitive impairment, mild cognitive impairment, or dementia. Individuals’ classification draws on work from another ELSA sub-study from 2018, the Harmonised Cognitive Assessment Protocol (HCAP). ELSA-HCAP applied a range of questionnaires and other evaluations used in clinical and nonclinical settings to assess participants’ cognition function [49]. From this work, a predictive algorithm was developed to classify all ELSA respondents aged 60+ into one of 3 cognitive function groups: no impairment, mild impairment, or dementia [50].
**Analytical approach**
Our analytical approach was planned during the conception of the project and no data-driven changes to this plan took place. Given existing knowledge about the link between mental health and cognitive impairment, along with early research on the impact of the pandemic on mental health, our analyses tested the hypotheses that changes in mental health, in terms of depression and anxiety, was associated with cognitive impairment over time from before to during the COVID-19 pandemic. We also investigated whether these associations varied according to key sources of sociodemographic inequality in England, i.e., education, wealth, geographic region, and multimorbidity.
For the continuous measure of depression, we estimated a conditional growth curve model to assess change in depression score by cognitive function status, employing maximum
likelihood estimation with unstructured covariance. This approach was also taken for the single-item measure of anxiety available at 3 time points. Given we only have 2 time points when GAD-7 was measured, we used a population-averaged fixed-effects model with robust standard errors to assess associations with cognitive function. With respect to the binary measures reflecting likely cases of clinical depression or generalized anxiety disorder, we applied mixed-effects logistic regression with independent variance for the random effect of time.
Models controlled for pre-pandemic (2018 to 2019) measures covering demographics (age, gender, ethnicity, and cohabiting partnership status), socioeconomics (education, wealth, and employment status), geography (urban/rural and English region), and health (self-rated health and the presence of multimorbidity). Multimorbidity was classed as the presence of two or more of the following diagnosed conditions: high blood pressure/hypertension; angina or heart attack; congestive heart failure; diabetes; stroke; chronic lung disease or asthma; cancer; and dementia, senility, serious memory impairment, or Alzheimer’s disease. For the continuous CES-D and GAD-7 scales, we additionally tested for systematic inequalities by introducing three-way interactions among cognitive impairment (a binary measure combining the mild impairment and dementia groups), measurement wave, and binary measures for education, wealth, region, and multimorbidity in separate models, using the same control variables listed above.
Missingness on single items can introduce bias when using multiple-response scales such as CES-D and GAD-7. In addition, a survey error during the first COVID-19 survey resulted in the eighth depression item not being asked to around 75% of respondents. These missing values were replaced using 1 cycle of multiple imputation by chained equations (MICE), adjusting for age and gender, given these items can be assumed to be missing completely at random (MCAR) [51,52]. Following this, more than 97% of respondents at any wave were complete on the items for CES-D or GAD-7; MICE was again applied for respondents missing 1 or 2 items in each scale, replacing missing values before generating the summary scores. This raised coverage to over 99.5% across the COVID sub-study waves. Analyses were conducted using Stata 17.0 [53]. This study followed the Strengthening the Reporting of Observational Studies in Epidemiology (STROBE) reporting guideline (S1 STROBE Checklist).
Results
Table 1 provides descriptive statistics of our analytical sample for depression within the first assessment of the COVID-19 sub-study. The percentages provided reflect similar statistics for other time periods and outcomes of interest.
The analytical samples vary slightly by the outcome of interest, with 5,286 individuals included in analyses for depression and the single-item anxiety measure and 5,281 for the GAD-7 anxiety score. All figures reported below reflect the full model, adjusted for all covariates identified in the previous section, and vertical scales have been restricted to relevant outputs ranges to facilitate visual inspection.
We first present results showing estimated depression scores across the 3 measured time points for the 3 categories of cognitive function (Fig 1). We find that the estimated depression score was significantly different across the 3 cognitive function groups prior to the pandemic. The score for those with no impairment was 1.17 (95%CI: 1.12 to 1.22) compared to 1.39 (1.29 to 1.49) for those with mild impairment and 1.81 (1.53 to 2.10) for those with dementia. Scores increased over time through the pandemic, with statistically significant increases between June/July 2020 and November/December for those with no impairment, going from 1.84 (1.79 to 1.90) to 2.03 (1.96 to 2.10), and those with mild impairment (from 1.89 (1.77 to 2.00) to 2.16 (2.02 to 2.30)). There was no statistically significant change in the score among those with
Table 1. Sociodemographic characteristics among the sample for depression at the first assessment of the ELSA COVID-19 sub-study (June/July 2020).
| Characteristic | Percentage | N (of 5,107) |
|----------------------------------------------------|------------|--------------|
| Cognitive impairment (No impairment) | 77.9 | 3,978 |
| (Mild impairment) | 20.0 | 1,019 |
| (Dementia) | 2.2 | 110 |
| Age (mean) | 72.7 | 5,107 |
| Female | 55.7 | 2,843 |
| Non-white | 3.0 | 153 |
| Partner in household | 68.4 | 3,491 |
| Education (high, i.e., degree or equivalent) | 22.5 | 1,148 |
| (medium, i.e., A or O level equiv.) | 45.8 | 2,340 |
| (low, i.e., no qualifications) | 31.7 | 1,619 |
| Employment status (in work) | 15.3 | 782 |
| (retired) | 80.6 | 4,116 |
| (other) | 4.1 | 209 |
| Net wealth (Poorest third) | 33.0 | 1,685 |
| (Middle third) | 33.3 | 1,700 |
| (Richest third) | 33.7 | 1,722 |
| Rural residence | 28.0 | 1,430 |
| Region (The North) | 27.4 | 1,399 |
| (The Midlands) | 21.5 | 1,096 |
| (London and East) | 21.4 | 1,093 |
| (The South) | 29.7 | 1,519 |
| Self-rated health (Excellent or very good) | 41.1 | 2,100 |
| (Good) | 35.7 | 1,825 |
| (Fair or poor) | 23.1 | 1,182 |
| Multimorbidity (2+ health conditions) | 25.1 | 1,282 |
https://doi.org/10.1371/journal.pmed.1004162.t001
dementia. In June/July and November/December, the differences among cognitive function groups were also no longer statistically significant.
Turning to the anxiety score measured using the GAD-7 scale, Fig 2 shows that the estimated score for people with dementia was higher just after the start of the pandemic in June/July 2020 than for the other cognitive function groups, at 4.59 (3.66 to 5.52) compared to 2.99 (2.72 to 3.26) for those with mild impairment and 2.79 (2.67 to 2.90) for those with no impairment. There was no statistically different change for people with dementia during the pandemic, but the estimated average score did rise by November/December for the mild impairment and no impairment groups, reaching 3.57 (3.28 to 3.86) and 3.02 (2.90 to 3.14), respectively, from 2.99 (2.72 to 3.26) and 2.79 (2.67 to 2.90).
Although the single-item measure of anxiety is different from the GAD-7 scale, it provides added insight here with respect to differences in anxiety before and during the pandemic. Like with GAD-7, we see in Fig 3 a statistically significant increase in the average estimated rating between June/July and November/December for those with no impairment, going from 2.65 (2.57 to 2.74) to 2.85 (2.77 to 2.95). Both the no impairment and mild impairment groups demonstrated a significant increase in anxiety rating between 2018/2019 and November/December 2020; the score for those with no impairment increased from 2.20 (2.11 to 2.28) to 2.85 (2.77 to 2.95), while for the mild impairment group, it went from 2.48 (2.30 to 2.66) to 3.14 (2.95 to 3.33). The apparent change for those with dementia was similar to the other groups, but wide confidence intervals yield no statistically significant differences over time.
While the CES-D and GAD-7 scales allow us to examine changes in the average estimated scores, changes in scores alone cannot inform whether these are clinically significant changes or more related to the general unease most people faced due to the unprecedented and unpredictable nature of the pandemic. To explore this, we estimated results based on clinically recognized cutoff values for the 2 scales (Fig 4).
With respect to anxiety, we find no statistically significant differences over time in the probability of likely generalized anxiety disorder as measured using GAD-7, although point estimates suggest a possible decline in probability for those with dementia from 0.165 (0.108 to 0.223) to 0.080 (0.035 to 0.126).
Regarding depression, we find statistically significant increases in the probability of likely clinical depression for those with no impairment and those with mild impairment, looking from before the pandemic to during it. The probability for those with mild impairment was higher than for those with no impairment before the pandemic, at 0.139 (0.120 to 0.159) compared to 0.110 (0.099 to 0.120). These increased significantly after the start of the pandemic by June/July, then reaching 0.234 (0.204 to 0.263) and 0.206 (0.191 to 0.222) by November/December 2020. While there was an increasing trajectory in the point estimates for those with dementia, the differences in estimated probabilities were not statistically significant.
**Inequalities in mental health and cognitive function**
To test for systematic inequalities in the association between cognitive function and mental health, we first constructed models controlling only for age and gender. We found no significant three-way interactions, indicating the rate of change in our outcomes was not significantly distinct for people with cognitive impairment across distinct social, economic, and health groups.
We did, however, identify some significant two-level interactions that provide further insights into the inequalities in mental health experienced by people with cognitive impairment (mild or dementia) during the pandemic. Models were subsequently estimated using all covariates featured in those reported above. We found significant interactions linking education to anxiety. For depression, we found significant results related to wealth and multimorbidity (Fig 5).
Looking at wealth and depression, the results show that, prior to the pandemic, those with cognitive impairment in the poorest third of wealth had an estimated depression score of 1.62 (1.48 to 1.76), making them worse off compared to the other groups. This contrasts to those without impairment in the richest two-thirds, who scored 1.13 (1.07 to 1.19) on depression, positioning them better than either group with cognitive impairment; those with impairment in the richest two-thirds had an estimated depression score of 1.33 (1.20 to 1.45).
During the pandemic, however, we see notable changes, especially among those with no impairment in the poorest third of wealth, whose scores change from 1.25 (1.16 to 1.34) in 2018/2019 to 2.01 (1.91 to 2.12) in June/July. Their scores become much more similar to those with impairment also in the poorest third, who scored 2.03 (1.87 to 2.19) in June/July 2020. During the pandemic, the score for those with no impairment in the richest two-thirds was significantly lower than those for the poorest groups, at 1.76 (1.69 to 1.82) in June/July and 1.93 (1.85 to 2.01) in November/December. In other words, it appears that being in the poorest third of wealth is a stronger driver than cognitive function for estimated depression scores during the pandemic.
Turning to multimorbidity, the results illustrate that those with cognitive impairment and multimorbidity scored worse on depression than the groups without cognitive impairment.
prior to the pandemic, with a score of 1.62 (1.46 to 1.77); this contrasts with a score of 1.24 (1.14 to 1.34) for those with multimorbidity but no impairment and 1.15 (1.09 to 1.20) for those without either multimorbidity or impairment. Just after the start of the pandemic, they were only slightly worse off than those with neither cognitive impairment nor multimorbidity, with scores increasing to 2.04 (1.87 to 2.22) and 1.80 (1.74 to 1.86), respectively. By November/December, this difference had grown further, with scores of 2.35 (2.13 to 2.57) and 1.98 (1.90 to 2.06), respectively, but there were still no significant differences for those with only one of either cognitive impairment or multimorbidity.
Across the 2 assessments of the COVID-19 sub-study, there was a notable difference in anxiety score by education. In June/July, the only significant difference in anxiety score was between those with cognitive impairment and low education (3.28 (2.92 to 3.63)) and those with no impairment and high/medium education (2.73 (2.60 to 2.86)). This difference persisted by November/December, widening to 3.84 (3.47 to 4.21) and 3.01 (2.88 to 3.15), respectively, while those with no impairment and low education were also significantly lower in anxiety score, at 2.99 (2.73 to 3.25), than those with impairment and low education.
**Discussion**
Using a representative sample living in private households in England, we have found that depression and anxiety worsened during the pandemic compared to before it for people with mild cognitive impairment or no impairment, whereas no statistically significant increases were found for those with dementia. We also found that differences according to cognitive function that existed before the pandemic were no longer present by June/July 2020, indicating
Fig 4. Likely clinical depression and anxiety over time by cognitive function (estimated probabilities and 95% confidence intervals, adjusted for all available covariates).
https://doi.org/10.1371/journal.pmed.1004162.g004
Fig 5. Significant inequalities relating mental health and cognitive function (estimated scores and 95% confidence intervals, adjusted for all available covariates).
https://doi.org/10.1371/journal.pmed.1004162.g005
a convergence in mental health across cognitive function groups during the pandemic. In November/December 2020, there also were no statistically significant differences among cognitive groups. Taken together, our findings provide partial support for our hypotheses on the relationship between mental health and cognitive impairment over the course of the pandemic.
Our multi-item scale of anxiety (GAD-7) provides insight only during the pandemic, as we unfortunately had no pre-pandemic comparable measure. With this measure, we did identify significant differences in anxiety between those with no impairment and those with dementia during the pandemic. The contrast with the results using the single-item measure may stem from an underlying distinction in the measured concepts, i.e., the single-item captures individual self-assessments of being anxious, whereas GAD-7 captures a broader perspective on generalized anxiety. Given potential concerns over the ability of respondents with cognitive impairment to provide reliable self-assessments, it may be that the results from a multiple-item measure like GAD-7 are more robust than a single response for identifying differences between cognitive groups.
With GAD-7, the mild impairment group also demonstrated significant change, being similar to the levels of those with no impairment in June/July 2020 but more similar to those with dementia by November/December 2020. This may relate to a deterioration in cognitive function among those with mild impairment during this time that stimulated increases in generalized anxiety. It may also suggest that those with mild impairment encountered anxiety-inducing challenges during the latter part of 2020 that other groups did not. In addition, although there was a significant difference according to cognitive function in November/December using GAD-7, the estimated scores do show a converging trend, possibly supporting the results from the single-item measure.
This convergence may also explain how our results sit against those from other research that found no change in anxiety during the pandemic among the adult UK population overall and lower levels for older age groups [15]. That research and others assessed anxiety looking at proportions with clinical scores on GAD-7 (i.e., $\geq 10$), which may attenuate the results and subsequent conclusions, partly explaining why findings related to the overall older population in England vary from ours accounting for cognitive function [21].
Another key insight from this work relates to the increase in likely clinical cases of depression for those with no impairment or mild cognitive impairment during the pandemic compared to 2018/2019. This highlights the potential increase in demand on mental health services that might be expected moving forward. Moreover, this sits alongside the finding that the level of likely clinical cases among those with dementia has not declined, so any challenges in service delivery that existed before the pandemic will likely persist.
Alongside these potential pressures on service delivery for mental health, we should also note that other research suggests that the negative impact of the pandemic on mental health was less acute for older adults compared to other age groups. This has been found in Scotland with respect to depression and anxiety [54] along with other UK-based studies [13,55]. It has been argued that this stems from a less pronounced difference in mental health among older adults comparing before and after the pandemic [56]. Our results may partially support this argument, at least with respect to recognizing little difference among those with dementia pre- and post-pandemic.
Our findings also stand in contrast to other work in the UK looking at mental health with respect to the pandemic. One study found that the negative impact on mental health extended through the initial months of the pandemic and started to improve from July 2020 [57], whereas another found a recovery trajectory in anxiety among UK adults from April [4]. Moreover, a large meta-analysis of longitudinal cohort studies found that the changes in
anxiety attributed to the pandemic appeared short-lived, with peaks appearing around March/April 2020 and declining by July, although there was still a small increase in depression between May and July [14].
Our data during the pandemic were collected in June/July and November/December 2020, yet we did not find a significant improvement between these time points. In fact, we found evidence for worsening mental health for those with no impairment or mild impairment. One possible explanation is the specific timeframes in which our data were collected. The assessment in June/July may have missed the initial spike in poor mental health reported in other studies. Our second assessment took place in November/December; this is later than those examined in the studies mentioned above. It also coincides with the second lockdown imposed in the UK in November, which was followed by easing and then further tightening of restrictions in December. These shifts may have had somewhat similar effects on mental health as the first lockdown. This may be further supported by evidence suggesting deterioration of mental health in the UK between July/August 2020 and February 2021 [15].
The differences in other results and ours may also relate to the various ways depression and anxiety have been assessed, for example, average scores on a scale, the proportions based on clinical cutoffs, or other measures used elsewhere like the 12-item General Health Questionnaire (GHQ-12). While there are alternative measures for depression and anxiety that have been used in other studies, CES-D has been used since the inception of ELSA as the main measure of depression and to facilitate international comparisons with other ageing cohort studies like the Health and Retirement Study based in the United States, while GAD-7 has been introduced for similar reasons. Both measures have also demonstrated good performance and are useful as self-reported assessments [58–61]. Moreover, our study focuses on cognitive impairment, making distinctions between dementia and mild cognitive impairment. Evidence related to these differences from longitudinal studies that include pre-pandemic assessments is limited; some studies suggest that changes in mental health observed among people with cognitive impairment were more related to expected changes linked to the impairment rather than the pandemic itself [38,40].
The analyses using the binary measures of likely clinical depression or anxiety give some insight into clinical relevance, particularly with respect to the result that the probability of likely clinical depression among those with no impairment or mild impairment was significantly higher during the pandemic than in 2018/2019. For the continuous measures, however, there is no consensus on what level of change in score constitutes clinical significance, although some work suggests, with respect to longer versions of CES-D, that somewhere between a 11% and 17% change across the scale would represent a minimal clinically important difference (MCID) [62,63]. With respect to CES-D, this would range 0.88 to 1.36, which suggests a clinically significant difference between 2018/2019 and November/December 2020 for those with no or mild impairment. One study of GAD-7 suggests an MCID of 4 points, a threshold not reached in our findings [64].
Across our analyses, this study has several strengths. Our data are drawn from a longitudinal sample of people aged 50+ in England, allowing us to examine outcomes at 3 distinct time points across the same people. Indeed, the COVID-19 sub-study achieved a notably high response rate for each wave of data collection and longitudinally. This strengthens our ability to generate robust results even during the public health crisis and social restrictions caused by the pandemic. We are also able to employ validated measures of depression and anxiety in addition to comparing the latter with a single-item measure to assess changes from before the pandemic. Finally, the breadth of the ELSA data allowed us to incorporate a wide range of adjustment variables to control for confounding in our models.
The strength of our findings is possibly limited by the relatively small number of people categorized with dementia. The wide confidence intervals this yielded may, in fact, hide true
differences that exist but are masked in the statistical results. Yet, our study also includes people categorized with mild cognitive impairment, strengthening the analytical perspective in relation to cognitive function. We also cannot know if people with dementia were less likely to respond to the survey despite high response rates overall. However, our study has much lower attrition between the 2 assessments during the pandemic than most of the other studies reported in 1 systematic review of mental health before and during the pandemic [14]. This could indicate that stability in mental health found elsewhere is influenced by the attrition of those with worse or declining mental health over time.
The implications for our findings can be generalized to people with cognitive impairment or dementia living in the community but not to those who live in care homes or other institutional settings. This implies that our findings do not apply to the 40% of older UK adults with dementia living in such places [65]. However, this is a strength of our study, as fewer studies of people with dementia have been conducted in a way to reflect those living in the general community. Moreover, despite any potential limitations, ELSA and its related sub-studies have been an invaluable resource for examining the experiences of older people before and during the pandemic, along with a more robust assessment of cognitive function, potentially being the best evidence for this to date.
Our findings highlight 2 key implications for future public health responses in England as we move through the post-pandemic phase. First, mental health services will need to be supported and adequately resourced to meet the predicted increased demand that will come from older adults, especially those not living with cognitive impairment or dementia. This is underscored by the potential demand from other age groups, who may have experienced worse impacts on mental health than what we have identified in our cohort.
Second, given we saw little significant change in mental health outcomes among those with dementia, we must recognize their need for support will continue to exist. In the near term at least, the challenges in delivering this support are less likely to relate to the cognitive impairment itself but to questions of accessibility and availability, especially if the supply of support is diverted to those with no impairment. Policymakers and care practitioners will, therefore, need to ensure that people with dementia have equal access to measures to support their mental health.
To conclude, this study has improved our understanding of the way that mental health changed for people with cognitive impairment and dementia due to the pandemic. We find evidence for increasing levels of depression and anxiety during the pandemic among those with mild cognitive impairment or no cognitive impairment, but not among those with dementia. Compared to before the pandemic, mental health has become more similar across cognitive function groups, suggesting a convergence that may impact future demand for support services.
Supporting information
S1 STROBE Checklist. STROBE checklist.
(DOCX)
Acknowledgments
The English Longitudinal Study of Ageing was developed by a team of researchers based at University College London, NatCen Social Research, the Institute for Fiscal Studies, the University of Manchester, and the University of East Anglia.
Author Contributions
Conceptualization: Andrew Steptoe, Paola Zaninotto.
Data curation: Brian Beach.
Formal analysis: Brian Beach.
Funding acquisition: Andrew Steptoe, Paola Zaninotto.
Investigation: Brian Beach, Paola Zaninotto.
Project administration: Andrew Steptoe, Paola Zaninotto.
Supervision: Paola Zaninotto.
Writing – original draft: Brian Beach.
Writing – review & editing: Brian Beach, Andrew Steptoe, Paola Zaninotto.
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11. Daly M, Robinson E. Longitudinal changes in psychological distress in the UK from 2019 to September 2020 during the COVID-19 pandemic: Evidence from a large nationally representative study. Psychiatry Res. 2021; 300:113920. https://doi.org/10.1016/j.psychres.2021.113920 PMID: 33882397
12. Hyland P, Shevlin M, Murphy J, McBride O, Fox R, Bonders K, et al. A longitudinal assessment of depression and anxiety in the Republic of Ireland before and during the COVID-19 pandemic. Psychiatry Res. 2021; 300:113905. https://doi.org/10.1016/j.psychres.2021.113905 PMID: 33827013
13. Pierce M, Hope H, Ford T, Hatch S, Hotopf M, John A, et al. Mental health before and during the COVID-19 pandemic: a longitudinal probability sample survey of the UK population. Lancet Psychiatry. 2020; 7(10):883–892. https://doi.org/10.1016/S2215-0366(20)30308-4 PMID: 32707037
14. Robinson E, Sutin AR, Daly M, Jones A. A systematic review and meta-analysis of longitudinal cohort studies comparing mental health before versus during the COVID-19 pandemic in 2020. J Affect Disord. 2022; 296:561–578. https://doi.org/10.1016/j.jad.2021.09.080 PMID: 34600068
15. Wetherall K, Cleare A, McClelland H, Melson AJ, Niedzwiedz CL, O’Carroll RE, et al. Mental health and well-being during the COVID-19 pandemic: longitudinal analyses of the UK COVID-19 Mental Health and Wellbeing study (UK COVID-MH). BJPsych Open. 2022; 8(4):e103. https://doi.org/10.1192/bjo.2022.58 PMID: 35642377
16. Vahralian A, Blumberg SJ, Terlizzi EP, Schiller JS. Symptoms of Anxiety or Depressive Disorder and Use of Mental Health Care Among Adults During the COVID-19 Pandemic—United States, August 2020–February 2021. MMWR Morb Mortal Wkly Rep. 2021; 70(13):490–494. https://doi.org/10.15585/mmwr.mm7013e2 PMID: 33793459
17. O’Connor RC, Wetherall K, Cleare S, McClelland H, Melson AJ, Niedzwiedz CL, et al. Mental health and well-being during the COVID-19 pandemic: longitudinal analyses of adults in the UK COVID-19 Mental Health & Wellbeing study. Br J Psychiatry. 2021; 218(6):326–333. https://doi.org/10.1192/bjp.2020.212
18. Maxfield M, Pituch KA. COVID-19 worry, mental health indicators, and preparedness for future care needs across the adult lifespan. Aging Ment Health. 2021; 25(7):1273–1280. https://doi.org/10.1080/13607863.2020.1828277 PMID: 33043689
19. Garcia-Portilla P, de la Fuente TL, Bobes-Bascarán T, Jiménez Treviño L, Zurrón Madera P, Suárez Álvarez M, et al. Are older adults also at higher psychological risk from COVID-19?. Aging Ment Health. 2021; 25(7):1297–1304. https://doi.org/10.1080/13607863.2020.1805723 PMID: 32870024
20. Wilson JM, Lee J, Shook NJ. COVID-19 worries and mental health: the moderating effect of age. Aging Ment Health. 2021; 25(7):1289–1296. https://doi.org/10.1080/13607863.2020.1856778 PMID: 33229194
21. Zaninotto P, Iob E, Demakakos P, Steptoe A. Immediate and Longer-Term Changes in the Mental Health and Well-being of Older Adults in England During the COVID-19 Pandemic. JAMA Psychiatry. 2022; 79(2):151–159. https://doi.org/10.1001/jamapsychiatry.2021.3740 PMID: 34935862
22. Wittenberg R, Hu B, Jagger C, Kingston A, Knapp M, Comas-Herrera A, et al. Projections of care for older people with dementia in England: 2016 to 2040. Age Ageing. 2019; 49(2):264–269. https://doi.org/10.1093/ageing/afz154 PMID: 31408792
23. Sachdev PS, Lipnicki DM, Kochan NA, Crawford JD, Thalamuthu A, Andrews G, et al. The Prevalence of Mild Cognitive Impairment in Diverse Geographical and Ethnocultural Regions: The COSMIC Collaboration. PLoS ONE. 2015; 10(11):e0142388. https://doi.org/10.1371/journal.pone.0142388 PMID: 26533987
24. Gulpers B, Ramakers I, Harmel R, Köhler S, Oude Voshaar R, Verhey F. Anxiety as a Predictor for Cognitive Decline and Dementia: A Systematic Review and Meta-Analysis. Am J Geriatr Psychiatry. 2016; 24(10):823–842. https://doi.org/10.1016/j.jagp.2016.05.015 PMID: 27591161
25. Asmer MS, Kirkham J, Newton H, Ismail Z, Elbayoumi H, Leung RH, et al. Meta-analysis of the prevalence of major depressive disorder among older adults with dementia. J Clin Psychiatry. 2018; 79(5):15460. https://doi.org/10.4088/JCP.17t11772 PMID: 30085437
26. Leung DKY, Chan WC, Spector A, Wong GHY. Prevalence of depression, anxiety, and apathy symptoms across dementia stages: A systematic review and meta-analysis. Int J Geriatr Psychiatry. 2021; 36(9):1330–1344. https://doi.org/10.1002/gps.5556 PMID: 33905138
27. Abdoli N, Salani N, Darvishi N, Jafarpour S, Solaymani M, Mohammadi M, et al. The global prevalence of major depressive disorder (MDD) among the elderly: A systematic review and meta-analysis. Neurosci Biobehav Rev. 2022; 132:1067–1073. https://doi.org/10.1016/j.neubiorev.2021.10.041 PMID: 34742925
28. Bryant C, Jackson H, Ames D. The prevalence of anxiety in older adults: Methodological issues and a review of the literature. J Affect Disord. 2008; 109(3):233–250. https://doi.org/10.1016/j.jad.2007.11.008 PMID: 18155775
29. Luppa M, Skorupski C, Luck T, Ehreke L, Kornogka A, Wiese B, et al. Age- and gender-specific prevalence of dementia in latest-life—Systematic review and meta-analysis. J Affect Disord. 2012; 136(3):212–221. https://doi.org/10.1016/j.jad.2010.11.035 PMID: 21194754
30. Cooper C, Sommerlad A, Lyketsos CG, Livingston G. Modifiable Predictors of Dementia in Mild Cognitive Impairment: A Systematic Review and Meta-Analysis. Am J Psychiatry. 2015; 172(4):323–334. https://doi.org/10.1176/appi.ajp.2014.14070878 PMID: 25096435
31. Desai R, Whitfield T, Said G, John A, Saunders R, Marchant NL, et al. Affective symptoms and risk of progression to mild cognitive impairment or dementia in subjective cognitive decline: A systematic review and meta-analysis. Ageing Res Rev. 2021; 71:101419. https://doi.org/10.1016/j.arr.2021.101419 PMID: 33850205
32. Roberto N, Portella MJ, Marqué M, Algelet M, Hernández J, Mauléon A, et al. Neuropsychiatric profiles and conversion to dementia in mild cognitive impairment, a latent class analysis. Sci Rep. 2021; 11(1):6448. https://doi.org/10.1038/s41598-021-83126-y PMID: 33742011
33. Suárez-González A, Rajagopalan J, Livingston G, Alladi S. The effect of COVID-19 isolation measures on the cognition and mental health of people living with dementia: A rapid systematic review of one year of quantitative evidence. EClinicalMedicine. 2021; 39:101047. https://doi.org/10.1016/j.eclinm.2021.101047 PMID: 34386758
34. Pongan E, Dorey J-M, Borg C, Getenet JC, Bachelet R, Louiroux C, et al. COVID-19: Association Between Increase of Behavioral and Psychological Symptoms of Dementia During Lockdown and Caregivers’ Poor Mental Health. J Alzheimers Dis. 2021; 80:1713–1721. https://doi.org/10.3233/JAD-201396 PMID: 33646163
35. Hanna K, Giebel C, Tellow H, Ward K, Shenton J, Cannon J, et al. Emotional and Mental Wellbeing Following COVID-19 Public Health Measures on People Living With Dementia and Carers. J Geriatr Psychiatry Neurol. 2022; 35(3):344–352. https://doi.org/10.1177/0891988721996816 PMID: 33626977
36. Baumbusch J, Cooke HA, Seetharaman K, Khan A, Khan KB. Exploring the Impacts of COVID-19 Public Health Measures on Community-Dwelling People Living With Dementia and Their Family Caregivers: A Longitudinal, Qualitative Study. J Fam Nurs. 2022; 28(3):183–194. https://doi.org/10.1177/1074840722110284 PMID: 35674313
37. Wei G, Diehl-Schmid J, Matias-Guiu JA, Pijnenburg Y, Landin-Romero R, Bogardt H, et al. The affects of the COVID-19 pandemic on neuropsychiatric symptoms in dementia and carer mental health: an international multi-site study. Sci Rep. 2022; 12(1):2418. https://doi.org/10.1038/s41598-022-05887-w PMID: 35165292
38. Sabatini S, Bennett HO, Martyr A, Collins R, Gamble LD, Matthews FE, et al. Minimal Impact of COVID-19 Pandemic on the Mental Health and Wellbeing of People Living With Dementia: Analysis of Matched Longitudinal Data From the IDEAL Study. Front Psychiatry. 2022; 13:9. https://doi.org/10.3389/fpsyt.2022.848908 PMID: 35370851
39. Liu KY, Howard R, Banerjee S, Comas-Herrera A, Goddard J, Knapp M, et al. Dementia wellbeing and COVID-19: Review and expert consensus on current research and knowledge gaps. Int J Geriatr Psychiatry. 2021; 36(11):1597–1639. https://doi.org/10.1002/gps.5567 PMID: 34043836
40. Tsatsal M, Moraitou D, Popits E, Sia E, Agogiatiou C, Gialaouzidis M, et al. Are There Any Cognitive and Behavioral Changes Potentially Related to Quarantine Due to the COVID-19 Pandemic in People with Mild Cognitive Impairment and AD Dementia? A Longitudinal Study. Brain Sci. 2021; 11(9):16. https://doi.org/10.3390/brainsci11091165 PMID: 34573186
41. Banks J, Batty GD, Breedvelt J, Coughlin K, Crawford R, Marmot M, et al. 37th Edition. UK Data Service SN. 1998–2019; 5050: 2021. https://doi.org/10.5255/UKDA-SN-5050-24
42. Marmot M, Pacchetti B, Banks J, Steel N, Oldfield Z, Nazroo J, et al. 3rd Edition. UK Data Service SN. 2020; 8688: 2022. https://doi.org/10.5255/UKDA-SN-8688-3
43. Karim J, Weisz R, Bibi Z, ur Rehman S. Validation of the Eight-Item Center for Epidemiologic Studies Depression Scale (CES-D) Among Older Adults. Curr Psychol. 2015; 34(4):681–692. https://doi.org/10.1007/s12144-014-9281-y
44. Steffick DE. Documentation of Affective Functioning Measures in the Health and Retirement Study. Ann Arbor, Michigan: Institute for Social Research, University of Michigan; 2000. Available from: https://hrs.isr.umich.edu/publications/biblio/5411.
45. Spitzer RL, Kroenke K, Williams JB, Löwe B. A brief measure for assessing generalized anxiety disorder: the GAD-7. Arch Intern Med. 2006; 166(10):1092–1097. https://doi.org/10.1001/archinte.166.10.1092 PMID: 16717771
46. Donker T, van Straten A, Marks I, Cuijpers P. Quick and easy self-rating of Generalized Anxiety Disorder: Validity of the Dutch web-based GAD-7, GAD-2 and GAD-SI. Psychiatry Res. 2011; 188(1):58–64. https://doi.org/10.1016/j.psychres.2011.01.016 PMID: 21339006
47. Williams GM, Smith A. Measuring wellbeing in the workplace: Single item scales of depression and anxiety: Contemporary Ergonomics and Human Factors. 2013; 2013:87–94.
48. Young Q-R, Nguyen M, Roth S, Broadberry A, Mackay MH. Single-item measures for depression and anxiety: Validation of the Screening Tool for Psychological Distress in an inpatient cardiology setting. Eur J Cardiovasc Nurs. 2015; 14(6):544–551. https://doi.org/10.1177/1474515114548649 PMID: 25139467
49. Steptoe A, Batty D, Brayne C, Llewellyn D. English Longitudinal Study of Ageing: Harmonised Cognitive Assessment Protocol. 2nd Edition. UK Data Service SN. 2018; 8502:2021. https://doi.org/10.5255/UKDA-SN-8502-2
50. Cadar D, Abell J, Steptoe A. Cognitive impairment and dementia in older English adults: risk factors and diagnostic algorithms. In: Banks J, Nazroo J, Steptoe A, Zaritno P, editors. The dynamics of ageing: Evidence from the English Longitudinal Study of Ageing 2002–2019 (Wave 9). London: Institute for Fiscal Studies; 2020. p. 62–92. Available from: https://ifs.org.uk/publications/15065.
51. Azur MJ, Stuart EA, Frangakis C, Leaf PJ. Multiple imputation by chained equations: what is it and how does it work? Int J Methods Psychiatr Res. 2011; 20(1):40–49. https://doi.org/10.1002/mpr.329 PMID: 21499542
52. Eekhout I, de Vet HCW, Twisk JWR, Brand JPL, de Boer MR, Heymans MW. Missing data in a multi-item instrument were best handled by multiple imputation at the item score level. J Clin Epidemiol. 2014; 67(3):335–342. https://doi.org/10.1016/j.jclinepi.2013.09.009 PMID: 24291505
53. StataCorp. Stata Statistical Software: Release 17. College Station, TX: StataCorp LLC; 2021.
54. Hubbard G, den Daas C, Johnston M, Dixon D. Sociodemographic and Psychological Risk Factors for Anxiety and Depression: Findings from the Covid-19 Health and Adherence Research in Scotland on Mental Health (CHARIS-MH) Cross-sectional Survey. Int J Behav Med. 2021; 28(6):788–800. https://doi.org/10.1007/s12529-021-09967-z PMID: 33660187
55. Smith L, Jacob L, Yakkundi A, McDermott D, Armstrong NC, Barnett Y, et al. Correlates of symptoms of anxiety and depression and mental wellbeing associated with COVID-19: a cross-sectional study of UK-based respondents. Psychiatry Res. 2020; 291:113138. https://doi.org/10.1016/j.psychres.2020.113138 PMID: 32562931
56. Vahia IV, Jeste DV, Reynolds CF III. Older Adults and the Mental Health Effects of COVID-19. JAMA. 2020; 324(22):2253–2254. https://doi.org/10.1001/jama.2020.21753 PMID: 33216114
57. Pierce M, McManus S, Hope H, Hotopf M, Ford T, Hatch SL, et al. Mental health responses to the COVID-19 pandemic: a latent class trajectory analysis using longitudinal UK data. Lancet Psychiatry. 2021; 8(7):610–619. https://doi.org/10.1016/S2215-0366(21)00151-6 PMID: 33965057
58. Santor DA, Gregus M, Welch A. FOCUS ARTICLE: Eight Decades of Measurement in Depression. Measurement: Interdisciplinary Research and Perspectives. 2006; 4(3):135–155. https://doi.org/10.1207/s15366359mea0403_1
59. Shafer AB. Meta-analysis of the factor structures of four depression questionnaires: Beck, CES-D, Hamilton, and Zung. J Clin Psychol. 2006; 62(1):123–146. https://doi.org/10.1002/jclp.20123 PMID: 16287149
60. Shevlin M, Butler S, McBride O, Murphy J, Gibson-Miller J, Hartman TK, et al. Measurement invariance of the Patient Health Questionnaire (PHQ-9) and Generalized Anxiety Disorder scale (GAD-7) across four European countries during the COVID-19 pandemic. BMC Psychiatry. 2022; 22(1):154. https://doi.org/10.1186/s12888-022-04023-0 PMID: 35542037
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July is the month we will have a meeting, election, inauguration, picnic and a bourse all in one. Be ready.
First, the elections. On page two is the ballot with a complete slate. The election will be held at the second meeting on July 23rd. You can bring your ballots in to this coming meeting or save it for the next one that will take place at the Silverada Estates community building (map on page 3). If you can't come to the meetings, you may send your ballot to
N.S.S.S.
PO Box 2907
Sparks, NV 89432
Be sure it arrives before the second meeting on the 23rd. If you bring the ballot with you, pass it on to Mike Potter.
The program for June was given by Donna Withers, whom you may know as the Duck Stamp Lady. We have seen her many times at our Stamp Shows with the winners of the Nevada Junior Duck Stamp contest. The subject, of course, was duck stamps. They are sold to duck hunters and stamp collectors to generate funds for the protection of wildlife. Junior duck stamp sales go directly back into the Junior Duck Stamp program. You can learn more about Duck Stamps by going to duckstamp.com.
At the Club Picnic there will be a Blue Sheet auction. This one will involve some of the more upscale material that has been donated to the club. There are several of the hard to find Australian kangaroos and some early US stamps. They will be auctioned by our favorite auctioneer, Mike Potter. The sheets are being set up by John Walter. You can see some of the stamps by going to John's website at; www.walter-us.net/stamps/. Not all of the stamps are up yet but John will be adding more as time permits. When you come to this meeting make sure to have a want list or your albums so you can fill some holes in your collection.
The Stamp Show will be taking place this year. We are short by at least five dealers (we have 11 but planned for 16) which will leave us short of the income we need to pay for the show expenses. The club will make up the difference. Fortunately two of our members have stepped forward offering to make up part of the shortfall. Those members shall remain anonymous and I say, "Hooray for them!"
The Greater Reno Stamp and Cover Show: August 20-21 at the Reno National Bowling Stadium at 300 North Center street in downtown Reno. Hours 10 to 6, Sun., 10-4.
WINEPEX Sept 30-Oct 2 at the Marin Civic Center San Rafael. Hours 10-5 and 10-3 on Sun. E-mail Bob Rawlins at firstname.lastname@example.org to exhibit.
2011 Nevada Stamp Study Society Ballot
This ballot is to be executed on the 23th day of July, 2011 at the second club meeting. Absentee ballots must be received by the day of voting. Ballots will be counted at the meeting. Installation of the elected officers will take place at that meeting. Write-in candidates must agree to candidacy before the election.
For the office of PRESIDENT of the club (vote for one only);
Stan Cronwall □
Write-in __________________________ □
For the office of TREASURER (vote for one only)
Terri Edwards □
Write-in __________________________ □
For the office of BOARD OF DIRECTORS (vote for three only);
Harvey Edwards □
John Walter □
Paul Glass □
Robert Martin □
Write-in __________________________ □
When you have made your selections, please fold the ballot and return it to Mike Potter, head of the Election Committee.
Silverada Estates
In case you missed it in the last issue, here is the map to Silverada estates clubhouse. It is just down the street from our regular meeting place at the NNMC towards the freeway (west). And, here is the official agenda for the day;
8:45 am - Set-up bourse, meeting and picnic tables and chairs
9:00 am - Bourse opens
10:00 am - Bourse closes and NSSS meeting begins
Raffle / Blue sheet auction
No consignment sales
11:30 am - Start picnic food set-up & cooking fires
11:30 am - Election committee collects and counts ballots
11:30 am - Re-open the bourse
12:00 noon - Lunch begins
12:30 pm - Announce election results
1:00 pm - Installation of new Officers and Board members
3:00 pm - Bourse closes and clean-up begins
This meeting and the sales involved are for members and the meeting will not be advertised. Of course you may bring guests with you and neighborhood people may wander through and may buy from the sellers. Be sure to sign up for a side dish to bring to the picnic.
List of people on stamps of the United States
I have had this site on my computer for several years and have been meaning to pass it on to you whenever there is nothing better to put on this page. Today I looked at it and decided to explore a little. Turns out there is more to this site than meets the eye. This site isn’t just about stamps.
I went to the page you’ll find if you use the link at the top of the page. It is a small part of the whole site. There is a search engine that searches only within this site. I tried “stamps” and got seventy results. Three of them were for William Stamps Farish, one for Rubber Stamps and the other sixty-six were for “People on the Stamps of ___________”, pick your country, and more for “The Stamps and Postal History of ___________-”. There were also a few other assorted links for postage stamps.
There are no pictures on this site, at least, none I could find but there are a lot of links. It looks very much like a page in Wikipedia where every third or fourth word is a link to another page. I went to “Stamps and Postal History of Afghanistan” and copied the first sentence. “The story of postage stamps and postal history of Afghanistan begins with Sher Ali, who established a postal service in the 1860s as part of a program of modernization in the ‘Kingdom of Kabul’.” All of the underlined words link to a page about that word, though not in the same context. For instance, click on “1860” and you will see a page that is about that year but not about stamps or Afghanistan.
The site may be a bore to some people but it is a good site for research or just exploration. I thought, at first, it was about stamps and the people on them. I have seen the books in some libraries that tell about people on stamps. They’re found right next to the Scott catalogs. This site seems to be an encyclopedia and its called a “Fact Index”. Sounds like encyclopedia to me.
In any case, whether it’s an encyclopedia or not, it’s an excellent source of knowledge. Especially about stamps and the people on them. From any country. There is also a source of information about postal history or just history in general. By erasing all the letters (of the address) after “.com” you can use that to go to the Fact index home page and start to delve into this site as an encyclopedia rather than a stamp page.
By the way, William Stamp Farish owned Standard Oil and his father was almost accused of treason after WWII.
The Philippine Islands have been near and dear to our hearts ever since a famous general said, “I shall return.” and did! It was also a good democracy until Mr. Marcos found a way to get around that. The Filipinos were finally able to get rid of him and Imelda and return to a democratic way of life. When Bill Olcheski wrote this quiz, the Marcos’ were still in power.
1. In what year did the Philippines become independent?
A) 1946 B) 1948 C) 1950
2. How did Jose Rizal die?
A) Old age B) Tuberculosis C) Execution
3. What Philippine president is shown on a 1947 souvenir sheet?
A) Manuel Quezon B) Manuel Roxas C) Ferdinand Marcos
4. What American president appears on a 1960 stamp?
A) J. F. Kennedy B) F. D. Roosevelt C) D. D. Eisenhower
5. What Mexican president is shown on a 1963 stamp?
A) Mateos B) Iturbide C) Carranza
6. In what year did Ferdinand E. Marcos become president?
A) 1956 B) 1966 C) 1976
7. The 25th anniversary of the landing of U. S. forces on what Philippine Island was marked by a set of stamps in 1969?
A) Corregidor B) Leyte C) Luzon
8. What aircraft appears on the 1977 stamp marking the fiftieth anniversary of airmail service between Havana and Key West?
A) C47 (Gooney bird) B) Fairchild FD-2 C) Hennig 467D
9. What animal is shown on a 1977 airmail marking a philatelic exhibition?
A) Camel B) Bull C) Cat
10. What means of transportation appears on the 1947 special delivery stamp?
A) Bicycle B) Motorcycle C) Delivery truck
Bonus question: William Stamp Farish was the owner of Sears and Roebuck? True or False?
I would like to spend time in the Philippines, lazing in a hammock in the afternoon while sipping on my coconut milk and being fed grapes by a local lady. And I may as well have a million dollars and be fifty years younger while I’m at it!
Norway is also known as the “Land of the Midnight Sun” and rightly so since a third of it is above the Arctic Circle and in the summer, the sun never sets.
1. C. Nordic countries acting in cooperation for environmental protection met in Helsinki in February that year. The stamps (#688-689), picturing water lilies, were issued for that meeting.
2. B. Two values were issue for the first census in Norway. The high value pictured people while the low value showed a punched card (#s 547-548).
3. C. Issued for the tercentenary of postal service between northern and southern Norway the set of two shows a two-man riverboat.
4. A. In Switzerland the flag shows a white cross on a red background. Henri Dunant reversed the colors and used it to name the Red Cross which he founded in 1863 in Geneva Switzerland. He was a winner of the first Nobel Peace Prize. (#s 399-400)
5. A. A is for “Admunsen”. He was the Norwegian explorer who was first to find the way to the bottom of the earth fifty years before. He is honored on #399 & 400.
6. B. The Scott numbers are 361-374. Its a definitive issue and the king is Olav V.Haakon. Kloster is on #401, he was the founder of the Norwegian Temperance movement.
7. A. Well we know you’re not likely to find the University of Miami on a Norwegian stamp unless they lost a bet. The 150th anniversary of the University of Oslo was celebrated on #395 and 396
8. C. #255-258 was issued on June 15, 1943, the hundredth anniversary of the birth of Evard Grieg. He wrote “The Morning” from the Peer Gynt Suite. You may be more familiar with it from the many cartoons that have used the music to portray a morning scene.
9. B. In April, 1940 Germany invaded Norway and though the Norwegians fought bravely, with the help of the British and Poles, the country was occupied by Germany until May 8, 1945. Twenty years later B67-68 was issued to celebrate their freedom from the Germans.
10. A. After the separation of Norway from Sweden in 1905 Haakon was selected by the parliament and the people of Norway to be their king. #590 & 591 was issued to celebrate the centenary of his birth in 1872.
Bonus question. The original plates were used to print the imperforate Standing Helvetias but the printing of these stamps was not ordered nor authorized by the Swiss government. Their value is very low. This one is false.
Stamp Crossword Solution
| LASSO | DUMAS | TVA |
|-------|-------|-----|
| IRKED | ENOLA | AAU |
| BOYLE | REMBRANDT | |
| MARTI | ALGER | |
| SHAH | IDAHO | LORY |
| OAS | OPENERS | |
| LITER | GASTANK | |
| ITERATE | TOENAIL | |
| IRELAND | ENVOY | |
| SENATOR | AWN | |
| SABA | PLAYUP | AJAX |
| CAUCA | LARGO | |
| ARGENTINA | URALS | |
| LOG | TROON | MERIT |
| ANY | SYNGE | PETTY |
I hope you enjoyed this crossword puzzle as much as I did. I tend to be partial to them. They keep my brain alive, and it really needs the help.
This might be a good place to show you some of the stamps John Walter plans to offer on the blue sheets at the picnic next month. The descriptions are pretty good and the prices are right.
#117, used. Perfs. cut into the design on right. Pulled perfs. top and bottom left.
SCV: $150.00
MB: $10.00
Or, maybe you’d prefer
#163, used. Perf. cuts into the design on right. Pulled perf. top center. Short perfs. on the right side.
SCV: $160.00
MB: $6.00
More Stamps for Your Approval
These stamps were also donated to the club and will be for sale at the picnic meeting. Keep in mind that these stamps belong to all the members of the club. All proceeds will help to support your Stamp Show.
#163, used. Perf. cuts into the design on right. Pulled perf. top center. Short perfs. on the right side.
SCV: $160.00
MB: $6.00
#151, used. Perfs. barely cut into design on left. Pulled perf. on top, bottom and lower left.
SCV: $220.00
MB: $10.00
These two haven’t been valued yet but are #150 and 179. Can you use them?
WANTED: Germany Third Reich postcards from the Carl Werner Studios - B/W or color, photo or illustrated, mint or used. Paying $35.00 and up depending on subject matter and condition. Stan Cronwall 849-7850 or email@example.com
WANTED: Germany Third Reich postcards from the Eric Gutjahr Studios - B/W or color, photo or illustrated, mint or used. Paying $35.00 and up depending on subject matter and condition. Stan Cronwall 849-7850 or firstname.lastname@example.org
WANTED: Germany Third Reich postcards from the Heinrich Hoffmann Studios. (Hoffmann was Hitler's personal photographer) B/W or color, photo or illustrated, mint or used. Paying $45.00 and up depending on subject matter and condition. Stan Cronwall 849-7850 or email@example.com.
WANTED; Covers of Switzerland from 1882 to 1907 (later is OK) that used the "Standing Helvetia" as postage. Contact Howard at (775) 677-7143 or firstname.lastname@example.org
Wanted; the 1949 Silver Wedding issue. Have you seen this stamp? There are several like it from various British colonies. I need about half of them to complete my collection. Contact Howard at (775) 677-7143 or email@example.com
For Sale; Stamps and Covers at my online store at Wensy.com. Type "artfulputz" in the search box, click on "user" then "go". You'll have to join but its easier than eBay. Most prices start at 1/3 of Scott. Contact Howard at firstname.lastname@example.org
Davies Stamps
Worldwide Stamps & Supplies Discounted
Arline & Edward Davies Owners
1631 Picetti Way (775) 835-0195
Fernley, Nevada 89408
Stamps2go.com.com, Stamporama.com email@example.com
Jeanots' Cachets & Linen Envelopes
Each designed by hand with love
No two Covers alike -
Different art media used...
From rubber Stamps with chalk to handrawn.
Special Request for new issues accepted
(775) 883-7579
e-mail: firstname.lastname@example.org
WANTED: Germany Third Reich "Kinder Cards" mint or used. These are cards showing children "playing at war" usually with some junior sized weapon, helmet and/or uniform. Most are color but some can be B/W. Most are illustrated, but some are photography. Paying $35.00 and up depending on subject matter and condition. Stan Cronwall 849-7850 or email@example.com.
My Favorite Things
An easy way to get started on your first full frame exhibit. Just show us what you like on one page and tell us a little about it.
ERROR!
In the Early Viet Minh stamps, French Indo-Chinese stamps were overprinted to be used outside the French postal system. The rebels, sometimes inexperienced in printing, made mistakes. Quality control wasn’t as good as it could be. Errors were not terribly common but more common than, say, the inverted Jenny. Common enough that I can afford them.
Error 1L18-20 lower left corner stamp overprinted
VIET-NAM
DOC-LAP
TU-DO
HANH-PHUC
BUU-CHINH
Normal overprint
VIET-NAM
DOC-LAP
TU-DO
HANH-PHUC
BUU-CHINH
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A NEW YEAR'S GREETING FROM THE CHAIRMAN
Once again I have the honour and pleasure to send a New Year's Greeting to each of our members. Despite our loss in 1962 of several distinguished members we face the New Year with the hopeful expectation that it will prove an active and useful period in the annals of our Society. We have fittingly commenced by adding two stalwart Elians, Mr. T. Edward Carpenter and Mr. Sidney F. Rich to our list of Officers; there is also a prospect that some of our American members will initiate a movement to spread the Elian creed more widely throughout the Western World.
With gratitude for your continued support to our Society and with the confidence that 1963 will win a place among its most successful years, I remain
Faithfully yours,
WALTER FARROW.
* * *
THE CHARLES LAMB BIRTHDAY CELEBRATION—This year's Celebration will be held on Saturday, 9th February at the Windsor Castle Restaurant, Vauxhall Bridge Road, London, S.W.1 (close to Victoria Station), and will be a Luncheon followed by the usual Toasts and concluding with a light tea. Reception from 12-45 p.m. Luncheon at 1-30 p.m.
The Guest of Honour is Professor Douglas Grant, M.A., D.Phil., who is Professor of American Literature at the University of Leeds, and a member of this Society. It is believed the theme of his Address will be Lamb and Hazlitt.
Tickets will cost one guinea which includes luncheon, tea and tips, but excludes wines. Members should apply immediately for tickets to Miss F. S. Reeves, 33 Alma Street, London, N.W.5. Cheques or postal orders should be made payable to the Charles Lamb Society.
We look forward to having a good attendance at this annual Celebration, with as many as possible of our Provincial members.
A delightful surprise was provided by our President, Professor Geoffrey Tillotson, on the evening of November 12th, for among his miscellaneous reading of 19th century magazines he had discovered two articles containing appreciative comments on Lamb. The first article which appeared in the British Quarterly Review 1848 was a review of Moxon's Works of Charles Lamb including his Life and Letters collected into one volume and was written by George Henry Lewes, for which he was paid £15. This article containing so much in appreciation of Lamb and his writings is not mentioned by any of Lamb's biographers, and in view of its excellence and interest to all lovers and students of Lamb it is being reproduced as a Supplement to the January Bulletin. No doubt Lewes obtained much of the information he mentions from his friend Leigh Hunt who in turn had friendship with and first hand knowledge of Lamb who was the central figure when he and his friends foregathered at meetings in the Temple rooms of Lamb.
The second article from the North British Review 1846-7 is a review of Ruskin's Modern Painters by A. J. Scott, Professor of English Literature, University College and Bedford College, London, in which he refers to Lamb's Essays On the Genius of Hogarth, and on the Barrenness of the Imaginative Faculty in the Productions of Modern Art, and includes a warm appreciation of Lamb's criticism.
The Chair was taken by the Rev. F. N. Doubleday, M.R.C.P., and at the conclusion of Professor Tillotson's talk he said how interesting the evening had been and that some of the descendants of those mentioned in the article had been in later days well known in London's literary activities. The ensuing discussion shewed how Eliantly the talk had been. Dr. Harold Moore thanked Professor Tillotson for rescuing the article from limbo containing as it did so much valuable light on Lamb's character and writings. Thanks to the Chairman was proposed by Miss Annette Park. The Eliant Reading was given by Miss G. Taverner who had chosen the essay Readers against the Grain from the Lepas Papers.
George Cruikshank was born 27th September 1792, the second son of Isaac Cruikshank a Lowland Scot who came to London in 1780. He was a precocious child, and his early sketches date from when he was between eight and eleven years of age—one of these was a "Children's Lottery Picture" dated 1804. His earliest desire was to go to sea but his mother opposed this and he had some preliminary lessons in art from his father. In 1805 he did two etchings of "Horse Racing" and "Donkey Racing" and thenceforward he was launched as a professional artist. Of real art training he seems to have had none. Yet it was an artistic home, his father working on copper etching, the mother colouring the plates, and George helping in his small way with drawings, etc. Introduced to the theatre when young his style developed, as perhaps was natural, in a theatrical and flamboyant way, helped no doubt by his acquaintance with Edward Kean and other actors. He continued to turn out sketches, caricatures, illustrations for songs, etc. From 1811 he became a political caricaturist, dealing with Napoleon, the Corn Laws, the purchase of the Elgin Marbles, and Princess Charlotte and her marriage. William Hone used many of them for his Table, Year and Everyday Books. One plate which Cruikshank regarded as the great event of his artistic life was the so-called Bank Restriction Note of 1818. On his way home in this year he saw the bodies of several women hanging from the gallows opposite Newgate Prison, convicted for the crime of uttering false one-pound notes. Impressed by the horror of the scene he forthwith designed with great detail a "Bank-note—not to be imitated." This captured the public taste so much that the police had to clear the crowd that gathered outside Hone's shop where the "Bank-note" was on view. Hone realised above £700 from the sale of the prints, and Cruikshank claimed that his design had put a stop to the punishment of death for forgery, allowing for a little exaggeration in this statement (one of Cruikshank's failings) his contribution to the cause of humanity was of great value. He continued to pour out social and political caricatures, some of them lampooning George IV and his amours, etc. More work on book illustration followed including "Life in London" 1821 a joint effort with his father, and Carey's "Life in Paris", though his knowledge of France was gleaned from a day trip to Boulogne and from the work of other artists. Ranked by others as his master work were the illustrations to Grimm's Popular Stories 1824.
26, showing his droll and whimsical spirit, fairies and elves with fanciful backgrounds. From 1828 onwards he turned out an enormous amount of work. His father Isaac, a minor caricaturist, died in 1811.
Thereafter the two brothers George and Robert continued their work and in addition managed to enjoy the gaieties of London and its life of the period: George regarding himself as the man about town, the “buck of the period”
In 1837 he did many designs for Bentley’s Miscellany, including Oliver Twist and Sketches by Boz by Dickens, and Jack Shepherd and the Tower of London by Ainsworth; his illustration of Fagin in the Condemned Cell was an outstanding example of his art. Some disagreement arose between Cruikshank and Dickens through his claim that the story and incidents of Oliver Twist were his; no doubt some suggestions Cruikshank might have made were utilised by Dickens in drafting the novel. Both men were of a highly inventive nature with a grotesque imagination and both loved London and its characters, and each may have been assisted by the other’s ideas. At any rate he was the predestined illustrator of Dickens.
In 1847 came another important turning point in his career, the publication of The Bottle, a direct contribution by him to the cause of teetotalism, depicting the downward march of degradation of a family through drink. He himself became a strict abstainer and devoted himself wholeheartedly to the temperance crusade.
He died on 1st February 1878 and was buried temporarily at Kensal Green, and on 29th November his remains were removed to St. Paul’s, with an epitaph by his widow:
In memory of his Genius and his Art,
His matchless Industry and worthy Work
For all his fellow-men.
His magnum opus in the cause of temperance was a huge cartoon seven feet eight inches by thirteen feet three inches, “The Worship of Bacchus”, crowded with figures and detail of every kind: the cartoon was presented to the National Gallery by subscribers in 1860 and its resting place is now in the cellars there.
In person Cruikshank was a well-built man, below the middle height, with a high forehead, blue-grey eyes, a hook nose and a pair of original-looking whiskers, and wearing a false lock of hair clipped with elastic to hide a bald patch. He resisted discipline and yet joined the Middlesex Rifle Volunteers, ultimately becoming their Lt. Colonel. Full of energy, a merry and jolly old gentleman in later life, humorous, argumentative, his own ideas the best, contradictory, cordial and lovable. He was generous, he was splenetic, he was flamboyant, and he was secretive, and when in the role of a public man he was larger than life. He loved a comic scene and a comic character, he could draw infinite grotesque detail, but he could not draw a horse or a beautiful woman. His entire life was a study in extremes. He was as a caricaturist the last representative of the school of English caricature formed during the reign of George III and the Regency of the Prince of Wales, and the successor of Gilray and Rowlandson though in many ways lacking their ferocity of design. Yet with a fertility of design and a gift for characterisation, unflagging energy, his contribution to the comic gallery of London life in the first fifty years of the 19th century is unrivalled. What a character for Charles Lamb to have pondered over!
* * *
Mr. R. Meadows White (in the Chair) in introducing Mr. Trewin said that the occasion was one that Elia might have chuckled over, namely, a professional actor introducing a dramatic critic. Mr. Trewin is also a writer—“Up from the Lizard” an engaging story of his life in Cornwall, and a book on Sir Frank Benson. And Cruikshank on whom Mr. Trewin was to speak was also a man of the theatre, apart from his work as caricaturist.
* * *
Following an animated discussion Mr. Arthur F. Bishop proposed thanks to Mr. Trewin for such a delightful and characteristic summary of Cruikshank’s work. If the shadow of Lamb and Cruikshank could meet what talk would ensue!
Mr. H. W. Meyer thanked the Chairman for his comments augmenting points made by Mr. Trewin and his cheerful duty as Chairman.
The Elian Reading, a passage from the essay On the Genius and Character of Hogarth was given by Mr. E. G. Crowsley.
* * *
THE CHARLES LAMB BUST FROM CHRIST CHURCH
On the 5th November 1935 Lord Plender unveiled a bust of Charles Lamb erected on the north wall of Christ Church, Greyfriars, to mark the centenary of Lamb’s death the previous year. The bust was the work of Sir William Reynolds-Stephens, and had been commissioned by the Elian Society, the forerunner of the Charles Lamb Society. A short service in Christ Church followed the unveiling with an Address by Mr. H. L. O. Flecker, Headmaster of Christ’s Hospital, Horsham.
In January 1941 during the bombing of London by the Germans Christ Church was reduced to a shell, but fortunately the Charles Lamb bust was undamaged, and it was despatched to Christ’s Hospital for temporary safe custody. It has now been re-erected on
the wall of St. Sepulchre Church facing directly opposite the site of the open air gymnasium of Christ's Hospital, prior to the removal of the school to Horsham, and which was the site of the Giltspur Street Compter. Standing by the bust in its present position one can see the spire of Christ Church. On St. Matthew's Day the scholars from Christ's Hospital attend St. Sepulchre's Church to hear the special sermon for that day.
* * *
EXTRA-ORDINARY GENERAL MEETING
At an Extra-ordinary General Meeting of the Society held on Saturday 8th December, 1962 at the Mary Ward Centre, 9 Tavistock Place, W.C.1 at 2-45 p.m. Mr. T. Edward Carpenter, B.A., LL.B., J.P. was with acclaim elected a Vice President of the Society.
At the same meeting Mr. Sidney F. Rich, O.B.E., LL.B. was unanimously elected the Society's Solicitor, vice Mr. M. A. Jacobs, deceased.
* * *
FUTURE MEETINGS—Monday, 14th January, 1963—"Aspects of Jeremy Taylor" by Mr. Hugh Ross Williamson, F.R.S.L. Chairman: Mr. H. W. Meyer. The meeting will be held in Dr. Williams's Hall, 14 Gordon Square, W.C.1 at 6-30 p.m.
Saturday, 9th February, 1963—The Charles Lamb Birthday Celebration. Guest of Honour—Professor Douglas Grant, M.A., D.Phil. (See front page for special announcement.)
Monday, 11th March, 1963—"Thomas Manning," by Aubrey Noakes. Chairman: E. C. Thomas.
Saturday, 6th April, 1963—We have pleasure in announcing that on this date Miss Joanna Richardson, M.A., F.R.S.L. will speak on "Two Elian Editors: John Taylor and J. A. Hessey."
SUBSCRIPTIONS FOR 1963—The beginning of a New Year is generally the time to make new resolutions, and better still to keep them. Thus we hope members—other than those who use Banker's orders—have made the good resolution to pay their subscriptions to the Society promptly, for by so doing they are helping the Society and saving much time and work of our Hon. Treasurer—Miss Frieda A. Parsons, 32 Carmel Court, Kings Drive, Wembley Park, Middx.
Let us refresh your memories anent subscription rates:
(a) For each member residing within a radius of 15 miles of London—12/6, but for each additional member of the same family residing at the same address—5/-.
(b) For each Provincial member residing beyond a 15 mile radius of London, and for each Overseas member—7/6, but for each additional member of the same family residing at the same address only 3/6.
(c) Corporate Members, i.e. Libraries, wherever located—15/-.
In order to help cover bank clearance charges will American members paying by dollar cheque kindly add 30 cents to the amount of their subscription.
* * *
DRAMATIC GROUP
31st January, 1963. (Thursday). The 17th Annual General Meeting will be held at Courtauld House, Byng Place, W.C.1 7-0 p.m. followed by Members' Papers on their Favourite Actors of the Charles Lamb era. All Members are invited to contribute papers (10 mins. each) first contacting Miss Philpot to avoid duplication.
Nominations for vacancies on the Committee to replace the two retiring members should be sent to Miss Philpot not later than Saturday, 19th Jan., 1963. It should be first ensured that the Nominees are prepared to stand.
Subscriptions: Group Members are reminded that subscriptions for 1963 are now due and should be sent to the Hon. Treasurer, Miss Annetta Bazell, 9, Holland Park Mansions, Holland Park Gardens, W.14. Acting Members subscribe 3/6d., Associates 2/6d.
21st March, 1963. (Thursday). Would Members please note that Mrs. M. Fawdry of Pollock's Toy Museum and Toy Theatres will be addressing the Group on "Toy Theatres" (with working model) at Courtauld House, Byng Place, at 7-0 p.m.
* * *
FROM THE EDITOR'S CHAIR
On page 194 of the Bulletin for November, 1962, mention is made of a book of poems, Grass Widow, by Constance Hale. This was published by the Citizen Publishing Co., Ltd., 20 Alexandra Road, Southend-on-Sea, Essex, at a price of two shillings. We understand that the first edition has been sold out, but another edition is at present being printed.
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Putin’s regime and the politics of memory:
Czech, Polish and Russian perspectives
edited by
Adam Balcer
Putin’s regime and the politics of memory:
Czech, Polish and Russian perspectives
Copyright © by Adam Balcer
December 2021
Layout and design by DoLasu
This special issue of New Eastern Europe is supported by the Czech-Polish Forum of the Ministry of Foreign Affairs of the Czech Republic.
Ministry of Foreign Affairs of the Czech Republic
# TABLE OF CONTENTS
| Title | Author | Page |
|----------------------------------------------------------------------|-------------------------|------|
| Introduction | Adam Balcer | 4 |
| Czech and Polish Views of Russia: similarities and differences | Jiří Vykoukal | 6 |
| The legacy of the Polish-Lithuanian Union as a challenge to Russia’s historical narrative | Adam Balcer | 15 |
| Putin’s Memory War | Sergei Medvedev | 24 |
| How historical narratives serve authoritarian interests: the politics of memory in Putin’s Russia | Maria Domańska | 30 |
| The Soviet past is rising from shallow graves: Russia and the memory of the Stalinist terror | Štěpán Černoušek | 39 |
| Regional Memory of Soviet State Terror in Russia: the case of Perm | Robert Latypov | 46 |
Introduction
Putin’s regime is politicising history on a massive scale. The Russian leadership often exploits the past in order to pursue its foreign policy goals and promote its identity politics in the country. Many contradictions are clear within Russia’s politics of memory. On the one hand, the Gulag State Museum in Moscow was established in 2001 and remains an active research institute. On the other hand, the Russian regime is placing more and more pressure on independent researchers and seeking a return to a positive understanding of Joseph Stalin and his rule. Currently, Czechia and Poland are facing particular challenges from Moscow’s politics of memory. In fact, the politics of memory promoted by Russia in Central and Eastern Europe should rather be called a war of memory. As a result, the Association for International Affairs (AMO) from Prague and The Jan Nowak Jeziorski College of Eastern Europe from Wrocław decided to join forces and launch a common research project devoted to this topic. This study received financial support from the Czech-Polish Forum of the Ministry of Foreign Affairs of the Czech Republic.
This special issue of *New Eastern Europe*, titled “Putin’s regime and the politics of memory: Czech, Polish and Russian perspectives”, is one of the main outcomes of our project. We begin with Jiří Vykoukal’s article, “Czech and Polish historical views of Russia: similarities and differences”, which discusses how various factors have influenced perceptions of Russia in Poland and Czechia throughout the centuries. The second article, Adam Balcer’s “The legacy of the Polish-Lithuanian Union as a challenge to Russia’s historical narrative”, looks into the clash between the Grand Duchy of Lithuania and Polish-Lithuanian Commonwealth’s state traditions and Russia’s historical narrative concerning the alleged unity of Russians, Ukrainians and Belarusians. Meanwhile, Sergei Medvedev in his article “Putin’s Memory War” provides us with a general overview of Russia’s politics of memory, especially with regards to the Second World War and Stalinism. The essay “How historical narratives serve authoritarian interests: the politics of memory in Putin’s Russia” was written by Maria Domańska. Her work expands analysis of the topic by focusing on the close relationship between the Kremlin’s historical narratives and foreign policy. Special attention is also paid to Russian-Polish relations. Last but not least, the special issue finishes with two articles that offer unique regional perspectives. Štěpán Černoušek’s article, titled “The Soviet past is rising from shallow graves: Russia and the memory of the Stalinist terror”, takes us on a journey through Russia’s countryside, visiting places of memory such as abandoned camps and hidden mass graves. Finally, Robert Latypov, head of Perm Chapter of the Memorial Society, shares with us his personal professional experiences in his text “Regional Memory of Soviet State Terror in Russia: the case of Perm”. He shows the challenges that organisations such as Memorial face whilst trying heroically to research and commemorate the victims of the Soviet repressions in Russia’s regions.
Adam Balcer
Czech and Polish Views of Russia: similarities and differences
Doc. PhDr. Jiří Vykoukal
Department of Russian and East European Studies,
Institute of International Studies,
Faculty of Social Sciences, Charles University
The Czech and Polish views of Russia have diverged for centuries because of the countries’ different geographical locations, state traditions and historical experiences. However, the positions of certain sectors within both nations regarding Russia have sometimes overlapped and today there exists notable agreement on the issue.
Conventional opinion says that whilst Czechs are Russophiles, Poles continue to embrace a Russophobe outlook. Of course, this is only a stereotype as there are just as many Russophiles in the history of Poland as there are Russophobes in Czech history. The issue is not about how much these supposed attitudes are found within Czech or Polish historical memories but rather the different historical backgrounds that have influenced both countries’ varying pictures of Russia. Geography, the German factor and the legacy of communism constitute key factors shaping the different backgrounds of Polish and Czech views of Russia.
GEOGRAPHY MATTERS
Much of the development of the Czech state occurred whilst surrounded by neighbours such as the Holy Roman Empire and the states that succeeded the fallen Habsburg monarchy. After ceding Subcarpathian Ruthenia to Soviet Ukraine in 1945, the Czechs for the first time could move closer to Russia. However, such engagement with the Soviet authorities (not yet modern Russia) paid little attention to the Slovaks and Ukrainians. Polish experiences were different because permanent contacts were established with Muscovy very soon after the establishment of the Polish-Lithuanian Union in 1385. These ties were strengthened decisively following the state’s administrative and territorial reconstruction into the Commonwealth in 1569, when the Polish part of the federation gained a direct border with the Russian state. Czechs observed Russia from a relatively far (and safe) distance, while Russia was gradually becoming Poland’s rival in a struggle for control over Eastern Europe. Russia would then become closely involved in the partition of the lands of former Poland-Lithuania. Finally, Moscow played a key role in various controversial 20th century events, such as the Polish-Soviet War, the Molotov-Ribbentrop Pact and the Katyń massacre.
Given this geographical context, the Czech view of Russia was formed on the basis of rather rare physical contacts and an almost mythical imagination. At the same time, the Polish view rested on direct, frequent, and sometimes even permanent contacts and conflicts. The experience of Russian domination over a huge part of the Polish nation before 1918 also played a key role. This gulf between a rather imaginative and distant Czech perception and Poland’s direct and controversial understanding is largely responsible for the two state’s divergent
viewpoints on Russia. This disagreement is exemplified by the fact that the first comprehensive and critical Czech opinion of Russia was only offered by journalist Karel Havlíček in the 1840s. The writer had spent some months in Russia and returned to his country having abandoned his pan-Slavic thoughts.
The differing Czech and Polish understandings of Russia have also been influenced by the countries’ conceptions of their equally problematic German neighbour. At the end of the 19th century, various national democratic parties were established in the Czech lands and in the Russian part of Poland. They immediately expressed positive attitudes towards Russia in light of their historical relations with the Germans. While the Czechs often found it difficult to co-exist with ethnic Germans in the Habsburg Empire, the Polish state worried about the situation faced by Poles in Prussia/Germany. Both parties were connected by a common opinion that Germans were their archenemies. They argued that Russia could serve as a useful counterbalance against German power. However, while the Polish side (Roman Dmowski) treated Russia pragmatically and did not express genuine sympathy, the Czech side (Karel Kramář) welcomed Russian support with a great dose of warm sentiment.
This situation changed during and after the First World War. The Czechs overall found themselves moving closer to Russia as soldiers, POWs, and other actors in the Russian Revolution and subsequent civil war. It is also worth mentioning the Czechoslovak Legions that fought the Bolshevik regime. All of this, however, was happening outside of Czechoslovak territory. Poland had to confront Russia as it once again expanded to the west following the Bolshevik revolution. While the Versailles system denied Czechoslovakia a border with Soviet Russia, Poland was once again faced with fighting a bilateral conflict to secure its border with Moscow.
**COMMUNIST FACTOR**
However, a new element appeared that changed the role and importance of geography. This was namely the communist movement, which quickly helped to increase the influence of the Soviet regime in Central Europe. In the Czech case, the emergence of this movement and a still rather loose knowledge of Russia inclined parts of Czech society to perceive Soviet Russia as a land of social justice. When Hitler came to power and the Nazis threatened Prague’s national independence, these old sentiments about Russia as an anti-German ally once again appeared among the population. It is also worth noting that left wing politics had remained rather popular in Czechoslovakia throughout this time. Following the Franco-Soviet treaty in 1935 the Czechoslovak and Soviet governments quickly signed their own treaty on mutual defence. Doubts about the nature of the Soviet regime during the Stalinist terror of the late 1930s did not fully eliminate positive understandings of Moscow in the country. This is despite the fact that many of the first victims of this terror were Czechs and Slovaks who had found themselves in Russia or the Soviet Union during this time.
In Poland after 1918 the fact that the border was not Polish-Russian but Polish-Soviet did not mean too much. Public opinion did not make any great distinction between “Soviet” and “Russian”. The fact that many Belarusians and Ukrainians lived on the Soviet side of the border did not matter very much again as they could not prevent the Soviet regime from challenging Poland. The interwar period did not change perceptions of Russia as the idea of continuity between “white” and “red” Russia became a popular perspective. This is especially clear in the works of figures such as Jan Kucharzewski. The idea of playing Russia against Germany and vice versa was never taken off the table. The signing of the Treaty of Rapallo (1922) between Berlin and Moscow soon encouraged Warsaw to pursue policies that would prevent both states from allying with each other and threatening the country’s newly acquired independence. Despite attempts to balance German and Soviet influences (including two pacts signed in 1932 and 1934 respectively), the country eventually found itself surrounded by neighbours that started to think about the advantages of cooperation. Of course, this resulted in disastrous consequences in 1939.
Czechoslovakia began to lose its sovereignty following the Munich Agreement in September 1938. The occupation of the Czech lands by Nazi Germany in 1939 pushed Czechoslovak exile politics closer to the Soviet Union and culminated in a new treaty in 1943. The Soviet Union was treated by Czech politicians as a power that could save the country from the consequences of Munich. These ideas were based on a combination of disappointment in Western partners, an acceptable
tradition of Czech-Russian relations and the rising influence of the country’s own left-wing parties. The geographical distance between the Czech lands and Soviet Union also decreased during this time. In 1945, the Soviet Union for the first time became a direct neighbour of Czechoslovakia due to the cession of Subcarpathian Ruthenia to Soviet Ukraine. Russia was now no longer an almost imagined country but a real neighbour whose actions could have real consequences for the country. After the Katyn massacre a split emerged between the Soviets and the Polish exile government in 1943. Communists acting under Soviet patronage unanimously accepted Germans as the only national enemy and anti-German sentiment was naturally popular among Poles at home and abroad. The Soviet Union and the Polish communists were soon presented as the sole guarantors of the country’s new western border along the Oder and Neisse rivers.
The Czech perspective would begin to change during this period. This was caused by the geopolitical expansion of the Soviet Union and its rising influence within Czechoslovak affairs. This eventually resulted in the 1968 military intervention, which naturally saw Czech perceptions of Moscow become profoundly negative in nature.
It should be noted that Poland was spared from such a fate in 1956, as well as in 1980-1981. Czechs also reported many negative experiences with the Soviet military garrisons in the country. The communist government in Poland found it difficult to both broaden the scope of its political autonomy under Soviet tutelage and come up with a workable strategy for development in the country. Whilst Soviet troops still resided in the country, the popular perception that the country had found itself “under Russians” like other times in history only encouraged a negative view of Moscow.
THE POST-1989 CONTEXT
Perceptions of Russia would once again become a topic of debate following the sudden fall of the communist regimes in Central Europe and the withdrawal of Soviet troops from Czechoslovakia and Poland. The end of the Czechoslovak federation, the dissolution of the Soviet Union and the countries’ accession to NATO and the European Union would also influence these outlooks.
Russia was separated from the Czech lands by the new post-Soviet states, as well as independent Slovakia. The Czechs now once again tended to see themselves as a Central European country searching for closer links with the West. At the same time, some Czech politicians believed that even Central Europe is not the best place for Czechs because they “were always part of the West” and that political involvement in anything “in the East” may harm national interests. This view was visible during debates about Czech participation in the Visegrád format during the first years of its development.
The Polish position on Russia also changed during this period. The collapse of the Soviet Union produced a group of independent states that Polish geopolitical thought quickly defined as the “ULB area” (Ukraine, Lithuania, and Belarus). This important region now separates much of Russia from Poland. The idea of cooperation with these newly independent states provided Warsaw with a stronger feeling of security in relation to Russia. This approach, however, has not been without its troubles. The authoritarian transformation of Belarus opened a channel for Russian influence, whilst disputes with Lithuania (minority issues) and Ukraine (conflicting memories) made cooperation not so easy. Good relations with its new neighbours were supposed to be a strong focus of Poland’s security. However, the existence of a buffer zone between Poland and Russia and the ability to keep Polish-Russian relations stable have not always been one and the same thing.
TWO EVOLVING MODELS
When we summarise the similarities and differences of Czech and Polish attitudes towards Russia can see two distinct models. Whilst one could be described as rather seasonal, the other appears to be rather constant.
The Czech model started with a vivid cultural and political imagination that understood Russia as a power that could protect the Czechs from German domination. Based on general images and rather rare direct experience of Russia, this opinion was also responsible for numerous illusions about the country and the compatibility of Moscow’s aims with Czech national development. Following the arrival of Soviet influence after 1945, such positive feelings quickly disappeared.
This was especially clear after the shock caused by the military intervention in 1968. After the fall of communism, the Czech imagination viewed Russia as located somewhere lost in the East. A new united Germany appeared as a solid neighbour and the amount of attention paid to Russia in Czech public discourse began to decrease. The image of Russia soon transformed into a mixture of varying, but rather reserved, opinions that often bordered on simple disinterest.
On the other hand, the Polish model was formed as the result of memories from various conflicts that started in the late medieval period. This view was only made worse by the country’s subordination to the Russian Empire and Soviet Union. Unlike the Czech lands, where the German issue resulted in a rather one-sided acceptance of an idealised image of Russia, the Polish approach was (and had to be) more balanced. This is because Poles were in direct contact with both national rivals and could not afford to treat either of them as a mere image. Before the tragic experience of the Nazi regime, Germany was a rival feared because of its culture, economic efficiency, and an ability to denationalise the Polish population in the Prussian partition. At the same time, Russia was respected as a power but criticised due to the “eastern” design of its society and culture, which Poles often viewed as incompatible with their own national profile. The country’s pragmatic approach to Russia also encouraged a permanent and constant need for solid expert knowledge of the country. Despite this, it should be noted that the country’s outlook is sometimes influenced by Russophobia.
Instead of a conclusion, it is useful to mention that these different understandings of Russia (Soviet Union) and its political intentions influenced several crises in relations between Prague and Warsaw. This is clear regarding the conflict over Cieszyn Silesia and its links to the Polish-Soviet War. Czechoslovakia maintained a strict neutrality throughout the conflict. Perceptions of Russia also influenced the failed construction of a Czechoslovak-Polish confederation during the years of WWII. Polish participation in the 1968 intervention in Czechoslovakia and Prague’s preparations for an intervention in Poland during the Solidarity years were also influenced by the Moscow factor.
At the same time, there have still been many moments in which Czechs and Poles have agreed about the nature of the Soviet system or the security risks connected with Russian politics. Following the end of the Cold War, both states quickly began to cooperate as part of the Visegrád Group and successfully entered NATO and the European Union. There is now much overlap between both capitals' Russia policies and this is especially true after the recent Vrbetice affair.
All of this does not necessarily mean that Czechs and Poles need the same views and knowledge of Russia. Instead, it rather suggests that they could and should share their specific perspectives about the country and the historical causes of these perspectives. This can only help create a strong base of expertise that would help boost cooperation regarding Russia and overall bilateral links as a whole.
The legacy of the Polish-Lithuanian Union as a challenge to Russia’s historical narrative
Adam Balcer
Program Director, The Jan Nowak Jeziorański College of Eastern Europe
The legacy of the Grand Duchy of Lithuania (GDL) and the Polish-Lithuanian Union/Commonwealth represents one of the most serious challenges to modern Russia’s politics of memory. It undermines a fundamental idea of Russian nationalism, namely the concept of the Pan-Russian nation that allegedly unites Russians with their smaller “brothers” in Ukraine and Belarus. On the other hand, Russia needs the legacy of the GDL and Union/Commonwealth in order to define its own identity in clear opposition to it and by extension the West as a whole.
The politics of memory in Putin’s Russia is closely intertwined with its identity politics and foreign policy agenda. Today, the Kremlin is waging memory wars against various states, clashing with them with regard to key historical events, personalities and processes. Consequently, Russia’s politics of memory has become a subject of intense research in recent years. However, this is focused mostly on the 20th century (the Soviet Union and the Second World War). Meanwhile, topics related to medieval and early modern history also occupy a very important place in Russian politics of memory. The confrontations between the GDL and Polish-Lithuanian Union/Commonwealth, on the one hand, and the Grand Principality of Moscow (Muscovy) and Tsarist Russia, on the other, play a central role in the Russian historical narrative. Russia became an empire and developed its own identity to a large degree by destroying the GDL and the Polish-Lithuanian Union/Commonwealth. Moreover, today these state legacies represent a key negative point of reference for Putin’s identity politics addressed to Russians but also to Belarusians and Ukrainians.
THE SCRAMBLE FOR KYIVAN RUS’
The Grand Duchy of Lithuania was established in the first half of the 13th century. It soon began to dramatically expand its territory, elevating itself to the category of one of the largest states in Europe and western Eurasia. At its zenith, the state’s territory exceeded one million square kilometres. Naturally, this was accomplished by subduing de facto or de jure smaller states in Eastern Europe. The GDL transformed itself into a multi-ethnic and multi-religious continental power. The great majority of its population was made up of Orthodox Slavs, the ancestors of Belarusians, Ukrainians and to a certain degree Russians. The GDL conquered a huge part of Kyivan Rus’ and continued its expansion into the vast territories of the disintegrating Golden Horde, a Tatar khanate. Its expansion soon led to a centuries-long confrontation with Muscovy, which presented itself as the sole successor to Kyivan Rus’ and the Golden Horde. Muscovy was focused on controlling all of the former Rus’ lands, which could be achieved only through the destruction of the GDL. On the other hand, the emergence of a clear and long-term
political boundary between the two Rus’ successor states would prove to be of enormous importance to the future of Eastern Europe. According to Serhii Plokhy, a prominent Ukrainian-American historian, this division “created a strong sense of belonging to a given political space and, in time, promoted loyalty to local political institutions and practices.” This process deepened already existing differences among the Eastern Slavs, facilitating the emergence of the Belarusian and Ukrainian nations as separate entities from Russia.
The Lithuanian-Muscovite conflict gained a wider context after the establishment of a close confederacy between Lithuania and Poland in 1385. Consequently, Poland gradually became involved in this ongoing conflict with Muscovy. Russia eventually gained the upper hand and this resulted in the confederacy’s transformation into a loose federation called the Polish-Lithuanian Commonwealth (Rzeczpospolita – Republic) in 1569. Russia fought fifteen wars against Lithuania and Poland (including civil wars, uprisings, and military interventions) between the late 15th and late 18th centuries. These conflicts lasted around 70 years in total and saw the Polish-Lithuanian Commonwealth ultimately lose its independence. At the same time, this shift resulted in Russia becoming a continental power.
Unknown painter, *Battle of Orsha*, National Museum in Warsaw, Source: Wikipedia
*The Battle of Orsha was a battle fought on September 8th 1514 between the allied forces of the Grand Duchy of Lithuania and Kingdom of Poland and the army of the Grand Duchy of Moscow. The battle saw the much smaller Lithuanian-Polish army decisively defeat the Muscovite army, capturing their camp and commander.*
Despite this, it should be remembered that a multifaceted cultural exchange took place between both countries throughout this period. For three centuries, Poland-Lithuania and Russia fought with each other more often than any other state. These continuous conflicts with Poland-Lithuania were instrumental in the development of identity in Russia, especially with regards to the idea of an All-Russian (*obshcherusskiy*) or Triune Russian nation (*triyedinyy russkiy narod*).
Certainly, the annexation of Ukraine from Poland (1654) and the occupation of the Lithuanian capital Vilnius only bolstered Russia’s imperial claims. For the first time, a Russian monarch was proclaimed “tsar of all Great, Little, and White Russia”. According to the logic of the All-Russian nation, the country was composed of three sub-nations: Great Russians (Russians), Little Russians (Ukrainians) and White Russians (Belarusians). This was based on an allegedly common ethnicity from the time of Kyivan Rus’. There were some important common elements that united the medieval people of Rus’. However, it is clear that there continued to be great regional differences between its people as well. In fact, the concept of the Great Russian identity always predominated over the other two nations. The other name for the Great Russians was russkiye, essentially a synonym for the All-Russian nation. The idea of the All-Russian nation assumes that the original unity of Kyivan Rus’ was undermined by the expansion of the GDL and the rule of Poland-Lithuania. According to this narrative, the Russian conquest of the eastern territories of the Commonwealth would restore continuity. In the 19th century, the idea became the official state ideology of Tsarist Russia and it seems to be regaining a similar status in Putin’s Russia today.
“ON THE HISTORICAL UNITY OF RUSSIANS AND UKRAINIANS”
On July 12th 2021, the President of Russia Vladimir Putin published the article titled “On the historical unity of Russians and Ukrainians”. The article focuses on analysing the history of Russian-Ukrainian relations. It claims that Ukrainians, together with Russians and Belarusians, are an ancient, inseparable part of the All-Russian nation. According to Putin, “Russians, Ukrainians, and Belarusians are all descendants of Ancient Rus.” In Putin’s view, Russia is the only true successor to Kyivan Rus’ because “in the Grand Duchy of Lithuania, other processes were unfolding. In the 14th century, Lithuania’s ruling elite converted to Catholicism. In the 16th century, it signed the Union of Lublin with the Kingdom of Poland to form the Polish–Lithuanian Commonwealth. […] The process of Polonization and Latinization began, ousting Orthodoxy. As a consequence, in the 16–17th centuries, the liberation movement of the Orthodox population was gaining strength in the Dnieper region.” This quote shows that Putin tries to present the GDL and the Commonwealth in an unequivocally negative light. In order to strengthen this impression, Putin compares – in an oversimplistic and tendentious way – right-bank Ukraine, which remained under the control of Poland after 1667, and the left bank that was annexed by Russia. “On the right bank, which remained under the Polish–Lithuanian Commonwealth, the old orders were restored, and social and religious oppression intensified. On the contrary, the lands on the left bank, taken under the protection of the unified state, saw
rapid development.” Consequently, Putin’s article views the destruction of the Polish-Lithuanian Commonwealth as an act of historical justice based on inherent cultural and religious differences. “After the partitions of the Polish-Lithuanian Commonwealth, the Russian Empire regained the western Old Russian lands. […] The incorporation of the western Russian lands into the single state was not merely the result of political and diplomatic decisions. It was underlain by the common faith, shared cultural traditions, and […] language similarity.”
In effect, the idea of a separate Ukrainian nation is viewed by Putin as an artificial and alien (created by Poles) construct that has inevitably been misused by the West against Russia. In fact, Putin calls current Ukraine “anti-Russia”. Moreover, the Russian president argues that the very promotion of the idea that Ukrainians are a separate nation is harmful to the interests of the Ukrainian people. The return to the traditional Polish yoke constitutes for Ukrainians the only alternative to union with Russia. As Putin states in reference to the history of the Commonwealth, “There is no need to deceive anyone that this is being done in the interests of the people of Ukraine. The Polish-Lithuanian Commonwealth never needed Ukrainian culture, much less Cossack autonomy.”
BELARUSIAN-LITHUANIAN AWAKENING
Putin’s article also seems to be written as an indirect response to last year’s pro-democracy protests in Belarus. For many years, Moscow has promoted the reintegration of Belarus with Russia based on their common Soviet and Tsarist traditions. However, it appears that this idea is not supported by most Belarusians. A stress test appeared for Russia’s politics of memory last year, when mass pro-democracy protests erupted in Belarus after enormous electoral fraud during the presidential elections. The demonstrators treated the legacy of the Grand Duchy of Lithuania as a main point of reference and source of inspiration. For instance, democrats often waved flags and wore t-shirts featuring the GDL’s coat of arms (Pahonia - a mounted armoured knight holding a sword and shield).
In effect, the protests should be interpreted as a national awakening based on the idea that Belarusians are a separate nation to Russians. In fact, the rehabilitation of the GDL’s traditions was initiated even earlier by Belarusian dictator Alexander Lukashenka. Moreover, Russia’s aggression against Ukraine in 2014 marked a turning point for Lukashenka’s politics of memory. Paradoxically, Lukashenka rose to power in 1994 firmly rejecting the legacy of the GDL. However, his view changed gradually after 2014, when he recognised this state tradition as a key pillar of Belarusian statehood. Finally, in his interview with Radio Echo of Moscow in December 2019, the Belarusian dictator stated unequivocally that “the Grand Duchy of Lithuania was a Belarusian state. There were also Lithuanians and some Poles. But it was a Belarusian state.” Certainly, Lukashenka’s politics of memory struggled with serious contradictions. However, it unintentionally contributed to the nation-building process in modern Belarus.
In an opinion poll conducted in the country in November and December 2020 by the Centre for Eastern Studies (OSW), a Polish public think tank, more Belarusians believed that the country should draw upon the historical heritage associated with the Grand Duchy of Lithuania and Polish-Lithuanian Commonwealth (more than 45 per cent) than the state tradition of the Soviet Union (less than 30 per cent). This represented the first time ever in the history of such surveys that Belarusians have supported such an outlook. Russia’s support allowed Lukashenka to crush protests and maintain power but his legitimacy in Belarusian society was gravely undermined by these actions. Regaining any legitimacy seems to now be a mission impossible for Lukashenka. This new national identity, which draws heavily on the heritage of the Grand Duchy of Lithuania and support for democracy, constitutes the most serious challenge to the long-term stability of the Belarusian regime. Due to this, Russia’s increasing control over Belarus may ultimately turn out to be unsustainable.
**POLISH-LITHUANIAN INVADERS AND THE HOLY RUS’**
The Polish-Lithuanian Commonwealth plays the role of one of the key “eternal” invaders from the West in Putin’s historical narrative. As a result, Russian national identity is inherently defined in opposition to these enemies. Russians successfully defended their homeland many times because they united against this common threat. The Polish-Lithuanian state occupies a particularly important place in this narrative, as it conquered a huge part of Russia (including Moscow) during the early 17th century’s Time of Troubles (1605-1618). As Serhii Plokhy rightly points out, “In the long run, the historical myth of the Time of Troubles, with its anti-Polish overtones, played an outstanding role in the formation of modern Russian national identity. […] The shock of foreign intervention made Muscovite society much more self-conscious than ever before. Resistance to invasion strengthened the external boundaries of the community, forced it to take cognizance of itself independently of the image of its ruler, and consolidated its internal solidarity.” The crucial event of this resistance was the liberation of Moscow on November 4th 1612 following a popular uprising that expelled the Polish–Lithuanian occupation forces. One year on exactly from these events new Tsar Mikhail Romanov instituted a state holiday named the “Day of Moscow’s Liberation from Polish Invaders”. It was celebrated in the Russian Empire until 1917.
November 4th was marked also as the Orthodox holiday of the Kazan Icon of the Mother of God. Kazan is the capital of Tatarstan and the former capital of the Volga Tatar khanate. Its conquest by Muscovy in 1552 proved to be a turning point in Russian history. According to legend, the icon was originally acquired from Constantinople and miraculously recovered in Kazan several decades after
its conquest. The discovery of the icon in a Muslim city was interpreted as a holy endorsement of Russian rule. The icon was sent from Kazan to Moscow during the Time of Troubles and became the guardian of the resistance that liberated the capital from the Polish-Lithuanian occupation. In Russia the story soon became a symbol of Eastern Russian Orthodoxy defending itself against Roman Catholic assault from the West. This is despite the fact that many of these invaders were in fact Orthodox Belarusians, Ukrainians (including Cossacks) and even Russians. November 4th once again became a Russian state holiday in 2005. Today, it is celebrated under the name “National Unity Day”.
The idea of cyclical aggression from the West throughout the centuries became the main theme of Putin’s propaganda after the Russian aggression against Ukraine in 2014. Paradoxically, the war of aggression launched by the Kremlin was presented as self-defence against the West. Alexander Prokhanov, a popular ultranationalist and pro-Stalinist writer, presented a canonical version of this historical narrative in one of his articles published in 2015. He wrote that “today the same enemy attacked us. The one who, centuries ago, sent here the cavalry, clad in the armour of dog knights. The enemy who sent here hordes of Poles, who burned Smolensk and reached out with their hands to Moscow. The enemy who was wounded near Borodino reached the Kremlin and burned down our sacred capital. The enemy who cut the borders with his black fascist sword and burst into the woods of Volokolamsk.” In effect, Poles were put into the same basket as the Livonian Order, Napoleon, and the Nazis.
MORE THAN PUTIN
Despite Putin’s current prominence in Russian political life, many other people in the country have a negative view of the legacies connected to the GDL and Polish-Lithuanian Commonwealth. This is particularly clear in relation to the All-Russian nation concept. In fact, opinion polls show that the great majority of Russians believe in the idea of an All-Russian nation and express a negative opinion on the GDL and Polish-Lithuanian Commonwealth. Moreover, the denial of Ukrainian state and nationhood has been endorsed by some of the greatest Russian intellectuals. One of these figures was Iosif Brodsky, a poet affiliated with the democratic opposition during the Soviet era and Nobel Laureate in Literature. In 1992, he wrote the poem “On the independence of Ukraine”, mocking the idea and ridiculing Ukrainians in a very rude way. The poem alludes also to the legacy of the Polish-Lithuanian Commonwealth and mentions the 1659 Battle of Konotop, when Ukrainian Cossacks fighting for the Polish-Lithuanian Commonwealth allied with the Crimean Tatars against the Russian army. Currently, the battle occupies an important place in Ukrainian historical memory. Brodsky mentioned also that Ukrainians wear zhupans, which were a traditional dress of various social and ethnic groups in the Commonwealth. On a rather brash note, the poet goes on to say that if Ukrainians did not want to remain in one state with Russians then they would be “gang-banged by [...] Polacks”. Such language exemplifies the persistence of strong negative feelings regarding historical debate that is rooted in the past and continues in the region to this day.
Putin’s Memory War
Prof. Sergei Medvedev
political scientist and writer, the author of prize-winning “Return of the Russian Leviathan”
Back in 1992, as Francis Fukuyama published his book *The End of History*, in which he outlined a neo-Kantian Utopia of liberal-democratic eternal peace, the French historian, Pierre Nora, was completing the publication of the fundamental oeuvre *Les Lieux de mémoire*, a 7-volume catalogue of France’s collective memories and memorial sites. In his work, Nora has described something completely different – a world-wide upsurge in memory, a rediscovery of history, a growing interest in “roots” and “heritage”, and a quest for a historical identity.
As the new century dawned with a dramatic clash of civilizations in the attacks of 9/11, it became clear that Fukuyama’s universalist Utopia had failed, and a new age of identity has started (as recognized by the same Fukuyama in his latest book *Identity: The Demand for Dignity and the Politics of Resentment*). Rather than universalism, the end of the Cold War has brought us particularism, identity politics and memorialism, as defined by Pierre Nora. History and memory have become a new field of international relations. Indeed, memory appears at the nexus of security and identity, the so-called “societal security”, a matter of survival for the political community, it is politicized and securitized. Today, historical narratives replace political ideologies, and one’s political position is more often defined by relation to historical events and figures (e.g. Stalin, or Franco, or General Lee), rather than by party or ideological affiliation. As a result, interstate conflicts take on the form of *memory wars*, reflecting a more general turn towards identity, morality and emotions in the 21st-century politics.
**PUTIN’S RETRO-POLITICS**
The politicization of memory has been especially evident in Putin’s Russia. History and memory politics has been a key component in building an authoritarian regime. The state propaganda has aptly used Soviet nostalgia and post-imperial *ressentiment* to construct a consolidated history narrative stressing greatness and military victories and whitewashing the crimes of the past, like Stalin’s atrocities (e.g. the Katyn’ massacre of Polish officers in 1940) and Soviet colonial aggression (Prague Spring 1968, war in Afghanistan in 1979-1989). Memory in Russia has been “nationalized” by the state, taken away from the individuals, families and enthusiasts, and a private history search that runs counter to the state ideology can lead to persecution, as happened to Karelian civil activist Yuri Dmitriev who was digging up the graves of the victims of Stalin’s terror in Sandarmokh in Karelia, just to find himself facing forged accusations and sentenced to 13 years in prison.
A history crusade has been led by the former Culture Minister Vladimir Medinsky, a patented historian debunking “myths about Russia”, and by his Russian Military-Historical Society (RVIO). In 2009, a special Commission for Opposing the Falsification of History was established under the President of Russia, and in 2020, the amendment obliging the state to “defend the historical truth” was entered into the Russian Constitution. Indeed, Putinism is a kind of retro-politics: having failed the modernization of Russia, it turned to the imaginary past as the only reliable source of legitimacy, as a mobilizing and consolidating force. The late Zygmunt Bauman has called this kind of politics “retrotopia”, and Svetlana Boym, in her *Future of Nostalgia* wrote about the “epidemics of nostalgia” that construct the imaginary past as a compelling political myth.
**THE VICTORY RELIGION**
The cornerstone of Putin’s memory project is Victory Day, 9th of May in Russia. It has been growing in importance in the past twenty years, and as the numbers of the Second World War veterans and witnesses have dwindled, the celebrations were becoming ever more pompous, chauvinist and militaristic. In fact, 9th of May has become the principal national holiday, a symbolic centerpiece of the annual cycle, rather than the invented new holidays of 12 June (Russia Day) or 4 November (National Unity Day). In Russian mass consciousness, the nation originates in the 1945 Victory in the Second World War, and this is the true foundational myth.
9th of May has become a quasi-religion, a secular Easter, with a complete set of rituals – mass state-sponsored processions called “The Immortal Regiment” in which the demonstrators carry the portraits of their ancestors as war soldiers,
or war heroes; these portraits sometimes acquire the properties of true icons – in popular mythology, they sometimes have a healing force. A Victory Temple has been built in 2020 in the Army theme park in Kubinka outside Moscow, full of numerological codes: celebrating the 75th anniversary of Victory, it is 75m tall, the diameter of its main dome is 14,18m, marking the 1418 days of war, etc. According to the original plan, it displayed religious mosaics showing portraits of Stalin, Putin and of Minister of defense Sergei Shoigu, but these were removed at the last minute before the opening.
At the time of the holiday, people engage in spontaneous celebrations, dressing themselves and their children as war soldiers and disguising kid’s beds and prams as tanks or war trucks. The Second World War metaphors grab political imagination: during war in Donbas in 2014-2015, the Russian press regularly referred to Ukrainians as ‘fascists’, and skirmishes in the town Debaltsevo outside Donetsk were likened to tank battles in the same area during the Second World War. Indeed, Victory has become the optic through which Russia sees the outside world – millions of cars in Russia wear a sticker on the rear window which reads “1941-1945. We can repeat it”.
THE 2020 MEMORY WAR
In this memorial context the 75th Anniversary of Victory in the Second World War in 2020 was seen in Russia as a crucial date intended to consolidate the domestic audience around an important symbolic event at a time when the post-Crimea euphoria has faded away, and to send a powerful message to the West
regarding Russia’s geopolitical importance. However, it all went wrong from the start. On 19 September 2019, the European Parliament passed a Resolution “On the Importance of European Remembrance”, largely inspired by the East European delegations, which, citing the 1938 Molotov-Ribbentrop Pact, laid equal blame for the start of the Second World War on Germany and on the USSR, and also accused modern Russia of attempting to rewrite history. The Resolution greatly annoyed the Kremlin which started its own propaganda campaign aiming to prove that East Central Europe shared responsibility for the start of the war and for the Holocaust. In his comments in December 2019, Vladimir Putin accused Polish wartime leadership of anti-Semitism and of provoking the war, and called Józef Lipski, who served as the Polish ambassador in Berlin until 1939, a “bastard” and “anti-Semitic pig”. These statements solicited sharp responses from the Polish PM Mateusz Morawiecki and from a number of European political leaders.
The memory war continued in January 2020, with the celebration of the 75th anniversary of the liberation of Auschwitz. Putin was not invited to the ceremony in Poland. Instead, he attended the memorial conference in Yad Vashem in Jerusalem which promoted the Russian version of history – omitting any mention of the Molotov-Ribbentrop Pact and of the division of Poland and portraying Russia as the only liberator of Europe. It has caused yet another international scandal and compelled the Yad Vashem directorate to issue an official apology for mispresenting historical facts.
Apart from Poland, another Russia’s arch-enemy in the 2020 memorial war was Czech Republic. In particular, it concerned two war memorials in Prague. In April 2020, a monument to Soviet Marshal Ivan Konev was dismantled there – apart from liberating Prague in 1945, he was also responsible for suppressing the Hungarian uprising in 1956 and the “Prague Spring” in 1968. Later in April 2020, a tiny monument and a memorial plaque commemorating soldiers from the Russian
Liberation Army (ROA) was installed in Řeporyje, a district in the outskirts of Prague. (In Russia, General Vlasov’s ROA is considered a Nazi collaborator). Both episodes have evoked major anti-Czech campaigns in the Russian press, and new allegations of the “falsification of history”.
A strain of conflicts over historical memory, a growing isolation of Russia, together with the COVID-19 pandemic and lockdown, have ruined Putin’s plans of organizing a major celebration in Moscow on 9 May 2020, with world leaders attending. The festivities were postponed until 24 June, 2020, and were held in an abridged, quarantined, format. As if compensating for this PR failure, Putin published an article in the June issue of *The National Interest* titled “The Real Lessons of the 75th Anniversary of World War II” in which he once again blamed the West for the appeasement of Hitler before the Second World War which climaxed in the 1938 Munich Agreement, routinely criticizing Western hypocrisy and double standards.
Summing up, instead of promoting Russia’s historical role and geopolitical importance, Putin’s memory war of 2020, contesting the roots, causes and consequences of the Second World War, has further isolated and alienated Russia in the world. For domestic audiences, it has reinforced the image of Russia as a besieged fortress, betrayed by former allies, a lonely protector of common history and memory. Fueled by memorial policy and militaristic rhetoric, disciplined by the quarantines and sanitary regulations, and bound by the amended Constitution that allows Putin unlimited rule until 2036, Russia has continued its slow descent into its own authoritarian past.
*This article was originally published in IWMPost, №127, Spring/Summer 2021.*
How historical narratives serve authoritarian interests: the politics of memory in Putin’s Russia
PhD Maria Domańska
Senior fellow, Centre for Eastern Studies (OSW)
For Russia, history has become an ideological battlefield that ultimately serves the interests of the authoritarian regime. Defending ‘righteous’ interpretations of history is increasingly viewed as an essential element of national security. This has not only led to restrictions on the freedom of historical research but also to numerous “memory wars” with Russia’s neighbours.
Attempts to politicise historical issues are commonplace around the world. Many politicians believe that history is “too important to be left to the historians”. This is because it provides and justifies models for the organisation of the state and builds a positive image of the national community. History also helps to mobilise populations around the goals that governments set to preserve political power. The politics of memory – an assemblage of ideas and activities aimed at shaping collective memory and historical discourse in line with the interests of those in power – is an essential tool in states’ domestic and foreign policies. However, in democratic countries the pursuit of the ruling elite’s aims in the field of history is limited by the primacy of freedom in academic research and is subject to public scrutiny. In authoritarian systems like Russia, the government seeks a monopoly on shaping a desired version of the past and uses the entire institutional system of the state, including the coercive apparatus, to protect it.
HISTORY AS A FESTERING WOUND
In the case of Putin’s Russia, the authoritarian templates of the politics of memory are buttressed by three phenomena. First, it is clear that Russia lacks an established national identity. Over the course of the turbulent 20th century, Russia’s state system experienced many radical changes. This repeated destruction of the country’s elites and social fabric led to disrupted intergenerational bonds. The collapse of the USSR and the subsequent socio-economic and political crisis of the 1990s further contributed to the atomisation of society. As a result, there is no widely accepted canon of cohesive historical discourse. This uncertainty favours eclectic narratives that are created arbitrarily and imposed from above.
Second, the collapse of the Soviet empire produced ‘phantom pains’ that led to an insurmountable inferiority complex. A long and difficult farewell to an empire is not an exclusively Russian experience, but it involves a special trauma in this case. The continental character (no geographical division between the metropolis and its colonies) of the former empire continues to make the search for a new identity even more difficult. At the same time, serious barriers to economic growth and modernisation under Putin’s rule have further encouraged anxieties that the country has become a ‘second-rate power’. Through its attempts to consolidate its authoritarian regime, the Kremlin is subsequently trying to fill the country’s ideological void and attain legitimacy by emphasising a “glorious” past. The Russian ruling elite has decided to return to the traditional – understandable and socially resonant – identity of Russia as a great power that aspires to play a global role. This in turn encourages Moscow to view historical disputes as a zero-sum game.
Third, the unresolved trauma of the country’s totalitarian legacy still festers in 21st century Russia. It is clear that Russian society and its leaders are still not ready for a genuine confrontation with the darkest chapters of their past. A deeply rooted tradition of repression and censorship has suppressed collective memory and prevented the development of reliable, independent research institutions that could offer a real alternative to official narratives. Moreover, Putin’s regime is eagerly turning to the nation’s long tradition of state violence in order to consolidate the concept of ‘strongman rule’. In today’s Russia, much like during most of the 20th century, historians are expected to support the state on the ideological frontline.
HISTORY AS AN IDEOLOGICAL BATTLEFIELD
The extreme politicisation of historical issues in Russia has led the government to mythologise or even sanctify certain past events in an attempt to eradicate pluralism from historical discussions. This is a logical consequence of the wider systemic struggle against freedom of speech and the suppression of the country’s political competition, free media and independent civil society structures. Historical narratives serve to legitimise the vested interests of the ruling elite, which are presented as national interests within both domestic and foreign policy. Firstly, they are meant to legitimise the authoritarian system of government as thoroughly Russian in character. State narratives also help justify a state-society relationship that best serves the Kremlin’s interests. In the official outlook the only driving force in national history is state power, while the nation, society and citizens are mere objects with regards to political processes.
Secondly, the politics of memory is supposed to legitimise Russia’s international image, great power interests and aggressive foreign policy. Moscow continues to argue that it has a right to special influence when it comes to the geopolitical shape of today’s Europe. The promotion of state narratives is therefore effectively designed to encourage the West’s acceptance of Russian hegemony in the post-Soviet space. This move is also meant to justify the remodelling of Europe’s security architecture to suit Moscow’s interests, the reduction of the US presence in Europe and the creation of a security buffer in Central Europe. Overall, the Kremlin is using history in an attempt to maximise the benefits of potential economic and political cooperation with the West without making concessions on its part.
In pursuit of these goals, Russian authorities treat their desired interpretations of historical events as an element of national security. In fact, it seems that Russia is now waging ‘cognitive warfare’ against the West. According to the official narrative, alternative understandings of history are deliberately disseminated by Russia’s enemies in order to destroy national identity and even state sovereignty. The issue of countering the “falsification of history” has been raised in the context of national security in a number of Russian strategic documents, including the state’s military doctrine. The entire institutional system of the state, including the law enforcement bodies and secret services, is now engaged in shaping and protecting ‘righteous’ historical narratives. The most prominent among these groups are the Federal Security Service (FSB), the Ministry of Defence and the Security Council.
The securitisation of historiography is accompanied by militarised narratives about past events. The official canon is dominated by triumphalist, military aspects of the past that are focused around state authority, which is embodied in the army. If the civilian population (the nation or society) appears in this narrative, they are usually represented as simple supporters of official patriotic ideology. Force and violence are presented as necessary to maintain the state’s might both within the country and abroad. This militarised discourse is founded on the imperial ideas of ‘preventive’ territorial expansion, strategic depth and competition for spheres of influence. This in turn invokes the category of ‘the enemy’ as a reference point for state identity and international politics. While the West has been identified as the country’s chief adversary, this choice is not based on any real substantial threats. Instead, this reality is encouraged by the vested interests of the authoritarian ruling elite, who equate such a struggle with state security. Due to this, the authorities continue to promote the idea that the country is a ‘besieged fortress’.
This powerful anti-Western narrative is one of the key elements of the Kremlin’s neo-Soviet approach to history. It is clear that it is not only official interpretations of 20th century history that are returning to the norms set out during the Soviet Union. Indeed, the very toolkit used to build the country’s politics of memory in many aspects has returned to the templates of the pre-Gorbachev era. The government is now actively challenging historical research and debate and schoolchildren are even being targeted for ideological indoctrination. Access to the country’s state archives is becoming increasingly difficult despite what it says in Russian law. The repressive state apparatus also seeks to safeguard an ‘acceptable’ direction for historical studies through criminal and administrative law. For instance, the ban
on the “exoneration of Nazism”, introduced into the criminal code in 2014, in fact penalises free discussion of Soviet crimes.
THE GREAT PATRIOTIC WAR AND THE REHABILITATION OF MASS TERROR
There are two principal themes in Russia’s politics of memory that serve to justify the Kremlin’s aggressive foreign policy and increasingly oppressive domestic policy. These are the sacred myth of victory in the Great Patriotic War (1941–1945) and the glorification of the country’s historical and current state security bodies.
The victory over Nazism is the only historical event that truly unites Russians. Due to this, it has effectively become a founding myth of Putinism. It is based on the idea of Russian messianism and as such is exploited to justify the country’s current great power ambitions. The USSR is portrayed as a nation chosen to defeat Nazism and a wholly innocent victim of fascist aggression. By using this narrative, the government has promoted the idea that Russia has inherited a ‘moral mandate’ that allows it to have influence over the current shape of the European security system in the spirit of a new Yalta order. It is reflected in the Kremlin’s demands for the actual formation of a ‘concert of powers’ that would lead to a division of spheres of influence between the strongest players. It is quite telling that the first years of the Second World War, when the USSR invaded several neighbouring countries, are absent from this narrative.
The Great Patriotic War serves also as an archetype of Moscow’s military operations in the 21st century. As Timothy Snyder accurately put it, Russia’s state narratives now engage in the “politics of eternity”. These historical understandings
are based on a cyclical concept of history involving myths that surround periodic moments of glory and existential threat. This is clear with regards to the anti-Ukrainian disinformation campaign that aimed to justify the country’s use of force against Kyiv. This aggression was depicted from the outset as an operation to defend universal humanitarian values and liberate the ethnic Russian and Russian-speaking population from an alleged ‘Nazi’ (in fact liberal democratic) threat.
This strategy of aggressively challenging any hostile ideology (much like the Brezhnev Doctrine) is accompanied by an explicit affirmation and even glorification of both Soviet and Russian state security bodies. The FSB openly proclaims itself to be an heir to the KGB, NKVD and Cheka. The key message of the FSB’s official narrative is that it is continuing the fight of the ‘brave chekists’ who fought against foreign agents, terrorists and enemies of the state. Of course, their role in the Stalinist mass terror or growing political repression under Putin’s rule is either whitewashed or rationalised. Even if the authorities pay lip service to the victims of the Stalin era (such as erecting monuments in their honour), they prevent thorough investigations of the period’s mass crimes. Striving to keep both victims and perpetrators anonymous, the security services present state-organised repression as something akin to an unavoidable ‘natural disaster’. The personal data of the NKVD’s executioners, even those who died long ago, remain classified in violation of Russian law. This exemplifies the government’s peculiar promise of the same unlimited guarantees of impunity to those actively involved in the persecution of today’s democratic opposition. Both the narrative about the USSR’s purely defensive policy during the Second World War and the myth of the ‘noble chekists’ are meant to discredit the claims of neighbouring countries that fell victim to Moscow’s imperial ambitions. This leads to ‘memory wars’, which have become an important part of Russia’s foreign policy in the last decade.
RUSSIA’S MEMORY WARS: THE CASE OF POLAND
The Kremlin’s historical propaganda portrays Poland as one of Russia’s main adversaries on the ideological front. The reasons for this lie both in specific Polish-Russian memory wars and the wider conflict present in the two states’ strategic interests. Poland has a history that can easily debunk myths surrounding the ‘peaceful’ expansion of the Soviet Union and its ‘messianic’ mission during the Second World War. Inconvenient topics in bilateral relations include the 1939 Molotov-Ribbentrop Pact, Moscow’s military aggression against Poland shortly afterwards, and the post-1944 Soviet occupation of Polish territory. This occupation also involved the repression of the local population. As a member of NATO and the EU, Poland is also able to counteract Russia’s great power ambitions in the geopolitical, economic and security sphere. For example, Warsaw
has contributed to both the strengthening of NATO’s eastern flank and the EU’s engagement with its eastern neighbourhood policy. Moscow’s confrontation with Poland is therefore just another element of the strategic crisis in Russia’s relations with the West – the most serious disagreement since the end of the Cold War.
The Kremlin’s narratives about Poland are not only aimed at a domestic audience. Certainly, Moscow continues to promote these ideas in its relations with the countries of Eastern Europe (mostly Belarus and Ukraine) and the West. They serve to portray Poland as an ‘aggressive’ neighbour and the weakest link in the Euro-Atlantic community. This is part of Russian efforts to discredit those in the West who call for firm opposition to Moscow’s aggressive foreign policy.
Poland is presented as an inherently Rusophobic state that ‘falsifies’ the historical truth. The state is also accused of firmly embracing antisemitism both in the past and present. Warsaw is even viewed as a ‘rival empire’ that has aspired throughout the centuries to conquer ‘primordial’ Russian lands. According to this narrative, Poland has never abandoned its ‘revanchist’ ambitions towards former Polish territories found in Lithuania or the western regions of Ukraine and Belarus. Various anti-Polish narratives that have been created over recent years present Poland not as a victim of the Second World War but as a country partly responsible for the conflict. Poland has even been accused of outright collaboration with Hitler and of systemic antisemitism. Vladimir Putin made statements to this effect in December 2019 during an informal CIS summit. Russian discourse subsequently views not the Molotov-Ribbentrop Pact but the earlier Munich Pact from over a year before as the immediate cause of the war. The most striking example of this falsification of historical facts can be seen with regards to the Katyń massacre.
This unprecedented crime committed against Polish prisoners of war in 1940 is now increasingly presented as just revenge for alleged “mass killings” of Soviet POWs in Polish “concentration camps” during the Polish-Soviet War (1919-1921). Interestingly, some propagandists have even revived old Soviet lies about the Nazis’ alleged responsibility for the Katyń crime.
“ALTERNATIVE MEMORY”
Due to the strategic goals of Russia’s domestic and foreign policy, it seems that Putin’s regime will only maintain or intensify its neo-Soviet politics of memory. This use of history is increasingly treated as one of the few tools remaining for the government to legitimise its rule. Its role is growing as the impact of other factors is decreasing in the country. Faced with the prospect of long-term economic stagnation and the fading influence of state propaganda (age groups under 40 more often access information on the internet than television), the Kremlin will continue to entrench itself in crude historical mythology in order to mobilise Putin’s core electorate. Although Russian society is still highly susceptible to the official narratives that have effectively gained a monopoly in public discourse, a clear trend in the opposite direction is also perceptible among certain segments of the public. This phenomenon has been dubbed “alternative memory”. This interest in uncovering the tragic chapters of Russia’s history, including the Stalinist terror, involves delving into the history of one’s own family or region rather than that of the ‘heroic’ empire. It is obviously still a rather marginal phenomenon. However, the growing involvement of youth in the exploration of ‘unofficial’ versions of the past offers hope for the future.
The Soviet past is rising from shallow graves:
Russia and the memory of the Stalinist terror
Štěpán Černoušek
Chairman, Gulag.cz Association
Thanks to state policy, Stalin’s popularity is now growing in Russia. The country’s society continues to struggle with moral confusion, contradictions, and inconsistencies regarding the Soviet repressions.
According to Levada Center surveys from June 2021, almost 55 per cent of Russia’s population agrees with the statement that “Stalin was a great leader”. This positive response is twice as high as when the question was first asked in 1992, right after the fall of the Soviet Union. The overall trend is clear, with less than 15 per cent of the population disagreeing with this statement. Back in 1992, more than 35 per cent of people supported this view.
The further we are from the collapse of the Soviet Union, the more people view Stalin in a positive manner. This is largely due to the leader’s role in the development of the Soviet Union and its victory in the Second World War, which is promoted as a highly important event by the Russian government today. At the same time, Stalin’s rule left millions dead. These victims were Soviet citizens and foreigners, killed by brutal repression and state terror. Due to this, it is important to ask how Stalin’s growing popularity manifests itself in the memory of the victims of terror and in places connected with this dark past. It is clear even at first glance that Stalin’s legacy remains a divisive topic within memory in Russia. The period of Soviet repression is perceived in a confused manner and only provokes controversies. Places of remembrance, such as the former burial grounds of victims of mass executions or the remains of Gulag camps, are still largely hidden from public view and are often discovered by accident. The public is confused by such discoveries and does not know how to commemorate these places. Should people be afraid of the subject, talk about it or simply adopt a pro-Soviet point of view? As a result, confusion and inconsistencies persist regarding this highly divisive subject.
UKRAINE VERSUS RUSSIA
Let us move to Ukraine for a while. In the same Levada survey, less than 15 per cent of Ukraine’s citizens agree that Stalin was a great leader. On the contrary, 40 per cent of Ukrainians actively reject this idea. These numbers show that there is a completely different atmosphere regarding such matters in Ukraine. It is subsequently not a surprise that the archives of the former NKVD in Ukraine are fully open to researchers unlike in Russia. Lenin statues have also disappeared from the squares of all the country’s cities following the events of Maidan. Recently, a new mass burial ground near Odessa was discovered. It is estimated that several thousand victims of Soviet executions probably died in this area. Detailed research immediately began at the site.
The idea that such a similar discovery would be made in Russia today is rather unrealistic. Nevertheless, there must be hundreds of hidden mass graves of victims of Soviet repression scattered across the territory of the Russian Federation. However, in recent years there has been no information regarding the discovery of new burial grounds. People often know about places in the regions where executions took place. Unlike in Ukraine, however, there is no desire on the part of the state to start excavations and exhumations like in Odessa.
**LOCAL ACTIVISTS**
It is much more common to find the opposite approach in Russia. This is clear in Yekaterinburg, where the Bolsheviks executed the imperial family. While the history surrounding the murder of the Tsar’s family is well known and is not questioned, the authorities block serious research regarding the burial ground from the time of the Great Terror. It is estimated that 21,000 people are buried in the area where the executions took place in Yekaterinburg. This region is called the “12th kilometre” and its existence was revealed to the public in the 1990s. There is a rather good memorial complex located in this area but it is still not clear where the burial pits are located in the vast territory. Local authorities have rejected plans for a thorough investigation of the region and have even supported the creation of a biathlon complex that would pass through the former execution site.
Local activists continue to raise the issue of the biathlon complex and this has put the Russian government in an uncomfortable position. The Kremlin has even started to label this group as “foreign agents”. For example, Anna Pastukhova from the Memorial organisation in Yekaterinburg has long fought for a thorough survey of the “12th kilometre”. Unfortunately, however, she died of coronavirus this spring. When she was dying at a local hospital, someone stole her cell phone, broke into her email account and began publishing sensitive and personal information in a local pro-Kremlin media outlet in an effort to discredit her work.
In many other places, only local people know where the victims of mass Soviet executions were buried. For example, in Krasnoyarsk today there is an unmarked asphalt area where the chekists buried their victims in pits. The burial place probably includes several Czech legionnaires who settled in Siberia and later became victims of the Great Terror. However, many of these burial sites remain a secret. Due to the state’s reluctance to open archives, it is unlikely that they will be found anytime soon.
THE SILENCING OF THE PAST
The NKVD itself tried to erase as much evidence as possible at the time of the executions. Ordinary archival documents often do not contain information on execution sites. Burial grounds are often discovered by accident, such as in Kolpashevo by the Ob river in the Tomsk region. In 1979, the river washed away a large piece of headland and human remains began to appear from the ground. A former NKVD prison once stood in this area and hundreds, maybe thousands of
people were killed there. Before the relatives of the dead could do anything, the military arrived and destroyed the bodies. It is believed that dozens of Czechs and Poles were also buried in this area. In the euphoria of the 1990s, the local prosecutor’s office began an investigation into this barbaric liquidation of the burial ground but it was later closed. There is no memorial in Kolpashevo today and only a few local activists openly discuss the burial ground.
Russian state authorities have shown almost no desire to discuss the sites of mass executions. What we know today about these places is mainly the result of civic initiatives. In 1997, researchers Venjamin Ioffe, Irina Flige and Yuri Dmitriev found an execution ground and the Sandarmokh burial ground in northern Russia in the forests of Karelia near Medvezhegorsk. It is estimated that at least 6,000 people were killed here during the Great Terror (1937-1938). Among the victims were several Czechs and Poles, as well as key representatives of the Ukrainian intellectual elite. This place is unique because most of those executed in this spot were identified thanks to the work of Yuri Dmitriev. The historian soon began to organise commemoration events and invite representatives of countries and nations whose citizens were among the victims. There were dozens of these foreign victims and soon this international attention became a problem for the local authorities. Yuri Dmitriev was arrested on fabricated charges of abusing his adoptive daughter and was given 13 years in prison. Expeditions to Sandarmokh were then organised by members of the Russian Military Society, headed by the former Minister of Culture Vladimir Medinsky. This politician became famous for claiming that he believed more historical legends than facts. These expeditions claim without any evidence that Red Army soldiers executed by the Finns are buried in this spot. These claims show how confusion is created over historical issues in today’s Russia.
SMALL POSITIVE STEPS
The late 1980s and early 1990s witnessed the greatest spike in interest regarding research into Soviet repressions. Public support for the memorialisation of burial grounds from the time of the Great Terror was also high during this time. The topic was not perceived negatively and a general consensus emerged regarding the need to commemorate the victims of Soviet crimes. In Moscow, the Butovo and Kommunarka execution sites and burial grounds were commemorated in cooperation with state and police authorities. Most of the 30,000 people executed in the capital were buried in these areas.
Archaeological research at Kommunarka in 2019 revealed even more previously unknown burial sites. This discovery was made by experts from Lomonosov University in Moscow in cooperation with the Gulag State Museum and St. Petersburg Memorial. This discovery shows that, despite the general negative atmosphere in Russia, it is still possible to take significant steps forward in researching the Soviet repressions. These discoveries are not very large but they are essential. Overall, these developments showcase Russia’s current hybrid approach to its own dark past. On the one hand, state propaganda promotes bizarre documents denying Soviet crimes and in many places regional authorities attempt to disrupt the activities of local activists. On the other hand, in Moscow there is a prominent state museum about the Gulag. This speaks openly about the Gulag system, the deportations of nations and executions. Overall, it is not afraid to call out the people who were responsible for repression. The museum’s narrative is almost the same as the independent Memorial Association. The institution has organised expeditions to the sites of former Gulag camps and in Kolyma it has even initiated the establishment of museum complexes on the sites of former camps.
The problem, however, is that these activities are still very small on a national scale. The current director of the Gulag Museum can be replaced at any time by someone in the style of the aforementioned Vladimir Medinsky. Moreover, independent researchers and organisations such as Memorial are under increasing pressure. Today, they even face the threat of liquidation. It seems therefore that the Russian state is only increasing its policy of relativism. Whilst it silences and even denies Soviet crimes when talking to the Russian public, it offers a hint of serious research for the elite and foreigners. Nevertheless, some of this proper research is most likely maintained as a sort of fig leaf. As a result, Russia is
experiencing increasing confusion regarding Soviet crimes. Everyone knows there were some repressions but what should be done in response and what approach is right? The topic thus remains unresolved in the Russian collective memory and is often pushed out into the “subconsciousness”.
OBLIVION
In his novel *Oblivion*, the writer and former geologist Sergei Lebedev describes Russia as a landscape full of ghosts connected to Soviet crimes. In the real world, this fact is nicely illustrated by various videos on Russian Youtube. Blogger Yuri Dud’s video about the origins of Russian fear and the camps in Kolyma has over 25 million views. Videos in which people are driving through the Siberian taiga in big cars searching for remains of buildings, car wrecks, etc., have been released on channels with almost a million subscribers. Sometimes, these figures have even stumbled across abandoned Gulag camps. The dark past of Russia is increasingly rising up from shallow graves. Until this history is openly discussed and buried with dignity, it will continue to haunt Russian society.
Regional Memory of Soviet State Terror in Russia: the case of Perm
Robert Latypov
Head of Perm Chapter of the Memorial Society
Memories of the Soviet repressions in today’s Russia are full of contradictions and these are particularly clear at the local level in places such as Perm.
Perhaps the main feature of memory in modern Russia is the absence of a clear consensus. The state overall finds itself in a position between the formal recognition of the historical fact of mass Soviet terror and an active disapproval of independent activities in this sphere. The collective memory of the Great Terror (1937-1938) is incomplete and includes only the memory of victims but not of crimes and criminals. The main obstacle holding up change in this situation is the absence of an official legal assessment of political terror and the series of state crimes committed against citizens. Perm, my native region, located in the East of European Russia on the western slopes of the Ural Mountains, provides us with a good example of these trends.
For an outsider, there seems to be a certain paradox regarding the memory of the Stalin period. On the one hand, most people know that millions of innocent people fell victim to political terror. On the other hand, neither the state nor most of the population seem interested in critically evaluating these events. They are not interested in disclosing all the facts or in dropping the myth of the ‘glorious heroic past’. Most people recognise the fact that mass repressions did take place in the Soviet Union, especially under Stalin. Despite this, people continue to argue about the scale of these events, the extent to which they could be justified, and the measure of harm they caused the country. Assessments range from repressions being a necessary and unavoidable measure to a giant catastrophe comparable to the Holocaust or the Second World War more generally. All of these factors contribute to the current shape of the culture of memory in Russia. This has subsequently made the topic very complex and full of contradictions. Moreover, the situation is not the same in different regions of the country.
WAR OF MEMORIES
Firstly, the memory of the Soviet state terror in Russia is not becoming more clear with time. In fact, the topic is becoming even more divisive and controversial. It is a battlefield between two active political forces: the pro-Stalinists and the anti-Stalinists. This is a war of memory between the Memorial Society and different nationalist and “patriotic” movements, between hundreds of memorials to the victims of terror and the numerous attempts to commemorate Joseph Stalin.
Another important issue in the field of memory is the Second World War. The Russian authorities heavily exploit the myth of a heroic victory in the Great Patriotic War (1941-1945), which is increasingly replacing the actual memories of the conflict. This myth often leads to the indirect or direct endorsement of
Stalinist mass repressions and crimes, such as the 1937-1938 Great Terror. These are often justified by the need to prepare the Soviet Union for the war, or the tough conditions faced by the country at this time. Obviously, the current political situation in Russia is only reinforcing these pro-Stalin trends. Developments such as the abolition of constitutional rights and freedoms, the growing cult of state authorities, the spread of illiberal and anti-Western sentiment, the aggression against Ukraine and the general militarisation of the public consciousness have all contributed to this new reality. According to a 2019 survey conducted by the Levada Center, about half of younger Russians either know nothing about the political repressions or think that they were justified. This number has been growing over the past few decades, and this is a very disappointing development.
THE ROLE OF THE STATE
The second important feature of memory culture in Russia is the position of the state. The authorities are sending very mixed messages regarding their opinion on such matters. This issue is especially clear at the local level. On the one hand, there is a law on the rehabilitation of victims of terror and the official admission of guilt of the Soviet state. In 2015, Moscow officially adopted a “Concept of the State Policy for the Commemoration of Victims of Political Repression”. One year later, a monument was built in honour of the victims. President Putin has stated on many occasions that attempts to justify terror and to introduce similar governing methods are unacceptable. In the region of Perm, there is a relatively well functioning committee for the restoration of rights of rehabilitated victims and this organises various events and programmes.
At the same time, there are many examples of a totally opposite attitude. For instance, the Ministry of Culture is supporting the creation of a Stalin memorial museum in Rzhev. Whilst city councils have backed the building of various monuments to Stalin, criminal cases are being brought against independent researchers. The most well-known criminal case is that against Yuri Dmitriev, a historian who researched the mass grave site in Sandarmokh in Karelia. The accusations made against him are groundless and absurd, but he has now been in prison for three years. In my native Perm, the officials have taken over the Memorial Museum for the History of Political Repression and ousted its independent leaders and founders. This museum has organised a lot of research and outreach projects and is rather unique as it is based in a restored Gulag prison. After the takeover, the museum is still functioning but it has lost its fame and significance. Overall, it has become a dull and impersonal institution.
Another example is my own experience. In 2019, my colleagues and I organised an international research expedition to the village of Galyashor in the north of Perm region. Large groups of exiled Poles and Lithuanians were deported to this location in the 1930s and 1940s. We have been organising similar expeditions to the locations of former Gulag camps and special settlements for 20 years in order to collect oral history from local residents and put up memorial signs. Quite unexpectedly, our group was detained by the police and FSB officers. It was alleged that we were cutting down trees at the local cemetery. After questioning, which lasted for hours, we were allowed to go, but soon officials ordered us to pay huge fines and initiated criminal cases. They searched our office and my own apartment and took our documents and computers. All this caused an international scandal, and a public campaign was started to support us. Numerous court hearings
followed and all fines related to the criminal cases were deemed unlawful and cancelled except for one. All these examples demonstrate that the attitude of the Russian federal and regional authorities to the history of terror and research in this field is unclear. It is not surprising that many people in Russia still think that activities aimed at researching the Soviet state terror and commemorating its victims are almost forbidden and dangerous.
A ONE-SIDED AND INCOMPLETE MEMORY
A third important feature of the memory of the Great Terror is that it is one-sided and incomplete. In theory people are aware that there used to be mass repressions in the country at some point. They may even be able to name some events, places or victims (for instance, their own relatives). However, they have absolutely no idea as to the scale of this phenomenon or the size of the state apparatus that engaged in the terror. For most Russians, the Great Terror and the Gulag are things that they see in films or read about in books. Perceptions of the Stalinist period usually consist of various myths. This lack of factual information is compensated through an emphasis on simplified associations, stereotypes, phobias and personal subjective impressions. Due to this, the evaluation of the past is mostly an emotional process and depends largely on individual moral principles and ideas.
Besides, the memory of the Great Terror focuses mostly on the victims and not on those who organised the repressions. The state and its officials, the actual perpetrators, remain outside of this memory. Most of my compatriots see the period of political repression as a sort of natural disaster or an epidemic, giving no thought to the involvement of the state in these events. In my opinion, this is the most significant peculiarity of memories surrounding the Great Terror. Overall, collective memory is incomplete and one-sided. The public consciousness more or less accepts the idea that the victims should be remembered. However, it rejects the idea of remembering the actual crimes and criminals. Obviously, this incomplete memory cannot be the basis for critical reflection and the open disclosure of the crimes.
PUBLIC DISINTEREST
Finally, although the topic of political repression concerns the whole nation, only a few people are involved in shaping the collective memory of this period. Pro-Stalinist views and ideas increasingly feature in mass media and culture and they are becoming more and more categorical in their nature. The topic of the Great Terror is practically not covered in school history books. In most Russian museums,
the topic is secondary and unconnected with the general national historical narrative. The pro-Stalin interpretation of history now prevails in the public consciousness because of the active interference of state institutions and pro-Kremlin mass media. The progressive academic community and NGOs have very limited opportunities to change the situation and their work is always at risk.
The major obstacle to change is the absence of a clear legal assessment of political terror as a series of conscious and continuous crimes committed by the state against its population. If there was such an assessment, this could resolve continued controversy and ambiguity in the country and help make the memory of the 20th century more complete. However, there are now some attempts to reverse the tide. Firstly, this is clear within academic research. New books written by academics on the history of Stalinism analyse the key aspects of the history of terror, describe facts and events, formulate concepts and organise academic discussions. Secondly, based on declassified archives and copious academic research, Memorial and several other organisations have been able to disclose a large number of places directly associated with the history of the Stalinist terror.
The preliminary results of our online Gulag map project in Perm are a good example of these activities. This map is based on NKVD archive documents and has already exceeded the expectations of its creators in terms of the scale and number of penitentiary institutions. The map includes prisons, camps, special settlements and penal colonies. At present, it provides a description for 1750 institutions. This is only in the region of Perm, which was not even a major part of the Gulag archipelago. The publication of this online resource helps raise awareness of the scale and economic foundations of the totalitarian state.
FUTURE GOALS
As Perm Memorial, we are determined to continue our outreach activities and try to overcome the myths in the public consciousness. We see it as our task to tell the people about the Soviet model of power, the ideological basis of historical events, the communist state’s repressive apparatus and the day to day lives of ordinary Soviet people. It is important for us that the victims of repressions do not appear as impersonal statistics. We want them to be represented as individuals.
This is the aim of the Perm Commemoration Days and the Civil Seasons, an annual series of public lectures, presentations, performances, concerts and exhibitions. All of these activities are united by the idea that it is important to teach 20th century Russian history and especially the Soviet state repressions. The main target audience is the younger generation.
Our aim is to make the Russian people realise that the history of the Great Terror should become an important part of the national memory, and that it is necessary to start the long process of working through our national trauma. Russians need to understand that it is necessary to accept the “difficult past” and take responsibility for it. In this way, we can build a moral foundation that could stop state terror from returning in the future.
The red star is a symbol of communism and socialism, representing the workers' and peasants' revolution. It is often used in communist flags and emblems to signify the struggle for a better world.
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For a Lasting Peace, for a People's Democracy!
Bucharest. Organ of the Information Bureau of the Communist and Workers' Parties
SELF-CRITICISM AND CRITICISM FROM BELOW—POWERFUL MEANS FOR IMPROVING PARTY WORK
Criticism and self-criticism are law for the development of the Communist and Workers' Parties, a powerful means of developing their work. Mass-scale criticism and self-criticism make possible the proper training of Party cadres, all Communists, the working class and the popular masses. Leninism teaches that the experience of the Communist Party of the Soviet Union also teaches us.
Proceeding from the experience of the Communist and Workers' Parties in the People's Democracies consider an all-round development of criticism and self-criticism, particularly criticism from below by the millions of workers and the millions of ordinary people—to be one of their main tasks. This task corresponds fully to the character of the people's-democratic system, to the very nature of the Communist and Workers' Parties. The active participation of the working masses in the fight against shortcomings in work and negative phenomena is striking testimony of the genuinely democratic nature of the people's democracies. It is a clear expression of the creative initiative of millions of toilers in town and country.
Many difficult and responsible tasks arise in developing and building Socialism. One of the great merits of criticism from below is that it points out shortcomings and the immense difficulties to be foreseen and the tremendous experience and effort required for the maximum utilisation for the most successful solution of the tasks of social construction. Criticism and self-criticism from below are developed, the more actively the masses are drawn into the struggle against shortcomings, the more fully the creative forces and energy of the working people are brought to the fore and the more does work proceed on all sectors of socialist construction.
Developing criticism and self-criticism to the utmost, the Communist Party of Poland develops the creativity of the masses of Communists and all working people day by day, directs their efforts to successful implementation of socialist industrialisation of the country and socialist transformations in agriculture, strengthens the monolithic unity of its ranks.
The Congresses of the Communist and Workers' Parties of Bulgaria, Poland, Hungary, Czechoslovakia and the Socialist Unity Party of Germany which we have held in recent years paid particular emphasis on the significance of criticism and self-criticism in further improving Party work. In the Congresses of the Communist Party of Poland criticism and self-criticism were discussed, and the importance of criticism and self-criticism was stressed.
In Party and state organs and of the elimination of shortcomings disclosed, an important means of unfolding criticism and self-criticism is the press. The newspapers and journals of the Communist and Workers' Parties play a big part in conducting pre-Congress discussions, they put up a consistent fight for the fulfilment of decisions adopted by Party Congresses. It is necessary that the editors of Party newspapers and journals are often superficial, confine themselves to making critical remarks from time to time, still wage an adequate struggle for the effectiveness of their material.
One of the most active and effective forms of criticism from below comes from the working people to Party and state organs. Close and prompt attention to these letters, effective reaction to every fact and the taking of urgent measures to respond to justified complaints strengthen the bonds of Party and state organs with the masses and the consciousness of their organs.
An uncompromising attitude towards shortcomings is one of the distinguishing qualities of a Communist Party. The duty of every Party member is his most important responsibility as a Party member, is persistently to fight shortcomings and unhealthy phenomena in the work of the Party state, economy and other organisations. This attitude was repeatedly stressed in the press of the People's Democracies: criticism and self-criticism are essential. Insufficient criticism in some Party organisations and sometimes people are victimised for their criticism. Needless to say, any interference heavy-handed on the part of the Communist and Workers' Parties kills the initiative of Party organisations and stifles the initiative of Party members. Those Party organisations that are incapable of struggling against shortcomings are incapable of ensuring peace and stability. The invaluable significance of criticism and self-criticism lies in the fact that they provide a powerful weapon in the defence of the Communist and Workers' Parties, strengthen them and help to reduce the strength of enemies of the working people. Furthermore, criticism strengthens the people's confidence in the Party. In the People's Democracies the initiative of the working people, develops in them the consciousness that they are the masters of their own lives and conditions, their surety of how to govern the state.
Criticism and self-criticism play a great role in the struggle of the Communist and Workers' Parties in capitalist, colonial and dependent countries. The complex and resolute struggle against the influence of the revisionist tendencies of German militarism, the aggressive policies of the United States and other imperialist countries, the attempts of the imperialists to involve the countries in military blocs, the establishment of their territories of war bases and the arms drive.
The delegates then proceeded to discuss the report.
The Session will continue its work till August 13.
Eve of International Rural Youth Gathering
Italian youths and girls in the countryside are making vigorous preparations for the International Gathering of Rural Youth. Archival documents are being prepared for the national conference of rural youth which is scheduled for November. During these preparations, a special conference of young share-croppers, 29 provincial conferences of rural youth, about 500 communal conferences, regional and political conferences and various demonstrations have taken place.
Young people in the countryside are waging a fight for the satisfaction of their demands and are taking an active part in the struggle for the strengthening of peace.
Many difficult and responsible tasks arise in the process of building Socialism. One of the greatest means of success from below is that it enables shortcomings to be noted and remedied, to foresee and forestall the tremendous experiences of the millenium masses to be utilised for the construction of the socialist society, and criticism from below are developed, more actively the masses are drawn into the fight against all forms of bureaucracy, wage incapable struggle against individuals who suppress criticism act rightly.
The invaluable significance of criticism and self-criticism lies in the fact that they provide a powerful stimulus for the advance of Communist and Workers' Parties. They strengthen them in their battle to release the creative energy of the working people, develop their initiative, raise their political level, strengthen the Party's democratic character, heightens the self-confidence of the working people, develops the revolutionary consciousness of the members of their country and contributes to the study of how to govern the state.
Criticism and self-criticism play a great role in the life of the Communist and Workers' Parties in capitalist, colonial and dependent countries. It is necessary to solve the difficult tasks facing these Parties in the struggle for national independence and national interests of the people. Criticism demand the all-round development of critical and self-critical spirit and the resolute elimination of shortcomings in the internal and organisational work of the Party. This is especially important in the present period, when the Party is being strengthened. It was pointed out at the Congresses of the Communist Parties in France, Britain, India, Australia, Indonesia, criticising and self-criticism in the struggle against such shortcomings and mistakes as sectarianism, dogmatism, lack of responsibility, lack of initiative, a branch-let approach, narrowness of outlook, narrowness of branches and a tendency to forget about the general situation. The Party enterprises are developed insufficiently in the Party organisations. The Party organisations must be made more active, more efficient, more self-critical in the report of the Central Committee of the Party undoubtedly helps to improve the activity of the Communists and further strengthens the Party.
Broad discussion was held during the preparations for the proving Conference and in the course of the conference throughout the Italian Communist Party. About 100,000 delegates took part in meetings and conferences. By these means the Italian Communist Party helped to improve the work of local Party organisations and make it more effective and purposeful. The first meeting of the Central Committee of the Party adopted a resolution to launch the preparations for the National Party Conference, a plan of discussion, raising the question of fighting influence of the Party and increase its influence among the working masses.
At present the prestige and influence of the Communist and Workers' Parties among the broad popular masses are higher than ever before. The Communist Party has recognised to be the leading force in the struggle of the peoples for peace, democracy and a better life. The Communist and Workers' Parties display concern for the Marxist-Leninist tempering of their members, strengthening inner-party discipline and developing self-criticism and criticism from below, the most successfully will they fulfil their great and honourable tasks.
The entire world democratic press unanimously holds that the Moscow Exhibition is a great example of the glorious victories of Socialist agriculture of the USSR and a striking demonstration of the powerful creative forces inherent in the Soviet people. It shows the irrefutable superiority of the socialist system of national economy over the capitalist system and provides convincing proof by means of concrete examples that the Soviet people are engaged in peaceful creative labour.
The Polish people responded with great interest to the reports on the Moscow Exhibition. The newspaper "Trybuna Ludu" writes that the Exhibition is the fruit of many years of collective work by builders, engineers, agricultural experts, agricultural experts and other Soviet specialists. It not only impressed by its size but at the same time as a clear expression of the triumphal collective and state farms, the MTS, industrial enterprises and organisations of agriculture, and reflects the achievements of the scientific research of the people of the Soviet Union.
The Czechoslovak press comments widely on the opening of the Exhibition. An editorial entitled "The Moscow Exhibition: Experience and Creative Initiative" in the newspaper "Zemedelske Noviny" states: "The farmstead based on the new up-to-date agriculture in the world has achieved unprecedented success." The paper expresses confidence that the advanced experience necessary for the development of farming and organisation of agricultural exhibitions in Czechoslovakia.
The newspapers "Jenningshild", "Sazhar Nep", "Sciente", "Rabotnicheskoe Delo", "Il Popolo" and "Deutsche Zeitung", the German papers "Vorwärts", "Die Tiere", the Italian newspaper "Unita" and others highly appraise the Exhibition. "Unita" writes, in particular, that the Moscow Exhibition is the biggest agricultural show in the world. Its significance lies in the fact that it helps to disseminate advanced questions, why then should it not be possible to arrive on an agreement on these questions? The West German Zietzschmann best agrarian at the blast furnace of the German Democratic Republic.
Professor Oskar Lange says: "We Polish people are directly interested in a peaceful solution of the German question. There is no question of our leaving our country. Every Polish man and woman with these thoughts is against the proposals of the Soviet Government, which are directed to a peaceful settlement of the German question within the framework of this general European system of collective security."
PUBLIC OF BRITAIN SUPPORTS SOVIET PROPOSALS
In Britain reacting to the Soviet Note of July 24 which urges further talks of the great powers on disarmament, the public's questions has been favourable.
In the House of Commons Mr. Attlee, leader of the Parliamentary Labour Party, urged that it should be given the closest examination in the hope that it might make possible a meeting. A few days later, Mr. Arthur Henderson, the Labour leader called in Parliament for Britain to meet Russia half-way on disarmament, suggesting that a multilateral declaration agree-
Hungarian People Welcome Soviet Proposals
The Hungarian people wholeheartedly welcome the Soviet proposals which are aimed at ending peace and security, and Hungarian newspapers emphasise that these proposals fully conform to the vital interests of the Hungarian people.
The newspaper "Szabad Nog" states that the implementation of the plan for security would open up new opportunities for the development of relations between the European peoples and would present a security guarantee for Hungary against the aggression of fascist and imperialist militarism. The Treaty on Collective Security in Europe would make it possible for the Hungarian People's Republic to play an active part, on equal terms, in European co-operation, together with all European countries, including the U.S.S.R. It states in conclusion: "The desire of the Hungarian people is this: let the interested powers come together, therefore, in a spirit of peaceful co-operation, seek for and find due path to agreement."
Eve of International Rural Youth Gathering
Italian youths and girls in the countryside are preparing for the International Gathering of Rural Youth. Active preparations are underway for the national conference of rural youth which is scheduled for November. During these preparations a national conference of young women is being held. The gathering of rural youth, about 300 communal conferences, up to 5,000 gatherings, meetings and mass demonstrations have taken place.
Young people in the countryside are waging a fight for the satisfaction of their demands and are taking an active part in the movement for agrarian reform and for the establishment of a new rural society. It is demanded that stadiums be built, that funds be allocated for agricultural schools and courses, that general education schools be opened and the right to read books be restored. The rural and young people has assumed particularly great proportions in Toscana and Emilia-Romagna where the system of share-cropping prevails.
Rallies and Meetings in Rumania
Peace committees in the Rumanian People's Republic have launched extensive work to explain the results of the Geneva Conference, the Soviet Note of July 24 and to organise rallies and meetings. Over 1,200 people went to meetings in the city of Birlad, over 1,000 in Timisoara, more than 800 in Craiova, 800 in Jassy and so on. The results of the Geneva Conference and the Soviet proposals are being widely discussed by the peasants. Some 45,000 peasants attended 370 meetings held in the Timisoara region.
EXHIBITION WITHOUT PARALLEL
ON ALL-UNION AGRICULTURAL EXHIBITION IN MOSCOW
The All-Union Agricultural Exhibition, which opened on June 16 in Moscow, has evoked great interest not only in the Soviet Union but also throughout the world. The press of the People's Republic of China, the People's Democracies and the German Democratic Republic have published numerous articles and reports on the Exhibition as well as photographs. Articles on the opening and the events of the Exhibition have also been exhibited by the democratic press in the capitalist countries.
On the invitation of the Ministry of Agriculture of the USSR delegations from many countries have arrived in Moscow to see the Exhibition. Just now nearly 1,000 such delegates have visited the Exhibition. Countries have sent their representatives to the Exhibition include the People's Republic of China, Poland, Czechoslovakia, Hungary, Rumania, Bulgaria, Albania, the German Democratic Republic, the Korean People's Democratic Republic, the Mongolian People's Republic, Italy, India, Canada, Austria, Argentina, Egypt, Iceland, Yemen and others.
The foreign visitors are having a good look around the Exhibition and express interest in the experience of the advanced workers of agriculture of the USSR. They express their impressions on the Exhibition by remarks in the visitors' books and by articles published both in the press of their countries and in "Pravda", "Izvestia", "Agriculture" and other Soviet daily newspapers.
Representatives of foreign delegations enthusiastically comment on the Moscow Exhibition.
"The chief impression", stated Pham Van Dong, the head of the Viet Nam delegation at the Moscow Exhibition, "has remained itself on our minds during our visit and which will always remain with us is one of admiration and awe with fascination."
"This Exhibition shows us in perspective the triumphant march of the Soviet peoples towards Communism."
"It shows the people of Viet Nam and all peoples throughout the world the path that leads to the free life, justice and peace."
"It brightens our enthusiasm in the struggle for national independence, democracy and peace."
"When we are preparing to go to Moscow to visit the All-Union Agricultural Exhibition", said Harma Tienius, Minister for Agriculture in Finland, "we knew we would see something wonderful. But the reality has exceeded all our expectations."
"The show is colossal and reflects the immense diversity of Soviet agriculture."
The People's Minister for Agriculture and Forestry of Rumania, Mr. V. V. Vizir, in his impressions on the Exhibition, as do K. Vizir, member of the Czechoslovak delegation, Dr. H. Stuhler, President of the German Academy of Agricultural Sciences in Berlin, and others. They say that the Soviet agricultural workers are given every opportunity at the Exhibition to get an all-round picture of the various branches of agriculture in the USSR and to study in concrete way the experience gained by advanced workers in agricultural production.
The All-Union Agricultural Exhibition in Moscow will function all the year round. Many delegations and guests from different countries will be able to visit it and these visits will contribute to the further strengthening of friendship between the peoples, consolidating peace throughout the world.
U.S. Monopolies Plunder Wealth of Brazil
The policy of servility to U.S. imperialism, pursued by the Vargas Government, has led to the concentration of power, appropriating more than two-thirds of the main branches of Brazil's industry. More than 90 per cent of the electric power is produced by the U.S. companies "United States Peninsular Co." and "Bond and Share Co."—which received in 1952 over 1,000 million cruzeiros at net profit from the exploitation of the oil deposits, the production and export of coffee, cotton and other industries.
The plundering of Brazilian monopoles is vivid proof of how American imperialism is robbing the country. Between 1900 and 1948, the U.S. invested $300 million in the country over 65,000 tons of iron ore. According to calculations of scientists this amount of mineral would produce 700,000 tons of nuclear fuel, which is equal in calories to 1,000 million tons of coal or 650 million tons of oil. The amount of fuel would be enough to fulfill Brazil's requirements for nearly 400 years.
There is growing discontent among the capitalist masses in Western Germany against those who pursue the policy of a fifty-year occupation of the Ruhr. It is the time when the face of the advance of the German Democratic Republic in conditions of freedom and equality, and the demand for preserved sovereignty for Western Germany is becoming stronger and stronger. The U.S., British and French occupation authorities are carrying out a policy of hunger and terror. For example, in the Rhine-Ruhr-Pfalz, in Blienk, Bremenhaven and on Luneburg Heath are areas where the war is raging.
The intensified struggle of the monopolists for maximum profits and the growing burden of militarisation more and more often encounter a decisive rebuff from the working class and other sections of the working people.
The meeting of the C.C. of the Romanian Workers' Party, August 1953, pointed out that one of the most important tasks of the leading Party cadres throughout the country was to rally around themselves a large body of Party activists, and with their help further strengthen the links between the Party and the working masses, thus ensuring the Party's measures stressed the important role played by regular cadres of the activists which enable every Communist to work in the various spheres of activity, to understand better the tasks set by the Party and his part in fulfilling them.
The Hungarian regional party committee, guided by the socialist advances by the leading of the C.C., is striving to set up a ground district and town committee of the Party, to organise groups of activists, to consult with them and utilise them in solving the tasks facing the Party.
Of real help to the regional committee were the messages made by the delegates during the discussion of the results of the conference to advanced members of collective farms of the region. The discussions of the proposals contributed to improving political work among the working peasantry, which helped to organise more collective farms and associations for joint cultivation of land only recently.
Representatives of the regional activists on progress made in carrying out the instructions of the August 1953 meeting of the C.C. of the Party, regarding the material and cultural level of the working class, have helped the regional committees to make use of the reserve potential reserves in the enterprises in order to increase production of mass-consumption goods. As a result, the range of mass-consumption goods available in the region has increased by 50 items.
The question of how district and town committees utilise the activities of the work was the subject of special discussion at plenums and meetings of the regional committee bureau. The regional committee adopted a number of decisions aimed at improving work with the activists.
During the ten years of people's rule, the face of Hunedoara, a big industrial centre in the Romanian People's Republic, has changed beyond recognition. Photo: New workers' dwellings, with all modern conveniences, in Hunedoara.
Work With Party Activists in Hunedoara Region
Ioan Cotof
First Secretary, Hunedoara Regional Committee, Romanian Workers' Party
With the help of the activists the regional committee has obtained definite results in improving its work, in reaching concrete decisions, and in ensuring more effective control over their fulfilment.
The recent district Party conferences showed that the district committees have been able to make a significant contribution in the struggle for implementing Party and Government decisions. This has helped to improve the work of the activists and political work and has led to the more successful fulfilment of economic and political tasks.
The Petroșani district committee which pays constant attention to developing and training the activists constantly keeps them on the most important questions. We can cite as an example the district committee, with the help of the activists, which, like specialists, took effective measures to ensure that members and new party people engaged in the network of Party organisations were thoroughly and masterfully the fundamentals of Marxism-Leninism. Members of the district committee and the more highly qualified activists, who are attached to the classes; they helped the tutors to raise the political and theoretical level of the studies.
The district committee organised meetings on methodological questions and helped the branch bureaus to establish constant control over the standard of study.
The concrete aid given to the branches can be cited as a positive factor in the work of the Petroșani district committee. Relying on the activists the district committee and the Party committee in the Aninoasa mine to invigorate inner-Party life, to make the branch more active in the discussion of all questions. The Party members are the vanguard in the struggle for improving production indices.
The Petroșani committee at the Jiel Loraș Mine was helped in the matter of eliminating shortcomings in the organisation of the production process and working out concrete measures aimed at improving work in the mine. Such measures were: acceleration the turn-round of wagons, an inventory of tools according to sectors, better care of the tools and machinery, then store in shifts systematic and sectoral supervision of the production process at sector level and at the enterprise level.
Good results have also been obtained by the Hunedoara district committee of the Party in the work with activists. Here, in an example, the GR (Gimnaziul Dej) Metallurgical Combine there were serious shortcomings in the matter of organising the struggle for fulfilling the production plan. The district committee decided to consult the activists on the reasons for the shortcomings in the enterprise and to organise their participation in the solution of these problems. A committee was established at the meeting that the reason for the shortcomings was the weak political and moral work amongst the workers and the socialistic emulation questions on the innovators' movement. Thanks to the help given by the activists, the district committee was able to decide to direct all Party and trade-union organisations to take necessary measures aimed at developing broad socialist emulation. It was suggested that the district committee, together with engineers and technicians should make a more careful study of all innovations put forward by the workers. As a result of improved political and moral and socialist emulation developed considerably and the production plan for the first quarter was exceeded by 4.3 per cent. More inventions and innovation proposals were made use in the first quarter of this year than during the whole year, resulting in a saving of over two million lei.
At the meeting of the district committee on the question of distributing food rations among the general population, the activists made a number of valuable proposals as, for instance, utilising timeliness and time, putting into full-time operation the Gavdia and collecting scrap metal at steel mill. To realise these proposals a small rolling mill for utilising scrap was put into operation. From this scrap roll trims and other products for the agriculture are made.
Not all Party district committees nowadays are drawing the activists into examining and checking on the work of Party organisations. Some district committees still rely on functioning of the Party apparatus for this purpose, and this tells badly on the work of the Party organisations. Experience shows that only those Party committees which rely on the broad masses of activists will listen carefully to their criticisms, to their proposals and advice, can correctly direct their work and carry out their political activities. Party committees which underestimate the role and significance of the activists, which do not rely on them, isolate themselves from the masses and resort to administrative and bureaucratic methods of leadership which are detrimental to the interests of the Party and detrimental to the work.
Such shortcomings were often to be seen in the work of the Brad district committee. The lack of work with activists meant that activists were given a number of tasks difficult and at times even impossible. The lack of suitable and bureaucratic methods of leadership, decrees and circulars for political work. These shortcomings are also explained by the fact that the regional committee and particularly the secretaries of the regional committee, were far in controlling the work of district committees. That is precisely why shortcomings in the work of the Brad district committee were late in being revealed.
Inadequate work with the activists by the Party committees has an adverse effect on Party political and economic work. This is also the reason why in some branches of administration and economic management are neglected and regarded as the duty of a special section of the branch committees and not of the committees, the activists and the entire Party organisation.
It is very important that all Party bodies daily consult with the activists that they rely on them, concern themselves with the question of their development and training both politically and professionally, that they hold regular meetings with the activists once a month, in this way can successfully carry out the decisions of the Party and the Government.
Effectively utilising the activities of the activists is the key to raising the efficiency of the Party organisations. The opportunity to involve all Communists in active work, to train them to become leaders and organisers of rallying the broad masses of the working people for building Socialism in our country.
The growth of the work of the Party activists, the training of even more cadres from the economic and state apparatus into everyday work must be in the centre of attention of all Party bodies and Party organisations.
Tireless training of the activists, constant solicitude for raising their ideological and political level—this is the key to improving the work of the Party organisations and the fighting efficiency of the Party organisations. The better the Party bodies and Party organisations work with the activists, the more successful they will be in fulfilling their role of the political leader of the working people.
Dangerous Intrigues of Aggressors in South-East Asia
The Geneva Conference, which put an end to the war in Indo-China and contributed to the further easing of international tension, inflicted a serious defeat on the American policy of aggression. It upset the U.S. aggressors' plans in relation to South-East Asia and raised the peoples' hopes for a peaceful settlement of controversial international issues by means of negotiations.
Not desiring to foreclose themselves to their old enemies and limiting themselves to carrying out their authoritarian policy, U.S. ruling circles have of late stepped up their aggressive moves in South-East Asia. The U.S. American diplomats and militarists, encouraging to the utmost the provocative activities of their puppets on Taiwan, in South Korea, and elsewhere, are time endeavouring to raise up the creation of a new aggressive bloc which goes by the name of SEATO (South-East Asia Treaty Organization) in the American press.
Even on July 21—the day the Geneva agreements on Indo-China were signed—Dulles, Secretary of State, announced that the U.S. was going to make strenuous efforts to set up an "alliance" in South-East Asia. His statement appeared shortly afterwards to the effect that the U.S. Government intended to convene a meeting in September next for the purpose of studying the American draft for creating such an "alliance".
Apart from the U.S.A., Britain and France, the new aggressor bloc which for centuries past is termed "alliance" should embrace, as its organisers see it, such countries as Australia, New Zealand, the Philippines, Thailand, Indonesia and the countries that took part in the Colombo Conference—India, Burma, Indonesia, Ceylon and Sri Lanka. At about the same time announcing that Washington was seeing ways of drawing the southern part of Viet Nam, Laos and Cambodia into the bloc, in direct contradiction to the decisions of the Geneva Conference, which envisage that these states would not participate in any regional organisation and that no foreign bases would be allowed to be established on their territories.
U.S. ruling circles, in attempting to draw a whole series of Asian countries into the new military alliance, are thereby trying to mask the colonising and aggressive nature of the bloc they are forming in South-East Asia. It is, however, not enough to do so because the peoples of Asia, who have seen with their own eyes the results of American liberation wars, have had a great deal from events in Korea and Indo-China.
One of the main tasks assigned to SEATO by U.S. ruling circles consists of the suppression of the national-liberation movement of the Asian peoples and of interference in their internal affairs. The organisers of the aggressive bloc no longer conceal this themselves. The newspaper "Chicago Sun Times" reports that legal experts in Washington and London are trying their utmost to find a formula which would permit the new alliance to combat the "national-liberative tendencies" in South-East Asia. According to the "New York Herald Tribune", Under-Secretary of State Smith said: "We spoke of the fight against the 'international subversion'—in other words, the fight against the national-liberation movement". Baldwin, a military commentator, was even more explicit and cynical in the "New York Times", stating that the real problem in forming the bloc was to organise the anti-aggressive forces. What, after all, is it if the oil show the offensive character of SEATO worth?
Outrage of Reaction in U.S.A.
The American press reports that the Federal Bureau of Investigation has arrested seven leaders of different organisations of the Communist Party of U.S.A. They are Arthur Bahr, Chairman of the Communist Party in the state of Colorado and Alvin A. Hirsch, a former organizer for Colorado; Joseph William Scherer and his wife; Lewis Johnson, leader of the Party in the State of Utah, and general amnesty for all political prisoners, all ex-prisoners, allowing all measures which would reassert the activity of leaders of the national movement and re-establishing the state of siege, restoring all rights and personal liberties, and reinstating all persons who had been dismissed from their jobs for patriotic activity."
The statement also says that it is essential to put an end to the wholesale sending of troops to Tunisia.
In conclusion the Political Bureau declared that negotiations between the French Government and various representatives of the national movement could be successfully opened only if they are carried out on the basis of the demands unanimously supported by the people of the country. The representatives of all parties and national organisations, without exception, and particularly the representatives of the working class, the interests of which are inseparable from those of the entire people and which justify exactly that an end will come to the policy of poverty, low wages and unemployment, must take part in these negotiations.
When Otto John, former chief of the West German Security Office, openly broke with the policy of the Bonn reactionaries and exposed the predominance of nazis in the political and social life of Western Germany, he was immediately dismissed by declaring that he was not "guarantees" that nazism "will not rear its head again" in Western Germany.
(Press item)
STATEMENT BY POLITICAL BUREAU OF COMMUNIST PARTY OF TUNISIA
On August 3 the Political Bureau of the Communist Party published a statement on the occasion of the French Government recognising and proclaiming home rule for Tunisia. The statement reads that this act of the French Government is an important step towards national independence and the establishment of new relations between France and Tunisia.
The Political Bureau stresses that the Tunisian people have achieved the recognition of their national rights as a result of the united and united struggle they waged for more than 30 years. At the same time it points to the great and active help rendered by the entire progressive world public, including the French people, to the people of Tunisia.
Referring to the intention of the French Government to open negotiations with the authorised representatives of the national movement in order to put into practice the formal recognition of home rule for Tunisia, the Political Bureau stated that negotiations can be opened only if the French Government immediately repeals all repressive measures by declaring a
Big Strikes and Demonstrations in Morocco
The number of strikes and demonstrations in Morocco is on the increase. All taking part are resolutely coming out for the independence of the country. The strikes and demonstrations are assuming such a form that the numerous police are unable to suppress them.
Almost all the Moroccan traders in the big cities have gone on strike since August. Most of the factories in Casablanca have stopped work. The authorities have brought in troops to keep work going in the bakeries since workers in the big bakeries did not turn up.
Greek Working People Fight for Their Demands
In pursuance of the aims set forth by the Panagos Government imposes a heavy tax burden on the shoulders of the Greek people. It recently adopted an emergency decree on economic measures with the aim that the currently income tax for a worker earning 1,500 drachmas rose 200 per cent, and for a worker earning 2,000 drachmas 75 per cent.
Mounting taxes lead to the impoverishment of the working masses at a fast rate while the bourgeois press of Greece is at least as much concerned with "saving the people", wrote Eleutherios not long ago, as with ensuring a steady fall in living standards. Half the nation are starving. The newspapers state that 1,800,000 people have only enough money to buy two or three loaves of bread a day, while 2,500,000 only have the price of a packet of cigarettes.
The dire plight of the working masses results in a growing strike movement. The communist workers of Levadia recently struck work, demanding higher wages. The employers were forced to meet their demands. Workers in the "Gouvariki" shoe factory in Athens went on a general strike for a 20 per cent wage increase. At the same time, a cigarette factory in Volos work was brought to a standstill for three hours as a protest against the delay in fulfilling the promises for March and April. A docker's meeting in Piraeus adopted a resolution for a 25 per cent rise in pay. The resolution states that the demands are not satisfied they will down tools.
The working people of Greece are also fighting against the wholesale arrests that are taking place, and for the release of political prisoners. This struggle has developed to such an extent that the Panagos Government has been compelled to adopt a decision to release Manolis Glezos, one of the Greek people, and some other political prisoners.
Herr ADENAUER (Before the Microphone) AND HIS "GUARANTEES" (Through the Window)
Drawing by J. Novak
Political Notes
Taiwan—Base for U.S. Provocations in the Far East
While the diplomats were making their way to the Geneva Conference, U.S. Rear-Admiral John Will, with a group of experts on landing operations, arrived in search for the Island of Taiwan in order to participate in the manoeuvres. American warships and the Kuroshio training transport Foresman Strain when it became clear at once that the war in Indo-China was over, Admiral General Van Fleet, a special representative of the U.S.A., proceeded to the Far East. In his wake he carried barges for increasing the armed forces of Japan, South Korea and Taiwan. He came known that the Geneva Conference had come to an end. On his return, Eisenhower announced at a press conference in Washington that the proposed conclusion of a military alliance between the United States and the Kuomintang chiefs of Taiwan was off the cards. This was more coincidental. Many other facts also indicate that the refusal of the U.S. forces to try making up for the sea-power losses in the Far East and the occupation of the island of Taiwan by the American military forces, according to Assistant Secretary of State, recently clared at one of the conferences,
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Training for Killing
Open Embodiments Conference
University of Arizona, 16-18 April 2015
John Protevi
Department of French Studies
Louisiana State University
www.protevi.com/john
email@example.com
Outline of the talk
• 1. Introduction
– 1.a: Theory
– 1.b: Practice
• 2. Modes of violence training
– 2a. Principles of all training
– 2b. Ancient
• War dances, phalanx marching, trireme rowing
– 2c. Contemporary
• Reflex training vs Time-pressured decisions
– 2d: Posthuman / Cyborg killing
1.a: Theory
• 1.a.1: Sociology: how we learned killing was hard to do for most people some of the time
• 1.a.2: Biology: why killing is hard to do for most people some of the time
1.a.1: Sociology
SLA Marshall, *Men Against Fire*
- American infantry in WWII
- Only 15-20% firing rate
- Most only supported the troops who were able to fire
Grossman, *On Killing*
- 98%: inhibited on close-range killing
- 2%: low-affect sociopaths
- Fight or flight: inter-species
- Display and submission: intra-species
Collins and “micro-sociology”
- Oppositional, horizontal, and adjunctive emotional energy
- “Confrontational tension / fear”
- Of being hurt
- Of killing
- Of breaking entrainment
- Weak victims and “forward panic”
- Vast majority are incompetent
- Increase in firepower
- Allows number of kills to rise
- Even with very poor efficiency
- “Violent elite”: cold vs hot blood
Act of killing multiplicity
- Physical distance
- Teamwork
- Command
- Mechanical intermediaries
- Social distance: dehumanization
1.a.2: Biology
Proto-empathic identification
• Simulation theories: 1st / 3rd person modeling
– Gallese, Singer, Heyes: mirror neurons
• Phenomenological theories: 2nd person relation
– Primary intersubjectivity: Trevarthen, Stern
• Stemming from physical entrainment
• Lullabies, baby talk, rocking, cooing
– Developed intersubjectivity: Gallagher, Thompson
• Mutual attention and emotional entrainment
A fundamental link of affect, body image and bodily integrity
• “Viscero-motor” centers in simulation:
– you feel it in your gut
– “core self”: proprioception of bodily condition
• Soldiers’ anecdotes:
– Inhibition from eye contact
– Horror at seeing the victim’s guts
• Agony of the victim is powerfully felt
• Collins’s “entrainment” is dynamic aspect here
1.b: Practice:
How then do people kill?
• 1.b.1: Competent elite
– 1.b.1.a: cold-blooded
– 1.b.1.b: hot-blooded
• 1.b.2: Incompetent mass
– 1.b.2.a: multiplicity for enabling act of killing
– 1.b.2.b: techniques for voiding empathy
1.b.1.a: Cold blood:
Low affect sociopaths
Command problems w/ cold-blood
• Low affect types can be “stimulus hungry”
• Discipline problems when bored
• In combat
– Prone to take command
– Rather than take orders
• Thus hurting “chain of command”
1.b.1.b: Hot blood: the berserker rage
Desubjectified killing
• Only a few can kill at close-range in cold blood
• Most must find a way to dump subjectivity
• Common triggers
– Loss of loved ones
– “Forward panic”
• Berserking is traumatic:
– Endorphin release thresholds are set very high
– Only more combat brings analgesia
– High correlation with PTSD
Rage agents
• Griffiths (1997), *What Emotions Really Are*
– Subpersonal “affect programs”
• Panksepp (1998): *Affective Neuroscience*
– Electrical stimulation and neurochemical experiments show homologous rage circuits
– Rage as prey reaction
1.b.2: The incompetent mass: teamwork, mechanics, command
And disruption of empathy: note the blindfold on the victim
2: Modes of violence training
• Fundamental principles of all training:
– Each mode is “socially embedded” or mutually formed by / with its society
– Each mode is a form of “desiring-production” or “passional assemblage”
– Or, more simply put, managing the act of killing is irreducibly emotional but emotions have social triggers
Passional assemblages
“Assemblages [agencements] are passional, they are compositions of desire. Desire has nothing to do with a natural or spontaneous determination; there is no desire but assembling, assembled, machinic, desire. (ATP 497-498 / 399-400)
“The rationality, the efficiency, of an assemblage does not exist without the passions the assemblage brings into play, without the desires that constitute it as much as it constitutes them... (ATP 497-498 / 399-400)
... a passional mutation that drastically changed the relations between desire and the war machine.... Passions are effectuations of desire that differ according to the assemblage....” ” (ATP 497-498 / 399-400)
2.b: Ancient Violence
• Foragers: Anti-state as well as anti-war
– Intra-group capital punishment is anti-state
– Inter-group vendetta is anti-war
• Non-state mixed societies (hunting, gathering, trade, horticulture)
– Clastres: their war practices are anti-state
– Scott: they take to the hills to flee states
• States: grain agriculture depends on slavery
Robert Drews
THE END OF THE BRONZE AGE
CHANGES IN WARFARE AND THE CATASTROPHE CA. 1200 B.C.
Robert Drews
Ancient state military history
• Empire
– Early infantry
– Light chariots (plains empires / Hector)
• 1200 BCE collapse: states and non-states
– (hill runners / war dances / Achilles)
• Greek states:
– Aristocratic cavalry (Zoosexual Eros)
– Farmer Phalanx (group Eros / cadenced marching / Marathon)
– City folks: Trireme rowers (Salamis)
Early massed infantry fighting: “Stele of the Vultures”
Ancient imperial chariot warfare
Non-state fighters: Hill runners (shown: Gaelic warrior)
Non-State war dances to provoke berserker frenzy
(John Williams, New Zealand, 1859)
The All Blacks perform the Ka Mate Haka
(now recognized by the NZ government as the IP of the Maoris)
2010 Women’s Rugby World Cup
New Zealand Haka vs English Phalanx
Fleet-footed Achilles vs Hector, breaker of horses
Achilles (here slaying Penthesilea)
A passional mutuation: from aristocratic cavalry to democratic phalanx
“the Greek phalanx was inseparable from a whole reversal of values, and from a passional mutation that drastically changed the relations between desire and the war machine. It is a case of a man dismounting from the horse, and of the man-animal relation being replaced by a relation between men in an infantry assemblage …”
“that paves the way for the advent of the peasant-soldier, the citizen-soldier: the entire Eros of war changes, a group homosexual Eros tends to replace the zoosexual Eros of the horseman…” (MP 497-98 / ATP 399-400)
Phalanx
(with piper marking time)
Spartan phalanx: cadenced marching
“The hymn to Castor… a sight equally grand and terrifying when they marched in step with the rhythm of the flute … calmly and cheerfully moving with the strains of their hymn into the deadly fight.”
“Neither fear nor excessive fury is likely to possess men so disposed, but rather a firm purpose full of hope and courage, believing as they do that Heaven is their ally” (Plutarch, Lycurgus, 21-22).
Dance and drill in human history
KEEPING TOGETHER IN TIME
DANCE AND DRILL IN HUMAN HISTORY
WILLIAM H. MCNEILL
Infantry drill
Entrainment: the dark side
Rice planting at the end of Seven Samurai
Battle of Marathon heroes
Further democratization: Triremes at Battle of Salamis
Trireme rowers
Geo-bio-techno-politics: Athenian Empire 431 BCE
The Athenian Empire at the brink of the Peloponnesian War (431 BCE)
- City-state (date captured)
- Cleruchy (Athenian garrison) (date)
- Rebellion against Athens (date)
- Athenian territory
- Non-Athenian territory
Geo-bio-techno-politics: above the subject
"Athens' whole way of life was involved; and what is so often denounced, as if it were sheer greed and a lust for domination on her part, by modern scholars whose antipathy to Athens is sharpened by [its] promotion of democratic regimes ... was in reality an almost inevitable consequence of that way of life" (Ste. Croix, 1981, 293; emphasis added).
Below the subject
• "the Athenian fleet developed muscular bonding among a larger proportion of the total population than ever fought in Sparta's phalanx" (McNeill 1995, 117).
• Furthermore, "feelings aroused by moving together in unison undergirded the ideals of freedom and equality under the law...."
• The muscular basis of such sentiments also explains why the rights of free and equal citizens were limited to the militarily active segment of the population" (118).
Alongside the subject: “the man-driven torpedo”
• Rower-powered war ships had a much shorter range than sail-driven merchant ships, which are able to capture solar energy in form of wind power.
• generated from a multiplicity of temperature differentials of land mass / sea / water currents producing wind currents.
• Athenian democrats needed a network of friendly regimes whose ports could provide food and rest for the rowers of their triremes.
• That is, to replenish the biological solar energy conversion units of the triremes qua "man-driven torpedo[es]" (Gabrielsen 2001, 73).
“Man-driven torpedo”
Plato’s Laws:
Geo-bio-social-techno-affective agencements
“It is agreeable enough to have the sea at one’s door in daily life, but, for all that, it is, in very truth, a briny and bitter neighbor. It fills a city with wholesale traffic and retail huckstering, breeds shifty and distrustful habits of soul, and so makes a society distrustful and unfriendly within itself as well as toward mankind at large” (Laws 4: 705a).
“It would have been better for them to lose many times seven youths than to convert themselves from steady infantrymen into marines, with their tricks of repeated descents followed by a helter-skelter retreat to the boats…” (706b-c).
“And yet sir, it was the sea fight at Salamis … which was the salvation of Hellas” (707b).
“To be sure that is what mankind at large say … but we … insist that the deliverance of Hellas was begun by one engagement on land, … Marathon, and completed … at Plataea. Moreover, these victories made better men of the Hellenes, whereas [Salamis] did not …”
“In our investigations into topography and legislation [we focus on] the moral worth of a social system” (707c-d).
2.c: Contemporary police and military training
• 2.c.1: Background Issues
• 2.c.2: Training modes
– 2.c.2.a: Affective
– 2.c.2.b: Cognitive
• Reflex training
• Time-pressured decisions
2.b.1: Background issues
• Blurring borders
– Militarization of police
– Rescue and peace-keeping missions of military
– Unsupervised training for civilians (SYG laws)
• Neuro-training and testing for managing of killing behavior
2.b.2.a: Affective training
• Physical entrainment
– Group drills: marching, running
– Chants: semantic content plus physical entrainment
• Othering / degrading / dehumanizing enemies
– Chants, slang, euphemisms
– Everyday culture of the unit
2.b.2.b: “Cognitive” training
• Reflexes
– Free-fire zones
– Aimed at bypassing subject
• Time-pressured decisions
– “shoot / no-shoot”
– Threshold of subject
Avoiding empathy: reflex training
• Human-shaped figures instead of bullseye
• Pattern recognition: reflexive killing
• Predatory “hunting agent” vs prey / rage agent
• Assemblage:
– Suprapersonal group
– Subpersonal reflexive hunting agent
• Retrospective agency:
– reflexive killing, but reflective guilt
Reflex training: Live fire training
Time-pressured decisions: “shoot / no shoot” in urban peace-keeping and domestic police action
• Simulation training
– Digital scene
– Live action video w/ CGI background
• Recognition of key elements in a Gestalt
– At the edge of conscious awareness
– Default inhibition cleared only by recognition of threat
Correll et al
• Correll: seated, screen images, button:
– Finds racial bias in shooting threshold (“criterion”) but not in differentiating gun from non-gun (“sensitivity”)
– Cognitive control can help with experts
– Deep embodiment: neurology of racialized threat
Correll test, image 1
Correll test, image 2
fMRI study of amygdala activation in racialized threat situations
Region of the right amygdala (centered on 24, -5, -15, 5mm diameter) that was more active during presentation of dark-skinned and light-skinned Black faces and dark-skinned White faces relative to light-skinned White faces.
Ronquillo, et al., 2007 “The effects of skin tone on race-related amygdala activity: an fMRI investigation,” Social Cognitive and Affective Neuroscience 2(1): 39–44.
EEG study of ERP (Event-Related Potentials) in racialized threat
Abstract: “the degree of racial differentiation in the early ERP components predicted behavioral bias in the videogame and mediated the relationship between cultural stereotypes and bias.”
J. Correll et al., Event-related potentials and the decision to shoot: The role of threat perception and cognitive control. *Journal of Experimental Social Psychology* 42 (2006) 120–128.
James and Vila
• Test: standing, projected images, gun
– Finds pro-Af Am bias
– Cog control: desire to show non-bias?
• James and Vila claim greater ecological validity than Correll tests
• Agree with Correll that fatigue/fear hurt expert cog control
James & Vila video training
“Deadly Force Judgment and Decision Making Simulator”
Adding Collins to the mix
• Need to control for group effects: the more people in your team the better
• Also the ratio of one side to the other
• Also the incompetence:
– Missing the target
– Friendly fire
– Collateral damage
Group video training
What’s missing from these studies?
• Racialized rage
• Evolutionary pattern
• Social trigger: overturned hierarchies
– “disrespect”
– “not knowing your place”
– “I’ll show you”
2c: Posthuman / Cyborg killing
Australian Cyborg
Military simulation training
Putting the Power of Simulation into the Hands of Our Warfighters
Drone operators
Return of the human?
Retrospective Agency, or the “My God, What Have I Done” effect
• Even when practical agent is group with de-subjectified / borderline conscious agents
• Many soldiers take moral responsibility even in this situation of distributed agency
• Against “bad faith”: many cling to guilt: they “could have done something”
• The “centripetal” subject: irresponsible in taking upon itself this responsibility?
Rethinking “distance”: PTSD in drone operators
• Fear model:
– Physiological trauma
– What happened to you
• “Moral injury”:
– Psychological trauma
– What you have done to others
On the way to full automation?: Drone algorithms
Virtual agents in the loop: Siri the killer
Full automation
|
Attached is a memorandum on rehabilitation of residential areas prepared at my suggestion by R. R. Foster of this Division. Foster points out that a rehabilitation program presents more difficult problems of organization, coordination, and financing than does the construction of new dwellings. Nevertheless, signs of increased interest and activity in this field are multiplying. Even though results at first might be painfully slow, the Federal Government could do much to encourage and facilitate residential rehabilitation work. What is most needed, perhaps, is a reversal of the USHA's affirmative hostility towards rehabilitation projects. The local housing authorities, which are dominated by USHA, are strategically placed to develop comprehensive rehabilitation projects, and statutory authorization exists for using USHA funds for this purpose. Instead, however, USHA's rehabilitation work has been negligible and it has actively opposed rehabilitation projects sponsored by others.
Financing facilities for privately sponsored rehabilitation projects are inadequate. FHA insurance provisions for this type of lending are needlessly stringent, and private lending agencies, for this and other reasons, are hesitant to undertake this type of financing. Moreover, the difficulties in assembling properties for comprehensive rehabilitation of neighborhoods are formidable, and private interests, if they think about the matter at all, are more alive to the obstacles than to potentialities. An active promotional campaign undertaken simultaneously by several Government agencies, combined with more liberal FHA insurance provisions, might do a good deal to awaken private lenders and business interests in various communities to the potentialities in this little-exploited field.
Attachment
REHABILITATION OF RESIDENTIAL AREAS
By R. R. Foster
SUMMARY
Current situation
Rehabilitation of residential areas offers one of the most important opportunities today. A well coordinated program could result in increased construction activity, provide sound outlets for idle funds, and raise the standard of housing for a large number of families at low unit costs. Rehabilitation can be carried on in rural as well as urban areas and with varying degrees of private and public participation. Like new residential building, rehabilitation is very much a local problem, yet the Federal Government can help in stimulating a maximum of private investment in this field, with present legislation and at very little cost.
Of the 18,000,000 urban dwelling units, 2,500,000 are indicated by recent surveys as needing major repairs and over 400,000 are unfit for use. Many of these can be repaired and restored at a fourth to a half of the cost of new construction. Also, a considerable portion of the 8,000,000 of the dwellings needing minor repairs can be repaired.
Rehabilitation can include much more than the repair and modernization of dwellings. It can mean rehabilitation of whole neighborhoods in which street realignment, creation of park spaces, rezoning, and adjustment of taxes go along with repair and improvement of the houses themselves.
There have been numerous agencies sponsoring new private residential building and, more recently, publicly-financed slum clearance, but there has been relatively little done toward promoting a comprehensive rehabilitation program. Since 1934 the Federal Housing Administration has insured, up to 10 per cent, repair and improvement loans under Title I on individual properties, and now will insure loans on groups of 16 or more properties under Title II, Sec. 207 (rental housing) where the construction amounts to at least 50 per cent of the amount of the loan. The rates and terms on both these types of loans are not as favorable as they should be. Local housing authorities have been set up in some 300 cities but so far have done practically no rehabilitation work except in connection with the "equivalent elimination" provisions of the U. S. Housing Act. Lending institutions generally have been reluctant to loan for
rehabilitation. A few individuals have undertaken rehabilitation work, but their operations have been relatively limited except in the case of Arthur W. Binns. His efforts over 10 years have resulted in the repair and remodeling of some 500 dwellings in Philadelphia which he rents to negroes at from $3 to $5 per room per month, with no Government subsidy. The National Association of Real Estate Boards has a committee, with Binns as chairman, which is urging local real estate groups to launch repair and improvement programs with private financing; some of these are getting under way.
Program
Federal agencies through a concerted program can assist in overcoming two big obstacles in the way of rehabilitation work, (a) inadequate financing and (b) lack of means for coordinated action by local groups involved in blighted and slum areas—home owners, lending agencies, and city authorities.
The Federal Housing Administration should be induced to make even more liberal the terms on insured loans for repair and improvement work. Many old properties in established neighborhoods when repaired and remodeled are as good security as much of the speculatively built new construction. Also, FHA should push the program more aggressively by active promotional work, particularly in field offices directly in touch with lending institutions.
The Home Owners' Loan Corporation should expand to other cities immediately its very valuable program for carrying out neighborhood rehabilitation plans, such as that for the 38-block Waverly project in Baltimore.
Since most of the local housing authorities are (unfortunately) little more than subsidiaries of the United States Housing Authority, and know little else than what USHA tells them, the latter agency should be persuaded or required to alter its negative policy in regard to rehabilitation and actively sponsor it. The local housing authority can be the focal agency in a city for carrying out a broad coordinated program but will not do so to any extent unless USHA's present attitude is radically changed.
The Federal Home Loan Bank Board, Federal Deposit Insurance Corporation, and the Federal Reserve System can aid by bringing to the attention of their members ways in which they can effectively take part in local rehabilitation programs to prevent spread of blight, provide better housing at minimum costs, and protect the security behind their loans and real estate holdings in troublesome areas. There should be continued pressure on all lending institutions to recognize the possibilities, in fact in some instances the necessity, for making rehabilitation loans on more favorable terms.
The opportunity in rehabilitation is a large one. It offers even more difficult problems than new residential building, but interest in the subject is increasing and it appears that much private investment can be stimulated in the near future by action through established agencies, both local and Federal.
**URBAN REHABILITATION**
**Background of problem**
Most of the current interest and promotional activity in housing is along two lines: (a) New private construction, primarily to house an increasing or shifting population, at an average cost of $5,000 or less per unit including land; (b) new public construction, which replaces slums at about the same average cost per unit. 1/ Such public construction does not add to the number of units available, as an equal number of slum units are demolished.
Relatively little has been done as yet by either private or public agencies about the important field of rehabilitation, i.e., the repair, modernization, and improvement of houses or even whole neighborhoods now in poor condition. This work often can be done at from $800 to $2,000 a unit in cities. In many, but not all, instances, rehabilitation results in a net addition to the housing supply.
If only 1 per cent of the valuation of residential properties were spent annually for repairs and improvements, it would mean an expenditure of nearly a billion dollars a year. Actual expenditures for repairs and modernization work have averaged considerably less than this, in spite of the stimulus of a total of nearly a billion dollars of Title I repair loans insured by FHA since 1934, and FHA's extensive promotional work. Considering that more than 80 per cent of all dwelling units in the country are frame construction, adequate painting and repairs would appear to require more than 1 per cent of the value per year. It can probably be stated as a truism that for a large portion of our housing plant the owners have never spent enough to keep it in proper repair, let alone modernize it.
Banks and other institutions holding mortgages on properties in blighted or slum areas should, of course, be interested in ways and means of arresting the spread of blight and bringing about improvement
---
1/ On 163 USHA projects, including 65,000 dwelling units now under construction, total development cost averages $4,880, ranging from $2,800 in certain Southern cities to as high as $6,200 in some Northern cities.
with a minimum of cost. The Federal Government should be interested in any activity which improves the housing of the country, particularly for medium- and low-income families, and at the same time increases employment and private spending. One of the chief problems is to coordinate the efforts of all agencies involved in any locality to get concerted action on a number of fronts. The recommendations made in this memorandum aim to get such coordination, using to the fullest extent possible, existing agencies and legislation, with a minimum of cost or administrative problems.
Recent developments in rehabilitation work
There are isolated instances of rehabilitation work by private interests, perhaps the outstanding example being that by Arthur W. Binns in Philadelphia. Over a period of 10 years he has purchased some 500 old brick dwellings, mostly row houses, spent from $1,000 to $1,500 each to recondition and modernize them, and rented them to negroes at from $3 to $5 per room per month—and with a return on the investment "... in excess of 10 per cent after depreciation charges of 5% per annum, all taxes and all operating and maintenance costs". Many of the units had been boarded up or were uninhabitable, hence the rehabilitation work raised the standard of housing not only by improving the quality of the individual units but by making additional units available at low rents. Mr. Binns was favored by a special tax situation in Philadelphia which made it possible to buy some of these houses for as little as $80 or $100 each, and his operations probably could not be duplicated elsewhere. However, even with a larger initial outlay, it is apparent that there are profitable possibilities for private enterprises in this kind of work. The principal difficulty is that not enough individuals with Mr. Binns' vision, energy, and persistence are interested; but there will be more as the possibilities become more widely demonstrated.
Difficulty in obtaining financing has been one of Binns' chief problems. Unable to borrow from banks or other lending institutions, at first he borrowed from members of his own family and from friends. Even after demonstrating a profitable operation over a period of years he had difficulty in obtaining loans, at any interest rate, until recently. A great deal of exhortation and actual demonstration of the possibilities of making sound rehabilitation loans will be needed to get banks and other lenders even to investigate this field as an outlet for funds, at favorable interest rates and terms.
The National Association of Real Estate Boards is actively sponsoring rehabilitation work, and an increasing number of local
1/ Freehold, April 15, 1939 and Architectural Forum, September 1939.
groups are being formed to carry out the work. In Kansas City, "Civic Housing Inc.", a limited dividend corporation, is being set up to provide low rent housing by renovating old centrally-located properties. The directors include bankers, utility executives, merchants, and real estate operators. A measure authorizing creation of "urban redevelopment corporations" has passed the New York State Legislature, and it is expected Governor Lehman will sign it. These would be limited dividend corporations subject to regulation by a local planning commission or similar body and having the right of eminent domain to assemble properties after obtaining control of 60 per cent of the assessed valuation of property within a selected area.
The United States Chamber of Commerce also have been urging rehabilitation of residential areas, in part as a substitute for public housing.
The FHA has recently made provision under Sec. 207 of the National Housing Act for insuring loans to finance remodeling and rehabilitation work on groups of properties in blighted neighborhoods. Some of this work may be done, but it is apt to be somewhat limited since it depends primarily on the initiative of interested lending institutions. Also, the requirement that construction work must amount to 50 per cent of the mortgage will prevent the refinancing of existing mortgages on old properties requiring only small amounts of repair and renovation work.
The HOLC is the one Federal agency doing something comprehensive about this difficult job—the rehabilitation of blighted areas. It will soon issue a preliminary report of the study made by its technicians in cooperation with the Baltimore Housing Authority, resulting in a plan for rehabilitation of an area of 38 blocks known as the Waverly section in Baltimore. Much of the preliminary work has been done, and active work will start this spring. If this plan can be carried through even the first of the successive stages now planned, it will serve as a most valuable example of city rebuilding—with a maximum participation by private owners and lending agencies, in cooperation with the city authorities. Banks and other lending institutions can well afford to study carefully the principles and techniques developed for this project, even though the problems and their solutions will be different in every city. In this study HOLC has gone much further in getting down to fundamentals of proper land use than any other agency dealing with urban housing.
Other agencies
The Federal Home Loan Bank Board, Federal Deposit Insurance Corporation, and the Federal Reserve System, either jointly or individually, may do much to call to the attention of their member lending organizations the need for looking carefully into rehabilitation work as a means of making sound, profitable loans; of protecting the security behind loans on properties in declining areas; and of improving the value of real estate held. There is an increasing number of examples of actual work accomplished and techniques for carrying out rehabilitation projects which can be made available to the local institutions to assist them in meeting local problems.
The cooperation of the American Bankers Association and the U.S. Building and Loan League should be obtained in promoting interest in this field among their member institutions.
Why has not more rehabilitation work been done?
It is difficult for an individual to do much unless his neighbors also join. In mixed owner-occupied and tenant neighborhoods, the problem of multiple and absentee ownership makes group action very difficult. Few individuals have the zeal to attempt a large-scale rehabilitation program and almost invariably have found it difficult, if not impossible, to obtain financing. In areas largely of rented dwellings, individual landlords often cannot do much improvement or repairs, as they cannot raise rents, and tax valuations may be increased as a result of the improvement. In many cities high property taxes are an important obstacle to rehabilitation work as structure repair costs, legal difficulties in assembling groups of properties, or the many other problems encountered.
Rehabilitation can be done much more successfully in some situations than in others. If the substandard houses in blighted and slum areas are of frame construction, it is not always economically possible to rehabilitate them, even with some subsidy. This is true especially of row houses. On the other hand, brick row houses usually lend themselves to repair and improvement, if they can be assembled in groups, or a block at a time. Certain types of construction simply are not suitable for repair and modernization, e.g., the old "umbrella" tenement buildings in New York City and long narrow "railroad flats" found in many cities.
Rehabilitation is less difficult where there is a large supply of old, vacant structures on which to operate than in places like the District of Columbia. Here the pressure of population on housing in the lower rent brackets, particularly in negro sections, is so great that there are practically no vacant structures on which to operate, values are held up artificially, and costs of repair and
improvement work are high. The Alley Dwelling Authority has done some very effective rehabilitation work in connection with some of its projects but has been unable to undertake any very extensive program for the above reasons and because of limited funds.
The problem is not always one of reclaiming a densely populated area, in which congestion of the buildings is a factor in the blighted condition. In some cities the areas are blighted because they are too thinly populated and the people housed in shacks out in suburban fringes. This sort of thing is seen in some cities that were oversubdivided in the last building boom. Miles of streets, sidewalks, and utilities have been put in with only occasional dwellings, built originally by speculative developers as "come-ons" to sell adjacent lots. Typically, most of the lots are tax delinquent, and maintenance of streets and utilities excessively costly. Here the solution may be to concentrate on particular areas and encourage further development there. Others, particularly those not having a heavy investment in water or sewer lines underground, might be abandoned, allowed to revert to their best use, such as park, forest, or farming. The taxes would have to be written off, but at the same time maintenance and police and fire protection expense would be reduced.
Government agencies can help to overcome many of the difficulties, the logical agency often being the local housing authority. A few housing authorities are trying to do something about this themselves in addition to the straight slum clearance under the USHA loan and annual subsidy program. Perhaps in time more will see that if they really meet the challenge of the power and responsibility they have as the housing authority for their city, there is no reason why they cannot do a very thoroughgoing job of improving housing conditions by a broad approach, embracing many lines of activity.
Unfortunately most of the local housing authorities so far set up are little more than subsidiaries of the USHA, so thoroughly infused with the USHA philosophy—and so little exposed to any other line of thinking about housing problems—that to date public housing has been little else than the USHA program of tearing down slums, building new, and subsidizing rents. The local authorities think in terms of individual projects rather than a comprehensive city-wide plan for improving housing for as many people as possible. This appears to be so, regardless of the varying nature of housing problems in any city.
Such a limited policy can do little more than scratch the surface of the needs of even the slum dwellers and does nothing for intermediate income groups whose main housing need is not a
new house so much as it is a better house and, often more important, a better neighborhood pattern. In many areas the housing problems are only in part those growing out of structural faults or lack of sanitary facilities, widely cited as measures of substandard housing. More important at times are the problems growing out of improper land use—bad street layout, crowding, poor air, lack of sunlight, lack of recreation facilities, and inadequate facilities for transportation to work. Many of these can be corrected by other less costly means than slum clearance as now carried out.
Since the biggest opportunities for rehabilitation are in large cities and since in the worst areas participation of the local housing authority or some other Government agency is nearly always needed, ways must be found to get the local authorities into this field. Considering the relation of the USHA to the local housing authorities, the USHA thus becomes a key agency for obtaining action.
The problem is to persuade or require USHA to include rehabilitation in its program. 1/ In fact USHA should develop fully the possibilities for public aid to housing in urban areas, before undertaking, largely for political reasons, its misguided efforts in rural housing. These efforts so far have served only to muddy the waters in the rural field, for which other agencies are equipped to operate much better and at considerably lower cost.
It would be a great gain if the present policy-making group in USHA could be persuaded to incorporate rehabilitation in its program and actively follow it up through the local authorities. The U. S. Housing Act authorizes such work, so no new legislation is needed. 2/
If persuasion fails, a "mandate" from Congress might be incorporated in an amendment to S.591 requiring that, of any additional appropriations, a specified part be used in rehabilitation work.
1/ A few dwellings have been repaired and renovated but only in compliance with the "equivalent elimination" clause in the act requiring the demolition or repair and improvement of dwellings equal in number to the new units built.
2/ "Construction activity in connection with a low rent housing project may be confined to the reconstruction, remodeling, or repair of existing buildings." (U. S. Housing Act, Section 2, Article 5.)
RURAL REHABILITATION
Rural nonfarm
Relatively few of the small towns and villages have housing authorities, and in lieu of some such public agency acting as a "prime mover", any extensive repair and remodeling work depends for the most part on the initiative of local individuals and civic groups. In these places there is usually a higher proportion of home owners than in the large cities, and even the rented properties are owned by local individuals. Thus, much of the responsibility for repair and improvement rests in the home owning group. Here, lending institutions can help by getting local civic groups to act and by providing necessary financing at reasonable rates.
Farm
USHA proposes "rural slum clearance" on farms "... at about $2,250 per dwelling, ranging from less than $2,000 in the South to about $2,600 in the North ... Tenants of the new farm units will be required to take care of the houses... and for such maintenance work will be allowed an average credit of from $18 to $25 a year against the gross rent of the dwelling. Thus actual cash payments of an entire dwelling are expected to range from about $36 to $60 a year in the various projects."
For a Government-subsidized program, farm dwelling construction costs of $2,000 to $2,600 are far too high. The $2,250 average is more than twice the average value of all farm houses in the United States in 1930; in some of the Southern States the 1930 average value was less than $500, and presumably is even lower today. A large proportion of the bad housing on farms is in the South, where, fortunately, housing can be supplied at the lowest cost.
The Farm Security Administration has provided good farm dwellings at half the cost proposed by the USHA, and with no subsidy other than the reduced interest rate and supervision. Farm dwellings can be built for as low as $100 in certain sections of the country, without subsidy other than supervision, by use of cheap local materials and contribution of most of the labor by the farmer himself.
It is recommended that the present amendment to S.591 allocating $200,000,000 of USHA loan funds for rural housing be eliminated and that any farm housing program be administered through the Farm Security Administration: (1) under an enlarged Bankhead-Jones Farm Tenant Purchase program; (2) farm rehabilitation loans; (3) sponsorship of self-help cooperatives for group building and repair of dwellings; or (4) a program to supply, at from $30 to $500 per family, anything from a simple privy, such as already provided in considerable volume by WPA, to a complete water supply system and indoor toilet facilities, depending in part on the climate and local circumstances.
This might be in the form of outright grants or favorable loan arrangements. Many more families could be helped than under the proposed USHA farm housing program, and without the continuing annual subsidy.
April 10, 1940.
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Grand, RJJ, Marinacci, F, Pakmor, R, Simpson, CM, Kelly, AJ, Gómez, FA, Jenkins, A, Springel, V, Frenk, CS and White, SDM
Determining the full satellite population of a Milky Way-mass halo in a highly resolved cosmological hydrodynamic simulation
http://researchonline.ljmu.ac.uk/id/eprint/19282/
Article
Citation (please note it is advisable to refer to the publisher’s version if you intend to cite from this work)
Grand, RJJ, Marinacci, F, Pakmor, R, Simpson, CM, Kelly, AJ, Gómez, FA, Jenkins, A, Springel, V, Frenk, CS and White, SDM (2021) Determining the full satellite population of a Milky Way-mass halo in a highly resolved cosmological hydrodynamic simulation. Monthly Notices of the Royal Astronomical Society.
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Determining the full satellite population of a Milky Way-mass halo in a highly resolved cosmological hydrodynamic simulation
Robert J. J. Grand\textsuperscript{1,2,3}\thanks{E-mail: firstname.lastname@example.org}, Federico Marinacci\textsuperscript{4,5}, Rüdiger Pakmor\textsuperscript{6,1}, Christine M. Simpson\textsuperscript{5,6}, Ashley J. Kelly\textsuperscript{7}, Facundo A. Gómez,\textsuperscript{8,9} Adrian Jenkins\textsuperscript{7}, Volker Springel\textsuperscript{6,1}, Carlos S. Frenk\textsuperscript{7} and Simon D. M. White\textsuperscript{10}
\textsuperscript{1}Max-Planck-Institut für Astrophysik, Karl-Schwarzschild-Str. 1, D-85748 Garching, Germany
\textsuperscript{2}Instituto de Astrofísica de Canarias, C/ Via Láctea s/n, E-38205 La Laguna, Tenerife, Spain
\textsuperscript{3}Departamento de Astrofísica, Universidad de La Laguna, Av. de Astrofísico Francisco Sánchez s/n, E-38206 La Laguna, Tenerife, Spain
\textsuperscript{4}Department of Physics \& Astronomy, “Augusto Righi”, University of Bologna, via Gobetti 92/2, I-40129 Bologna, Italy
\textsuperscript{5}Department of Astronomy \& Astrophysics, The University of Chicago, Chicago, IL 60637, USA
\textsuperscript{6}Enrico Fermi Institute, The University of Chicago, Chicago, IL 60637, USA
\textsuperscript{7}Institute for Computational Cosmology, Department of Physics, Durham University, South Road, Durham DH1 3LE, UK
\textsuperscript{8}Instituto de Investigación Multidisciplinar en Ciencia y Tecnología, Universidad de La Serena, Raúl Bitrán 1305, La Serena, Chile
\textsuperscript{9}Departamento de Astronomía, Universidad de La Serena, Av. Juan Cisternas 1200 Norte, La Serena, Chile
Accepted 2021 August 30. Received 2021 August 30; in original form 2021 May 10
ABSTRACT
We investigate the formation of the satellite galaxy population of a Milky Way-mass halo in a very highly resolved magnetohydrodynamic cosmological zoom-in simulation (baryonic mass resolution $m_p = 800$ M$_\odot$). We show that the properties of the central star-forming galaxy, such as the radial stellar surface density profile and star formation history, are (i) robust to stochastic variations associated with the so-called Butterfly Effect and (ii) well converged over 3.5 orders of magnitude in mass resolution. We find that there are approximately five times as many satellite galaxies at this high resolution compared to a standard ($m_p \sim 10^{4–5}$ M$_\odot$) resolution simulation of the same system. This is primarily because two-thirds of the high-resolution satellites do not form at standard resolution. A smaller fraction (one-sixth) of the satellites present at high-resolution form and disrupt at standard resolution; these objects are preferentially low-mass satellites on intermediate- to low-eccentricity orbits with impact parameters $\lesssim 30$ kpc. As a result, the radial distribution of satellites becomes substantially more centrally concentrated at higher resolution, in better agreement with recent observations of satellites around Milky Way-mass haloes. Finally, we show that our galaxy formation model successfully forms ultra-faint galaxies and reproduces the stellar velocity dispersion, half-light radii, and V-band luminosities of observed Milky Way and Local Group dwarf galaxies across six orders of magnitude in luminosity ($10^3 – 10^9$ L$_\odot$).
Key words: methods: numerical – Galaxy: disc – galaxies: formation – galaxies: kinematics and dynamics – galaxies: spiral – galaxies: structure.
1 INTRODUCTION
In the Lambda cold dark matter ($\Lambda$CDM) cosmological framework, Milky Way-mass haloes assemble hierarchically, accreting many smaller dark matter haloes which then become subhaloes of the main system (Frenk et al. 1985). As a consequence, this theoretical model predicts that galaxies should be surrounded by populations of lower mass galaxies. The abundance, properties, and distribution of these satellite galaxies depend on a wide range of galaxy formation physics (such as star formation and feedback) and the merging and disruption of subhaloes, as they come into proximity with the central galaxy. As such, satellite galaxies provide critical tests of both the $\Lambda$CDM paradigm and galaxy formation models on small scales (e.g. Di Cintio et al. 2014; Sawala et al. 2016b; Bullock & Boylan-Kolchin 2017; Macciò et al. 2017; Revaz \& Jablonka 2018; Wheeler et al. 2019; Agertz et al. 2020; Gütke et al. 2021).
The high degree of complexity and non-linearity involved necessitates the use of numerical simulations. For simulations in which baryonic physics is neglected (collisionless dark matter-only – DMO – simulations), the formation of haloes like that of the Milky Way has been studied in exquisite resolution using the ‘zoom-in’ technique (e.g. the Via Lactea and Aquarius simulations; see Diemand, Kuhlen \& Madau 2007; Springel et al. 2008, respectively). However, modelling the formation of large spiral disc galaxies like the Milky Way requires the inclusion of baryonic processes within the $\Lambda$CDM cosmological environment, and has proven to be an exceedingly challenging endeavour (Naab \& Ostriker 2017) because it involves many complex and interlinked astrophysical processes spanning a large dynamic range. Early attempts resulted in bulge-dominated systems – a consequence of the well-known overcooling problem and angular momentum catastrophe (Katz \& Gunn 1991;
Nowadays, however, many groups have overcome these problems through the inclusion of strong stellar feedback processes (see Vogelsberger et al. 2020, and references therein). Several recent cosmological (magneto-)hydrodynamical simulations have produced disc-dominated, star-forming galaxies that match a number of key observables, such as rotation curves, stellar and cold gas structure, and present-day star formation rates (e.g. Marinacci, Pakmor & Springel 2014; Wang et al. 2015; Libeskind et al. 2020; Font et al. 2020b; Agerz et al. 2021). Such realistic central galaxies then serve as a platform to study the formation and properties of their satellite galaxies (Sawala et al. 2015, 2016b; Wetzel et al. 2016; Simpson et al. 2018; Buck et al. 2019; Samuel et al. 2020; Santos-Santos et al. 2020; Applebaum et al. 2021). In particular, the recent work of Applebaum et al. (2021) has shown that it is becoming possible to make predictions for the properties of ultra-faint satellite galaxies in simulations of Milky Way–mass haloes. This new regime offers interesting tests of our galaxy formation models, particularly with the recent discovery of dozens of ultra-faint dwarfs in and around the Milky Way (Simon 2019).
The physical drivers that shape the observed populations of satellite galaxies can be split into two halves: first, the formation of luminous galaxies and which dark matter haloes they occupy (Benson et al. 2000; Berlind et al. 2003); and secondly, their subsequent dynamical evolution and possible disruption. In the last decade, there has been growing interest in how tidal disruption shapes the present-day satellite population, with a particular focus on the role of the baryonic disc potential relative to dark matter only simulations (D’Onghia et al. 2010; Peñarrubia et al. 2010; Zolotov et al. 2012; Brooks & Zolotov 2014; Wetzel et al. 2016; Garrison-Kimmel et al. 2017; Sawala et al. 2017; Richings et al. 2020a). Recent studies have questioned the effectiveness of tidal disruption, with some arguing that it is not needed to solve the ‘missing satellites’ problem (Kim, Peter & Hargis 2018; Fielder et al. 2019) and that too effective tidal disruption may in fact invert the problem (Kelley et al. 2019). Other, idealized dark matter-only N-body simulations claim that satellites orbiting in close proximity to the central galaxy experience some degree of ‘artificial tidal disruption’ (van den Bosch & Ogiya 2018; Errani & Peñarrubia 2020; Errani & Navarro 2021, Green, van den Bosch & Jiang 2021), with effects worsening for faint galaxies typically represented by a fewer number of particles relative to bright galaxies.
Tidal disruption effects manifest themselves strongly in the radial distribution of satellites: if it is too effective (artificial or otherwise), satellites are depleted preferentially near the central galaxy such that the radial distribution of galaxies is not as concentrated as suggested by observations. Indeed, precisely this discrepancy between numerical simulations and observations has been noted by several studies (e.g. Bose et al. 2020; Carlsen et al. 2020), and numerical resolution has become the focal point of attention.
Recent semi-analytic work (Newton et al. 2018; Li, Gao & Wang 2019; Bose et al. 2020) has demonstrated the importance of high resolution in simulations to help solve the problem, and thus explain the abundance and radial distribution of the full satellite populations of Milky Way–mass haloes. These models implement analytic prescriptions to treat the dynamical evolution (such as dynamical friction and tidal mass loss) of ‘orphan’ galaxies – galaxies whose dark matter haloes fall below the resolution limit – to approximate a higher resolution far beyond what can be currently achieved by the highest resolution hydrodynamical cosmological zoom-in simulations. However, predictions from the latter are crucial to better understand how the joint effects of tidal disruption and (perhaps more importantly) the *formation* of faint galaxies shape satellite galaxy populations in Milky Way-mass haloes.
In this study, we make a significant step towards addressing these issues by performing a magnetohydrodynamical simulation for the formation of a Milky Way-mass galaxy that has a baryonic mass-resolution of $\sim 800 \, M_\odot$. This simulation was performed with the Auriga galaxy formation model (Grand et al. 2017), which we describe in Section 2. In Section 3, we present a resolution study of this galaxy across 3.5 orders of magnitude in particle mass, and demonstrate that the central galaxy shows a good level of convergence in the stellar surface density radial profile and the star formation history. We investigate the subhalo and satellite population of the main halo, and show that while subhaloes matched at different resolutions show good convergence, the subhalo/stellar mass functions highlight that twice as many satellites are present at the final time in our highest resolution compared to our standard resolution simulation (a factor of 64 in mass resolution). We investigate how the formation and survival of satellites depends on resolution and on their orbital properties at infall, and how artificial disruption modifies the radial distribution of satellites around their host haloes. Finally, we show that the satellite population of our highest resolution simulation includes analogues of observed ultra-faint galaxies, and reproduces several observable scaling relations of faint dwarf galaxies in the Local Group. In Section 4, we discuss our results in the context of recent simulation efforts and observational findings. In Section 5, we present our conclusions and offer additional applications for our high-resolution simulation for several aspects of galaxy evolution.
## 2 METHODOLOGY
### 2.1 Simulations
The simulated galaxy presented in this paper is a re-simulation of one of the Milky Way–mass systems from the Auriga project (Grand et al. 2017, 2018). These were specifically selected to be between 1 and $2 \times 10^{12} M_\odot$ in total mass ($M_{200}$), which we define as the mass contained inside the radius at which the mean enclosed mass volume density equals 200 times the critical density for closure. They were initially selected from the $z = 0$ snapshot of a parent dark matter-only cosmological simulation of comoving periodic box size 100 Mpc, with the standard $\Lambda$CDM cosmology. The adopted cosmological parameters are $\Omega_m = 0.307$, $\Omega_b = 0.048$, $\Omega_\Lambda = 0.693$, and a Hubble constant of $H_0 = 100 h \, \text{km s}^{-1} \, \text{Mpc}^{-1}$, where $h = 0.6777$, taken from Planck Collaboration XVI (2014). At $z = 127$, the resolution of the dark matter particles of this halo is increased and gas is added to create the initial conditions of the zoom.
The simulations were run with the magnetohydrodynamic code AREPO (Springel 2010), and a model that includes many astrophysical processes deemed important for galaxy formation: primordial and metal-line cooling, a model for star formation that activates for gas densities larger than 0.1 atoms cm$^{-3}$ (Springel & Hernquist 2003), magnetic fields (Pakmor, Marinacci & Springel 2014; Pakmor et al. 2017, 2018), gas accretion on to black holes and energetic feedback from AGN and supernovae type II (SNII) (see Vogelsberger et al. 2013; Marinacci, Pakmor & Springel 2014; Grand et al. 2017, for more details). Each star particle is treated as a single stellar population of given mass, age, and metallicity. Stellar mass-loss and metal enrichment from type Ia supernovae (SNIa) and asymptotic giant branch (AGB) stars are modelled according to a delay-time distribution. We track a total of nine elements produced via these stellar evolutionary processes: H, He, C, O, N, Ne, Mg, Si, and Fe, in addition to six r-process elements produced by neutron star mergers.
Table 1. Summary of the numerical resolution for each simulation analysed in this paper. The columns are resolution ‘level’ of the run; dark matter particle mass; baryonic target particle/cell mass; softening length.
| Level | $m_{\text{DM}}$ (M$_{\odot}$) | $m_b$ (M$_{\odot}$) | $h_b$ (pc) |
|-------|-----------------|-----------------|-----------|
| 2 | 4600 | 850 | 94 |
| 3 | $3.6 \times 10^4$ | 6,700 | 188 |
| 4 | $2.9 \times 10^5$ | $5.4 \times 10^4$ | 375 |
| 5 | $2.4 \times 10^6$ | $4.4 \times 10^5$ | 750 |
| 6 | $2.0 \times 10^7$ | $4.2 \times 10^6$ | 1,500 |
(van de Voort et al. 2020). We have modified the implementation of the uniform UV background from previous Auriga simulations in which the UV background was switched from 0 to full strength at $z = 6$. In all simulations presented here, the background field is gradually increased such that it reaches full strength at redshift 6.\footnote{This change produces small quantitative differences in the faint end of the satellite luminosity function. However, it does not make an overall qualitative difference in the properties of the satellite populations or host galaxies.}
The Auriga model has been shown to produce realistic spiral disc galaxies that are broadly consistent with a number of observations including star formation histories, stellar masses, sizes and rotation curves of Milky Way-mass galaxies (Grand et al. 2017), the distribution of H I gas (Marinacci et al. 2017), the stellar halo properties of local galaxies (Monachesi et al. 2019), stellar disc warps (Gómez et al. 2017), the properties and abundance of galactic bars (Frakgoudi et al. 2020) and bulges (Gargiulo et al. 2019), and the properties of magnetic fields in nearby disc galaxies (Pakmor et al. 2017, 2018).
In this study, we present a simulated galaxy with a mass resolution of $\sim 800$ M$_{\odot}$ per baryonic element, and $6 \times 10^3$ M$_{\odot}$ per dark matter particle, with a softening length of 90 pc after $z = 1$. We designate this resolution as ‘Level 2’, in keeping with previous nomenclature for the Auriga simulations. The simulation took approximately 1.5 million CPU hours to complete. In the following, we compare the properties of the central galaxy and its satellite population in this simulation to lower resolution simulations of the same system, the specifications for which we list in Table 1.
2.2 Matching subhaloes between resolution levels
Our simulations were run with the on-the-fly SUBFIND halo finder (Springel et al. 2001) which initially identifies haloes with a Friends-of-Friends algorithm (Davis et al. 1985) and then separates them into disjoint gravitationally self-bound subhaloes (containing at least 20 particles). The simulations were post-processed with the LHaloTree algorithm that tracks the progenitors and descendents of (sub)haloes at each simulation output time (Springel et al. 2005), and thus constructs a merger tree for each simulation. We use the merger tree information to track the orbital histories of all objects only after $z = 4$, because of uncertainties in the identification of progenitors at earlier times (see also Fattahi et al. 2020). Of these objects, we first identify all luminous subhaloes that are either found within the virial radius of the central galaxy at $z = 0$ or have merged sometime in the past.
For each object, we track the orbit of the main progenitor branch backwards and define the infall time as the time at which the object first crossed the virial radius into the main halo. We record the orbital coordinates at each snapshot prior to infall for each of the identified objects in each simulation; interactions with the host introduce unnecessary complications for matching orbital trajectories. We define the following simple metric to estimate the level of agreement between the coordinates of the $i$th lower resolution object and the $j$th higher resolution object:
$$M_{i,j} = \frac{1}{N} \sum_k \sum_l \sum_i |x_{i,l,k} - x_{j,i,k}|,$$
where $x_{i,l,k}$ is the $l$th coordinate of the $j$th object in the $k$th snapshot pair. We determine the earliest infall time of each considered $i-j$ pair, and sum over $N$ snapshots in the lower resolution simulation prior to this time – each lower resolution snapshot is matched to the nearest (in time) higher resolution snapshot. This ensures that each $M_{i,j}$ value is calculated using halo coordinates outside of the virial radius of the main halo and thus minimizes orbital deviations that may reflect interactions within the main halo. We determine the matched higher resolution halo for the $i$th lower resolution halo by finding the minimum value of $M_{i,j}$ along the corresponding axis. In practice, we find that each matched pair has an orbit averaged metric of $\lesssim 10$ kpc, which yields an excellent level of agreement between the orbits and masses of each standard resolution satellite/progenitor and its matched high-resolution counterpart prior to infall.
3 RESULTS
3.1 Global properties of the central galaxy
Fig. 1 shows the face-on and edge-on stellar light projection of our simulated galaxy at redshift zero. This image is characterized by a blue, radially extended star-forming galactic spiral disc, which surrounds a redder central stellar bulge. The edge-on view shows that the disc is slightly warped, and is embedded in a larger, redder stellar halo. The radial stellar surface density profile is presented in the top left-hand panel of Fig. 2, alongside the profiles of the same object simulated at four lower resolutions, which together span a factor of 4096 in mass. We stress that the physical parameter settings for the galaxy formation model are unchanged at each resolution. The degree to which the surface density profiles vary over this notably large range in resolution is at most a factor of 2 for radii larger than about 3 kpc, with larger variations in the central kiloparsec. At most radii, the stellar surface density increases marginally with increasing resolution; however, certain radii do not always reflect this trend, and there are signs that the two highest resolution simulations are more similar than the lower resolution simulations.
These trends are borne out by the star formation histories shown in the top right-hand panel of Fig. 2; the star formation rate increases marginally, particularly for lookback times greater than about 4 Gyr, with the notable exception that the level 2 and level 3 simulations are very similar earlier than approximately 6 Gyr lookback time, after which time the level 2 drops below the level 3 and becomes almost identical to the level 4 simulation. At lookback times $\lesssim 4$ Gyr, all simulations become very similar and show no systematic trend in star formation rate. Note that the salient trends of the star formation histories: the peak at about redshift 1 and steady subsequent decline to star formation rates of order 1 M$_{\odot}$ yr$^{-1}$ at redshift zero, are retained across 3.5 orders of magnitude in resolution. We note that an unexpected problem associated with our black hole centering procedure (commonly adopted in cosmological simulations) revealed itself in our level 2 simulation; after $z \sim 1$; the black hole (mass $\sim 10^7$ M$_{\odot}$) wanders around the disc at typical distances of order a few...
kiloparsecs from the galactic centre. This unexpected behaviour may negatively impact the convergence of the late-time properties of the central galaxy. Nevertheless, we find that the total stellar, disc, bulge, and gas masses, as well as the scale radii and mean stellar population properties (listed in Table 2) vary little across all resolution levels with the exception of level 6. We stress that this level of convergence has not previously been demonstrated in cosmological hydrodynamic simulations for such a large dynamical range in resolution.
3.1.1 The Butterfly Effect
At face value, resolution studies of individual systems like those presented in Fig. 2 assume that each realization is a unique prediction for a given model and set of initial conditions. However, we know that this is not true in practice. In particular, recent studies have highlighted that running the same code on the same initial conditions with a different random seed can change the result substantially (e.g. Genel et al. 2019; Keller et al. 2019). The extent of such variations depends on the details of the various components of a given galaxy formation model and must be understood in order to assess the predictive power of the model.
The lower left-hand and right-hand panels of Fig. 2 show the radial stellar surface density profiles and star formation histories, respectively, for seven realizations (each with a different random seed) of our level 4 set-up. In general, the scatter in each of these plots is very small; the normalizations and slopes of the surface density profiles are similar at all radii and the shape of the star formation histories and their peak values differ by less than $2 \, M_\odot \, \text{yr}^{-1}$ at any given time. For each plot, the scatter is smaller than that of the resolution study in the upper panels of Fig. 2. We have also verified that the satellite luminosity function shows a similarly low-level of scatter associated with the random seed. This reassures us that the Auriga model does not have a significant ‘Butterfly Effect’ problem, and that most of the variations in our resolution study arise from changes in resolution as opposed to variations associated with numerical stochasticity.
3.2 The subhalo population
In this section, we focus on the properties of the subhalo/satellite population and how they are affected by resolution. The left-hand and right-hand panels of Fig. 3 shows the cumulative subhalo mass and $V_{\text{max}}$ functions for all objects within a radius of 300 kpc of the central galaxy for each of our five resolution levels. Each curve is characterized by a power law that rolls off for objects of lower and lower mass as resolution increases. The lower panels of this figure normalize these curves by that of the highest resolution simulation to more clearly highlight the differences between resolution levels. From these plots, we infer that $\gtrsim 100$ dark matter particles per subhalo are required for lower-resolution simulations to reproduce $\gtrsim 90$ per cent of the subhaloes at $z = 0$ in our highest resolution simulation. For our standard resolution simulations (level 4), this translates to a subhalo mass, $M_{\text{sub}} \gtrsim 5 \times 10^7 \, M_\odot$, or equivalently, $V_{\text{max}} \gtrsim 10 \, \text{km s}^{-1}$. However, convergence drops to $\sim 70$ per cent and $\sim 10$ per cent for subhalo masses $M_{\text{sub}} \gtrsim 10^7 \, M_\odot$ and $M_{\text{sub}} \gtrsim 10^6 \, M_\odot$, respectively.
The left-hand panel of Fig. 4 shows the cumulative satellite luminosity function for all satellites within 300 kpc of the host halo centre in each of our simulations. The shape of the function is generally preserved at each resolution, with the function extending to fainter galaxies as resolution increases. The number of satellites fainter than $M_V \sim -10$ seems to increase with resolution, and we will discuss this further in the next section. The abundance of bright satellites, in contrast, appears to show little variation for most resolution levels, although there is an increment of 1 at $M_V \sim -13$ for our level 2 simulation relative to lower resolution simulations (with the exception of level 6, which is clearly too low a resolution to even capture the brightest satellites reliably). We observe a slight trend of increasing luminosity with increasing resolution for the brightest satellites, although this seems to be similar to the variation induced by the Butterfly effect; the scatter in different realizations of the level 4 luminosity function arguably accounts for much of this discrepancy.
We compare the simulated satellite luminosity functions with recent observational data for the Milky Way’s satellites analysed by Newton et al. (2018) and with the fitting function for the faint end of the luminosity function derived by the same authors. It is clear that our level 2 simulation produces the best fit to the observed luminosity function, and that this match becomes less good as resolution decreases. At the faint end, this is a good match to the data, although the extrapolation of the fit function from Newton et al. (2018) implies the abundance may still be underestimated for galaxies fainter than $M_V \gtrsim -4$.
Finally, we compare the level 2 luminosity function to those of several Milky Way-mass host haloes in the local volume in the right-hand panel of Fig. 4. To make this comparison, we calculate the V-band surface brightness within the effective projected half-light radius, $\mu_{V,\text{eff}}$, and absolute magnitude, $M_V$, of each satellite within
Figure 2. Top left: The projected radial stellar surface density profile of our high-resolution simulated galaxy (denoted level 2) and of the same galaxy simulated at a series of lower mass resolution simulations that successively increase the particle mass by factors of 8. Top right: As the left-hand panel, but for the star formation history. Bottom: As above, but for seven different realizations of the standard resolution level four simulation; each simulation has exactly the same initial conditions but for the random seed, which is different in each case. The scatter in these curves thus reflects the stochastic variation associated with the ‘butterfly effect’ (e.g. Genel et al. 2019; Keller et al. 2019), which is small.
Table 2. Galaxy parameters for each simulation. The columns are resolution level; halo mass; total stellar mass within one-tenth of the virial radius; the cold ($T \lesssim 10^4$ K) gas mass contained within one-tenth of the virial radius; the stellar disc mass; exponential disc scale length; stellar bulge mass; bulge effective radius; ratio of the disc stellar mass ($D$) to the sum of the disc and bulge stellar mass ($D+B$); median stellar age and metallicity of all star particles within one tenth of the virial radius. The disc and bulge components have been derived from a simultaneous fit of a Sérsic and exponential profile to the stellar mass surface density (as done in Grand et al. 2017).
| Level | $M_{200}$ $(10^{12} M_\odot)$ | $M_*$ $(10^{10} M_\odot)$ | $M_{\text{cold gas}}$ $(10^{10} M_\odot)$ | $M_{\text{disc}}$ $(10^{10} M_\odot)$ | $R_{\text{exp}}$ (kpc) | $M_{\text{bulge}}$ $(10^{10} M_\odot)$ | $\tau_{\text{eff}}$ (kpc) | $D/(D+B)$ | $\tau_*$ (Gyr) | $Z_*$ |
|-------|-----------------|-----------------|-----------------|-----------------|-----------------|-----------------|-----------------|-----------------|-----------------|-------|
| 2 | 1.02 | 6.72 | 0.79 | 5.67 | 3.62 | 0.31 | 0.87 | 0.95 | 7.42 | 0.030 |
| 3 | 1.04 | 6.89 | 0.85 | 5.39 | 4.03 | 1.18 | 1.27 | 0.82 | 6.58 | 0.032 |
| 4 | 1.03 | 5.15 | 0.72 | 4.55 | 4.85 | 0.60 | 1.09 | 0.88 | 6.70 | 0.027 |
| 5 | 1.03 | 3.84 | 0.30 | 3.51 | 4.82 | 0.33 | 1.19 | 0.91 | 6.97 | 0.023 |
| 6 | 0.99 | 3.36 | 0.73 | 2.81 | 3.28 | 0.07 | 0.83 | 0.97 | 6.42 | 0.021 |
300 kpc of the main galaxy, and select only those with $M_V < -12$ and $\mu_{V,\text{ext}} < 28.3$ (as is also done in Font, McCarthy & Belokurov 2020a, for example). We calculate the projected radius of these satellites along 1000 random lines of sight, and select those within a projected distance of 150 kpc of the central galaxy to mimic the apertures used in the observations. We divide the resulting luminosity function by 1000. The right-hand panel of Fig. 4 shows that this luminosity function lies within the scatter of the local volume observations.
The lower panel of Fig. 5 shows the stellar mass as a function of total mass at $z = 0$ for all level 2 galaxies (including satellite
Figure 3. Cumulative subhalo mass function (left) and subhalo $V_{\text{max}}$ function (right) for all objects within 300 kpc of the centre of the main halo at the present day. The lower panels show the curves for each resolution normalized to that for the highest resolution (level 2) simulation. $V_{\text{max}}$ has been corrected for the effects of softening following equation 10 in Springel et al. (2008).
Figure 4. Left: Cumulative V-band absolute magnitude function of all satellites within 300 kpc of the centre of the main halo at the present day, for all resolution levels (colour is as for other figures; L2: blue; L3: orange; L4: green; L5: red; L6: purple). We show also the distribution of six additional realizations of the L4 run with thin green lines to illustrate the scatter from the Butterfly effect. Observational data for classical dwarf galaxies, SDSS DR9, and the DES survey (see table A1 of Newton et al. 2018) are shown by the dashed curve, and the median and 2σ of the completeness-corrected data for $M_V > -8.8$ listed in appendix E of Newton et al. (2018) are shown by the solid black and grey shaded region, respectively. Right: As the left-hand panel, but for high-resolution satellites with $\mu_{V,\text{eff}} < 28.3$ and $M_V < -9$ within a projected radius of 150 kpc of the central galaxy averaged over 1000 lines of sight. This mimics the selection function of the Milky Way mass galaxies in the Local Volume described in table 3 of Carlsten et al. (2021), the luminosity functions of which are shown by the thin lines.
galaxies) in a 1 Mpc volume around the central galaxy. Each point is colour-coded to reflect the fraction of dark matter a given object has lost, since it reached its peak mass. We clearly see that galaxies that have experienced more tidal stripping are found further to the left in this plot. This trend was first highlighted by Sawala et al. (2015) in the Apostle simulations (Fattahi et al. 2016) and reported in Simpson et al. (2018) for the full sample of level 4 Auriga simulations. However, we now see that it holds for stellar masses $< 10^6 \, M_\odot$ and halo masses $10^8–10^9 \, M_\odot$. Notably, objects that have experienced the least dark matter mass loss lie very close to the extrapolated abundance matching curve (Moster et al. 2013). Aside from the effects of tidal stripping, Sawala et al. (2015) showed that the abundance matching relation derived from higher masses cannot be extrapolated to the lower halo masses at which only a fraction of the haloes host a galaxy. These authors provide a correction to the abundance matching relation that takes this into account.
In the top and middle panels of Fig. 5, we plot the cumulative luminous fraction, $f_L$, as a function of the peak and $z = 0$ halo mass, of all simulated haloes within a 1 Mpc sphere around the central galaxy. We observe a trend that, for a given value of $f_L$, the halo mass (both peak and $z = 0$) above which $f_L$ of the subhaloes are luminous decreases with increasing resolution. For example, at level 4, $f_L = 0.5$ for $z = 0$ masses $\sim 10^9 \, M_\odot$, which drops to $\sim 10^8 \, M_\odot$ at level 2. These panels may be compared with fig. 4 of Munshi et al. (2021) and fig. 2 of Sawala et al. (2016a), respectively, who found a similar dependence on resolution. The level 2 Apostle simulations in the latter study, which have comparable resolution to our level 3 simulations, the 50 per cent occupation mass is $2 \times 10^7 \, M_\odot$, an order of magnitude larger than for our level 3 simulations. The main reason for this difference is the assumed redshift of reionization: 6 in our simulations but 11.5 in Apostle. The dependence of $f_L$ on the redshift of reionization was calculated by Benitez-Llambay & Frenk (2020), see their fig. 11) who studied in detail how the halo occupation fraction depends on the modelling of gas cooling, reionization, and star formation at high redshift.
It is worth noting that Nadler et al. (2020) find, using a halo occupation model, that nearly all haloes with a peak halo mass greater than $\sim 3 \times 10^9 \, M_\odot$ contain a luminous galaxy. This is because such models employ analytic prescriptions to predict how galaxies and their host haloes evolve below the resolution limits of fully numerical simulations. This is consistent with the notion that the increase in luminous fraction for low-mass haloes is a combination of the ability to form stars in small-mass haloes and the effects of tidal stripping, which we discuss below.
### 3.2.1 Satellite evolution and disruption
In this section, we study the resolution dependence of subhalo formation and disruption and their relation to the abundance of satellites. For clarity, we focus on comparisons between the highest resolution simulation (level 2) and the ‘standard’ resolution simulation (level 4), which has a mass resolution 64 times poorer. Comparisons involving the standard resolution simulation are interesting because they are of similar resolution to the highest resolution cosmological box simulations (e.g. Illustris TNG; Pillepich et al. 2019).
Fig. 6 shows the satellite stellar mass function of the level 2 (blue solid line) and the standard resolution level 4 (green solid) simulations. Two possible explanations for the offset in these two functions are (i) the stellar masses of individual satellites are larger at higher resolution compared to lower resolution for the same objects and (ii) there are more objects of a given stellar mass (particularly near the low-mass end) at high resolution compared to lower resolution. To understand the relative importance of each, we first consider the impact of tidal disruption on matched objects in the two simulations. We use the method described in Section 2.2 to identify and match all surviving satellites and disrupted systems in both the standard and high-resolution simulations. In practice, we find a good match at level 2 for all the luminous satellites and progenitors identified after $z = 6$ in the level 4 simulation.
The cumulative stellar mass function of all objects that survive in both the level 4 and level 2 resolution simulations (set 2; blue dotted)
Figure 6. Cumulative stellar mass function of satellites within the virial radius of the main halo for our standard level 4 (green) and high-resolution level 2 (thick blue solid) simulations. These simulations are separated in baryon mass resolution by a factor of 64. The function for satellites that survive at high resolution but disrupt at standard resolution is shown by the dashed blue curve. High-resolution counterparts of the level 4 bright satellites (blue dotted line in Fig. 4) have a very similar mass function to the level 2 satellites. The thin blue line is the sum of the dashed and dotted lines; the discrepancy between this line and the thick solid line reflects the objects that formed only in the high-resolution simulation.
is very similar to the $z = 0$ cumulative stellar mass function of the level 4 simulation. Interestingly, one of the surviving level 4 satellites is disrupted in the level 2 simulation, because in this case their orbital trajectories deviate strongly after infall; the level 2 subhalo inspirals whereas the level 4 counterpart has a large apocentre. The most massive level 2 satellites can be a factor of $\sim 2$ larger than their level 4 counterparts; otherwise, the small differences between these two distributions are similar to stochastic variations induced by changes in random seed, as discussed in the preceding section. Fig. 6 shows also the cumulative stellar mass function of objects that were identified as having been disrupted at level 4 but which survive at level 2 (set 1; blue dashed). These objects nearly all contain $\lesssim 10^8 \, M_\odot$ in stellar mass (with the exception of a single $M_* \sim 10^9 \, M_\odot$ satellite). Together with the surviving level 4 satellites, these account for approximately one-third of the level 2 satellite population; however, the rest, approximately 40 satellites with stellar masses $\lesssim 10^8 \, M_\odot$, simply do not form at level 4.
We now compare the evolution of the satellites in the standard (level 4) simulation with their high-resolution (level 2) counterparts. In Fig. 7, we show the evolution of the satellite distance from the centre of the main halo (top row), the total and stellar satellite mass (middle row), and the dark matter density (bottom row) for three different satellites, each with a different orbital eccentricity at infall. First, the figure demonstrates that the method described above successfully matches pairs of subhaloes from each simulation; all quantities are almost identical before the second pericentric passage of the satellites, after which time the gravitational influence of the main halo becomes important and clearly gives rise to differences in each case. Thin vertical and horizontal lines indicate the time of first pericentric passage after the satellites cross the virial radius of the main halo, and the pericentre at this time (referred to also as the impact parameter) in all cases.
For each subhalo shown in Fig. 7, the total satellite mass reaches a peak at early times ($t_{\text{peak}} \gtrsim 12$ Gyr), and begins to show signs of decline just before and after infall into the main halo and this continues with subsequent pericentric passages. For more circular orbits (illustrated by the objects in the left and right columns of the figure), pericentric passages are many and frequent, leading to steady mass-loss via tidal stripping of the outer dark matter haloes, whereas the highly eccentric orbit (middle column) experiences fewer, but more sudden episodes of tidal stripping coinciding with its relatively few pericentric passages. The stellar mass of these objects reaches its peak value later than the dark matter mass owing to the continued formation of stars and because the outer dark matter is stripped before the stars. After the first or second pericentric passage, tidal stripping of stars begins to occur, which leads to a turn-over in satellite stellar mass evolution.
For each object shown in Fig. 7, the satellite mass drops rapidly before it disrupts in the level 4 simulation, whereas it continues to decrease smoothly in the level 2 simulation. A typical halo mass at which mass loss deviates towards disruption at standard resolution is $\sim 10^7 - 10^8 \, M_\odot$, which translates to approximately 100 dark matter particles. The reason behind the differences in this late-time evolution between standard and high-resolution may be gleaned from the dark matter density evolution in the lower-panels of Fig. 7, which illustrates clearly that tidal stripping eventually causes the density of the subhaloes to sharply decrease at standard resolution, whereas it continues to steadily increase at high resolution. Evidently, this dramatic decline reduces the dark matter density of satellites to values below that of the background halo, which ensures their rapid disruption.
The intriguing difference in dark matter density evolution motivates us to examine the evolution of the cumulative radial mass profile of satellites, which is shown in Fig. 8 for the satellite in the left-column of Fig. 7. Each curve corresponds to the mass profile measured at an apocentric passage, beginning with the first, and ending with the last apocentric passage of the level 4 satellite. For the satellite shown in Fig. 8, there are 5 such passages, and profiles are shown at each of these times for dark matter (solid) and stars (dashed). In each case, the mass distribution is reduced mainly from the outside-in from the first to the third apocentric passage, with the half-mass radius for each component decreasing as stripping proceeds. However, after the next apocentric passage, the central parts of the level 4 satellite experience severe mass-depletion in addition to the outer parts, and disrupts soon thereafter. In contrast, the level 2 counterpart satellite largely preserves its central mass content, which is crucial to retain the high density and short crossing time-scale that subhaloes require to resist tidal disruption.
The efficacy of tidal disruption on subhaloes is expected to depend on properties such as eccentricity and impact parameter; satellites with low impact parameters experience stronger tidal forces than those on larger orbits, and the time-scale for disruption is shorter for less eccentric orbits owing to more frequent pericentric passages. This has been demonstrated recently in idealized simulations (e.g. Errani & Navarro 2021) for systematic studies of tailored situations. We explore the dependencies and implications of our sample of disrupted and surviving satellites at standard resolution and their high-resolution counterparts in Fig. 9. This figure shows three types of satellites: (i) those that survive at both resolution levels; (ii) those that survive only at high-resolution; and (iii) those that are destroyed at both resolution levels. The left-hand panel shows the impact
Figure 7. Evolution of three luminous subhaloes of varying orbital eccentricities at infall (columns) in the standard level 4 (green) and the high-resolution (level 2) simulations. The rows show evolution of galactocentric distance (top), the total and stellar masses (middle; solid and dashed lines, respectively), and the dark matter density, defined as the mass enclosed within the half-mass radius divided by its volume (bottom). The impact parameter and infall time, defined as the distance and time of the first pericentric passage after infall, are indicated by the horizontal and vertical lines, respectively. In each case, the satellite survives at high resolution, but disrupts at standard resolution. All measured quantities show very similar evolution before infall (except for the stellar mass of the satellite in the first column), but deviations occur with increasing pericentric passages. In particular, the dark matter density drops suddenly after sufficient mass-loss has occurred at standard resolution, whereas it steadily increases at high resolution. Note that in the rightmost column, the pericentre after infall is marginally smaller at high resolution, which causes mass-loss to occur more promptly compared to its standard resolution counterpart.
parameter as a function of eccentricity as measured in the high-resolution level 2 simulation.\footnote{Note that the values for the impact parameter, eccentricity, and $\Delta t$ (the last of these for surviving satellites only) are almost identical for the standard level 4 resolution simulation, so we plot only the high-resolution level 2 set of measurements for clarity.} There is a clear trend of lower impact parameters with increasing eccentricity for all surviving satellites (stars and open circles), because stronger tides act faster to disrupt nearer and less-eccentric objects. Interestingly, the satellites that survive only at high resolution populate lower impact parameter-less eccentric regions of this space, i.e. at fixed eccentricity, the impact parameter is smaller compared to satellites that survive at both resolutions. In these regions of parameter space, stronger tides are expected to operate on shorter time-scales. Objects disrupted in both simulations (solid dots) are located at even lower impact parameters at fixed eccentricity.
The right-hand panel of Fig. 9 shows the impact parameter of the same objects plotted now as a function of either the ‘infall time’, defined as the lookback time of first infall (for surviving satellites) or ‘disruption time’ (for disrupted objects) defined as the time between first infall and disruption. Both are denoted $\Delta t$. It is clear that the satellites that survive independently of resolution have a range of
To explore how the distribution of satellites around their host galaxy centre is affected by resolution, we show in Fig. 10 the radial distribution of satellites normalized by the total number of satellites within the virial radius of the main halo for our three highest resolution simulations. We include only those satellites with a stellar mass $M_*>5\times10^8\,\text{M}_\odot$ in each simulation; this is the stellar mass resolution of our standard level 4 simulation and ensures we compare fairly between our different resolution levels. We note that the radial distribution of satellites can be somewhat time-dependent, as they evolve through their orbital phases, and it has been suggested that simulation snapshots should be time-averaged to mitigate this dependence (Sawala et al. 2017; Samuel et al. 2020). We therefore time-average the radial distribution over the last several snapshots of each simulation (approximately the last gigayear of evolution). This is comparable to the orbital timescale of a typical satellite in the inner halo, and therefore should be sufficient to mitigate the time-dependence of the radial distribution in the main region of interest for our analysis.
Fig. 10 shows a clear trend in which the distribution becomes more centrally concentrated as numerical resolution increases: the inner tercile of satellite distances extends to $\sim70$ kpc in the level 2 simulation, compared to $\sim100$ kpc in both the level 4 and level 3 simulations. We note that if we include only objects with stellar masses $>10^9\,\text{M}_\odot$, the radial distribution is similar at all resolution levels, which indicates that these objects are well-resolved at standard resolution (although note the single level 2 object of $\sim10^8\,\text{M}_\odot$ stellar mass that disrupts at standard resolution, Fig. 7). However, we caution that for the system presented in this paper, there are very few objects at these masses.
Alongside the simulation curves in Fig. 10, we show also the completeness-corrected distribution of Milky Way satellites derived by Newton et al. (2018) (see Fig. 3 of that study), which compensates for the radial bias in the raw observations. Although these data represent only one host galaxy, the level of agreement of the observations with our level 2 simulation, particularly within a galactocentric radius of $\sim150$ kpc, is striking.
To extend our comparison to galaxies in the local volume (in particular to those presented in Carlsten et al. 2020), we construct synthetic projected radial distributions of our simulated satellites to mimic the selection function of the observations. To this end, we first select satellites with $M_V<-12$ and $\mu_{V,\text{eff}}<28.3$ (as described in Section 3.2). To increase the sample size and statistical significance of our results, for each simulation, we (i) time average over the same period mentioned above and (ii) calculate the projected radius of satellites along 1000 random lines of sight for each snapshot. Further, for the standard resolution, we average over the 7 different realizations that we have available.
Fig. 11 shows the histogram of the projected radial distance of the synthetic satellite sample at the standard resolution and high resolution out to 150 kpc, which is approximately the aperture used in the observations (Carlsten et al. 2020). It is clear that the projected radial distribution of simulated satellites is more centrally concentrated compared to the standard resolution: the median and lower quartile projected distances for the high-resolution simulation are 75 and 40 kpc, respectively, compared to values of 90 and 60 kpc for the standard simulations. The high-resolution simulation is thus a better match to the local volume data. We may infer from the results shown in Figs 10 and 11 that the limited resolution of typical cosmological hydrodynamics simulations causes their distribution of satellites with $M_*>10^8\,\text{M}_\odot$ to be less concentrated than certainly higher resolution simulations, and perhaps even observations, which supports the recent findings of semi-analytic models applied to high-
Figure 8. The cumulative mass radial profile of the dark matter (solid) and stellar matter (dashed) of the satellite presented in the left column of Fig. 7 at each apocentric passage after infall and before the disruption time at standard resolution. The softening length for each simulation is indicated by the vertical line. At the highest resolution, the stripping mainly removes stars from the outer parts of the mass distribution, and leaves the inner parts almost untouched. This is not seen at standard resolution, which instead shows that the inner parts become severely depleted after the third pericentric passage.
Figure 9. Impact parameter (defined as the distance of the first pericentric passage after infall) as a function of orbital eccentricity (defined at infall; left-hand panel), and as a function of the time since infall for surviving satellites or the elapsed time between infall and disruption for disrupted systems (right-hand panel), all measured in the highest resolution simulation. Satellites that survive at both standard and high resolution (stars), satellites that survive only at high resolution (open circles), and satellites that are disrupted in both (solid circles) are shown.
Figure 10. The normalized radial distribution of satellites with stellar mass $\geq 5 \times 10^8 M_\odot$ (the stellar mass resolution of our standard level 4 simulation) for the three highest resolution simulations (coloured curves) and for the Milky Way (black dashed curve). The distribution is more centrally concentrated at higher resolution: the innermost tercile is found within 100 kpc at both standard resolution and the level 3 resolution simulations, compared to $\sim 70$ kpc at highest resolution. The virial radius is shown by the vertical dotted grey line.
Figure 11. Histogram of the projected radial distance of mock samples of satellites for our simulated standard (green) and high (blue) resolution simulations (see the text for details). These histograms are normalized in a similar way to the local volume observations (black) presented in Carlsten et al. (2020). The projected radial distribution of satellites in the high resolution simulation has median and lower quartile values equal to 75 kpc and 40 kpc, respectively, compared to values of 90 kpc and 60 kpc for the standard simulations. The former set of values agrees better with the observations than do the latter.
resolution N-body simulations (Bose et al. 2020). Note that, aside from resolution, other possible explanations for the apparent discrepancy between predicted and observed distributions of satellites have been put forwards (see Section 4).
3.2.3 Satellite scaling relations
In this section, we demonstrate that our simulation is not only capable of following the formation of the full luminosity range of Milky Way satellites (including ultra-faint galaxies), but also that these simulated satellites match a range of observational scaling relations across $\sim 6$ orders of magnitude in $V$-band luminosity.
The top panel of Fig. 12 shows the stellar velocity dispersion of satellite galaxies within 300 kpc of the main halo centre for our three highest resolution simulations as a function of $V$-band luminosity (relative to Solar). The median values of stellar velocity dispersion in bins of luminosity are depicted by the solid curves. At the bright end ($L_V \gtrsim 10^7 L_\odot$), all simulations show almost
Figure 12. Top: Stellar velocity dispersion as a function of V-band luminosity for satellite galaxies within 1 Mpc of the central galaxy in our three highest resolution simulations. Squares represent individual satellites, and the median velocity dispersion for each luminosity is shown by the solid curves. Bottom: As the top panel, but for the stellar V-band half-light radii of satellite galaxies. We include only satellites that contain at least 10 star particles. Observations for Milky Way and M31 satellites are shown in black (McConnachie 2012) (following Applebaum et al. 2021), in the lower panel we exclude satellites with half-light radii less than 100 pc, because this is approximately our level 2 softening length and also the regime where it is difficult to distinguish dwarf galaxies from globular clusters). The highest resolution simulation probes well into the ultra-faint galaxy regime, and agrees well with both observed scaling relations.
identical relations that agree well with observations. Proceeding from brighter to fainter luminosities, the standard resolution simulation curve drops below the observational data points for luminosities fainter than $L_V \sim 10^6 L_\odot$, before cutting off entirely a further order of magnitude lower. This trend is replicated for the next highest resolution simulation (level 3), but shifted an order of magnitude fainter, whereas our highest resolution simulation probes satellites as faint as $L_V \sim 10^4 L_\odot$ – well into the ultra-faint galaxy regime. We note that for this simulation, the median appears fully consistent with the observed Milky Way satellites over the entire luminosity range. We note that the scatter at $L_V \sim 10^6 L_\odot$ appears larger in the observations compared to the simulation, but this may be because the observations contain objects from more than one system whereas we have only one simulated galaxy with few objects at this luminosity.
The lower panel of Fig. 12 shows the half-light radius of satellites within 300 kpc of main halo centre for our three highest resolution simulations as a function of V-band luminosity. The same trends seen in the upper panel of Fig. 12 hold for this relation, except that the half-light radius decreases for the magnitude range $L_V \sim 10^4 L_\odot - 10^6 L_\odot$ with increasing resolution, which brings the level 2 resolution simulation into good agreement with the observations. We note that there are a few observed large, faint satellites not found among the simulated satellites. Whether this is because of a lack of (sub)halo diversity inherent to a single simulated galaxy, a manifestation of our galaxy formation model, or of numerical origin, is unclear. Nevertheless, that the stellar velocity dispersion and half-light radii of our highest resolution satellites agree well with the general trends seen in the observations indicates that the Auriga galaxy formation model produces realistic mass distributions for both dark matter and stars in satellite galaxies spanning almost the entire luminosity range of observed Milky Way satellites.
In Fig. 13, we show the metallicity of satellite galaxies as a function of V-band luminosity for our three highest resolution simulations. Metallicity increases with brightness as observed, but for magnitudes brighter than $L_V \sim 10^4 L_\odot$, the metallicity of the simulated objects is systematically $\sim 0.5$ dex too large, although many lie within the observed scatter. Preliminary investigations into the feedback model suggest that this discrepancy can be removed if metal-poor systems are assumed to produce faster supernova-driven winds than metal-rich systems where radiative losses are plausibly more significant (see Pillepich et al. 2018; Verma et al. 2021). This scaling increases the efficacy with which winds expel metals at early times, and is expected because additional cooling losses should slow down winds. Nevertheless, for luminosities fainter than $L_V \sim 10^4 L_\odot$ nearly all of our satellites are consistent with the observed scatter in this relation.
4 DISCUSSION
Our study highlights the importance of high resolution for predicting the satellite luminosity function down to the ultra-faint regime. The main reason is that at standard (level 4) resolution most of these objects do not form. This result supports the recent semi-analytic
work of Newton et al. (2018), who applied the Galform model to the high-resolution dark matter-only Aquarius haloes (Springel et al. 2008), and showed that accounting for so-called orphan galaxies and the destruction of satellites by a central disc produced an excellent match to the Milky Way’s satellite luminosity function. Our high resolution simulation confirms this in a cosmological hydrodynamic simulation.
A secondary effect is the disruption of subhaloes as a result of gravitational tides induced by the central dark halo and stellar disc (D’Onghia et al. 2010; Yurin & Springel 2015; Richings et al. 2020b); approximately one fifth of the satellites in our highest resolution simulation were formed and disrupted before $z = 0$ at standard resolution. This indicates that our high resolution simulation at least partially mitigates some artificial disruption effects that tailored $N$-body simulations have highlighted (e.g. van den Bosch et al. 2018; Errani & Navarro 2021). These effects are a concern primarily in the ultra-faint regime, although they seem to play a subdominant role in the ability of the simulations to reproduce the faint-end of the luminosity function compared to the effect of forming faint galaxies in the first place. We note that these effects are ameliorated but remain significant for simulations with a higher-than-standard mass resolution of $\sim 6 \times 10^3 \, M_\odot$ (equivalent to our level 3 simulation). At face value, this means that even the highest resolution modern cosmological zoom-in simulations may be missing a significant fraction of satellites at the present day. We defer a detailed investigation into these numerical effects to a future study.
In Section 3.2.2, we showed evidence that the distribution of satellites around their central host galaxy becomes more centrally concentrated for higher resolution. This result is in agreement with those of Bose et al. (2020), who used the Galform semi-analytic model applied to the COCO $N$-body simulations (Bose et al. 2016; Hellwing et al. 2016) to show that $\Lambda$CDM is consistent with the observed radial distribution of Milky Way satellites after effectively increasing the resolution of their simulations by taking into account orphan galaxies. These results imply that the discrepancies between the radial distribution of satellites in large-box simulations and observations of nearby spiral galaxies discussed by Carlsten et al. (2020) can be explained if sufficiently high resolution is employed. It is also important to note that Font, McCarthy & Belokurov (2020a) showed that modelling observational selection effects improves the level of agreement between predictions from the Artemis simulations (Font et al. 2020b) and Milky Way analogues sampled in the local volume and SAGA surveys (Mao et al. 2021). However, the low number of objects in the former survey in particular will require more observations to ascertain the statistical robustness of this result.
Finally, we note that in addition to numerical resolution, differences in the stellar disc properties between our standard and highest resolution simulations may further affect the rates of subhalo disruption. Although less than 2 per cent more massive, the standard resolution stellar disc is 1 kpc larger in scale-length, which may make it more effective at disrupting subhaloes. Furthermore, we caution that our results are derived from a resolution study of a single Milky Way-mass system simulated with a particular galaxy formation model, and that a larger sample of simulations is desirable to have a more statistically robust handle on results we have presented.
5 CONCLUSIONS
We have presented a magnetohydrodynamic cosmological simulation of the formation of a Milky Way-mass galaxy based on the AURIGA model with an unprecedented 800 $M_\odot$ mass resolution per baryonic element. We verified that this simulation produces a realistic star-forming spiral disc galaxy, with a radial stellar surface density profile that reflects a disc-dominated system, and a star formation history that peaks at $z \sim 1$ and steadily decreases to present-day values of order $1 \, M_\odot \, \text{yr}^{-1}$. We showed that these quantities and the properties and abundance of subhaloes converge well over 3.5 orders of magnitude in mass resolution, and are thus, for the first time, numerically robust over a large range of scales. We further showed that the Auriga model is also robust to stochastic variations associated with the ‘Butterfly Effect’, which are small.
We analysed the properties of the simulated subhaloes and satellites, and how they depend on numerical resolution. We come to the following main conclusions:
(i) We show that our highest resolution simulation provides an excellent match to the observed abundance of Milky Way satellites, particularly at the faint end ($M_V \lesssim 10^2 \, M_\odot$, $M_V \gtrsim -10$), whereas lower resolution simulations underestimate it significantly. We show that this is mainly because two-thirds of high-resolution satellites never form at standard resolution, and that a smaller number of satellites that do form in both simulations are disrupted at standard resolution before $z = 0$.
(ii) We find that the radial distribution of satellites becomes more compact with increasing resolution: the median normalized satellite distance shifts from $\sim 130 \, \text{kpc}$ at standard resolution to $\sim 100 \, \text{kpc}$ at the highest resolution, in better agreement with the radial distribution of Milky Way satellites. This trend disappears if only satellites more massive than $\sim 10^4 \, M_\odot$ in stars are considered, reflecting the effects of high-resolution faint satellites that either do not form or are disrupted at lower resolution. Among the latter type, objects on low-eccentricity and low-impact parameter orbits are particularly affected. Further, we show that mock observations of the projected radii of high-resolution satellites reproduce the observed trend in local volume observations, in contrast to standard resolution satellites whose radial distribution is much too extended.
(iii) We show that our highest resolution simulation reproduces the mean stellar velocity dispersion-luminosity and half-light radius-luminosity scaling relations of Milky Way and Local Group satellites in the luminosity range $L_V \sim 10^1 \, L_\odot$–$10^{10} \, L_\odot$. However, the stellar metallicities of satellites more luminous than $L_V \sim 10^4 \, L_\odot$ are higher than observed by about 0.5 dex. More simulations are required to attain the statistics necessary to determine whether the scatter in the observed relations is fully reproduced.
Highly resolved cosmological hydrodynamic simulations such as the one presented in this paper provide exquisite sampling of the phase space of galactic stellar structure that could be compared to deep photometric observations of external galaxies (e.g. SDSS), and Galactic surveys such as Gaia and upcoming spectroscopic surveys (e.g. 4MOST) that are regularly uncovering new and more detailed Galactic (sub)structure. Moreover, such a highly resolved central galaxy ($\gtrsim 10^9$ star particles in the disc) surpasses a threshold identified in idealized $N$-body simulations required to effectively eliminate Poisson noise as a seed for the formation of spiral arms (D’Onghia, Vogelsberger & Hernquist 2013). Thus, simulations of this type should be useful for investigations related to galactic dynamics and archaeology.
ACKNOWLEDGEMENTS
We acknowledge the referee for a thoughtful and helpful report. RG thanks Oliver Newton for sharing his data on the radial distribution of satellites in the Milky Way and Marius Cautun for helpful
suggestions. RG acknowledges financial support from the Spanish Ministry of Science and Innovation (MICINN) through the Spanish State Research Agency, under the Severo Ochoa Program 2020-2023 (CEX2019-000920-S). CSF acknowledges support from the European Research Council through ERC Advanced Investigator grant, DMIDAS [GA 786910]. This work was also supported by STFC Consolidated Grants for Astronomy at Durham ST/P000542/1 and ST/T000244/1. It used the DiRAC Data Centric system at Durham University, operated by the Institute for Computational Cosmology on behalf of the STFC DiRAC HPC Facility (www.dirac.ac.uk). This equipment was funded by BIS National E-infrastructure capital grants ST/P002293/1, ST/R002371/1 and ST/S002502/1, Durham University and STFC operations grant ST/R000832/1. FAG acknowledges financial support from CONICYT through the project FONDECYT Regular Nr. 1211370, and funding from the Max Planck Society through a Partner Group grant. FM acknowledges support through the program ‘Rita Levi Montalcini’ of the Italian MIUR. AJK acknowledges an STFC studentship grant ST/S503565/1.
DATA AVAILABILITY
The data underlying this article will be shared on reasonable request to the corresponding author.
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|
Board Report
May 13, 2021
The public can view the broadcast of the meeting on the Johnson County Library Facebook page for a live feed or later when the video is posted to the Library’s website.
If you have information or comments related to any item on our agenda that you would like to have presented to the Library Board, we encourage you to submit that information in writing. If you wish to submit information, please email comments or statements to email@example.com before noon on the Wednesday before the Thursday Library Board meeting. Comments received by noon will be shared with the entire Board prior to the meeting.
I. Call to Order
II. Citizen Comments will be accepted in writing and made part of the record of the meeting.
III. Remarks
A. Members of the Johnson County Library Board of Directors
B. Board Chair, Bethany Griffith
C. Development Department
a) Friends of the Library; written report presented by Jodie Dietz ........................................... 4
b) Johnson County Library Foundation; written report presented by Stephanie Stollsteimer ........ 6
D. Liaison, Board of County Commissioners, Janeé Hanzlick
IV. Reports
A. Board Counsel – Fred Logan
a) Introduction to legal orientation for Board members
B. County Librarian Report – Sean Casserley, County Librarian
1. Finances and Statistics – Dave Vratny, Finance Director ......................................................... 8
a) Dark Store: Possible ad valorem liability
b) Statistics – Adam Wathen, Associate Director .................................................................. 15
2. Comprehensive Library Master Plan – Scott Sime, Project Coordinator
a) Central Staff Space Consolidation (CSSC) ............................................................................ 20
b) Antioch Replacement ............................................................................................................. 26
c) Overall Timeline .................................................................................................................... 32
3. Updates – Sean Casserley, County Librarian
a) Programming report - Joseph Keehn, Program and Event Coordinator .............................. 35
b) Final reopening report - Jennifer Mahnken, Associate Director, and Nancy Birmingham,
Project Lead ............................................................................................................................. 45
V. Consent Agenda
A. Action Items:
1. Minutes of the April 8, 2021 Regular Library Board meeting .................................................. 55
B. Information Items
1. Financial and Personnel
a) The County Librarian and the Finance Director certify
those payment vouchers and personnel authorizations for March 2021 were handled in accordance with library and County policy.
b) The March 2021 Revenue and Expenditure reports produced from the County’s financial system reflect the Library’s revenues and expenditures
C. Gift Fund Report
1. Treasurer’s Report ................................................................. 76
VI. New Business
A. Action item: Approval of Memoranda of Understanding with the City of Overland Park and the City of Leawood (Walk and Read Program) .................................................. 77
B. Action item: Approval of contract for Cedar Roe Library sloped roofing replacement .................. 81
VII. Adjournment
Followed by joint meeting of the Board of County Commissioners, Library Board of Directors, Johnson County Library Foundation, and the Friends of the Johnson County Library. Joint meeting to be held at Johnson County Arts & Heritage Center: 8788 Metcalf Ave, Overland Park, KS 66212.
May 2021: Monthly Report
of the Friends of Johnson County Library
to the
Board of Directors of Johnson County Library
Welcome, Madame Chair, and thank you and members of the Board, and Commissioner Hanzlick, and Mr. Casserley for this time to report on Friends progress on behalf of the Executive Committee.
There are 3 subjects in our report today, detailing activities of March / April 2021:
- Friends Recognition
- Internet Sales
- Matt Delaney Retires
1. Friends Recognition
The Friends of Johnson County Library have been recognized as an Outstanding Friends Group by Friends of Kansas Libraries! The impressive list of accomplishments during the past challenging year includes maintaining internet sales and providing interesting and relevant volunteer opportunities. The Friends of Kansas Libraries is a non-profit organization with 50+ institutional members from all regions of Kansas. They provide education and funding for library support groups, and advocate with lawmakers on behalf of libraries of all kind.
2. Internet Sales
2,664 items sold in March. Our most significant sale this month is the first transaction processed through our new online storefront! A customer in Olathe purchased seven books on March 9..
- *The Gunslinger* (The Dark Tower, Book 1) ........................................... $226.00
- *Hardy Boys Matte Set 1-58 Complete Pre-1980* ................................. $220.00
- *The Complete Calvin and Hobbes* [Boxed Set] .................................. $112.00
- *And to Think That I Saw It on Mulberry Street* ................................. $110.00
3. Matt Delaney’s Retirement
It is my bittersweet duty to report that Matthew Delaney has retired from his roles with the Friends. Most people get to retire once in their lives. When Matt concluded his successful career as an electrical engineer 20+ years ago, he started out as a Friends member, proceeded to volunteer, then became board member
and ultimately was hired as Business Manager. He founded the very successful online sales division for the Friends, which celebrated $1,000,000 in sales in 2016. Matt is simply one of the main reasons the Friends have been successful for the past generation.
Matt and his lovely wife Bonnie, herself a long-time Library volunteer, plan to travel and spend time with their children and grandchildren. We may fill this position but Matt’s wit, intelligence and charm, his easy laugh and giving spirit, can never be replaced. The Friends of Johnson County Library ask you to join us in recognizing the contributions of Matt Delaney to our past, present and future successes.
Respectfully submitted, Friends of Johnson County Library
Donor Appreciation
The Foundation hosted a virtual 1952 Society/Readers Circle appreciation event, April 25.
- Our featured author was award winning author Tim Madigan who shared his experience writing bestselling book: *The Burning: the Tulsa Race Rion of 1921*.
- We ZOOMED this event and while last year was an experiment, this year it was old school.
- 1952 Society: *Writing the Library’s Next Chapter*, is recognition for planned-giving.
- Readers Circle recognizes individual and couples for their cumulative giving starting at $10,000.
- It was exciting to welcome guests from nearly 63 emails so we estimated 100 viewers.
- We sent out a survey and had positive feedback!
- This kicks off our plans to show our appreciation and we’ll follow up with email, calls and notes.
Appreciation Continued: Volunteers
- Many of those invited to the appreciation events are volunteers.
- Planned gifts, by and large, have been from individuals who have been a combination of volunteers, Friends and Foundation Donors.
- Volunteers are an important resource for delivering Library services so I plan to share updates from time to time.
- Recently, our volunteer coordinator, Amber Bourek-Slater conducted a volunteer engagement survey.
- The goal was to gauge their interest and satisfaction of volunteering this past year.
- Highlights include:
- 65% have continued to volunteer, but not at the same level as you can imagine during the pandemic.
- That is remarkable given the state of the Libraries and how staff and volunteers have had to be open and flexible.
Grant Applications
We continue to apply for grants from area foundations and funders to support many programs that the Library continues to provide.
Recent grants include:
- $10,000 total from the Freedom Frontier Foundation for Race Project KC.
- $4,000 from Village Presbyterian Church for incarcerated services.
$30,000 from Black & Veatch to continue their 2022 naming and sponsorship the MakerSpace.
**Gifts in Honor or in Memory**
- The Library Foundation oftentimes is named for gifts in honor or in memory of library lovers from our community.
- In April, the Library was designated in memory of someone special to Johnson County government, Lougene Marsh.
- Lougene served as director of the Johnson County Department of Health and Environment 2009-2019.
- She cared deeply about the environment and racial reconciliation. Her family designated the Library’s Race project KC as a gift in memory.
- I mention this because it is quite an honor work with the families and the gifts make a difference.
**Library Lets Loose Fundraising Event Goes Virtual**
Library Lets Loose plans are continuing to be a virtual event. Sponsorships are coming in and we are seeing remarkable support.
**Finance**
- The 2020 audit is being finalized and will begin preparing the 990 tax return.
- We have been monitoring the endowment investments at the Greater Kansas City Community Foundation. The value of these funds impacts the annual disbursement to the Library for the collection.
- Next month we will have a six-figure check presentation!
JOHNSON COUNTY LIBRARY: Summary of Expenditures by Cost Category (.75 Increase Only)
March 2021
25% of year lapsed
OPERATING FUND
| Programs | 2021 Budget |
|----------------------------------|-------------|
| Revenue | 3,913,449 |
| Administrative Services | |
| Information Technology | |
| Collection Development | |
| Branch/Systemwide Services | 156,377 |
| Transfer to Capital Projects | |
| Interfund Transfers | |
TOTAL OPERATING FUND EXPENDITURES $156,377
TOTAL .75 INCREASE FUNDS REMAINING OPERATING $3,757,072
SPECIAL USE FUND
| Programs | 2021 Budget |
|----------------------------------|-------------|
| Revenue: | 3,138,526 |
| Expenses: | |
| Contractual Services (General Maintenance) | |
| Commodities (Capital Equipment) | |
| Transfer to Debt Payment | |
| Transfer to Debt Payment - CLMP | 468,412 |
| Transfer to Capital Projects | |
TOTAL SPECIAL USE FUND EXPENDITURES $468,412
TOTAL .75 INCREASE FUNDS REMAINING SPECIAL USE $2,670,114
TOTAL .75 INCREASE FUNDS REMAINING ALL FUNDS $6,427,186
## Expenditure of Friends of the JCL Donations 2021
| Expenditure Details | March | YTD |
|---------------------------------------------------------|-------|-------|
| Volunteer Recognition | $0.00 | $0.00 |
| Advertising/Promotion | 0.00 | 0.00 |
| Collection Materials | 0.00 | 0.00 |
| Professional Development/Staff Recognition | 0.00 | 0.00 |
| Technology/Recruitment Consulting & Expenses | 0.00 | 0.00 |
| Strategic Planning meeting supplies | 0.00 | 0.00 |
| GEM Award/Staff Recognition | 0.00 | 0.00 |
| Homework Help and Tutor.com | 0.00 | 0.00 |
| Summer Reading Club/Elementia | 0.00 | 0.00 |
| Other Library Programming | 0.00 | 0.00 |
| MidAmerica Regional Council | 0.00 | 0.00 |
| Joint Board Meeting Expense | 0.00 | 0.00 |
| Board Travel Expenses | 0.00 | 0.00 |
| Board Retreat Expenses | 0.00 | 0.00 |
| Miscellaneous | 0.00 | 0.00 |
| **Total Expenditures** | $- | $- |
$ - $ -
## JOHNSON COUNTY LIBRARY TOTAL REVENUE REPORT
**March 2021**
### REVENUE ALL FUNDS
| Category | 2021 Year to Date | 2021 Budget | % Budget Year to Date | % Budget YTD Prior Year |
|-----------------------------------------------|-------------------|-----------------|-----------------------|-------------------------|
| Ad Valorem | 21,172,132 | 36,717,284 | 58% | 57% |
| Ad Valorem Delinquent | -31,375 | 288,773 | -11% | -9% |
| Motor Vehicle | 902,989 | 3,170,344 | 28% | 27% |
| Library Generated - Copying/Printing | 14,756 | 104,359 | 14% | 21% |
| Library Generated - Overdues / Fees | 79,061 | 768,271 | 10% | 15% |
| Sale of Library Books | 0 | 0 | 0% | 0% |
| Misc Other | 732 | 18,703 | 4% | 3% |
| Reimbursement | 15,211 | 330,043 | 5% | 5% |
| Library Generated - Other Charges | 0 | 3,641 | 0% | 0% |
| Investment | 39,223 | 58,404 | 67% | 39% |
| Unencumbered Balance Forward | 0 | 10,000 | 0% | 0% |
| Recreational Vehicle Tax | 8,731 | 12,325 | 71% | 61% |
| Commercial Vehicle Tax | 35,512 | 57,421 | 62% | 76% |
| Heavy Trucks Tax | 3,656 | 4,841 | 76% | 100% |
| Rental Excise Tax | 13,465 | 45,873 | 29% | 49% |
| State and Federal Grants | 131,285 | 265,638 | 49% | 50% |
| **TOTAL REVENUE** | **22,385,378** | **41,855,920** | **53%** | **53%** |
### Expenses ALL FUNDS with Collection Encumbrance
| Categories | 2021 Year to Date | 2021 Budget | % Categories Expended |
|-------------------------------------------------|--------------------|-----------------|-----------------------|
| Salaries and Benefits | 4,598,298 | 20,797,261 | 22% |
| Contractual Services | 1,807,558 | 7,305,956 | 25% |
| Commodities | 3,089,077 | 4,123,766 | 75% |
| Risk Management Charges | 48,556 | 195,074 | 25% |
| Capital / Maintenance / Repair | 624,789 | 3,338,526 | 19% |
| Transfer to Debt Payment | 0 | 10,000 | 0% |
| Transfer to Capital Projects | 0 | 2,777,596 | 0% |
| Grants | 1,224 | 265,638 | 0% |
| Interfund Transfer | 0 | 3,042,103 | 0% |
| **TOTAL EXPENDITURES** | **10,169,502** | **41,855,920** | **24%** |
Revenue - Expenses as of March 31, 2021
12,215,877
### RESERVES ALL FUNDS
As of 12/31/19
- Reserves Operating Fund: 9,557,491
- Reserves Special Use Fund: 1,572,099
- Total JCL Reserves: 11,129,590
## Scheduled Replacement Plan Funding
| Description | Amount |
|------------------------------|------------|
| 2015 Fund Transfer | 350,000 |
| 2016 Fund Transfer | 699,000 |
| 2017 Fund Transfer | 1,130,250 |
| 2018 Fund Transfer | 1,147,850 |
| 2019 Fund Transfer | 1,131,100 |
| **Total Revenue** | **4,458,200** |
### 2021
| Description | Amount |
|--------------------------------------------------|------------|
| Contractual Services | 1,584,927 |
| Building Repair | 585,616 |
| Architectural Services | 68,820 |
| Furnishings and Office Equipment | 73,032 |
| HVAC | 178,193 |
| Sorter Parts and Labor | 4,113 |
| Security System Maint & Repair | 33,549 |
| Vehicles | 119,310 |
| AED Equipment | 9,613 |
| Interfund Transfer | 1,767,934 |
| **Total** | **4,425,107** |
**Budget Remaining**
33,093
## JOHNSON COUNTY LIBRARY: Summary of Expenditures by Cost Category
**March 2021**
### OPERATING FUND
| Programs | 2021 Year to Date | 2021 Budget | % Program Expended |
|-----------------------------------|-------------------|-----------------|--------------------|
| Administrative Services | 774,327 | 5,689,263 | 14% |
| Information Technology | 625,690 | 3,571,248 | 18% |
| Collection Development | 711,034 | 3,543,153 | 20% |
| Branch/Systemwide Services | 4,125,843 | 19,333,555 | 21% |
| Risk Management Charges | 48,556 | 195,074 | 25% |
| Grants * | 1,224 | 265,638 | 0% |
| Transfer to Capital Projects | 0 | 2,777,596 | 0% |
| Interfund Transfer | 0 | 3,000,562 | 0% |
**TOTAL OPERATING FUND EXPENDITURES**
| | 6,286,672 | 38,376,089 | 16% |
|---------------------|-----------|------------|-----|
### SPECIAL USE FUND
| Programs | 2021 Year to Date | 2021 Budget | % Budget Expended |
|-----------------------------------|-------------------|-----------------|-------------------|
| Contractual Services (General Maintenance) | 139,694 | 176,305 | 79% |
| Commodities (Capital Equipment) | 13,932 | 155,000 | 9% |
| Transfer to Debt Payment | 0 | 10,000 | 0% |
| Transfer to Capital Projects | 468,412 | 3,138,526 | 15% |
**TOTAL SPECIAL USE FUND EXPENDITURES**
| | 622,038 | 3,479,831 | 18% |
**TOTAL EXPENDITURES**
| | 6,908,711 | 41,855,920 | 17% |
## JOHNSON COUNTY LIBRARY: Summary of Expenditures by Type
**March 2021**
### ALL FUNDS
| Categories | 2021 Year to Date | 2021 Budget | % Categories Expended |
|-----------------------------------|-------------------|---------------|-----------------------|
| Salaries and Benefits | 4,598,298 | 20,797,261 | 22% |
| Contractual Services | 1,054,421 | 7,305,956 | 14% |
| Commodities | 581,422 | 4,123,766 | 14% |
| Risk Management Charges | 48,556 | 195,074 | 25% |
| Capital / Maintenance / Repair | 156,377 | 2,977,596 | 5% |
| Transfer to Debt Payment | 0 | 10,000 | 0% |
| Transfer to PBC Capital Leases | 468,412 | 3,138,526 | 15% |
| Grants | 1,224 | 265,638 | 0% |
| Interfund Transfer | 0 | 3,042,103 | 0% |
**TOTAL EXPENDITURES**
6,908,711 41,855,920 17%
| GRANTS* | Expenditures through 2/28/2021 | Source | Received | Expenditures | Grant Award | Budget Remaining |
|---------|-------------------------------|--------|------------|--------------|-------------|-----------------|
| 285000086 | 2021 State Aid | State | 3/22/2021 | $0.00 | $131,284.90 | $131,284.90 |
*Includes all expenditures and revenues over the life of the grant.
Core Operational Statistics
3 Year Digital Usage Trend
3 Year Physical Circulation Trend
3 Year Visitation Trend
Johnson County Library Expenditures
Expenditure on Physical Collection
Expenditure on Collection Formats
- Databases
- Periodicals
- eBooks and eAudio
- Print
- AV
Johnson County Library Expenditures
Expenditure on Programming and Outreach
Expenditure on Information Technology
Contracts | Hardware | Software
2017: Contracts - 253,917, Hardware - 381,174, Software - 331,712
2018: Contracts - 349,810, Hardware - 313,239, Software - 418,009
2019: Contracts - 327,020, Hardware - 384,818, Software - 666,762
2020: Contracts - 554,159, Hardware - 205,489, Software - 515,966
Johnson County Library Expenditures
Expenditure on Building Maintenance and Custodial
Library Debt Service
PBC Debt Service Library Debt
Johnson County Library Expenditures
Number of Staff FTE
Expenditure on Salary
Expenditure on Benefits
- Healthcare
- Other benefits
Central Building Upgrade, Part 2 (CSSC)
Update – May 2021
JOHNSON COUNTY KANSAS Library
Updates
• Little Central update
• Construction update
• Next Steps
• Timeline
Little Central Update
Little Central User Visits - 2021
Little Central PC sessions - 2021
Construction update
• Construction activities this month
Next Steps
• Construction activities anticipated for next month
• Furniture selection
• Sidewalk update
• June: Seeking approval for Little Central temporary closure
Central Building Upgrade, Part 2: Anticipated Timeline:
- **Programming**
- Q4 2018
- 2019
- Q2
- Q3
- Q4
- **BOCC & PBC Action**
- Library Board Option 3 Approval
- **Design Development**
- 2020
- Q2
- Q3
- Q4
- **Construction**
- Bidding
- Q2 2021
- Q3
- Q4
- 2022
- **Owner Move-in (Furniture and People)**
Antioch Library Replacement Project
Update – May 2021
Updates
• Design update
• Public Engagement update
• Construction Manager update
• Next Steps
Public Engagement update
- Virtual event 5/19 – 6-7:30pm
- “Question of the week” concept
- Anticipating summer in-person event
Construction Manager update
• 12 firms responded
• Selection Committee has reviewed proposals and ranked to determine shortlist
• Next Steps:
o May 17: Interviews with shortlist candidates
o June 10: Informational update to Library Board about top-ranked firm
Next Steps
• Design continues
• Construction Manager selection for Preconstruction Services
Antioch Replacement: Anticipated Timeline
- Q4 2020: Property Conveyance Agreement Approval
- Q1 2021: Architect Selection
- Q2 2021: Design Development
- Q3 2021 - Q4 2022: Bidding & Construction
- Q2 2023: Furniture Installation, Collection, Training, Move-in, Opening
- Q3 2023: Close existing Antioch
Capital Improvement Projects Timeline Summary
Update – May 2021
Capital Improvement Projects: Anticipated Timeline
- **CONCEPT DESIGN**
- Central
- **Lackman Building Expanded Services (PLACEHOLDER)**
- PHASE 1
- PHASE 2
- PHASE 3
- **Antioch Replacement**
- **Blue Valley Replacement**
- **Corinth Replacement**
- PROGRAMMING STUDY
- **RRI STUDY**
- Rural Renewal Initiative
- **CRP Work is ongoing. Maintaining what we have**
This visual is shown as an illustration with anticipated dates and may change.
Capital Replacement Program:
Library Board-approved Closures
1. Cedar Roe. April 19-June 20: HVAC Upgrades, Roofing, Shelving
2. Corinth. Up to 2 weeks beginning in May: Roof Replacement, Arc Flash
3. Oak Park. 1 week in late June/early July: Arc Flash, staff space refresh
4. Central (Little Central). 2 weeks beginning in late July*
* Will seek Library Board approval at June 2021 meeting
This visual is shown as an illustration with anticipated dates and may change.
Programming at Johnson County Library
Library Board Meeting, May 2021
Joseph Keehn
Why do we program?
- Policy
- Mission
- Vision and Values
- Strategic Plan
Methodology
Who?
What?
When?
Where?
How?
Who?
36 Part-time
79 Full-time
Programming in age groups and focus areas
• Community Matters
• Career & Finance
• Local Arts & Culture
• Local History & Genealogy
• Book Groups, Writing and Literacy
• Makerspace
What?
Online Program Stats 2020
- offered 453 programs.
- 188 were recorded to be available on-demand
- Approximately 4,520 staff hours
- total attendance of 64,098
In-person Program Stats 2019
- offered 2,794 programs
- Approximately 16,764 staff hours
- Total attendance of 91,822
When?
Spring 2020 Guide
Johnson County
LIBRARY
Imagine Your Story
Summer 2020
Fall 2020 Guide
Johnson County
LIBRARY
Where?
In-person
Virtually
Johnson County Library presents
Library OnDemand
JOHNSON COUNTY LIBRARY
YouTube
How?
Planning
- Planning a Program Procedure
- Ideation & Inclusivity
- Patron needs
- Collaboration
- Focus Areas and Age Groups
- Research
- Vetting Presenters
- Developing Content
- Promotional Priorities
- Budget
- Resources and Staff Allocation
Implementation
- Controlling the Building
- Patron Code of Behavior
- Online Programming Best Practices
- Utilization of trainings
- Programming Overview
- Online Platform
- Deliberative Dialogue
- 6 by 6
- Teen
- Utilization of Resources
Evaluation
- Program Statistics
- Surveys
- Polls
- Patron Feedback
- Plus/Delta
The *how* we program is guided by the *why*.
Our policies, the American Library Association, and our strategic plan guide how we produce programming at the Johnson County Library.
**We do not**
- proscribe content based on partisan or doctrinal disapproval
- exclude programming because of possible controversy.
**We do**
- Provide programming to meet specific subject areas for our community like writing, business, topics of local interest, and societal and cultural issues.
- Proactively represent diversity of genres ideas and expressions.
- Reflect excluded, marginalized or underrepresented people in the resources and programs we offer.
- Use criteria to select speakers.
- Evaluate our programming and be responsive to community needs and requests.
Questions?
Reopening Amid COVID-19
A phased approach for a safe return to public library services
May 2021
COVID Update
• As of May 3, Johnson County had:
– 45,441 positive cases of COVID-19
• (up 143 since April 29)
– 650 deaths
• (up 2 since April 29)
– 43,700 presumed recovered
• (up 136 since April 29)
– 250,553 negative tests have been reported
• (1,021 increase since April 29)
– 3.8% positive 14-day moving average
• (up 0.4% since April 29)
• People 16 and over who have been vaccinated in Johnson County:
– Received first dose
• 43%
– Fully vaccinated
• 30%
County Guidelines – As of May 1, 2021
• Patrons/visitors entering county facilities are no longer required to wear a mask though it is still strongly encouraged – we will continue to provide masks to those who ask for one.
• Employees are required to wear masks while indoors or in a vehicle with another staff person.
• Maintain six feet distancing where possible
– We will keep six feet distance between our computer stations for now.
– We will have stickers on the floor, encouraging six feet distance.
• We will continue to have plexiglass in place on our service desks to protect staff and patrons.
Where we have been
• Emergency closure of all locations – March 2020
• Online Programming ramps up – March 2020
• IT pivots quickly to set staff up to work at home – March 2020
• Furlough of 212 staff – April 2020
• Re-Opening team formed – April 2020
• Answers and T-ref resumed in May & June 2020
• Bring back furloughed staff – June 2020
• Re-open buildings partial hours – June 2020
• First Curbsides open – August 2020
• Full computer sessions restored – December 2020
• Add Fridays back – April 2021
• Full hours restored – May 2021
Where we have been – timeline
Library buildings shut. 212 staff furloughed.
Reopening begins
Answers and T-ref resume
Online Programming debuts
March 2020 Apr May Jun Jul Aug Dec Jan Feb Mar Apr May
Staff Return. Drive-up opens All buildings reopen 1st curbside opens @ LE Full computer sessions restored 5 curbside branches are open Friday hours, Return to full hours, Furniture & meeting spaces
Statistics
• 82 Pages and 130 more staff were furloughed. About 58% of our staff
• Friday May 15, holds were opened to the public. Over the weekend patrons unsuspended 4,000 holds and placed 7,000 new holds. = 11,000 holds in 3 days
• May 26, three windows opened. We checked in and out 76,003 items that last week in May.
• At its peak, a BV window transaction took less than 120 seconds.
• Circulation staff returned to branches full-time by the end of June.
• June 15th, 2020, all branches open to the public. In that 1st week we checked in and out 142,543 items
• In 2020, the Library offered 453 online programs.
– JCL content was viewed via YouTube, Facebook or Library OnDemand
– Live programs were facilitated/moderated in Zoom, Facebook Live and On24 platforms
• In 2020, Online programs had a total attendance of 64,098
Outreach Statistics
• The work of Race Project KC, Incarcerated Services, and ELL/ESL continued
– 42 outreach engagements offered January – April 2021
– 1037 participants and 25 staff involved
• Summer Reading focused on distributing books beyond the walls of the library.
– 21 Partnerships in total (5 Day Cares, 8 Schools, 6 Community Organizations, and 2 Community Businesses) and gave away 9,525 books in 2020.
• Walk and Read
– 19 Parks featuring 40 books on
– 308 signs positioned throughout the grounds
Other Libraries
• Kansas City Public
– Some branches still closed
– Still limited hours
– Still pop in and pick up model
– Currently moving their holds closer to the front door
• Olathe
– Open full hours May 3
– Some in-person programming this summer
– Makers Space appts.
– Quarantining done
• Mid-Continent Public
– Stacks re-opened
– Still quarantining materials
– All branches opened limited hours except two under construction
– Plans in place for more hours in June
• Kansas City KS Public
– All branches opened limited hours
– Still quarantining materials
– Curbside at all locations
What’s Next
• Full Hours returned May 3
• All computers return – unknown at this time – one factor is the 6-foot physical distance recommendation from CDC and Johnson County Health authorities.
• In-person programming – fall
• Summer Reading
– 13,720 books were distributed to Johnson County Elementary Schools and 13 Community Organizations March – April 2021.
– More books will be offered through other channels.
• Library processes and procedures are fully operationalized
• Re-Opening Project ends
Thank You!
Thanks for everyone’s flexibility and willingness to adapt!
Thanks for the support of the Library Board!
Thank you to Amy Ruo for her 8 years of service to the library system and the library board of directors. She’s done an amazing job of working with staff and board members through the challenges of the pandemic and taking board meetings virtually. She will be missed.
Nancy Hupp
Friends form letter of support:
Dear Board Members,
I welcome the Friends and Library Services at Lackman!
I am writing to support the Friends of Johnson County Library’s “Planning Meets Opportunity” proposal for the Lackman Building in Lenexa. I encourage the use of grant funds and Library reserve funds to cultivate Friends success.
The Friends’ lively Used Bookstore will bring people and revenue to our community. The Friends are long-time partners of the Library and rely upon the vision and encouragement of elected public servants and appointed officials, like you.
I enthusiastically urge your approval of Planning Meets Opportunity @ Lackman!
Signed:
Phil Alejos
The Allen Family
Rosanna Alvarez
Carol Bailey
Erica Bakota
Anita Bandy
Jennifer Barr
Lourdes Bass
Janki Bhatt
Erin Billingsley
Jennie Bream
Victor Bolton
Karen Bradfield
Josephine Butler
Laura Butler
Julie Campbell
Ava Christie
Debra Churchill
DJ Cichon
Marie Cisper
Gretchen Clark
Randi and Trent Cole
Marlene Colgan
Cathy Collett
Karen Cooper
Dennis Dey
Marilyn Diltz
Samantha DuPree
Monica Evans
Denise Fast
Gail Fein
Madeline Figge
Ian Fleming
Shane Fosburg
Debbie Fox
Toni Frye
Jeff Gehring
Rita Glick
JoAnn Hadel
Meghan Hemenway
Claudia Hulley
Margaret Indellicate
Olivia Jensik
Toyka King
Kathy Kostroske
Laura Kouri
Barry and Pat Kramer
Mary Kraus
Kim Krouse
Anne M. Lattimer
Arlene Lee
Genny Link
Jen Mann
Darchelle Marie
Jackie Marsteller
Joni Martin
Hannah Maxfield
April McPherson
David Meredith
Patricia Merry
Sarah Miller
Whitney Mourlam
Cheryl Murray
Bev Nichols
Natalie Nickels
Carol Palazzolo
Carla Parker
Nancy Perdue
Jack Podoll
Dana Porter
Cynthia Prowell
Jill Pruett
Dr. Angela Rabin
Carol Roberts
Brenda Rongish
Steven Sharp
Marcia Shideler
Leah Smail
Jean Spohrer
Kathy Svoboda
Hannah Tazkargy
Debbie Turner
Linda Wallace
LeAnn Walters
Jeff Wickliffe
Deb Wigger
Ron and Dana Worley
Julianne Wright
Michael Wright
Rich Zak
Unsigned submissions: 3
I support the use of the Lackman library as a used bookstore. Great idea!
Sandie Anderson
I think it's a great idea to repurpose the Lackman library for a Friends of the Library bookstore!
Debra Buck
I support the Planning Opportunity Proposal for the Lackman Library in Lenexa!
Joanie Weaver
Dear Board Members,
I fully support the plans that the Friends of Johnson County Library has proposed for the use of the former Lackman Library building. I would love to see that building put to good use. I am disappointed to see that building empty, which doesn’t reflect well on our neighborhood. I was sad to see the library leave in the first place, so this will be a decent consolation for the empty building. It has sat empty for too long.
Please consider their plans and make the right decision for this building and for our community.
Thank you,
Emily Wright
Message that also went to BOCC:
After listening this week to the recorded presentation to library volunteers about this Lackman proposal, I had many concerns/questions. I learned much, too. I’m glad some are concerned about it being away from the population center. I thought it ironic that a Blue Valley person was concerned about how much further away it seems, as they are likely to be better off financially and they live way out in suburbia, from my perspective. I doubt have been to the Lackman location more than once in my 45+ years in JoCo. I have been to the central library many times. That should help explain part of my approach, along with the fact that I was a social worker about half my working life and am concerned about climate change. I do hope the commissioners are looking at service in light of climate change--not just cost and keeping in mind those with less financial resources, not
just the more affluent residents. As a relatively well off JoCo resident I could probably afford to go out there, but am more likely to go somewhere else to buy a used book. Many more people probably will go elsewhere like KC, Rainy Day, or Half Price to avoid extra driving/time as they cannot combine their library use with book shopping. I admit I know nothing about choice and cost of books sold at the library versus other settings. Can you survey shoppers to see where they are likely to buy their books with this Lackman plan. I seldom buy books (no shop at Cedar Roe) thinking it is less expensive for me and my planet to get books via library loans (even though my walk to Rainy Day and Cedar Roe is about the same distance). I hope someone will compare the cost/time/air pollution of volunteers & staff moving books around from donation to sale or return in several locations to just Lackman only, with figures taking in the cost/time/pollution of residents driving around more to get there. From my perspective this seems likely to increase our carbon footprint, unless there is work to improve/simplify inexpensive public transportation out there. There is a lot to be said for making better communities by being bike, walk and public transportation friendly instead of dependence on riding in cars. Thank you for your service and for reading this rather long resident library volunteer note.
I am sharing this with the Library Board, too.
Carol Fields
Yes!!!
A Friends’ bookstore would be perfect there! Please revitalize it again.
Thank you,
Chris Kerstein
As a Lenexa resident of over 40 years, I am very excited about the idea of the Friends of the Library establishing a used book store in the Lackman building. What an opportunity for the city! The location is ideal and I’m sure would bring business to the city. I hope funds are approved and this project can move forward.
Denise Marchin
Dear Board Members,
I am writing to support the Friends of Johnson County Library’s proposal for the Lackman Building in Lenexa.
Personally I think it is a great idea. I promise I would be a regular purchaser. It is also my plan to become a volunteer.
I strongly urge your approval.
Sincerely,
LaDonna Justice,
Retired librarian after 28 years with the Daniel Boone Regional Library in Columbia, MO
I love the idea of a bookstore in the old library building on 87th St!
Jolene Phillips
I just wanted to share that I think utilizing the former Lackman Library as a permanent used book store is a wonderful idea. I love the idea to promote reading year round. I donate quite a few books to the Friends and hope to become more involved. It is an easily accessible space that could be valuable to our community.
Thanks for your time,
Barbara Hoffman
Hello Board Members!
I am writing to ask you to please bring Friends of the Library and all library services to Lackman! I am so excited to hear about this possibility. My family and I have used Friends services and the bookstore for years; these are fantastic services that bring money and people into our community. We entirely support the Friends
of Johnson County Library's Planning Meets Opportunity proposal for the building on Lackman and encourage grant funds and library reserve funds being used to make this work.
This is a fantastic proposal; we can't wait to see it happen!
Couldry family of Shawnee
Dear Board Members,
I welcome the Friends and Library Services at Lackman. The Friends' Used Bookstore will bring people and revenue to our community and supporting the bookstore is also supporting recycling of books and other library media in the best way: by enabling new owners to enjoy them.
I enthusiastically urge your approval of Planning Meets Opportunity @ Lackman!
Lara Steinel
As a 30-year resident of JoCo, the JCPL is one of the best among many great things in Johnson County. And I think a used bookstore run by the Friends and supporting JCPL is a great idea.
I live near the former Lackman library and was sad to see that building unused, so this looks like a win all around if you can put that structure to good use. Hope you will make it happen.
Thanks,
Tom Bodine
I think repurposing the Lackman branch as the Friends of the Library used book store is an excellent idea. I look forward to visiting when it is done!
Lorrie Carter
I approve of the proposal to make this a used bookstore!
Robin Patykiewicz
I support the use of old library for all services mentioned in e-mail.
Karen Miltko
Gay Ramsey signed the Friends form letter of support and added:
"This beautiful building needs to be used, and it will bring people, revenue to our community."
I'm in favor of the Lackman Library even though it isn't on Lackman.
Sharon Colbert
I support the proposal to reopen the Lackman public library. Thank you.
Diane Feld
I think using the Lackman library as a bookstore would be a great idea!
Emily Lacy
As a Johnson County resident, a Friend of the library, and a volunteer, I would welcome the use of Lackman as a bookstore.
Please encourage everyone involved to consider this arrangement.
Thanks.
Cathy Hartwell
I fully support the used bookstore proposal for the Lackman Library. What a tremendous idea and fundraiser and my hope is that this plan will be implemented as soon as possible. Thank you.
Marilyn Jordan
Definitely in favor of re-vitalizing the library.
Charlotte Simmons
My wife and I are excited that there are plans in the works to repurpose the Lackman Branch. The proposal present by the Friends of Johnson County Library will allow the building to be used for what it was always intended - a library service to the community.
Fred Lucky
Dear Board Members,
As a resident of Lenexa, I think this is a great idea to make use of this building. I would love to see a used bookstore in this location.
I enthusiastically urge your approval of Planning Meets Opportunity @ Lackman!
Mindy Kettner
The Friends of Library book store is a great idea and is a good use of the building. I will look forward to the opening.
Robert W. King
Would love to see the Lackman Library building become a used bookstore. I am a loyal customer of the bookstores. Thank you
M. Robards
Dear friends, I completely support the proposal to repurpose the former Lackman Library as a Friends of the Library bookstore. While our family still misses Lackman as our neighborhood library, making this a Friends of the Library bookstore is a fantastic idea -- I love to shop the Friends bookstores!
Sincerely,
Elena Lence Talley
I support the reuse of the library for a store and book drop.
Rebecca R Ward
The Friends propose bringing their used book selling success to the retired Lackman library building. This would be fantastic. Kinney Family approves.
Thank you,
Katy Kinney
Johnson County Resident
An excellent repurposing for the building with a good opportunity for communal growth.
Brian Haynes
I am in favor of using the Lenexa branch for a friends of the library used book store.
Betsy Klinkefus.
I wholeheartedly approve of the possible new use for the former Lackman Library building!!!
Cathy Eads
I routinely have purchased used books from previous sales. I used to love having the library on Lackman because it was close to my home. I am not able to drive now, and it is harder for me to get to the Central Resource Library and the Library in City Center.
I think using a building that is not being used already would be a great way to utilize this space.
I know that the book sales at Metcalf South were very busy and I hope this will be a way for the library to make some funds.
Thank you for your time!
Amber N. Gouvion
Stacy Clark signed the Friends form letter of support and added:
“I am a lifelong resident of Lenexa. I grew up less than a mile from the Lackman Library location and have fond memories of my time reading books from the library. I still live less than a mile away and enjoyed taking my kids to events and activities at the Lackman Library location. When the library moved to City Center we were unable to as easily attend events, pickup holds and return books. Our use of the library declined as a result. I welcome the Friends and Library Services at Lackman!”
I am a huge supporter of the Johnson county library.
Please do whatever you can to support the plan of turning the shuttered lackman library into a permanent home for the used book sales. And potential book clubs when our community has reached herd immunity.
Thanks!
Sue Swanson
I love that building and am so glad to hear there is a proposal to repurpose it as a used bookstore. The new Lenexa building and location was needed for many reasons. However, I miss those days of convenient parking and excellent handicapped access as a senior citizen with multiple joint replacements. Using a building that is already there and paid for, as well as serving to make book purchases affordable to the public and functioning as a fundraising source, makes all kind of sense. Please give your approval to this project. You have mine.
Thanks,
Sylvia Rawlings
Samantha Higley signed the Friends form letter of support and added:
“I live within walking distance of the Lackman Building. When it was a library, I often walked with my child to the library to enjoy the reading room and explore the books and puzzles. The library closed before I was able to enjoy this treat with my second child. Though the new library at City Center is a lovely space, it is much too far to walk to. Utilizing the Lackman Building as a used bookstore is a win for our community. With so many services moving across the 435 highway to the City Center location, I welcome the library re-investing in our community. A used bookstore would be a safe and low cost way for me to continue to foster a love of reading in my children and allow us to continue to build a relationship with our community.”
Great idea and a good purpose for this space. I approve.
Chris Steege
I am writing in support of revitalizing the Lackman library location. I wanted to show my support and to encourage you to support this proposal. Thank you so much.
Sincerely,
Jeanne Hoduski
I can not THINK of a better use for the old library site and think this is a FANTASTIC IDEA! You can count on our support!
--Diann Holland
I enthusiastically urge your approval of Planning Meets Opportunity at Lackman!
Ann Dorau
Lenexa resident
I support the lackman site by the Friends of the Library!!
Tom Thorp
Yes -absolutely
Sylvia Johnson
I think it would be a fantastic idea to have a used book store in the old Lackman library building.
Thank you,
Roberta Myrick
Lenexa, Ks
Turning the old Lackman Library into a Friends Used Book Store is a wonderful idea!! I live in Lenexa and fully support this project and encourage the Library Board to approve it!!
Thank you to whoever came up with this great idea!!
Tom Svoboda
What a great idea. That property is worthy of decades more use. Glad to see it has a future use that can be enjoyed by all.
Norma Wheeler
100% love the proposal by the JOCO Friends of the Library.
Great use of the building.
Jan Simon
Yes to Friends store.
William Thomasset
Great idea for sharing books that I no longer use.
Dolores Gruen
I am highly in favor of the former Lackman library building becoming a Friends bookstore. I have always felt this building was in a good location to continue to be used as a library in addition to the City Center location. I am so happy to learn that it may once more be used to serve Johnson County patrons as a bookstore and possibly offer other library services as well. Hurray!
Sincerely
Bonnie Thornton
I think turning the Lackland library into the used book store is a wonderful idea, thank you.
Unsigned
Mark Camacho signed the Friends form letter of support and included:
My family and I have been residents of Lenexa (90th and Alden) for the past 32+ years. My wife, Linda, is a recently retired high school English teacher and Academic Dean. She devours books like some eat M&Ms. We raised our 5 kids to also be avid readers (2 books per week was a family rule - out the door and "into the van with a book in hand," another rule). Today they hold master's and Ph.D. degrees and are all high school and college educators.
The local Lackman library was one of the many wonderful attributes about Lenexa that brought us to this area following my last tour of active duty on the west coast as a military attorney. We were sad to see the Lackman library close, but happy to see the opening of a larger, and very beautiful library open at City Center. With the above as a backdrop, I write to tell you that we enthusiastically welcome the Friends and Library Services at Lackman!
Wonderful idea. Please open it up. I stopped borrowing books because of the closure. Would use the pickup service and purchase donated books.
David Linn
I love the proposal to use the Lackman Library building as a bookstore. As a Lenexa resident, it would be a wonderful way to use the building.
Tricia Strathman
I volunteered at Lackman for a number of years. Having something in that space related to library usage seems most fitting. Using the facility to sell Friends of the Library collected books is a wonderful idea!
Gerald Carden
I approve the Friends of JoCo Library proposal to take over the space at Lackman Library.
Lillian Hall
I have membership with the JoCo FLL. I’m also a frequent purchaser of FLL used books. My purchases are made at the Antioch Library location but I’m told the bookstore will not be moving with the library when moved to the Meriam Community Center. This makes the Lackman location even more important.
Respectfully,
Marlene Davis
I support use of the Lackman library building for holds pickup and returns of library materials.
I also support use of the building for Friends of the Library purposes, including a bookstore.
Thank you,
Russ Eads
I love the idea of the Lackman Library being a full time bookseller! Add my name to a list to volunteer there!
Terri Bird
I strongly support using the old Library building in Lenexa along with grant and reserve funds for the Friends used bookstore. I think it would be a great addition to our community.
Judie Winters
I would be beyond thrilled to see the old Lackman Library location used as a bookstore, pick-up location for holds and dare I even hope that it might be a drop off location, too? The location of the new Lenexa branch is not at all convenient to me. The traffic can be really bad and will get worse as time goes on, the parking is horrible and it’s hard to get in and out of the library without resorting to dropping breadcrumbs. The new library is very difficult for older people to navigate, and what you are proposing would be a great boon. I have gone to ordering books and picking them up using the drive through feature, but would MUCH rather pick them up at the Lackman branch. I don’t find going inside to get them.
I love your idea and support it 100%! Thank you for suggesting this plan!
Kris Mangiaracina
We support this proposal with great enthusiasm!
Thank you!
Pete and Eileen Manza
Great idea. Sounds feasible. Let’s go for it.
Carol Leighton
What a great idea. I enthusiastically support this idea!
(Unsigned)
I support the proposed new uses of the Lackman building
Marilyn Kopp
What a great idea. It's a great building for just this purpose.
Pail Kalicki
The use of the old Lackman branch as a bookstore as proposed by the Friends of the Library would be an excellent addition to our community.
Let's keep our community resource.
Thank you,
Jill Stuart
Signed the Friends form letter of support and added:
I would also like to add that I have missed my little Lackman library, and so I think this is an especially wonderful idea. Hope to see this happen soon! I believe it would be a great success.
Sincerely,
Ellen Hickman
Please bring back the use of this neighborhood building. Many local residents do not want to go far for materials pick ups.
Robbie Herron
Wonderful idea. Would be happy to volunteer.
Jeanne Siebert.
Wonderful!!! I miss the Lackman library so much and would gladly shop there. So much better for those of us on walkers or needing a basket. Please have the small shopping carts and or scooters.
(Unsigned)
These points are especially appealing to me:
- This single, large Friends used bookstore will be profitable and self-supporting.
- Johnson County Library Foundation has granted funds of $100,000 to open the Friends store, and it seeks use of reserve funds that will not affect Library services.
- The Friends also propose hosting expanded library services at Lackman, like a Meeting Room, Holds Pickup, or Storytimes
Sincerely,
Carol Hartegan
Fabulous idea! I enthusiastically urge your approval of Planning Meets Opportunity @ Lackman!
Sincerely,
Deb Scott
Friends member and supporter
Dear Library Board -
I think the old Lenexa library becoming the used bookstore is a good idea: a "destination" site rather than an add-on cubbyhole room as it has been at the Main Library.
Mike Alley
Dear Board Members,
I am writing to oppose the Friends of Johnson County Library’s “Planning Meets Opportunity” proposal for the Lackman Building in Lenexa. No grant funds or Library reserve funds should be used for this purpose.
Jonathan Seeley
I support using this building for the Friends of the Library sales of used books and support the use of proposed funds, Foundation and reserve, for this purpose.
Laura Gregar
I think it is a wonderful idea!! We would love to see the building used and a bookstore is a great way!!
Robyn Horsley
Dear Board Members,
I whole-heartedly welcome the Friends of the Library to the Lackman location. It is a wonderful service to the community to provide their used books and services. I am a Lenexa resident and felt very "robbed" of the move to the newer facility. This will resolve some of that.
Please approve this move!
Sincerely,
Janet Pfautsch
We support the Friends plan for the Lackman building
Kathy Snelgrove
A great idea. The old Library is so much more accessible than the new Lenexa Library. Until the move to the City Center, my grandchildren and I visited several times a week for three years. Since then, just once since the move. Parking and book drop off is inconvenient with parking garage traffic. I've shifted to buying hardbacks through Amazon and would be nice to bring some of the funds back to the community. Story time would be great too for the wee ones as again, much easier access for Moms and Grandmoms with wee ones..
Regards,
Linda Nichols
I believe The Friends of Johnson County Library have an excellent plan to open a used bookstore at the old Lackman Library building in Lenexa. I request your support of this great idea. Thank you.
Bob Alpiser
As a resident of Johnson County and proud dedicated patron of its library system, as well as frequent visitor to the old Lackman Library building, sometimes with my grandchildren, I believe that dedicating the old Lackman Library building in Lenexa to the use of Friends of the Library as a Used Books Store is an excellent idea! It would ensure that more books live on and continue to benefit the people who buy them, as well as benefiting the library system by providing some income to the library system. Also, it's a good, centralized location with convenient nearby access via I-435.
I believe moving forward with this excellent obvious opportunity for the Johnson County Library system would be a wise decision.
Thanks for benefiting Johnson County and its residents by making a decision for this of the old Lackman Library building.
Sincerely,
Richard E Parker,
(future frequent visitor to the soon-to-be Friends Used Book store at the old Lackman Library building)
Dear Board Members,
I think the Friends of Johnson County Library’s proposal for locating their Used Book Store in the old Lackman Library is a great idea. the building is pleasant and light-filled, a suitable size for this endeavor, and in a good location. I encourage you to support repurposing the site for Friends of the Library use.
F. & C. Martin
I just wanted to voice my support of using the Lackman library as proposed. I would love having it located there and would support it with my patronage.
Ann Brann
What a great idea. I used to volunteer at Lackman, and look forward to getting back into the volunteer world at the new store.
William Hartel
We support the use of the Lackman site as proposed by the Friends of the Johnson County Library. It is too valuable and functional to sit empty and unused.
Sincerely,
Bruce and Diane Smith
Great idea. You should host a Signature (this site only) Continuing Education Series at the Lackman site, publishing a semi-annual syllabus of workshops and classes offered. And put a sign on the building "JO CO LIBRARY INSTITUTE", to add definition to the site.
Unsigned
REMARKS FROM THE LIBRARY BOARD OF DIRECTORS:
This was the last Library Board meeting for Board Chair Amy Ruo and Dr. Wayne Burke. Board members expressed their appreciation for the dedication and service of their fellow members. Ms. Ruo and Dr. Burke shared their appreciation of Library staff and the value libraries had for them throughout their lives.
Mr. Shepard shared his dedication to the Friends and finding them a new site whether it is the Lackman location or not.
Ms. Griffith shared her excitement for the Library restoring hours and most services by May 3rd.
DEVELOPMENT DEPARTMENT
FRIENDS OF THE LIBRARY:
Jennifer Curtiss presented on behalf of the Friends of the Library.
New Website
Between March 22-28, 75% of website visitors were new meaning Friends are building a devoted audience of repeat visitors. 21% found the site through a search for used books or Friends groups, and viewers are visiting an average of three pages per visit. In addition to visitors from the United States, the site has had visitors from Canada, China, Germany, and Peru.
PPP Loan
As of Friday, March 12th, the Small Business Administration has declared the first Friends PPP Loan of $22,000 forgiven in full. This was a valuable tool in sustaining the Friends organization over the past year.
Internet Sales
2,256 items were sold in February. 21 volunteers are listing items for sale and shipping items that are ordered. Friends continue to follow COVID-19 protocols throughout their operation based on guidelines put forth by the CDC, the Kansas Department of Health and Environment, and the Library.
Sales of note:
- World Book Encyclopedia 2019 – 2 sets $748.00
- Blood Lad Vol. 8 $102.00
- Indelible Images: Illustrated History of the 1961 U.S. World Figure Skating Team $100.00
JOHNSON COUNTY LIBRARY FOUNDATION:
Stephanie Stollsteimer presented on behalf of the Johnson County Library Foundation.
The Greater Kansas City Community Foundation (GKCCF) recently held a philanthropic outlook event. The Foundation’s restricted and unrestricted funds are with the GKCCF and they total about $2.9 million. The outlook suggested fundraising may be more difficult this year because of donor fatigue. Last year, giving was up 30% where typically the years are kind of flat, so last year there was a significant step up for donors. There is still demand for donating to cultural and social activities which is good news for libraries.
The GKCCF identified benchmarks to help the Foundation measure effectiveness. The Foundation is collaborating internally now more than ever with volunteers, Friends, Foundation, and community outreach. The Foundation is reviewing IT and bookkeeping, two areas where some non-profits might cut corners. The Library supports the Foundation’s IT efforts 100% and for bookkeeping a CPA keeps the books in stellar shape. The Foundation’s Board of Directors stepped up beautifully last year and serve as volunteer leaders. The Foundation has strong governance policies. Some Board members are lawyers and they are meticulous about policy and governance.
Virtual events are very relevant and will continue to be relevant for telling stories. Planned giving and legacy gifts are important. In the spirit of appreciation and celebration of longtime donors, we will have a special online event Sunday, April 25th for the 1952 Society and the Readers Circle plus volunteers, and Friends and Foundation donors. The event will feature author Tim Madigan discussing his book *The Burning: The Tulsa Race Riot of 1921*.
Library Lets Loose planning is underway for the event September 18th.
VOLUNTEER COORDINATOR:
Amber Bourek-Slater, Volunteer Services Coordinator, presented.
For seven decades, volunteers have played an important role in providing library services: shelving holds, conducting online research to sell books to support Library programs, serve in leadership roles on boards, and dozens of other ways. In 2020, not even a global pandemic could stop our volunteers. They helped in new ways: sewing masks, writing notes to go with materials to homebound seniors, reviewing books, and helping with vaccine distribution. Last year 551 volunteers contributed over 21,000 hours of service which is valued at almost $600,000. We’d like to honor five volunteers for their above and beyond service to the Library. These five are being honored with the Points of Light Presidential Lifetime Achievement Award. This award recognizes volunteers who have dedicated over 4,000 hours or service to one non-profit organization.
Louise Weller has contributed 7,698 hours of service in 13 years at the Friends Antioch bookstore and the Friends Sorting Center. She develops customer relationships and looks out for books that partners like the Johnson County Genealogy Society might be able to use.
Alice Edwards has served since 1990 contributing over 6,230 hours of service. She has helped with everything from alphabetizing paperbacks at the Antioch bookstore to sorting book donations. She is a strong advocate for the library, and she served three terms as a Friends Board member.
Larry Leighton has contributed 6,045 hours over eight years of service as an online sales and shipping volunteer. In 2020, when the Friends transitioned to new software for processing online orders, Larry quickly learned the system and developed a plan to remove old materials from warehouse shelves. Larry currently leads the shipping and listing volunteers three days a week.
Tedy Bellos started sorting when the Friends sorting operation was located at Antioch. She transitioned with the Friends as they started selling books online, and she specializes in vintage books which can generate more funds to support the library. She currently serves two days a week in this capacity and has contributed 5,623 hours of service.
Ruth Nowack has spent her life volunteering for libraries across the country. Since 2003 when Ruth first became involved helping with Friends book sales, she has contributed 5,560 hours selling and sorting children’s books for the Friends. She is currently boxing a surplus of children’s books and planning for a post-COVID book sale.
**COUNTY COMMISSIONER REPORT:**
Commissioner Hanzlick reported that today was the first day that the Board of County Commissioners met in-person in the boardroom. One of her major priorities as a Commissioner is to strengthen and expand Johnson County transit. This year she is serving on the KCATA Board of Commissioners, the MARC Total Transportation Policy Committee, as well as the Ride KC Development Corporation. Tomorrow she’ll be participating in an event in Kansas City, MO where Ride KC is unveiling the region’s first zero-emission public transit buses.
On Saturday, April 24th Johnson County Parks and Recreation District is having a 10:00 AM grand opening of John Barkley Plaza at Shawnee Mission Park. They have recreated the entrance to the park and it honors John Barkley who has been instrumental in the development of Johnson County’s parks system.
Next month the BOCC will be working on the budget.
Commissioner Hanzlick is currently reading *Black Death at the Golden Gate: The Race to Save America from the Bubonic Plague*.
**BOARD COUNSEL REPORT**
Fred Logan, board counsel, reported.
**Senate Bill 13**
SB 13 represents a very significant policy change in terms of budget review. There will be a shift in focus from whether or not there is an increase in the mill levy to whether or not the proposed budget is revenue neutral when compared to the previous year. If the budget proposes to increase expenditures over the previous year, then a hearing must be held by the public body. Notice of the hearing must be provided by the government unit to taxpayers by mail. This is going to present a very significant challenge in a county like Johnson County which contains numerous governing bodies. It would make sense for public bodies to join together. For example, the Library Board might join with the Board of County Commissioners and Parks Board to hold one public hearing and share the substantial cost of the mailing. This is something on which there is going to be discussion. It appears that somewhere towards the end of the budget process there is going to be this public hearing as it’s unlikely a budget will be proposed that does not include some increase. It is a change in policy and it passed by very wide margins in both the House and the Senate.
**Governor’s Emergency Orders**
The legislature has limited the governor’s ability to issue emergency orders. It’s going to be up to local units of government to decide the nature and extent of emergency orders. The legal authority of cities to issue emergency orders is very clear, because they have what’s called home rule authority. The County government does not have home rule authority, but it still has authority to issue orders that it deems appropriate. The governor is not going to be issuing an emergency order. If she does it is most likely to be repealed by the legislative body that’s authorized to do that. The County still has its authority and cities have theirs.
Ms. Griffith asked if in SB 13 when it says change is that in the mill or percentage or is that because property values have increased.
Mr. Logan responded with an example. If last year the Library had a budget of $1 million and this year it proposed a budget of $1,000,001 that would trigger the mailing and hearing process. It has to do with the funds that are proposed to be expended. It doesn’t look at the levy or any of the things that were looked at in the past. If there is no proposed dollar increase in the budget or there is an expenditure decrease, then no hearing is required. If there is any increase in expenditure at all, then you go through this hearing process and it’s strictly a hearing. It doesn’t stop the bodies from moving forward, but there is this hearing process.
Ms. Griffith replied that it’s about how governing bodies are spending taxpayer money and a public forum to discuss that versus a tax increase, which Mr. Logan confirmed as correct.
Commissioner Hanzlick added that the Board of County Commissioners always holds a public hearing on their budget, so this would not be a change for that body.
Ms. Griffith asked Mr. Logan if the established budget hearing of the BOCC would meet the requirements for SB 13 or if this would require an additional meeting.
Mr. Logan answered that he thinks there is potential to add another process. The reason is that the notice is to be mailed to all the voters in the taxing district, so, for example, our taxing district doesn’t include the city of Olathe. The County Commission is the entire county. There will have to be a plan done on mailing notice to voters so that will be a change. The fact of having some sort of a hearing on the budget will not be a change.
Ms. Griffith asked would the Library Board have to do its own hearing.
Mr. Logan responded that what the Library could do is join with other bodies like the Board of County Commissioners and the Parks Board, even other entities, to save substantially by doing just one mailing for one hearing, as opposed to multiple mailings for many hearings.
Ms. Griffith brought up the Library’s budget process as being under the umbrella of the County’s budget process.
Mr. Logan said that while it is part of the County’s process the Library has its own budget and the Library Board is the governing body of a separate taxing district.
Ms. Griffith asked if the Library would then have a separate burden not just as part of the County.
Mr. Logan confirmed that is true unless the Library joins with the County or other government entities to hold just one hearing.
Ms. Griffith asked if for the purposes of SB 13 the Library will be required in some way to do its own hearing.
Mr. Logan responded that he would prefer not to take a hard and fast position on that at this time, as the law was just passed. It may be that one governing body could do it, but there isn’t any question that the Library’s budget is going to be part of a hearing process. There’s going to have be a lot of work done on this, as it’s very new and a very substantial change. It’s potentially very expensive and there’s a lot of concern on the cost of the mailings in a county like Johnson County.
Ms. Griffith asked if there is any notion that anyone would want to challenge this law?
Mr. Logan responded that it passed with overwhelming margins so no.
Mr. Casserley announced that the Library is working with each of the three departing Board members for each to add a book to the collection which will feature a bookplate in their honor to memorialize their service.
**Finance Report**
Finance Director David Vratny presented the following.
**Revenue Report**
At this time, the Library has collected almost $21 million in revenues, which is approximately 50% received for the year. Most is ad valorem which is 35% of what’s been collected today. Copying, printing, and overdues are lagging but that’s to be expected due to the impacts of COVID.
In terms of expenses to date, we’re at about 20% spent for the year, which includes the Collections encumbrance. Without that, the true amount spent is approximately 11%. Everything is as expected from a revenue to expense standpoint.
**Senate Bill 13**
Mr. Vratny met with Mr. Fred Logan and Mr. Andrew Logan to confer on SB 13. It will require a good deal of coordination with county partners. What is under consideration is trying to do it in such a way that we’re not being redundant with multiple public hearings on the same thing. Joining together with other governing bodies, as Mr. Logan stated earlier, would make the process less messy and less expensive for the Library.
**COMPREHENSIVE LIBRARY MASTER PLAN**
Scott Sime, Project Coordinator, presented.
**Central Staff Space Consolidation (CSSC)**
January was the last full month of full Central Library service. From January to the end of February, user visits and PC sessions both dipped, which was expected with the reduction in space and services. March activities at Central included interior demolition, which is now complete, utility work to cut the slab for new door and window footings and underground utilities and repouring the concrete. Temporary walls were put up to prepare for where the new drive thru area will connect to the existing building. We will be selecting furnishings for the new spaces soon with an eye towards consistency with other recent new buildings. In May Central Branch Manager Jared Harper will present on Little Central.
Timeline for the project is still on track. The presentation included photos of the work Mr. Sime described, including interior demolition and changes to the concrete slab.
Over the next month, the construction team will complete MakerSpace improvements, install steel at new openings and framing for new walls, start on new overhead mechanical, electrical, and fire suppression. Abby Giersch is the project lead.
**Antioch Replacement Project**
The design process has kicked off as we begin to meet with internal groups at the Library. The design process has four phases:
1. Programming
2. Schematic design
3. Design development
4. Construction documents
We are beginning the programming phase of design, so we’re working on public input planning with a few public input sessions with options for both in-person and virtual settings. The dates of those sessions are still to be determined.
**Overall Timeline**
Mr. Sime shared the overall timeline.
Mr. Casserley asked the Library Board chair and incoming chair to confirm plans for meeting in-person for the May 13, 2021 meeting. The library is planning to hold that meeting at the Monticello Library.
Ms. Griffith confirmed that plan would work.
Mr. Casserley gave a brief introduction for the Programming Report stating that it was in response to the question that Mr. Shepard asked about programming and how it is designed. Part one of this report being a high-level look at policy and then part two in May looking at the operational details of programming.
**Programming Report, Part One**
Adam Wathen, Associate Director for Systemwide Services presented.
Mr. Wathen presented on the policies and the foundational principles that drive the Library’s programming decisions. With these documents as the foundation, he described how the Library’s duty is not just to avoid the exclusion of materials and programs representing unorthodox or unpopular ideas but to proactively seek out a diverse array of genres, ideas, and expressions.
His presentation referenced the following documents:
Johnson County Library Policies and Planning Documents:
Johnson County Library Programming Policy ARM 20-60-10
Strategic Plan 2019-2023
From the American Library Association:
Interpretation of the Library Bill of Rights, Article 2
Library- Initiated Programs and Displays as a Resource
Responding to and Preparing for Controversial Programs and Speakers Q&A
At the May Library Board meeting, Joseph Keehn, Program and Events Coordinator, will speak more specifically about the processes of program selection that ultimately bring our programs to the public.
Mr. Shepard asked how many individuals make up the team that evaluates if programming is successful and chooses the speakers and materials.
Mr. Wathen replied that the AS and YS staff are broken into various committees and empowered to make these decisions. Over 75 people are involved in the selection, development, and implementation of programming. Their work filters up through the three-person team that reports to Mr. Wathen to make sure it is in line with policy.
**Reopening Update**
Jen Mahnken, Associate Director for Branch Services, said that she plans this to be the second-to-last reopening report to the Board as the Library is on track to reopen May 3, 2021.
Nancy Birmingham, Assistant Branch Manager and Project Lead of the Reopening Team, presented to the Board.
Ms. Birmingham shared a high-level overview on COVID-19 in the region and beyond, as well as vaccine availability in the area.
Ms. Birmingham shared a comparison of services being offered at the other metro-area libraries.
**Timeline for returning hours and services:**
- April 23: Reopen on Fridays, end of quarantine
- By May 10th: Return of furniture
- This step requires different resources for different locations and will happen across the system over a two-week window.
- May 3: Return to full hours, study and meeting rooms available
- DeSoto and Edgerton return to full hours on April 18th.
- Rooms will be available to start serving April 28th with May 3rd as first available date.
- Fall 2021: Return of in-person programming and MakerSpace use
- Donation sites will open back up in the future. We are working closely with the Friends and the sorting center to make that happen.
Ms. Birmingham shared the details for the reduction and ending of the Library’s quarantine of materials.
The CDC has changed its recommendations on cleaning, disinfecting, and quarantine of items for fear of COVID-19 transmission. They are classifying it as more likely to be an aerosol transmission rather than a touch transmission. The end of quarantine is now in line with current CDC recommendations.
**Succession Planning**
Mr. Casserley gave a brief update on the Succession Planning project. The Library is working with the Howe Street Group and has already written a proposal, charter, and a schedule. We are working with County HR as subject matter experts, and we are working with our managers and assistant managers to identify pathways to leadership. We are working with the Foundation for the Logan Fund on leadership opportunities.
**Mobile Learning program study**
Mr. Casserley gave a status report on the mobile learning program study. Part one of the study showed the community need for mobile services. Part two will help the Library understand the costs associated and the plans necessary to put it together. This idea came from brainstorming with the Foundation and their interest in challenge gifts for donors. More updates to come throughout the year.
**CONSENT AGENDA**
Minutes of the March 8, 2021 Library Board Meeting
**Motion:** Fabian Shepard moved to approve the consent agenda.
**Second:** Wayne Burke
**Motion approved unanimously**
**NEW BUSINESS**
Election of Library Board Officers
Administrative regulation ARM 10-50-10, Bylaws of the Board of Directors, guides the annual election of officers. The officers of the board include a chair, vice chair/secretary, and treasurer. Officers serve a term of one-year commencing immediately upon election.
The Johnson County Library nominating committee – Donna Mertz, Brandy Butcher, David Sims – submits the following nominations for officers:
Chair: Bethany Griffith
Vice-Chair/Secretary: David Sims
Treasurer: Brandy Butcher
Motion: Wayne Burke moved the Library Board of Directors elect the recommended slate of officers for the 2021-2022 term.
Second: Fabian Shepard
Motion approved unanimously
Consideration of approval of Memoranda of Understanding between Johnson County Library and the cities of Prairie Village, Mission, Merriam, and Gardner.
Johnson County Library provides “Walk and Read” programs which provide storyboards along a walking trail at local parks. These memoranda clarify the responsibilities for city Parks and Recreation departments and the Johnson County Library to provide the “Walk and Read” programming in local parks.
Motion: Bethany Griffith moved to approve the Memoranda of Understanding between Johnson County Library and Prairie Village Parks and Recreation, Mission Parks and Recreation, Merriam Parks and Recreation, and Gardner Parks and Recreation.
Second: Wayne Burke
Motion approved unanimously
Approval of temporary closure of Oak Park Library for Arc Flash work and interior updates
In February 2019, the Johnson County Library Board of Directors contracted with Herzig Engineering for Arc Flash Hazard Analysis and Compliance engineering services. The Library is working with Facilities to implement options to mitigate hazards and appropriately label equipment.
The Oak Park location needs Arc Flash hazard work which requires turning off power to the building and a temporary closure is needed. During this period, the Library plans to complete the more intrusive work regarding interior updates to some spaces – including wall repair, carpet replacement, and painting. Other work can be done while the building is open.
Motion: Fabian Shepard moved to approve the temporary closure of the Oak Park Library, for up to five days in June or July to perform Arc Flash hazard work and interior updates.
Second: Bethany Griffith
Motion approved unanimously
Approval of temporary closure of Corinth Library for roofing and Arc Flash work
The Corinth location currently experiences roof leaks. Patching is no longer a sustainable solution. The Library, Facilities, and Purchasing have worked together to get a contract for roofing replacement. Replacement of the roof requires constant repetitive hammering and other construction noises coming from overhead. The Arc Flash hazard work will require the power to be shut off to the building for several days. For these reasons the Library recommends that the Corinth location be closed during the roofing and Arc Flash work.
**Motion:** Wayne Burke moved to approve the temporary closure of the Corinth Library, for up to two weeks in April or May to complete roofing replacement and Arc Flash work.
**Second:** Bethany Griffith
**Motion approved unanimously**
**Approval of the County Librarian’s recommended FY 2022 Revenue and Expenditure Budget**
The Library Budget Committee held a series of meetings in the 4th Quarter of 2020 to evaluate budget related proposals that were made from staff for additional operating funds as well as reviewing current capital plans for the upcoming 5-year Capital Improvement Plan (CIP). There was also review of the multi-year budget forecast and what the impact of these budget decisions and the timing of the Library’s capital plans.
The County Librarian’s Recommended FY 2022 Revenue and Expenditure Budget that is being presented is in balance, with revenue projections matching what has been provided by Johnson County’s Budget and Financial Planning Department and the operating and capital expenditures being proposed are in line with what has been previously reviewed and supported by the Library Budget Committee.
Finance Director Dave Vratny presented additional information on the 2022 budget. He explained that it includes additional funds related to the Antioch Library replacement project and repairs and updates at other sites. It also includes additional funds for personnel, the collections, furniture replacement, risk management, and the summer reading program.
Mr. Shepard asked if the Library was able to realize in personnel costs due to a reduction in staff size during the pandemic.
Mr. Vratny replied that there was a slight reduction, but unfilled positions are still budgeted.
Mr. Shepard asked if the Library backfilled those open positions.
Mr. Vratny answered that some were backfilled, and plans are in place to fill others.
Mr. Shepard replied that it looks like the library is going to make up and reduction bringing staff back up to full force.
Mr. Casserley answered that by May 3rd the Library plans to be back to full hours and increased staffing to facilitate operations. 253 staff were furloughed last hear. 27 vacant positions have been filled at this time.
**Motion:** Fabian Shepard moved to approve the County Librarian’s Recommended FY 2022 Revenue and Expenditure Budget of $43,770,980.
**Second:** Bethany Griffith
**Motion approved unanimously**
Ms. Ruo closed the meeting by passing “the virtual gavel” to Ms. Griffith as incoming Board Chair.
**ADJOURNMENT**
Motion: Fabian Shepard moved to adjourn the meeting.
Second: Amy Ruo
Motion approved unanimously
Meeting adjourned at 5:43 p.m.
SECRETARY__________________________
Bethany Griffith
CHAIR ________________________ SIGNED__________________________
Amy Ruo Sean Casserley
JOHNSON COUNTY LIBRARY
GIFT FUND
TREASURER'S REPORT
Period: MAR-2021
| | Receipts | Payments | Balance |
|--------------------------------|----------|----------|-----------|
| Opening cash balance | | | $105,852.17 |
| Add Receipts | $45.34 | | |
| Less Payments | | $10,492.30 | |
| Ending Cash balance | | | $95,405.21 |
| Less Liabilities | | $1,507.01 | |
| Unobligated cash balance | | | $93,898.20 |
APPROVED: ________________________________
DATE: ________________________________
Briefing Sheet
To: Library Board of Directors
From: Sean Casserley, County Librarian
Date: May 13, 2020
Re: Consideration of Memoranda of Understanding between Johnson County Library and the cities of Overland Park and Leawood
Issue: Johnson County Library plans to partner with city parks to provide “Walk and Read” programming.
Suggested Motion: I move to approve the Memoranda of Understanding between Johnson County Library and Overland Park Parks and Recreation and Leawood Parks and Recreation.
Background: Johnson County Library provides “Walk and Read” programs which provide storyboards along a walking trail at local parks. These memoranda clarify the responsibilities for city Parks and Recreation departments and the Johnson County Library to provide the “Walk and Read” programming in local parks.
Analysis: “Walk and Read” programming allows for outdoor, socially distanced family interaction with the library. The programming is in partnership with cities in Johnson County.
Alternatives: 1) Not approve the MOUs with Overland Park and Leawood.
Recommendation: Approve the Memoranda of Understanding with Overland Park and Leawood.
Legal Review: Library Legal counsel has reviewed the MOU document.
MEMORANDUM OF UNDERSTANDING (MOU) BETWEEN THE JOHNSON COUNTY LIBRARY AND CITY OF OVERLAND PARK, KANSAS.
This MOU is intended to document the relationship between the Johnson County Library and the City of Overland Park (hereinafter referred to as the “City”) regarding Walk and Read (W&R).
Walk and Read
January 1, 2021- December 31, 2021
Event Space:
- The City will provide walking trails where Walk and Read (W&R) events will take place.
Event Responsibilities:
- The City will provide at least one staff member to help a Johnson County Library (JCL) staff member set up the event.
- JCL will provide the metal sign holders and storyboards. JCL shall adhere to all applicable copyright, trademark, licensing or other intellectual property laws and requirements; and JCL agrees to indemnify, defend and hold the City harmless from any claim, cause of action or damage of any kind whatsoever related to or derived from the same, whether directly or indirectly.
- The City will periodically check on the signs during the event.
- JCL acknowledges that vandalism, theft or other damage of the sign holders or storyboards may occur during the event and JCL agrees not to hold the City responsible but to hold the City harmless for any vandalism, theft or other damage of the sign holders or storyboards that occurs.
- If signs are damaged during an event beyond a City staff member’s ability to fix, a City staff member will contact the designated JCL staff member to come fix said damage.
- The City will take down signs on the day after the event’s end and deliver them to the Cedar Roe library branch: 5120 Cedar St. Roeland Park, KS 66205.
- If Summer Reading programs are going on at the Walk and Read events, JCL staff will set up, man, and take down all Summer Reading supplies.
Communication:
- The City will coordinate with JCL to schedule an event location and running dates (approximately 10 days long).
- JCL will provide Program Specifics Agreement Document to the City after both parties have agreed on scheduling. This document will include, but is not limited to, exact location, dates, book titles and if a Summer Reading event will be included.
- JCL will promote W&R events on their website, in JCL’s public program publication, “The Guide” and in their social media promotions as needed.
- The City will cross-promote W&R events on their website, social media platforms, etc. as needed.
- Either JCL or the City may terminate this MOU or any Program Specifics Agreement at any time at its convenience by giving the other party written notice.
• The written terms of this MOU supersede all prior statements of the parties. Changes to this MOU may only be made in writing.
City of Overland Park
By: Jermel Stevenson
Director, Parks & Recreation
Attest:
By: Elizabeth Kelley, City Clerk
Johnson County Library
By: Sean Casserly
County Librarian
Approved to Form:
By: Stephen B. Horner, Sr. Assistant City Attorney
Memorandum of Understanding (MOU) between the Johnson County Library and The City of Leawood, Kansas
This MOU is intended to document the relationship between the Johnson County Library and The City of Leawood (hereinafter referred to as “The City”) regarding Walk and Read (W&R).
**Walk and Read**
January 1, 2021 - December 31, 2021
**Event Space:**
- The City will provide walking trails where Walk and Read (W&R) events will take place.
**Event Responsibilities:**
- The City will provide at least one staff member to help a Johnson County Library (JCL) staff member set up the event.
- JCL will provide the metal sign holders and storyboards.
- The City will periodically check on the signs during the event.
- If signs are damaged during an event beyond The City’s staff member’s ability to fix, The City staff member will contact the designated JCL staff member to come fix said damage.
- The City will take down signs on the day after the event’s end and deliver them to the Cedar Roe library branch: 5120 Cedar St. Roeland Park, KS 66205.
**Communication:**
- The City will coordinate with JCL to schedule an event location and running dates (approximately 10 days long).
- JCL will provide Program Specifics Agreement Document to The City after both parties have agreed on scheduling. This document will include, but is not limited to, exact location, dates, book titles and if a Summer Reading event will be included.
- JCL will promote W&R events on their website, in JCL’s public program publication, “The Guide” and in their social media promotions as needed.
- The City will cross-promote W&R events on their website, social media platforms, etc. as needed.
---
The City of Leawood
By: ____________________________
Title: City Administrator
Johnson County Library
By: ____________________________
Title: County Librarian
To: Johnson County Library Board of Directors
From: Sean Casserley, County Librarian
Date: May 13, 2021
Re: Cedar Roe: Contract for Sloped Roofing Replacement
Issue: Consider authorizing a contract with 435 Roofing for a total amount not to exceed $142,435.00 for replacement of the sloped portion of the roof at the Cedar Roe Library, per Invitation for Bid (IFB) No. 2021-041.
Suggested Motion: I move to authorize a contract with 435 Roofing for replacement of the sloped portion of the roof at the Cedar Roe Library, for a total amount not to exceed $142,435.00 per Invitation for Bid (IFB) 2021-041.
Background: In April 2021, the Library Board authorized the closing of the Cedar Roe branch upgrades to the HVAC system shelving replacement, and other smaller projects. The Library desires to also replace the sloped portion of the roof at Cedar Roe during the approved closure.
The Library anticipates offering limited services during most of this closure, notably curbside hold pickup and material returns.
Analysis: On Wednesday, April 21, 2021 the Treasury and Financial Management Department issued an Invitation for Bid (IFB) 2021-041 for replacement of the sloped portion of the roof at the Cedar Roe Library. The IFB was advertised in the local newspaper and posted electronically on the Johnson County KS website, Drexel Technologies plan room, and Johnson County electronic bidding site powered by Ionwave Technologies.
A mandatory pre-bid meeting was held on Tuesday, April 27, 2021 at the Cedar Roe Library with 9 firms in attendance. Bids were opened on Wednesday, May 5, 2021 with 5 responsive bids received.
| Bidder: | Bid: |
|---------------|----------|
| 435 Roofing | $142,435.00 |
| Firm 2 | $149,970.00 |
| Firm 3 | $175,700.00 |
| Firm 4 | $207,323.00 |
| Firm 5 | $318,000.00 |
The low and responsive bid was submitted by 435 Roofing. This bid is within available designated funds. RTI Consultants, the consultant assisting the Library on this project, is in agreement with the Library, Facilities, and Purchasing on the recommended award to 435 Roofing.
Library staff advises the Library Board that the Invitation for Bid was issued and administered, and this award recommendation is made, in compliance with County purchasing policies and procedures.
Alternatives: 1) Not authorize the Contract.
Legal Review: Library Legal counsel has reviewed and approved the contractor agreement as to form and recommends its approval.
Funding Review: These funds have been allocated in the approved Capital Replacement Plan.
Recommendation: Authorize a contract with 435 Roofing for replacement of the sloped portion of the roof at the Cedar Roe Library, for a total amount not to exceed $142,435.00 per Invitation for Bid (IFB) 2021-041.
Suggested Motion: I move to authorize a contract with 435 Roofing for replacement of the sloped portion of the roof at the Cedar Roe Library, for a total amount not to exceed $142,435.00 per Invitation for Bid (IFB) 2021-041.
Attachments: Overhead map showing affected areas, Recommendation letter from RTI Consultants.
Cedar Roe: Sloped Roofing Replacement
Affected areas
May 5, 2021
Sean Hendrix, Architect, LEED®
Library Architectural Project Manager
Johnson County Facilities Management
111 S. Cherry Street, Suite 2100
Olathe, KS 66061
Re: Cedar Roe Library
Mr. Hendrix,
RTI Consultants has reviewed the bids received on May 5, 2021 for the above referenced roof replacement project.
Based on our understanding of the project, our evaluation of the bids received, and our verbal conversation with Brian Kramer with 435 Roofing, we recommend acceptance of the bid from 435 Roofing for a total contract amount of $142,435.00.
If after your review of this information you have any questions please contact our office.
RTI Consultants, Inc.
[Signature]
Mike Gerstner/Principal
AGREEMENT made as of the Sixth day of May in the year Two Thousand Twenty One (In words, indicate day, month and year.)
BETWEEN the Owner:
(Name, legal status, address and other information)
Board of Directors of the Johnson County Library of Johnson County Kansas
9875 W 87th St.
Overland Park, Kansas 66212
and the Contractor:
(Name, legal status, address and other information)
435 Roofing Inc.
9265 Flint St.
Overland Park, Kansas 66214
Brian Kramer – firstname.lastname@example.org - 913-579-0718
for the following Project:
(Name, location and detailed description)
Johnson County Library - Cedar Roe Library – Sloped Roofing Replacement
IFB #2021-041
5120 Cedar St
Roeland Park, Kansas 66205
The Architect OR the Engineer, hereinafter the Architect:
(Name, legal status, address and other information)
RTI Consultants, Inc.
C/o Mike Gerstner
22117 W. 83rd Street
Lenexa, Kansas 66227
(913) 649-6565
Whenever the terms "Architect" or "Architect's" appear in the provisions or headings of the Contract Documents, such terms shall be replaced with "Consultant" or "Consultant's", respectively, as the case may be. This change shall apply to all forms of the terms, unless otherwise indicated, or unless such change would render the meaning of the context of the specific provision or heading thereof nonsensical.
The Owner and Contractor agree as follows.
TABLE OF ARTICLES
1 THE WORK OF THIS CONTRACT
2 DATE OF COMMENCEMENT AND SUBSTANTIAL COMPLETION
3 CONTRACT SUM
4 PAYMENT
5 DISPUTE RESOLUTION
6 ENUMERATION OF CONTRACT DOCUMENTS
7 GENERAL PROVISIONS
8 OWNER
9 CONTRACTOR
10 ARCHITECT
11 SUBCONTRACTORS
12 CONSTRUCTION BY OWNER OR BY SEPARATE CONTRACTORS
13 CHANGES IN THE WORK
14 TIME
15 PAYMENTS AND COMPLETION
16 PROTECTION OF PERSONS AND PROPERTY
17 INSURANCE AND BONDS
18 CORRECTION OF WORK
19 MISCELLANEOUS PROVISIONS
20 TERMINATION OF THE CONTRACT
21 CLAIMS AND DISPUTES
EXHIBIT A DETERMINATION OF THE COST OF THE WORK
ARTICLE 1 THE WORK OF THIS CONTRACT
The Contractor shall execute the Work described in the Contract Documents or reasonably inferable by the Contractor as necessary to produce the results intended by the Contract Documents, except as specifically indicated in the Contract Documents to be the responsibility of others.
ARTICLE 2 DATE OF COMMENCEMENT AND SUBSTANTIAL COMPLETION
§ 2.1 The date of commencement of the Work shall be:
(Check one of the following boxes.)
[ ] The date of this Agreement.
[X] A date set forth in a written notice to proceed issued by the Owner to the Contractor.
[ ] Established as follows:
(Insert a date or a means to determine the date of commencement of the Work.)
If a date of commencement of the Work is not selected, then the date of commencement shall be the date of this Agreement.
§ 2.2 The Contract Time shall be measured from the date of commencement.
§ 2.3 Substantial Completion
§ 2.3.1 Subject to adjustments of the Contract Time as provided in the Contract Documents, the Contractor shall achieve Substantial Completion of the entire Work:
(Check the appropriate box and complete the necessary information.)
[ ] Not later than () calendar days from the date of commencement of the Work.
[X] By the following date: June 20, 2021
§ 2.3.2 Subject to adjustments of the Contract Time as provided in the Contract Documents, if portions of the Work are to be completed prior to Substantial Completion of the entire Work, the Contractor shall achieve Substantial Completion of such portions by the following dates:
| Portion of Work | Substantial Completion Date |
|-----------------|----------------------------|
| | |
§ 2.3.3 If the Contractor fails to achieve Substantial Completion as provided in this Section 2.3, liquidated damages, if any, shall be assessed as set forth in Section 3.5.
ARTICLE 3 CONTRACT SUM
§ 3.1 The Owner shall pay the Contractor the Contract Sum in current funds for the Contractor’s performance of the Contract. The Contract Sum shall be one of the following:
(Check the appropriate box.)
[X] Stipulated Sum, in accordance with Section 3.2 below
[ ] Cost of the Work plus the Contractor’s Fee, in accordance with Section 3.3 below
[ ] Cost of the Work plus the Contractor’s Fee with a Guaranteed Maximum Price, in accordance with Section 3.4 below
(Based on the selection above, complete Section 3.2, 3.3 or 3.4 below.)
§ 3.2 The Stipulated Sum shall be One Hundred Forty Two Thousand Four Hundred Thirty Five Dollars and 00 Cents ($142,435.00), subject to additions and deductions as provided in the Contract Documents.
§ 3.2.1 The Stipulated Sum is based upon the following alternates, if any, which are described in the Contract Documents and are hereby accepted by the Owner:
(State the numbers or other identification of accepted alternates. If the bidding or proposal documents permit the Owner to accept other alternates subsequent to the execution of this Agreement, attach a schedule of such other alternates showing the amount for each and the date when that amount expires.)
N/A
§ 3.2.2 Unit prices, if any:
(Identify the item and state the unit price and the quantity limitations, if any, to which the unit price will be applicable.)
| Item | Units and Limitations | Price per Unit ($0.00) |
|------|-----------------------|-----------------------|
| ½" OSB Roof Decking | (1) 4x8 Sheet - 32 SF | $70 |
§ 3.2.3 Allowances, if any, included in the stipulated sum:
(Identify each allowance.)
| Item | Price |
|------|-------|
| Unforeseen Damage relating to roof substrate | $10,000.00 |
§ 3.3 Cost of the Work Plus Contractor’s Fee
(Paragraphs deleted)
Intentionally Omitted
§ 3.4 Cost of the Work Plus Contractor’s Fee With a Guaranteed Maximum Price
Intentionally Omitted
§ 3.5 Liquidated damages, if any:
(Paragraphs deleted)
(Insert terms and conditions for liquidated damages, if any.)
(Paragraphs deleted)
The Owner and Contractor recognize that time is of the essence of this Agreement and that if the Contractor does not achieve Substantial Completion within the time specified in Article 2 of the Agreement, plus any extensions thereof allowed in accordance with the Contract Documents, the Contractor shall be liable for and shall pay the Owner the sums hereinafter stipulated as liquidated damages for delay, but not as a penalty, for each and every calendar day that expires following the time specified in Article 2: TWO HUNDRED FIFTY DOLLARS AND NO CENTS ($250.00).
(Table deleted)
(Paragraphs deleted) ARTICLE 4 PAYMENT
§ 4.1 Progress Payments
§ 4.1.1 Based upon Applications for Payment including all supporting documentation, properly submitted to the Architect by the Contractor and Certificates for Payment issued by the Architect, the Owner shall make progress payments on account of the Contract Sum to the Contractor as provided below and elsewhere in the Contract Documents.
§ 4.1.2 The period covered by each Application for Payment shall be one calendar month ending on the last day of the month, or as follows:
§ 4.1.3 An Application for Payment shall be submitted by the Contractor no later than the first day of the month. Payment of amounts due to the Contractor from the Owner, except retainage, shall be made within thirty (30) days after the Owner receives a certified, properly completed, undisputed request for payment according to the terms of the Agreement, unless extenuating circumstances exist which would preclude approval of payment within 30 days. If such extenuating circumstances exist, then payment shall be made within forty-five (45) days after Owner receives payment request.
§ 4.1.4 Retainage, if any, shall be withheld as follows:
Five percent (5%) of the amount of each Application for Payment retained until final completion and acceptance of all Work covered by the Contract. If during the course of performance of the Work, the Owner determines that a higher rate of retainerage is required because the Contractor has failed to meet the terms of the Agreement, is not performing according to the Construction Schedule, shows poor workmanship or other issues, the Owner reserves the right to increase the retainerage amount up to, but not exceeding, ten percent (10%) of the value of the Agreement.
§ 4.1.5 Payments due and unpaid under the Contract shall bear interest from the date payment is due at the rate stated below, or in the absence thereof, at the legal rate prevailing from time to time at the place where the Project is located.
18% per annum
§ 4.2 Final Payment
§ 4.2.1 Final payment, constituting the entire unpaid balance of the Contract Sum, shall be made by the Owner to the Contractor when
.1 the Contractor has fully performed the Contract except for the Contractor’s responsibility to correct Work as provided in Section 18.2, and to satisfy other requirements, if any, which extend beyond final payment;
.2 the Contractor has submitted a final accounting for the Cost of the Work, where payment is on the basis of the Cost of the Work with or without a Guaranteed Maximum Price;
.3 a final Certificate for Payment has been issued by the Architect in accordance with Section 15.7.1;
.4 the Contractor has submitted a final Release of Claims, certifying that payrolls, bills for materials and equipment, and other indebtedness connected with the Work for which the Owner or the Owner’s property might be responsible or encumbered (less amounts withheld by Owner) have been paid or otherwise satisfied;
.5 the Contractor has submitted a certificate evidencing that insurance required by the Contract Documents to remain in force after final payment is currently in effect and will not be canceled or allowed to expire until at least 30 days’ prior written notice has been given to the Owner;
.6 the Contractor has submitted a written statement that the Contractor knows of no substantial reason that the insurance will not be renewable to cover the period required by the Contract Documents; and
.7 consent of surety, if any, to final payment.
§ 4.2.2 The Owner’s final payment to the Contractor shall be made no later than 30 days after the issuance of the Architect’s final approved Certificate for Payment.
ARTICLE 5 DISPUTE RESOLUTION
§ 5.1 Binding Dispute Resolution
The method of binding dispute resolution shall be as follows:
(Check the appropriate box.)
[X] Litigation in a court of competent jurisdiction
(Paragraphs deleted)
ARTICLE 6 ENUMERATION OF CONTRACT DOCUMENTS
§ 6.1 The Contract Documents are defined in Article 7 and, except for Modifications issued after execution of this Agreement, are enumerated in the sections below.
§ 6.1.1 The Agreement is this executed AIA Document A104™–2017, as modified, Standard Abbreviated Form of Agreement Between Owner and Contractor.
§ 6.1.2 AIA Document E203™–2013, Building Information Modeling and Digital Data Exhibit, dated as indicated below:
(Insert the date of the E203–2013 incorporated into this Agreement.)
§ 6.1.3 INTENTIONALLY OMITTED
(Table deleted)
§ 6.1.4 The Specifications:
(Either list the Specifications here or refer to an exhibit attached to this Agreement.)
Refer to the Project Manual
| Section | Title | Date |
|---------|-------|------|
| | | |
§ 6.1.5 The Drawings:
(Either list the Drawings here or refer to an exhibit attached to this Agreement.)
| Number | Title | Date |
|--------|-----------|--------|
| [Cover]| [Cover] | April 2021 |
| A101 | Roof Plan | April 2021 |
| A102 | Details | April 2021 |
| A103 | Details | April 2021 |
§ 6.1.6 The Addenda, if any:
| Number | Date | Pages |
|--------|------------|-------|
| 01 | 4-30-2021 | 8 |
Portions of Addenda relating to bidding or proposal requirements are not part of the Contract Documents unless the bidding or proposal requirements are enumerated in this Article 6.
§ 6.1.7 Additional documents, if any, forming part of the Contract Documents:
.1 Other Exhibits:
(Check all boxes that apply.)
[ ] Exhibit A, Determination of the Cost of the Work.
[ ] AIA Document E203™–2013, Building Information Modeling and Digital Data Exhibit, if completed, or the following:
[ ] AIA Document E204™–2017, Sustainable Projects Exhibit, dated as indicated below:
(Insert the date of the E204–2017 incorporated into this Agreement.)
| Title | Date | Pages |
|-------|------------|-------|
| | | |
[ ] Supplementary and other Conditions of the Contract:
2 Other documents, if any, listed below:
(List here any additional documents that are intended to form part of the Contract Documents.)
Invitation For Bid, Bid Request No. 2021-041
Executed Bid Bond
Executed Performance Bond
Executed Statutory Bond to the State of Kansas
ARTICLE 7 GENERAL PROVISIONS
§ 7.1 The Contract Documents
The Contract Documents are enumerated in Article 6 and consist of this modified Agreement (including, if applicable, Supplementary and other Conditions of the Contract), Drawings, Specifications, Addenda issued prior to the execution of this Agreement, other documents listed in this Agreement, and Modifications issued after execution of this Agreement. A Modification is (1) a written amendment to the Contract signed by both parties, (2) a Change Order, (3) a Construction Change Directive, or (4) a written order for a minor change in the Work issued by the Architect. The intent of the Contract Documents is to include all items necessary for the proper execution and completion of the Work by the Contractor. The Contract Documents are complementary, and what is required by one shall be as binding as if required by all; performance by the Contractor shall be required to the extent consistent with the Contract Documents and reasonably inferable from them as being necessary to produce the indicated results.
§ 7.2 The Contract
The Contract Documents form the Contract for Construction. The Contract, together with the performance bond, statutory bond, and maintenance bond, if any, represent the entire and integrated agreement between the parties hereto and supersedes prior negotiations, representations, or agreements, either written or oral. The Contract may be amended or modified only by a Modification. The Contract Documents shall not be construed to create a contractual relationship of any kind between any persons or entities other than the Owner and the Contractor.
§ 7.3 The Work
The term "Work" means the construction and services required by the Contract Documents, whether completed or partially completed, and includes all other labor, materials, equipment, and services provided or to be provided by the Contractor to fulfill the Contractor’s obligations. The Work may constitute the whole or a part of the Project.
§ 7.3.1 The Project
The Project is the total construction of which the Work performed under the Contract Documents may be the whole or a part and by the Owner’s own forces, including persons or entities under separate contracts not administered by the Contractor.
§ 7.3.2 Knowledge
The terms "knowledge", "recognize", and "discover", their representative derivatives and similar terms in the Contract Documents, as used in reference to the Contractor, shall be interpreted to mean that which the Contractor knows (or should know), recognizes (or should recognize) and discovers (or should discover) in exercising the care, skill, and diligence required by the Contract Documents. Analogously, the expression "reasonably inferable" and similar terms in the Contract Documents shall be interpreted to mean reasonably inferable by a Contractor familiar with the Project and exercising the care, skill and diligence required of the Contractor by the Contract Documents.
§ 7.3.3 Persistently
The phrase "persistently fails" and other similar expressions, as used in reference to the Contractor, shall be interpreted to mean any combination of acts and omissions, which causes the Owner or the Architect to reasonably conclude that the Contractor will not complete the Work within the Contract Time, for the Contract Sum or in substantial compliance with the requirements of the Contract Documents.
§ 7.3.4 Provide
When the word "provide" including derivatives thereof is used, it shall mean to properly fabricate, transport, deliver install, erect, construct, test and furnish all labor, materials, equipment, apparatus, appurtenances, and all items and expenses necessary to properly complete in place, ready for operation or use under the terms of the Specifications.
§ 7.4 Instruments of Service
Instruments of Service are representations, in any medium of expression now known or later developed, of the tangible and intangible creative work performed by the Architect and the Architect’s consultants, if any, under their respective professional services agreements. Instruments of Service may include, without limitation, studies, surveys, models, photographs, digital media, sketches, drawings, specifications, and other similar materials.
§ 7.5 Ownership and use of Drawings, Specifications and Other Instruments of Service
§ 7.5.1 The Architect and the Architect’s consultants, if any, shall be deemed the authors and owners of their respective Instruments of Service, including the Drawings and Specifications, and will retain all common law, statutory and other reserved rights in their Instruments of Service, including copyrights. The Contractor, Subcontractors, Sub-subcontractors, and suppliers shall not own or claim a copyright in the Instruments of Service. Submittal or distribution to meet official regulatory requirements or for other purposes in connection with the Project is not to be construed as publication in derogation of the Architect’s or Architect’s consultants’, if any, reserved rights.
§ 7.5.2 The Contractor, Subcontractors, Sub-subcontractors and suppliers are authorized to use and reproduce the Instruments of Service provided to them, subject to the protocols established pursuant to Sections 7.6 and 7.7, solely and exclusively for execution of the Work. All copies made under this authorization shall bear the copyright notice, if any, shown on the Instruments of Service. The Contractor, Subcontractors, Sub-subcontractors, and suppliers may not use the Instruments of Service on other projects or for additions to this Project outside the scope of the Work without the specific written consent of the Owner, Architect and the Architect’s consultants, if any.
§ 7.6 Digital Data Use and Transmission
If the parties intend to transmit Instruments of Service or any other information or documentation in digital form, they shall endeavor to establish necessary protocols governing such transmission, unless otherwise provided in the Agreement or in the Contract Documents.
§ 7.7 Building Information Models Use and Reliance
INTENTIONALLY OMITTED
§ 7.8 Severability
The invalidity of any provision of the Contract Documents shall not invalidate the Contract or its remaining provisions. If it is determined that any provision of the Contract Documents violates any law, or is otherwise invalid or unenforceable, then that provision shall be revised to the extent necessary to make that provision legal and enforceable. In such case the Contract Documents shall be construed, to the fullest extent permitted by law, to give effect to the parties’ intentions and purposes in executing the Contract.
§ 7.9 Notice
§ 7.9.1 Where the Contract Documents require one party to notify or give notice to the other party, such notice shall be provided in writing to the designated representative of the party to whom the notice is addressed and shall be deemed to have been duly served if delivered in person, by mail, by courier, or by electronic transmission in accordance with AIA Document E203™–2013, Building Information Modeling and Digital Data Exhibit, if completed, or as otherwise set forth below:
(If other than in accordance with AIA Document E203–2013, insert requirements for delivering Notice in electronic format such as name, title and email address of the recipient and whether and how the system will be required to generate a read receipt for the transmission.)
§ 7.9.2 INTENTIONALLY OMITTED
§ 7.10 Relationship of the Parties
Where the Contract is based on the Cost of the Work plus the Contractor’s Fee, with or without a Guaranteed Maximum Price, the Contractor accepts the relationship of trust and confidence established by this Agreement and
covenants with the Owner to cooperate with the Architect and exercise the Contractor’s skill and judgment in furthering the interests of the Owner; to furnish efficient business administration and supervision; to furnish at all times an adequate supply of workers and materials; and to perform the Work in an expeditious and economical manner consistent with the Owner’s interests. The Owner agrees to furnish and approve, in a timely manner, information required by the Contractor and to make payments to the Contractor in accordance with the requirements of the Contract Documents.
ARTICLE 8 OWNER
§ 8.1 Information and Services Required of the Owner
§ 8.1.1 INTENTIONALLY OMITTED
§ 8.1.2 Unless otherwise provided for in the Contract Documents, the Owner shall, upon the written request of the Contractor, furnish or make available surveys describing physical characteristics, legal limitations, and utility locations for the site of the Project, and a legal description of the site; provided, however, the Owner makes no representation as to the accuracy of any such information provided to the Contractor under the provisions of this Section and the Contractor shall be require to verify the accuracy of an such information furnished by the Owner and report back to the Owner within five (5) calendar days of any omissions, errors, or inconsistencies in the furnished information discovered by the Contractor.
§ 8.1.3 The Contractor shall be entitled to rely on the accuracy of information furnished by the Owner but shall exercise proper precautions relating to the safe performance of the Work.
§ 8.1.4 Except for permits and fees that are the responsibility of the Contractor under the Contract Documents, including those required under Section 9.6.1, the Owner shall secure and pay for other necessary approvals, easements, assessments, and charges required for the construction, use, or occupancy of permanent structures or for permanent changes in existing facilities.
§ 8.2 Owner’s Right to Stop the Work
If the Contractor fails to correct Work which is not in accordance with the requirements of the Contract Documents, or repeatedly fails to carry out the Work in accordance with the Contract Documents, the Owner may issue a written order to the Contractor to stop the Work, or any portion thereof, until the cause for such order is eliminated; however, the right of the Owner to stop the Work shall not give rise to a duty on the part of the Owner to exercise this right for the benefit of the Contractor or any other person or entity.
§ 8.3 Owner’s Right to Carry Out the Work
If the Contractor defaults or neglects to carry out the Work in accordance with the Contract Documents, and fails within a ten-day period after receipt of notice from the Owner to commence and continue correction of such default or neglect with diligence and promptness, the Owner may, without prejudice to any other remedies the Owner may have, correct such default or neglect and may deduct the reasonable cost thereof, including Owner’s expenses and compensation for the Architect’s additional services and expenses made necessary thereby, from the payment then or thereafter due the Contractor. If payments then or thereafter due are insufficient, the Contractor shall pay the difference to the Owner.
§ 8.4 The rights stated in this Article 8 and elsewhere in the Contract Documents are cumulative and not in limitation of any rights of the Owner (1) granted in the Contract Documents, (2) at law or (3) in equity.
ARTICLE 9 CONTRACTOR
§ 9.1 Review of Contract Documents and Field Conditions by Contractor
§ 9.1.1 Execution of the Contract by the Contractor is a representation that the Contractor has visited the site, become familiar with local conditions under which the Work is to be performed and correlated personal observations with requirements of the Contract Documents.
§ 9.1.2 Because the Contract Documents are complementary, the Contractor shall, before starting each portion of the Work, carefully study and compare the various Contract Documents relative to that portion of the Work, as well as the information, if any, furnished by the Owner pursuant to Section 8.1.2, shall take field measurements of any existing conditions related to that portion of the Work and shall observe any conditions at the site affecting it. The Contractor shall promptly report to the Architect any errors, inconsistencies, or omissions discovered by or made known to the
Contractor as a request for information in such form as the Architect may require. It is recognized that the Contractor’s review is made in the Contractor’s capacity as a contractor and not as a licensed design professional unless otherwise specifically provided in the Contract Documents.
§ 9.1.3 The Contractor is not required to ascertain that the Contract Documents are in accordance with applicable laws, statutes, ordinances, codes, rules and regulations, or lawful orders of public authorities, but the Contractor shall promptly report to the Architect any nonconformity discovered by or made known to the Contractor as a request for information in such form as the Architect may require.
§ 9.2 Supervision and Construction Procedures
§ 9.2.1 The Contractor shall supervise and direct the Work, using the Contractor’s best skill and attention. The Contractor shall be solely responsible for and have control over construction means, methods, techniques, sequences, and procedures, and for coordinating all portions of the Work under the Contract.
§ 9.2.2 The Contractor shall be responsible to the Owner for acts and omissions of the Contractor, Contractor’s employees, Subcontractors and their agents and employees, and other persons or entities performing portions of the Work for or on behalf of the Contractor or any of its Subcontractors.
§ 9.3 Labor and Materials
§ 9.3.1 Unless otherwise provided in the Contract Documents, the Contractor shall provide and pay for labor, materials, equipment, tools, utilities, construction equipment and machinery, water, heat, utilities, transportation, and other facilities and services necessary for proper execution and completion of the Work whether temporary or permanent and whether or not incorporated or to be incorporated in the Work.
§ 9.3.2 The Contractor shall enforce strict discipline and good order among the Contractor’s employees and all other persons carrying out the Work. The Contractor shall not permit employment of unfit persons or persons not skilled in tasks assigned to them.
§ 9.3.3 The Contractor may make a substitution only with the consent of the Owner, after evaluation and consultation by the Architect and in accordance with a Modification.
§ 9.4 Warranty
The Contractor warrants to the Owner and Architect that materials and equipment furnished under the Contract will be of good quality and new unless the Contract Documents require or permit otherwise. The Contractor further warrants that the Work will conform to the requirements of the Contract Documents and will be free from defects, except for those inherent in the quality of the Work the Contract Documents require or permit. Work, materials, or equipment not conforming to these requirements will be considered defective. The Contractor’s warranty excludes remedy for damage or defect caused by abuse, alterations to the Work not executed by the Contractor, improper or insufficient maintenance, improper operation or normal wear and tear under normal usage. All other warranties required by the Contract Documents shall be issued in the name of the Owner, or shall be transferable to the Owner, and shall commence in accordance with Section 15.6.3.
§ 9.5 Taxes
The Contractor shall pay any and all sales, consumer, use, and other similar taxes for the Work or portions thereof provided by the Contractor which are not otherwise exempt from taxation by the laws of the place where the Project is located.
§ 9.5.1 Following execution of the Agreement, the Owner shall provide the Contractor with a Kansas State Sales Tax exemption Certificate number issued by the Kansas Department of Revenue to be used by the Contractor as allowable for sales of tangible personal property services purchases by the Contractor for the Work or portion thereof. The Contractor shall furnish the number of such certificate to all suppliers from whom purchases are made, and such suppliers shall execute invoices covering same bearing number of such certificate. All such invoices shall be held by the Contractor for a period of five (5) years from the date of such invoices and shall be subject to an audit by the Kansas Director of Revenue.
§ 9.5.2 Upon completion of the Project, the Contractor shall file with the Owner a notarized statement that all purchases made under the exemption certificate were entitled to be exempt from the Kansas Retailer’s State Tax and
§ 9.5.3 The Contractor shall assume responsibility and be liable for the proper use of the exemption certificate number and shall pay all legally assessed penalties for improper use of the certificate and any and all taxes that are not otherwise exempt under the certificate.
§ 9.6 Permits, Fees, Notices, and Compliance with Laws
§ 9.6.1 Unless otherwise provided in the Contract Documents, the Contractor shall secure and pay for the building permit as well as other permits, fees, licenses, and inspections by government agencies necessary for proper execution and completion of the Work that are required at the time bids are received or negotiations concluded.
§ 9.6.2 The Contractor shall comply with and give notices required by applicable laws, statutes, ordinances, codes, rules and regulations, and lawful orders of public authorities applicable to performance of the Work. If the Contractor performs Work knowing it to be contrary to applicable laws, statutes, ordinances, codes, rules and regulations, or lawful orders of public authorities, the Contractor shall assume appropriate responsibility for correction of such Work and shall bear the costs, losses and expenses attributable to correction.
§ 9.7 Allowances
The Contractor shall include in the Contract Sum all allowances stated in the Contract Documents. The Owner shall select materials and equipment under allowances with reasonable promptness. Allowance amounts shall include the costs to the Contractor of materials and equipment delivered at the site and all required taxes, less applicable trade discounts. Contractor’s costs for unloading and handling at the site, labor, installation, overhead, profit, and other expenses contemplated for stated allowance amounts shall be included in the Contract Sum but not in the allowance.
§ 9.8 Contractor’s Construction Schedules
§ 9.8.1 The Contractor, promptly after being awarded the Contract, shall prepare and submit for the Owner’s and Architect’s approval a Baseline Schedule for the Work. Thereafter, the Construction Schedule shall not exceed time limits current under the Contract Documents, shall be revised at appropriate intervals as required by the conditions of the Work and Project, shall be related to the entire Project to the extent required by the Contract Documents, and shall provide for expeditious and practicable execution of the Work.
§ 9.8.2 The Contractor shall perform the Work in general accordance with the most recent approved Construction Schedule submitted to the Owner and Architect.
§ 9.8.3 Should the updates to the Construction Schedule show the Contractor to be twenty (20) or more calendar days behind the Baseline Schedule at any time during the construction, the Contractor shall work with the Owner and Architect to prepare a recovery plan for returning the Project to a completion within the current Final Completion Date. The Owner reserves the right to withhold payments to the Contractor until a reasonable recovery plan is submitted and accepted by the Owner. All costs associated with the preparation of the recovery plan shall be the Contractor’s responsibility unless the delay was caused by reasons beyond the control of the Contractor.
§ 9.9 Submittals
§ 9.9.1 The Contractor shall review for compliance with the Contract Documents and submit to the Architect Shop Drawings, Product Data, Samples, and similar submittals required by the Contract Documents in coordination with the Contractor’s Baseline Schedule and in such sequence as to allow the Architect reasonable time for review. By submitting Shop Drawings, Product Data, Samples, and similar submittals, the Contractor represents to the Owner and Architect that the Contractor has (1) reviewed and approved them; (2) determined and verified materials, field measurements, and field construction criteria related thereto, or will do so; and (3) checked and coordinated the information contained within such submittals with the requirements of the Work and of the Contract Documents. The Work shall be in accordance with approved submittals.
§ 9.9.2 Shop Drawings, Product Data, Samples and similar submittals are not Contract Documents. Their purpose is to demonstrate the way by which the Contractor proposes to conform to the information given and the design concept expressed in the Contract Documents for those portions of the Work for which the Contract Documents require submittals. Review by the Architect is subject to the limitations of Section 10.6. Informational submittals upon which the Architect is not expected to take responsive action may be so identified in the Contract Documents. Submittals that are not required by the Contract Documents may be returned by the Architect without action.
§ 9.9.3 The Contractor shall perform no portion of the Work for which the Contract Documents require submittal and review of Shop Drawings, Product Data, Samples or similar submittals until the respective submittal has been approved by the Architect.
§ 9.9.4 The Work shall be in accordance with approved submittals except that the Contractor shall not be relieved of responsibility for deviations from requirements of the Contract Documents by the Architect’s approval of Shop Drawings, Product Data, Samples or similar submittals. The Contractor shall not be relieved of responsibility for errors or omissions in Shop Drawings, Product Data, Samples or similar submittals by the Architect’s approval thereof.
§ 9.9.5 Electronic Documentation submittals: The Contractor shall submit electronic data in accordance with Exhibit B, Standards for Delivery of Electronic Document Information.
§ 9.9.6 INTENTIONALLY OMITTED
§ 9.10 Use of Site
The Contractor shall confine operations at the site to areas permitted by applicable laws, statutes, ordinances, codes, rules and regulations, lawful orders of public authorities, and the Contract Documents and shall not unreasonably encumber the site with materials or equipment.
§ 9.11 Cutting and Patching
The Contractor shall be responsible for cutting, fitting, or patching required to complete the Work or to make its parts fit together properly.
§ 9.12 Cleaning Up
The Contractor shall keep the premises and surrounding area free from accumulation of waste materials and rubbish caused by operations under the Contract. At completion of the Work, the Contractor shall remove waste materials, rubbish, the Contractor’s tools, construction equipment, machinery, and surplus material from and about the Project.
§ 9.13 Access to Work
The Contractor shall provide the Owner and Architect with access to the Work in preparation and progress wherever located.
§ 9.14 Royalties, Patents and Copyrights
The Contractor shall pay all royalties and license fees. The Contractor shall defend suits or claims for infringement of copyrights and patent rights and shall hold the Owner and Architect harmless from loss on account thereof, but shall not be responsible for defense or loss when a particular design, process, or product of a particular manufacturer or manufacturers is required by the Contract Documents or where the copyright violations are contained in Drawings, Specifications or other documents prepared or made available by the Owner or Architect. However, if an infringement of a copyright or patent is discovered by, or made known to, the Contractor, the Contractor shall be responsible for the loss unless the information is promptly furnished in writing to the Architect and the Owner.
§ 9.15 Concealed or Unknown Conditions.
If the Contractor encounters conditions at the site that are (1) subsurface or otherwise concealed physical conditions that differ materially from those indicated in the Contract Documents or (2) unknown physical conditions of an unusual nature that differ materially from those ordinarily found to exist and generally recognized as inherent in construction activities of the character provided for in the Contract Documents, the Contractor shall promptly provide notice to the Owner and Architect before conditions are disturbed and in no event later than 21 days after first observance of the conditions. The Architect will promptly investigate such conditions and, if the Architect determines that they differ materially and cause an increase or decrease in the Contractor’s cost of, or time required for, performance of any part of the Work, will recommend to the Owner an equitable adjustment in the Contract Sum or Contract Time, or both. If the Owner or Contractor disputes the Architect’s recommendation, either party may proceed as provided in Article 21.
(Paragraphs deleted)
§ 9.16 Indemnification
§ 9.16.1 To the fullest extent permitted by law, the Contractor shall indemnify and hold harmless the Owner, Architect, Architect’s consultants, and their respective officers, consultants, agents and employees from and against claims, damages, losses and expenses, including but not limited to lost revenues or profits and attorneys’ fees, arising out of or resulting from the Contractor’s failure or refusal to perform the Work required by the Contract Documents, or arising out of or resulting from performance of the Work, provided that such claim, damage, loss, or expense is attributable to bodily injury, sickness, disease or death, or to injury to or damage or destruction of property, personal or real, including loss of use resulting therefrom, caused in whole or in part by the negligent acts or omissions of the Contractor, a Subcontractor, anyone directly or indirectly employed by them, or anyone for whose acts they may be liable, regardless of whether or not such claim, damage, loss, or expense is caused in part by a party indemnified hereunder. Such obligation shall not be construed to negate, abridge, or reduce other rights or obligations of indemnity which would otherwise exist as to a party or person described in this Section 9.16.1. The Contractor’s obligation to indemnify and hold harmless the Architect shall apply only to the extent that the Owner’s agreement with the Architect contains a reciprocal indemnification and hold harmless provision protecting the Contractor.
§ 9.16.2 In claims against any person or entity indemnified under this Section 9.16 by an employee of the Contractor, a Subcontractor, anyone directly or indirectly employed by them, or anyone for whose acts they may be liable, the indemnification obligation under Section 9.16.1 shall not be limited by a limitation on amount or type of damages, compensation or benefits payable by or for the Contractor or Subcontractor under workers’ compensation acts, disability benefit acts or other employee benefit acts.
ARTICLE 10 ARCHITECT
§ 10.1 The Architect will provide administration of the Contract as described in the Contract Documents and will be the Owner’s representative during construction, until the conclusion of the one year warranty period. The Architect will have authority to act on behalf of the Owner only to the extent provided in the Contract Documents, unless otherwise modified in writing in accordance with other provisions of the Contract.
§ 10.2 Duties, responsibilities, and limitations of authority of the Architect as set forth in the Contract Documents shall not be restricted, modified, or extended without written consent of the Owner, Contractor, and Architect. Consent shall not be unreasonably withheld.
§ 10.3 The Architect shall visit the site at intervals appropriate to the stage of the construction to become generally familiar with the progress and quality of the portion of the Work completed, and to determine in general, if the Work observed is being performed in a manner indicating that the Work, when fully completed, will be in accordance with the Contract Documents. However, the Architect will not be required to make exhaustive or continuous on-site inspections to check the quality or quantity of the Work. The Architect will not have control over, charge of, or responsibility for the construction means, methods, techniques, sequences, or procedures, or for safety precautions and programs in connection with the Work, since these are solely the Contractor’s rights and responsibilities under the Contract Documents.
§ 10.4 On the basis of the site visits, the Architect will keep the Owner reasonably informed about the progress and quality of the portion of the Work completed, and promptly report to the Owner (1) known deviations from the Contract Documents, (2) known deviations from the most recent Construction Schedule submitted by the Contractor, and (3) defects and deficiencies observed in the Work. The Architect will not be responsible for the Contractor’s failure to perform the Work in accordance with the requirements of the Contract Documents. The Architect will not have control over or charge of and will not be responsible for acts or omissions of the Contractor, Subcontractors, or their agents or employees, or any other persons or entities performing portions of the Work, provided, however, the Architect shall be responsible for promptly notifying the Owner of the failure of the Contractor, Subcontractors, or any other persons performing any of the Work, in failing to use proper construction means and method, techniques sequences, procedures, safety precautions and programs, but only to the extent the Architect becomes aware of, or should, exercising due professional diligence, be aware of the same, and shall also promptly notify the Owner in writing of the failure of any of the foregoing parties to carry out the Work in accordance with the Contract Documents.
§ 10.5 Based on the Architect’s evaluations of the Work and of the Contractor’s Applications for Payment, the Architect will review and certify the amounts due the Contractor and will issue Certificates for Payment in such amounts.
§ 10.6 The Architect has authority to reject Work that does not conform to the Contract Documents and to require inspection or testing of the Work.
§ 10.7 The Architect will review and approve or take other appropriate action upon, the Contractor’s submittals such as Shop Drawings, Product Data, and Samples, but only for the limited purpose of checking for conformance with information given and the design concept expressed in the Contract Documents. Review of such submittals is not conducted for the purpose of determining the accuracy and completeness of other details such as dimensions and quantities, or for substantiating instructions for installation or performance of equipment or systems, all of which remain the responsibility of the Contractor as required by the Contract Documents. The Architect’s review of the Contractor’s submittals shall not relieve the Contractor of the obligations under Sections 9.2, 9.4 and 9.9. The Architect’s review shall not constitute approval of safety precautions or, unless otherwise specifically stated by the Architect, of any construction means, methods, techniques, sequences or procedures. The Architect’s approval of a specific item shall not indicate approval of an assembly of which the item is a component.
§ 10.8 The Architect will interpret and decide matters concerning performance under, and requirements of, the Contract Documents on written request of either the Owner or Contractor. The Architect will make initial decisions on all claims, disputes, and other matters in question between the Owner and Contractor but will not be liable for results of any interpretations or decisions rendered in good faith.
§ 10.9 INTENTIONALLY OMITTED
ARTICLE 11 SUBCONTRACTORS
§ 11.1 A Subcontractor is a person or entity who has a direct contract with the Contractor to perform a portion of the Work at the site.
§ 11.2 Unless otherwise stated in the Contract Documents or the bidding requirements, the Contractor, as soon as practicable after award of the Contract, shall furnish in writing to the Owner and Architect the names of the Subcontractors or suppliers proposed for each of the principal portions of the Work. The Contractor shall not contract with any Subcontractor or supplier to whom the Owner or Architect has made reasonable written objection within ten days after receipt of the Contractor’s list of Subcontractors and suppliers. If the proposed but rejected Subcontractor was reasonably capable of performing the Work, the Contract Sum and Contract Time shall be increased or decreased by the difference, if any, occasioned by such change, and an appropriate Change Order shall be issued before commencement of the substitute Subcontractor’s Work. The Contractor shall not be required to contract with anyone to whom the Contractor has made reasonable objection.
§ 11.3 Contracts between the Contractor and Subcontractors shall (1) require each Subcontractor, to the extent of the Work to be performed by the Subcontractor, to be bound to the Contractor by the terms of the Contract Documents, and to assume toward the Contractor all the obligations and responsibilities, including the responsibility for safety of the Subcontractor’s Work, which the Contractor, by the Contract Documents, assumes toward the Owner and Architect, and (2) allow the Subcontractor the benefit of all rights, remedies and redress against the Contractor that the Contractor, by these Contract Documents, has against the Owner.
ARTICLE 12 CONSTRUCTION BY OWNER OR BY SEPARATE CONTRACTORS
§ 12.1 The term "Separate Contractor(s)" shall mean other contractors retained by the Owner under separate agreements. The Owner reserves the right to perform construction or operations related to the Project with the Owner’s own forces, and to award contracts with Separate Contractors in connection with other portions of the Project or other construction or operations on the site under conditions of the contract identical or substantially similar to those of this Contract, including those provisions of the Conditions of the Contract related to insurance and waiver of subrogation. If the Contractor claims that delay or additional cost is involved because of such action by the Owner, the Contractor shall make such claim as provided in Article 21.
§ 12.1.1 The Owner shall require his own forces and his separate contractors to coordinate their activities with the Work of the Contractor, who shall cooperate with them.
§ 12.1.2 The Contractor shall participate with other separate contractors and the Owner in coordinating their construction schedules with the Baseline Schedule and the Construction Schedule. The Contractor shall make any revisions to the Construction Schedule deemed necessary after a joint review and mutual agreement.
§ 12.2 The Contractor shall afford the Owner and Separate Contractors reasonable opportunity for introduction and storage of their materials and equipment and performance of their activities, and shall connect and coordinate the Contractor’s activities with theirs as required by the Contract Documents.
§ 12.3 The Owner shall be reimbursed by the Contractor for costs incurred by the Owner which are payable to a Separate Contractor because of delays, improperly timed activities, or defective construction of the Contractor. The Owner shall be responsible to the Contractor for costs incurred by the Contractor because of delays, improperly timed activities, and damage to the Work, or defective construction of a Separate Contractor.
ARTICLE 13 CHANGES IN THE WORK
§ 13.1 By appropriate Modification, changes in the Work may be accomplished after execution of the Contract. The Owner, without invalidating the Contract, may order changes in the Work within the general scope of the Contract consisting of additions, deletions, or other revisions, with the Contract Sum and Contract Time being adjusted accordingly. Such changes in the Work shall be authorized by written Change Order signed by the Owner, Contractor, and Architect, or by written Construction Change Directive signed by the Owner and Architect. Upon issuance of the Change Order or Construction Change Directive, the Contractor shall proceed promptly with such changes in the Work, unless otherwise provided in the Change Order or Construction Change Directive.
§ 13.2 Adjustments in the Contract Sum and Contract Time resulting from a change in the Work shall be determined by mutual agreement of the parties or, in the case of a Construction Change Directive signed only by the Owner and Architect, by the Contractor’s cost of labor, material, equipment, and reasonable overhead (of not more than 10% maximum) and profit (of not more than 5% maximum), unless the parties agree on another method for determining the cost or credit. Pending final determination of the total cost of a Construction Change Directive, the Contractor may request payment for Work completed pursuant to the Construction Change Directive. The Architect will make an interim determination of the amount of payment due for purposes of certifying the Contractor’s monthly Application for Payment. When the Owner and Contractor agree on adjustments to the Contract Sum and Contract Time arising from a Construction Change Directive, the Architect will prepare a Change Order.
§ 13.3 The Architect will have authority to order minor changes in the Work not involving adjustment in the Contract Sum or extension of the Contract Time and not inconsistent with the intent of the Contract Documents. Such changes shall be effected by written order and shall be binding on the Owner and Contractor. The Contractor shall carry out such written orders promptly.
§ 13.4 INTENTIONALLY OMITTED
ARTICLE 14 TIME
§ 14.1 Time limits stated in the Contract Documents are of the essence of the Contract. By executing this Agreement the Contractor confirms that the Contract Time is a reasonable period for performing the Work.
§ 14.2 Unless otherwise provided, Contract Time is the period of time, including authorized adjustments, allotted in the Contract Documents for Substantial Completion of the Work.
§ 14.3 The term "day" as used in the Contract Documents shall mean calendar day unless otherwise specifically defined.
§ 14.4 The date of Substantial Completion is the date certified by the Architect in accordance with Section 15.6.3.
§ 14.5 If the Contractor is materially delayed at any time in the commencement or progress of the Work by (1) changes ordered in the Work; (2) by fire, abnormal adverse weather conditions not reasonably anticipatable, unavoidable casualties, or any causes beyond the Contractor’s control; or (3) by other causes that the Contractor asserts, and the Architect determines, justify delay, then the Contract Time shall be extended for such reasonable time as the Architect may determine, subject to the provisions of Article 21.
The Contract Time will not be extended due to normal inclement weather. The Contractor shall include in all schedules an allowance for calendar days, for which, according to historical data in the location of the project, work
subject to normal inclement weather cannot be performed.
ARTICLE 15 PAYMENTS AND COMPLETION
§ 15.1 Schedule of Values
§ 15.1.1 Where the Contract is based on a Stipulated Sum or the Cost of the Work with a Guaranteed Maximum Price pursuant to Section 3.2 or 3.4, the Contractor shall submit a schedule of values to the Architect and Owner, before the first Application for Payment, and if necessitated by Change Orders, updated from time to time thereafter, allocating the entire Stipulated Sum or Guaranteed Maximum Price to the various portions of the Work. The schedule of values shall be prepared in the form, and supported by the data to substantiate its accuracy required by the Architect and Owner. This cost loaded schedule of values, when and only when approved in writing by the Architect and the Owner, shall be used as a basis for reviewing the Contractor’s Applications for Payment. Additionally, with each Application for Payment, the Contractor shall submit the current Construction Schedule including updated cost loading reflecting all changes to date to the Cost of the Work.
§ 15.1.2 The allocation of the Stipulated Sum or Guaranteed Maximum Price under this Section 15.1 shall not constitute a separate stipulated sum or guaranteed maximum price for each individual line item in the schedule of values.
§ 15.2 Control Estimate
§ 15.2.1 Where the Contract Sum is the Cost of the Work, plus the Contractor’s Fee without a Guaranteed Maximum Price pursuant to Section 3.3, the Contractor shall prepare and submit to the Owner a Control Estimate within 14 days of executing this Agreement. The Control Estimate shall include the estimated Cost of the Work plus the Contractor’s Fee.
§ 15.2.2 The Control Estimate shall include:
.1 the documents enumerated in Article 6, including all Modifications thereto;
.2 a list of the assumptions made by the Contractor in the preparation of the Control Estimate to supplement the information provided by the Owner and contained in the Contract Documents;
.3 a statement of the estimated Cost of the Work organized by trade categories or systems and the Contractor’s Fee;
.4 a project schedule upon which the Control Estimate is based, indicating proposed Subcontractors, activity sequences and durations, milestone dates for receipt and approval of pertinent information, schedule of shop drawings and samples, procurement and delivery of materials or equipment the Owner’s occupancy requirements, and the date of Substantial Completion; and
.5 a list of any contingency amounts included in the Control Estimate for further development of design and construction.
§ 15.2.3 When the Control Estimate is acceptable to the Owner and Architect, the Owner shall acknowledge it in writing. The Owner’s acceptance of the Control Estimate does not imply that the Control Estimate constitutes a Guaranteed Maximum Price.
§ 15.2.4 The Contractor shall develop and implement a detailed system of cost control that will provide the Owner and Architect with timely information as to the anticipated total Cost of the Work. The cost control system shall compare the Control Estimate with the actual cost for activities in progress and estimates for uncompleted tasks and proposed changes. This information shall be reported to the Owner, in writing, no later than the Contractor’s first Application for Payment and shall be revised and submitted with each Application for Payment.
§ 15.2.5 The Owner shall authorize preparation of revisions to the Contract Documents that incorporate the agreed-upon assumptions contained in the Control Estimate. The Owner shall promptly furnish such revised Contract Documents to the Contractor. The Contractor shall notify the Owner and Architect of any inconsistencies between the Control Estimate and the revised Contract Documents.
§ 15.3 Applications for Payment
§ 15.3.1 Applications for Payment shall not include requests for payment for portions of the Work for which the Contractor does not intend to pay a Subcontractor or supplier, unless such Work has been performed by others whom the Contractor intends to pay.
§ 15.3.2 With each Application for Payment where the Contract Sum is based upon the Cost of the Work, or the Cost of the Work with a Guaranteed Maximum Price, the Contractor shall submit payrolls, petty cash accounts, receipted invoices or invoices with check vouchers attached, and any other evidence required by the Owner to demonstrate that cash disbursements already made by the Contractor on account of the Cost of the Work equal or exceed progress payments already received by the Contractor plus payrolls for the period covered by the present Application for Payment, less that portion of the progress payments attributable to the Contractor’s Fee.
§ 15.3.3 Payments shall be made on account of materials and equipment delivered and suitably stored at the site for subsequent incorporation in the Work. If approved in advance by the Owner, payment may similarly be made for materials and equipment stored, and protected from damage, off the site at a location agreed upon in writing.
§ 15.3.4 The Contractor warrants that title to all Work covered by an Application for Payment will pass to the Owner no later than the time of payment. The Contractor further warrants that upon submittal of an Application for Payment all Work for which Certificates for Payment have been previously issued and payments received from the Owner shall, to the best of the Contractor’s knowledge, information and belief, be free and clear of liens, claims, security interests or other encumbrances adverse to the Owner’s interests.
§ 15.3.5 Each Application for Payment shall be based on the most recent schedule of values submitted by the Contractor and approved in writing by the Architect in accordance with the Contract Documents.
§ 15.4 Certificates for Payment
§ 15.4.1 Procedure:
.1 At least seven days (7) before the date established for each progress payment submittal, the Contractor shall submit to the Architect and Owner, a draft of the Application for Payment for operations completed in accordance with the most recently approved schedule of values as required under Section 15.1, for completed portions of the Work. The application shall be notarized, shall reflect retainage provided for in the Contract Documents and be supported by such data substantiating the Contractor’s right to payment as the Owner or Architect require, including but not limited to, requisitions from Subcontractors and material suppliers and properly executed Release of Claims forms.
.2 Such application shall be accompanied by monthly releases of claims by the Contractor, Subcontractors and selected material suppliers whose work coincides with the application for payment and cost loaded schedule of values. Failure on the part of the Owner or Architect to enforce this requirement either at any single time or repeatedly during the course of the Project shall not constitute or be deemed a waiver on the part of the Owner or Architect thereafter to enforce this requirement upon the Contractor.
.3 At least four (4) days before the date established for each progress payment submittal, the Owner, Architect, and Contractor shall meet to review the submitted draft. The parties shall resolve any questions or concerns raised. The contractor, based on the outcome of the meeting, shall adjust his draft Application for Payment accordingly and submit a notarized, signed Application for Payment to the Architect.
.4 The Architect shall date stamp the signed application upon receipt. If it is in accordance with outcomes decided in Section 15.3.4 and all other provisions of this Contract, the Architect will, within two (2) business days, issue to the Owner a Certificate for Payment, with a copy to the Contractor. If it is not in accordance, the Architect shall notify the Contractor and Owner in writing of the Architect’s reasons for withholding certification in whole or in part as provided in Section 15.4.3.
§ 15.4.2 The issuance of a Certificate for Payment will constitute a representation by the Architect to the Owner, based on the Architect’s evaluations of the Work and the data in the Application for Payment, that, to the best of the Architect’s knowledge, information, and belief, the Work has progressed to the point indicated, the quality of the Work is in accordance with the Contract Documents, and the Contractor is entitled to payment in the amount certified. The foregoing representations are subject to an evaluation of the Work for conformance with the Contract Documents upon Substantial Completion, to results of subsequent tests and inspections, to correction of minor deviations from the Contract Documents prior to completion and to specific qualifications expressed by the Architect. However, the issuance of a Certificate for Payment will not be a representation that the Architect has (1) made exhaustive or continuous on-site inspections to check the quality or quantity of the Work; (2) reviewed construction means,
methods, techniques, sequences, or procedures; (3) reviewed copies of requisitions received from Subcontractors and suppliers and other data requested by the Owner to substantiate the Contractor’s right to payment; or (4) made examination to ascertain how or for what purpose the Contractor has used money previously paid on account of the Contract Sum.
§ 15.4.3 The Architect will withhold a Certificate for Payment in whole or in part, to the extent reasonably necessary to protect the Owner, if in the Architect’s opinion the representations to the Owner required by Section 15.4.2 cannot be made. If the Architect is unable to certify payment in the amount of the Application, the Architect will notify the Contractor and Owner as provided in Section 15.4.1. If the Contractor and the Architect cannot agree on a revised amount, the Architect will promptly issue a Certificate for Payment for the amount for which the Architect is able to make such representations to the Owner. The Architect may also withhold a Certificate for Payment or, because of subsequently discovered evidence, may nullify the whole or a part of a Certificate for Payment previously issued, to such extent as may be necessary in the Architect’s opinion to protect the Owner from loss for which the Contractor is responsible, including loss resulting from acts and omissions described in Section 9.2.2, because of
.1 defective Work not remedied;
.2 third-party claims filed or reasonable evidence indicating probable filing of such claims unless security acceptable to the Owner is provided by the Contractor;
.3 failure of the Contractor to make payments properly to Subcontractors or suppliers for labor, materials or equipment;
.4 reasonable evidence that the Work cannot be completed for the unpaid balance of the Contract Sum;
.5 damage to the Owner or a Separate Contractor;
.6 reasonable evidence that the Work will not be completed within the Contract Time and that the unpaid balance would not be adequate to cover actual or liquidated damages for the anticipated delay; or
.7 repeated failure to carry out the Work in accordance with the Contract Documents.
§ 15.4.4 INTENTIONALLY OMITTED
§ 15.5 Progress Payments
§ 15.5.1 The Contractor shall pay each Subcontractor, no later than seven (7) business days after receipt of payment from the Owner, the amount to which the Subcontractor is entitled, reflecting percentages actually retained from payments to the Contractor on account of the Subcontractor’s portion of the Work. The Contractor shall, by appropriate agreement with each Subcontractor, require each Subcontractor to make payments to sub-subcontractors in a similar manner. Notwithstanding anything in the Section 15.5.1 to the contrary, the Owner may elect, in the Owner’s sole discretion, to make any payment requested by the Contractor on behalf of a subcontractor of any tier jointly payable to the Contractor and such subcontractor. The Contractor and such subcontractor shall be responsible for the allocation and disbursement of funds included as part of any such joint payment. In no event shall any joint payment be construed to create any (i) contract between the Owner and a subcontractor of any tier, (ii) obligations from the Owner to such subcontractor, or (iii) rights in such subcontractor against the Owner. Further, to the extent permitted by law, any disputes between the Contractor and subcontractor shall not affect the contract time or cost between the Owner and Contractor.
§ 15.5.2 Neither the Owner nor Architect shall have an obligation to pay or see to the payment of money to a Subcontractor or supplier except as may otherwise be required by law.
§ 15.5.3 A Certificate for Payment, a progress payment, or partial or entire use or occupancy of the Project by the Owner shall not constitute acceptance of Work not in accordance with the Contract Documents.
§ 15.5.4 INTENTIONALLY OMITTED
§ 15.6 Substantial Completion
§ 15.6.1 Substantial Completion is the stage in the progress of the Work when the Work or designated portion thereof is sufficiently complete in accordance with the Contract Documents so that the Owner can occupy or utilize the Work for its intended use. Receipt of Electronic Documentation submittals in accordance with Exhibit B, Standards for Delivery of Electronic Document Information shall be a condition of utilizing the Work for its intended use.
§ 15.6.2 When the Contractor considers that the Work, or a portion thereof which the Owner agrees to accept separately, is substantially complete, the Contractor shall prepare and submit to the Architect a comprehensive list of
items to be completed or corrected prior to final payment. Failure to include an item on such list does not alter the responsibility of the Contractor to complete all Work in accordance with the Contract Documents.
§ 15.6.3 Upon receipt of the Contractor’s list, the Architect will make an inspection to determine whether the Work or designated portion thereof is substantially complete. When the Architect determines that the Work or designated portion thereof is substantially complete, the Architect will issue a Certificate of Substantial Completion which shall establish the date of Substantial Completion; establish responsibilities of the Owner and Contractor for security, maintenance, heat, utilities, damage to the Work and insurance; and fix the time within which the Contractor shall finish all items on the list accompanying the Certificate. Warranties required by the Contract Documents shall commence on the date of Substantial Completion of the Work or designated portion thereof unless otherwise provided in the Certificate of Substantial Completion.
§ 15.6.4 The Certificate of Substantial Completion shall be submitted to the Owner and Contractor for their written acceptance of responsibilities assigned to them in the Certificate. Upon such acceptance and consent of surety, if any, the Owner shall make payment of retainage applying to the Work or designated portion thereof. Such payment shall be adjusted for Work that is incomplete or not in accordance with the requirements of the Contract Documents.
§ 15.7 Final Completion and Final Payment
§ 15.7.1 Upon receipt of the Contractor’s notice that the Work is ready for final inspection and acceptance and upon receipt of a final Application for Payment, the Architect will promptly make such inspection and, when the Architect finds the Work acceptable under the Contract Documents and the Contract fully performed, the Architect will promptly issue a final Certificate for Payment stating that to the best of the Architect’s knowledge, information and belief, and on the basis of the Architect’s on-site visits and inspections, the Work has been completed in accordance with the Contract Documents and that the entire balance found to be due the Contractor and noted in the final Certificate is due and payable. The Architect’s final Certificate for Payment will constitute a further representation that conditions stated in Section 15.7.2 as precedent to the Contractor’s being entitled to final payment have been fulfilled. Receipt of Electronic Documentation submittals in accordance with Exhibit B, Standards for Delivery of Electronic Document Information shall be a condition of determining that the Work has been completed in accordance with terms and conditions of the Contract Documents.
§ 15.7.2 Final payment shall not become due until the Contractor has delivered to the Owner a complete release of all liens arising out of this Contract or receipts in full covering all labor, materials and equipment for which a lien could be filed, or a bond satisfactory to the Owner to indemnify the Owner against such lien. If such lien remains unsatisfied after payments are made, the Contractor shall promptly pay to the Owner all money that the Owner may be compelled to pay in discharging such lien, including costs and reasonable attorneys’ fees.
§ 15.7.3 The making of final payment shall constitute a waiver of claims by the Owner except those arising from
1. liens, claims, security interests or encumbrances arising out of the Contract and unsettled;
2. failure of the Work to comply with the requirements of the Contract Documents;
3. terms of special warranties required by the Contract Documents; or
4. audits performed by the Owner, if permitted by the Contract Documents, after final payment.
§ 15.7.4 Acceptance of final payment by the Contractor, a Subcontractor, and equipment or supplier shall constitute a waiver of claims by that payee except those previously made in writing and identified by that payee as unsettled at the time of the final Application for Payment.
ARTICLE 16 PROTECTION OF PERSONS AND PROPERTY
§ 16.1 Safety Precautions and Programs
§ 16.1.1 The Contractor shall be responsible for initiating, maintaining, and supervising all safety precautions and programs in connection with the performance of the Contract. The Contractor shall take reasonable precautions for safety of, and shall provide reasonable protection to prevent damage, injury, or loss to
1. employees on the Work and other persons who may be affected thereby;
2. the Work and materials and equipment to be incorporated therein, whether in storage on or off the site, under care, custody, or control of the Contractor or the Contractor’s Subcontractor, or a Sub-subcontractors;
other property at the site or adjacent thereto, such as trees, shrubs, lawns, walks, pavements, roadways, structures and utilities not designated for removal, relocation, or replacement in the course of construction; and
construction or operations by the Owner or other Contractors.
§ 16.1.2 The Contractor shall comply with, and give notices required by, applicable laws, statutes, ordinances, codes, rules and regulations, and lawful orders of public authorities bearing on safety of persons and property and their protection from damage, injury, or loss. The Contractor shall promptly remedy damage and loss to property caused in whole or in part by the Contractor, a Subcontractor, a sub-subcontractor, or anyone directly or indirectly employed by any of them, or by anyone for whose acts they may be liable and for which the Contractor is responsible under Sections 16.1.2 and 16.1.3. The Contractor may make a claim for the cost to remedy the damage or loss to the extent such damage or loss is attributable to acts or omissions of the Owner or Architect or by anyone for whose acts either of them may be liable, and not attributable to the fault or negligence of the Contractor. The foregoing obligations of the Contractor are in addition to the Contractor’s obligations under Section 9.15.
§ 16.1.3 The Contractor shall erect and maintain, as required by existing conditions and performance of the Contract, reasonable safeguards for safety and protection, including posting danger signs and other warnings against hazards, promulgating safety regulations and notifying owners and users of adjacent sites and utilities.
§ 16.1.4 The Contractor shall not permit any part of the construction or site to be loaded so as to cause damage or create an unsafe condition.
§ 16.1.5 If either party suffers injury or damage to person or property because of an act or omission of the other party, or of others for whose acts such party is legally responsible, written notice of such injury or damage, whether or not insured, shall be given to the other party within a reasonable time not exceeding 10 calendar days after discovery. The notice shall provide sufficient detail to enable the other party to investigate the matter.
§ 16.2 Hazardous Materials and Substances
§ 16.2.1 The Contractor is responsible for compliance with the requirements of the Contract Documents regarding hazardous materials or substances. If the Contractor encounters a hazardous material or substance not addressed in the Contract Documents, and if reasonable precautions will be inadequate to prevent foreseeable bodily injury or death to persons resulting from a material or substance, including but not limited to asbestos or polychlorinated biphenyl (PCB), encountered on the site by the Contractor, the Contractor shall, upon recognizing the condition, immediately stop any ongoing Work in the affected area and immediately notify the Owner and Architect within twenty-four (24) hours maximum by phone or email in writing of the condition. When the material or substance has been rendered harmless by an authority of the Owner’s choosing, Work in the affected area shall resume upon written agreement of the Owner and Contractor. By Change Order, the Contract Time shall be extended if and as appropriate and the Contract Sum shall be increased in the amount of the Contractor’s reasonable additional and incurred costs of shutdown, delay, and start-up, if any.
§ 16.2.2 To the fullest extent permitted by law, the Owner shall indemnify and hold harmless the Contractor, Subcontractors, Architect, Architect’s consultants, and agents and employees of any of them from and against damages, losses, and expenses, including but not limited to attorneys’ fees, arising out of or resulting from performance of the Work in the affected area, if in fact, the material or substance presents the risk of bodily injury or death as described in Section 16.2.1 and has not been rendered harmless, provided that such damage, loss, or expense is attributable to bodily injury, sickness, disease or death, or to injury to or destruction of tangible property (other than the Work itself), except to the extent that such damage, loss, or expense is due to the fault or negligence of the party seeking indemnity.
§ 16.2.3 The Contractor shall indemnify the Owner for the cost and expense the Owner incurs (1) for remediation of a material or substance the Contractor brings to the site and negligently handles, or (2) where the Contractor fails to perform its obligations under Section 16.2, except to the extent that the cost and expense are due to the Owner’s fault or negligence.
§ 16.2.4 If, without negligence on the part of the Contractor or breach of relevant provisions of the Contract Documents, the Contractor is held liable by a government agency for the cost of remediation of a hazardous material
or substance solely by reason of performing Work as required by the Contract Documents, the Owner shall indemnify
the Contractor for all cost and expense thereby incurred.
§ 16.2.5 HOT WORK PERMITS Contractor shall utilize and provide certification that all "Hot Work" associated with
demolition and renovation, and new construction is being monitored by use of Factory Mutual Hot Work Permits.
§ 16.2.6 RED TAG SYSTEM Contractor shall utilize the Factory Mutual Red Tag System at all times when the fire
protection equipment is taken out of service. The Owner shall be advised at least twenty-four (24) hours prior to all
times when the fire protection equipment is impaired or out of service.
§ 16.2.7 MATERIAL, EQUIPMENT AND QUALITY ASSURANCE Systems and components used in the construction of the
Work shall be Factory Mutual Engineering and Research (FMER) listed and labeled.
§ 16.2.8 Contractor shall perform all Work in accordance with the most current edition of the NFPA 70e Standard for
Electrical Safety in the Workplace. Perform arc flash hazard analysis, prepare and submit written report to Owner and
install labeling in compliance with Article 130 of NFPA 70e.
ARTICLE 17 INSURANCE AND BONDS
§ 17.1 Contractor’s Insurance
§ 17.1.1 The Contractor shall carry and maintain insurance of the types and limits of liability, containing the
endorsements, and subject to the terms and conditions, as described in this Section 17.1 or elsewhere in the Contract
Documents. The Contractor shall carry and maintain in force for the duration of the Contract the insurance required by
this Agreement, underwritten by insurer(s) lawfully authorized to write insurance in the state of Kansas, insurance for
protection from claims under workers’ compensation acts and other employee benefit acts which are applicable,
claims for damages because of bodily injury, including death, and claims for damages, other than to the Work itself, to
property which may arise out of or result from the Contractor’s operations and completed operations under the
Contract, whether such operations be by the Contractor or by a Subcontractor or anyone directly or indirectly
employed by any of them. This insurance shall be written for not less than limits of liability specified in Article 17.1.2
of the Contract Documents or required by law, whichever coverage is greater, and shall include contractual liability
insurance applicable to the Contractor’s obligations under Section 9.16. Certificates of Insurance acceptable to the
Owner shall be filed with the Owner prior to commencement of the Work. The Contractor shall cause the commercial
liability coverage required by the Contract Documents to include: (1) Owner, specifically” the Johnson County
Library”, Johnson County, Kansas and their respective officers, Commissions, Agencies and employees, ” and the
Architect and the Architect’s Consultants as Additional Insureds for claims caused in whole or in part by the
Contractor’s negligent acts or omissions during the Contractor’s operations and during the Contractor’s completed
operations. The Additional Insured requirement, as to the Board of County Commissioners, shall be subject to the
limitation of liability for claims within the scope of the Kansas Tort Claims Act, K.S.A. 75-6101 et seq., and
amendments thereto, and does not create a partnership or joint venture between the Owner and Contractor under this
Contract. The Contractor shall maintain the required insurance until the expiration of the period for correction of Work
as set forth in Section 18.4, unless a different duration is stated below:
§ 17.1.2 Commercial General Liability insurance for the Project written on an occurrence form with policy limits of not less
than one million ($1,000,000) each occurrence, two million ($2,000,000) general aggregate, and two million ($
2,000,000) aggregate for products-completed operations hazard, providing coverage for claims including
.1 damages because of bodily injury, sickness or disease, and death of any person;
.2 personal and advertising injury;
.3 damages because of physical damage to or destruction of tangible property, including the loss of use of
such property;
.4 bodily injury or property damage arising out of completed operations; and
.5 the Contractor’s indemnity obligations under Section 9.15.
ISO Form CG0001 or its equivalent with no amendments to the definition of an insured contract including Pre-
mises and Operations; Products and Completed Operations Liability; and Contractual Liability. The Liability
insurance shall include Blasting, Explosion, Collapse, and Underground coverage.
§ 17.1.3 Automobile Liability covering vehicles owned by the Contractor, hired by the Contractor, and non-owned vehicles used by the Contractor, with policy limits of not less than one million ($1,000,000) per accident, for bodily injury, death of any person, and property damage arising out of the ownership, maintenance, and use of those motor vehicles along with any other statutorily required automobile coverage.
§ 17.1.4 The Contractor may achieve the required limits and coverage for Commercial General Liability and Automobile Liability through a combination of primary and excess or umbrella liability insurance, provided such primary and excess or umbrella insurance policies result in the same or greater coverage as those required under Section 17.1.2 and 17.1.3, and in no event shall any excess or umbrella liability insurance provide narrower coverage than the primary policy. The excess policy shall not require the exhaustion of the underlying limits only through the actual payment by the underlying insurers.
§ 17.1.5 Umbrella (Excess) Liability: To be provided over the primary general liability; automobile liability and employers’ liability insurance policies with policy limits of not less than two million ($2,000,000) per occurrence and two million ($2,000,000) Aggregate
§ 17.1.6 Workers’ Compensation and Employer’s Liability:
A. Statutory Workers’ Compensation including an all states endorsement
B. Employer’s Liability (E.L. and Disease):
i. Bodily Injury by Accident $500,000 Each Accident
ii. Bodily Injury by Disease $500,000 Policy Limit
iii. Bodily Injury by Disease $500,000 Each Employee
§ 17.1.7 If the Contractor is required to furnish professional services as part of the Work, the Contractor shall procure Professional Liability insurance covering performance of the professional services, with policy limits of not less than one million dollars ($1,000,000) per claim and two million dollars ($2,000,000) in the aggregate.
§ 17.1.8 If the Work involves the transport, dissemination, use, or possible release of pollutants, the Contractor shall procure Pollution Liability insurance, with policy limits of not less than one million dollars ($1,000,000) per claim and two million dollars ($2,000,000) in the aggregate.
§ 17.1.9 Coverage under Sections 17.1.7 and 17.1.8 may be procured through a Combined Professional Liability and Pollution Liability insurance policy, with combined policy limits of not less than two million dollars ($2,000,000) per claim and four million dollars ($4,000,000) in the aggregate.
§ 17.1.10 The Contractor shall provide certificates of insurance acceptable to the Owner evidencing compliance with the requirements in this Section 17.1 at the following times: (1) prior to commencement of the Work; (2) upon renewal or replacement of each required policy of insurance; and (3) upon the Owner’s written request. An additional certificate evidencing continuation of liability coverage, including coverage for completed operations, shall be submitted with the final Application for Payment and thereafter upon renewal or replacement of such coverage until the expiration of the period required by Section 17.1.1.
The Board of Directors of the Johnson County Library and the Board of County Commissioners, Johnson County, KS, and their officers, Commissions, Agencies and employees shall be named as Additional Insured, on a primary and non-contributory basis, under the Commercial General Liability policy. The Additional Insured requirement does not create a partnership or joint venture between the Owner and Contractor under this Contract.
Prior to contract execution, the successful bidder shall furnish Certificate(s) of Insurance verifying the required insurance is in full force and effect in accordance with this Contract. Within five (5) business days of expiration of any insurance coverage, Contractor shall provide renewal Certificate(s) of Insurance as required by this Contract. The Certificate Holder shall be as follows:
Johnson County Library
Board of Directors of the Johnson County Library
And Board of County Commissioners
Johnson County, Kansas
c/o Risk Manager
The full description of the work to be performed, bid/project number, and the required Additional Insured language shall be referenced on the Certificate(s) of Insurance in the Description of Operations section. Prior to any reduction in coverage, cancellation, or non-renewal the Contractor or its Agent shall provide Certificate Holder not less than thirty (30) days advance written notice of such change in Contractor’s insurance coverage. It is Contractor’s sole responsibility to provide this notice to Certificate Holder. Failure to provide notice shall not relieve Contractor of its obligations under this Contract.
§ 17.1.11 The Contractor understands and agrees that any insurance or self-insurance maintained by the Johnson County Library, the Board of Directors of the Johnson County Library and Board of County Commissioners of Johnson County, Kansas and their respective officers, Commissions, Agencies and employees, shall apply in excess of and not be contributory with any insurance or self-insurance maintained by Contractor.
§ 17.1.12 The Contractor shall not commence work under this Contract until the Contractor has obtained all insurance required under this Article, Certificates of Insurance have been submitted to Owner and such insurance has been approved by the Owner. Evidence of continuing coverage for the Contractor or for a Subcontractor or anyone directly or indirectly employed by any of them shall be mailed to Certificate Holder, within five (5) days of renewal or replacement.
§ 17.1.13 All such insurance shall remain in effect until final payment and at all times thereafter when the Contractor may be correcting, removing or replacing defective work as provided by these Contract Documents. In addition, the Contractor shall maintain such commercial general liability and completed operations insurance for the statute of repose and furnish the Owner with evidence of continuation of such coverage. Certified copies of all insurance policies shall be provided to Owner, upon Owner’s request.
§ 17.1.14 The Contractor shall disclose to the Owner any deductible or self-insured retentions applicable to any insurance required to be provided by the Contractor.
§ 17.1.15 To the fullest extent permitted by law, the Contractor shall cause the commercial liability coverage required by this Section 17.1 to include (1) the Owner, the Architect, and the Architect’s Consultants as additional insureds for claims caused in whole or in part by the Contractor’s negligent acts or omissions during the Contractor’s operations; and (2) the Owner as an additional insured for claims caused in whole or in part by the Contractor’s negligent acts or omissions for which loss occurs during completed operations. The additional insured coverage shall be primary and non-contributory to any of the Owner’s general liability insurance policies, including Owner’s self-insured retentions, and shall apply to both ongoing and completed operations. To the extent commercially available, the additional insured coverage shall be no less than that provided by Insurance Services Office, Inc. (ISO) forms CG 20 10 07 04, CG 20 37 07 04, and, with respect to the Architect and the Architect’s Consultants, CG 20 32 07 04.
§ 17.1.16 Within three (3) business days of the date the Contractor becomes aware of an impending or actual cancellation or expiration of any insurance required by this Section 17.1, the Contractor shall provide notice to the Owner of such impending or actual cancellation or expiration. Upon receipt of notice from the Contractor, the Owner shall, unless the lapse in coverage arises from an act or omission of the Owner, have the right to stop the Work until the lapse in coverage has been cured by the procurement of replacement coverage by the Contractor. The furnishing of notice by the Contractor shall not relieve the Contractor of any contractual obligation to provide any required coverage.
§ 17.1.17 Other Insurance Provided by the Contractor
(List below any other insurance coverage to be provided by the Contractor and any applicable limits.)
| Coverage | Limits |
|----------|--------|
| | |
§ 17.2 Owner's Insurance
§ 17.2.1 Owner's Liability Insurance
The Owner shall be responsible for purchasing and maintaining the Owner's usual liability insurance.
(Table deleted)
(Paragraphs deleted)
§ 17.3 Property Insurance
§ 17.3.1 Unless otherwise provided for in this Agreement, the Contractor shall purchase and maintain, from an insurance company or insurance companies lawfully authorized to issue insurance in the state of Kansas, property insurance written on a builder's risk "all-risk" completed value or equivalent policy form in the amount of the initial Contract Sum plus the total value of the entire Project on a replacement cost basis subject to the Owner's policy deductible. The Contractor's property insurance coverage shall be no less than the amount of the initial Contract Sum, plus the value of subsequent Modifications and labor performed or materials or equipment supplied by others. The property insurance shall be maintained unless otherwise provided in the Contract Documents or otherwise agreed in writing by all persons and entities who are beneficiaries of such insurance, until final payment has been made as provided in Section 15.7 or until no person or entity other than the Owner has an insurable interest in the property required by this Section 17.3 to be covered, whichever is later. This insurance shall include the interests of the Owner, Contractor, Subcontractors, and Sub-subcontractors in the Project as insureds. This insurance shall include the interests of mortgagees as loss payees.
§ 17.3.2 Upon Substantial Completion, the Owner, at Owner's sole discretion, may require Contractor to continue the insurance required by Section 17.3.1 or replace the insurance policy required under Section 17.3.1 with property insurance written for the total value of the Project that shall remain in effect until expiration of the period for correction of the Work set forth in Section 18.4.
§ 17.3.3 If the insurance required by this Section 17.3 is subject to deductibles or self-insured retentions, the Contractor shall be responsible for payment of the deductible or self-insured retention, which shall not exceed Five Thousand Dollars, ($5,000) per occurrence, and shall not be reimbursable by Owner or included in Article 3, Contract Sum.
§ 17.3.4 If the Work involves remodeling an existing structure or constructing an addition to an existing structure, the Owner shall purchase and maintain, until the expiration of the period for correction of Work as set forth in Section 18.4, "all-risks" property insurance, on a replacement cost basis, protecting the existing structure against direct physical loss or damage, notwithstanding the undertaking of the Work. The Owner shall be responsible for all co-insurance penalties.
§ 17.3.5 Prior to commencement of the Work, the Contractor shall secure the insurance, and provide evidence of the coverage, required under this Section 17.3 and, upon the Owner's request, provide a copy of the property insurance policy or policies required by this Section 17.3. The copy of the policy or policies provided shall contain all applicable conditions, definitions, exclusions, and endorsements.
§ 17.3.6 Within three (3) business days of the date the Contractor becomes aware of an impending or actual cancellation or expiration of any insurance required by this Section 17.3, the Contractor shall provide notice to the Owner of such impending or actual cancellation or expiration. At Owner's sole discretion, upon receipt of notice from the Contractor, Owner shall have the right to stop the Work until the lapse in coverage has been cured by the procurement of replacement coverage by either the Contractor or the Owner. The Contract Time and Contract Sum shall be equitably adjusted. The Contractor waives all rights against the Owner, Subcontractors, and Sub-subcontractors to the extent any loss to the Contractor would have been covered by the insurance had it not expired or been cancelled. If the Owner purchases replacement coverage, the cost of the insurance shall be charged to the Contractor by an appropriate Change Order. The furnishing of notice by the Contractor shall not relieve the Contractor of any contractual obligation to provide required insurance.
§ 17.3.7 Waiver of Subrogation
§ 126.96.36.199 The Contractor and Owner waive all rights against (1) each other and any of their subcontractors, sub-subcontractors, agents, and employees, each of the other; (2) the Architect and Architect's consultants; and (3) Separate Contractors, if any, and any of their subcontractors, sub-subcontractors, agents, and employees, for damages caused by fire, or other causes of loss, to the extent those losses are covered by property insurance required by this
Agreement or other property insurance applicable to the Project, except such rights as they have to proceeds of such insurance. The Contractor and Owner, as appropriate, shall require similar written waivers in favor of the individuals and entities identified above from the Architect, Architect’s consultants, Separate Contractors, subcontractors, and sub-subcontractors. The policies of insurance purchased and maintained by each person or entity agreeing to waive claims pursuant to this Section 188.8.131.52 shall not prohibit this waiver of subrogation. This waiver of subrogation shall be effective as to a person or entity (1) even though that person or entity would otherwise have a duty of indemnification, contractual or otherwise, (2) even though that person or entity did not pay the insurance premium directly or indirectly, or (3) whether or not the person or entity had an insurable interest in the damaged property.
§ 184.108.40.206 If during the Project construction period the Owner insures properties, real or personal or both, at or adjacent to the site by property insurance under policies separate from those insuring the Project, or if after final payment property insurance is to be provided on the completed Project through a policy or policies other than those insuring the Project during the construction period, to the extent permissible by such policies, and if not caused by the negligence of Contractor, the Owner waives all rights in accordance with the terms of Section 220.127.116.11 for damages caused by fire or other causes of loss covered by this separate property insurance.
§ 17.3.8 A loss insured under the Contractor’s property insurance shall be adjusted by the Contractor, as fiduciary, and made payable to the Contractor as fiduciary for the insureds, as their interests may appear, subject to requirements of any applicable mortgagee clause. The Contractor shall pay the Owner and Architect their just shares of insurance proceeds received by the Contractor, and by appropriate agreements, written where legally required for validity, the Owner and Architect shall make payments to their consultants and Subcontractors in similar manner.
§ 17.3.9 Other Insurance Provided by the Owner
(List below any other insurance coverage to be provided by the Owner and any applicable limits.)
| Coverage | Limits |
|----------|--------|
§ 17.4 Bonds
§ 17.4.1 The Contractor shall furnish a Performance Bond and Statutory Bond on forms supplied by the Owner and contained in the Bidding Documents in amounts each equal to one hundred percent (100%) of the initial Contract Sum as well as subsequent modifications thereto. Such bonds shall be executed by a surety company authorized to do business in the State of Kansas and require the appointment of a Kansas Resident Agent. The Statutory Bond shall be filed with the Clerk of the District Court of Johnson County, Kansas and receipt of filing furnished to the Owner. In the event of a Claim against the Contractor, the Owner may, but is not obligated to, notify the surety, if any, of the nature and amount of the Claim. If the Claim relates to a possibility of a Contractor’s default, the Owner may, but is not obligated to, notify the surety and request the surety’s assistance in resolving the controversy.
§ 17.4.2 INTENTIONALLY OMITTED
ARTICLE 18 CORRECTION OF WORK
§ 18.1 The Contractor shall promptly correct Work rejected by the Architect or failing to conform to the requirements of the Contract Documents, whether discovered before or after Substantial Completion and whether or not fabricated, installed, or completed. Costs of correcting such rejected Work, including additional testing and inspections, the cost of uncovering and replacement, and compensation for the Architect’s services and expenses made necessary thereby, shall be at the Contractor’s expense, unless otherwise provided in the Contract Documents.
§ 18.2 In addition to the Contractor’s obligations under Section 9.4, if, within one year after the date of Substantial Completion of the Work or designated portion thereof or after the date for commencement of warranties established under Section 15.6.3, or by terms of an applicable special warranty required by the Contract Documents, any of the Work is found to be not in accordance with the requirements of the Contract Documents, the Contractor at Contractor’s expense shall correct it promptly after receipt of notice from the Owner to do so unless the Owner has previously given the Contractor an express written acceptance of such condition. The Owner shall give such notice promptly after discovery of the condition. During the one-year period for correction of Work, if the Owner fails to notify the Contractor and give the Contractor an opportunity to make the correction, the Owner waives the rights to require correction by the Contractor and to make a claim for breach of warranty.
§ 18.3 If the Contractor fails to correct nonconforming Work within a reasonable time, the Owner may correct it in accordance with Section 8.3.
§ 18.4 The one-year period for correction of Work shall be extended with respect to portions of Work first performed after Substantial Completion by the period of time between Substantial Completion and the actual completion of that portion of the Work.
§ 18.5 The one-year period for correction of Work shall not be extended by corrective Work performed by the Contractor pursuant to this Article 18.
§ 18.6 UNCOVERING WORK If a portion of the Work is covered contrary to the Owner’s request or to requirements specifically expressed in the Contract Documents, it must, if requested in writing by either, be uncovered for their observation and be replaced at the Contractor’s expense without change in the Contract Time.
§ 18.6.1 If a portion of the Work has been covered which the Architect has not specifically requested to observe prior to its being covered, the Architect may request to see such Work and it shall be uncovered by the Contractor. If such Work is in accordance with the Contract Documents, costs of uncovering and replacement shall, by appropriate Change Order, be at the Owner’s expense. If such Work is not in accordance with the Contract Documents, such costs and the cost of correction shall be at the Contractor’s expense unless the condition was caused by the Owner or one of the other Contractors in which event the Owner Shall be responsible for payment of such costs.
ARTICLE 19 MISCELLANEOUS PROVISIONS
§ 19.1 Assignment of Contract
The Contractor shall not assign the Contract without written consent of the Owner.
§ 19.2 Governing Law
The Contract shall be governed by the laws of the state of Kansas.
§ 19.3 Tests and Inspections
Tests, inspections, and approvals of portions of the Work required by the Contract Documents or by applicable laws, statutes, ordinances, codes, rules and regulations, or lawful orders of public authorities shall be made at an appropriate time. Unless otherwise provided, the Contractor shall make arrangements for such tests, inspections, and approvals with an independent testing laboratory or entity acceptable to the Owner, or with the appropriate public authority, and shall bear all related costs of tests, inspections, and approvals. The Contractor shall give the Architect timely notice of when and where tests and inspections are to be made so that the Architect may be present for such procedures. The Owner shall bear costs of tests, inspections, or approvals that do not become requirements until after bids are received or negotiations concluded. The Owner shall directly arrange and pay for tests, inspections, or approvals where building codes or applicable laws or regulations so require.
§ 19.4 The Owner’s representative:
(Name, address, email address and other information)
Sean Hendrix, Project Manager
Johnson County Facilities Management
111 South Cherry Street, Suite 2100
Olathe, Kansas 66061
913.715.1135
email@example.com
§ 19.5 The Contractor’s representative:
(Name, address, email address and other information)
Brian Kramer, Vice President of Sales
435 Roofing
9265 Flint St.
Overland Park, Kansas 66214
§ 19.6 Neither the Owner’s nor the Contractor’s representative shall be changed without ten days’ prior notice to the other party.
§ 19.7 The following provisions shall apply to this and all resulting contracts and subcontracts with and between all contractors, subcontractors, vendors, and/or suppliers connected with this Project, except (i) those whose contracts with the Owner cumulatively total five thousand dollars ($5,000) or less during the Owner’s fiscal year or (ii) those contracts with and between all contractors, subcontractors, vendors and/or suppliers who employ fewer than four (4) employees during the term of this contract.
.1 The Contractor shall observe the provision of the Kansas Act Against Discrimination, K.S.A. 44-1001 et seq., and amendments thereto, the Kansas Age Discrimination in Employment Act, K.S.A. 44-1111 et seq., and amendments thereto, and the applicable provisions of the Americans with Disabilities Act (ADA), 42 U.S.C. 12101 et seq., and amendments thereto and shall not discriminate against any person in the performance of work under present contract because of race, religion, color, sex, physical handicap unrelated to such person’s ability to engage in the particular work, national origin or ancestry.
.2 In all solicitations or advertisements for employees, the Contractor shall include the phrase "equal opportunity employer" or a similar phrase to be approved by the Kansas Commission on Civil Rights ("Commission");
.3 If the Contractor fails to comply with the manner in which the Contractor reports to the Commission in accordance with the provisions of K.S.A. 44-1031, and amendments thereto, the Contractor shall be deemed to have breached the present Contract, and it may be canceled, terminated or suspended, in whole or in part, by the Owner; and
.4 If the Contractor is found guilty of a violation of the Kansas Act Against Discrimination, the Kansas Age Discrimination in Employment Act or the ADA under a decision or order of the Commission which has become final, the Contractor shall be deemed to have breached the present Contract, and it may be cancelled, terminated or suspended, in whole or in part, by the Owner.
§ 19.8 Notwithstanding anything to the contrary contained in this Contract or represented by either party to the other or by the Architect to either the Owner or Contractor, the Contractor warrants that each and every chemical substance or product offered, sold, handled, or used for the Work under this Contract, or otherwise, transferred by the Contractor to officers, employees, agents or authorized representatives of the Owner as the date of such offer, sale, transfer or use shall comply with the Occupational Safety and Health Administration (OSHA) Hazard Communication Standard 29 CFR 1910.1200.
§ 19.9 Right to Examine and Audit Records, Contract Change Order Procedures; Overcharges.
§ 19.9.1 The Contractor agrees that the Owner, or any of its authorized representatives, shall have access to, and the right to examine and audit, any and all books, documents, papers and records (collectively the "Records") of the Contractor involving transactions related to the contract (the "Contract") between the Owner and Contractor hereunder, or any change order or Contract modification thereto, or with compliance with any clauses thereunder. Such Records shall include hard copy as well as computer readable data. The Contractor shall require all of its payees including, but not limited to, subcontractors, insurance agents or material suppliers (collectively the "payee(s)") to comply with the provisions of this clause by including the requirements hereof in a written agreement between the Contractor and payee(s). Further, the Contractor agrees to cooperate fully and will require all of its payees to cooperate fully in furnishing or making available to the Owner any and all such Records. The Owner’s right to examine and audit any and all Records hereunder shall survive termination of the Contract.
§ 19.9.2 The Contractor agrees to follow the quality control change order processing system (the "System") utilized by Architect and Owner to ensure that any and all Contract change orders or Contract modifications (collectively the "Change Order(s)") that may be necessitated and result during the course of the performance of work or services rendered (the "Work") pursuant to, and under the requirements of, the Contract are warranted and properly processed.
The System shall serve as a means for Owner and Contractor representatives to ensure the propriety, justification and timeliness of the Change Order(s), and dill documentation to enable the parties to examine how the price was determined, reviewed, evaluated, negotiated, and accepted or rejected.
§ 19.9.3 The Contractor agrees that is at any time following thirty-six (36) months of termination of the Contract (the "audited period"), an audit performed by or for the Owner hereunder of the Records and/or Change Order(s) pertaining to, or in connection with, the Work and/or the Contract reveals that any overcharges were paid by the Owner and were attributable to any error, omission, negligence, misrepresentation, or willful act on the part of the Contractor, or an of its officers, employees, subcontractors, agents or payees, then the Contract, or any of its assigns or successors shall, within thirty (30) days of receipt of written notice from the Owner, refund upon demand, and be and remain liable to the Owner for payment of, any such overcharges revealed, including interest thereupon, for the audited period, as well as any and all out-of-pocket costs incurred by the Owner with the respect to conducting the audit and collecting the overcharges. Neither shall the making and acceptance of final payment under the Contract nor the termination of the Contract constitute a waiver of any claim on the part of the Owner to make demand upon the Contractor for any such overcharges and related costs thereto; provided, further, that any such demand of the Owner made upon the Contractor shall not be subject to claims and disputes procedural requirements or provisions, if any, of the Contract, but shall remain a continuing obligation of the Contractor until satisfied.
§ 19.10 Definitions:
Baseline Schedule – a cost loaded schedule defining all submittals and all significant construction activities and milestones necessary for the commencement and Final Completion of the Work by the Contractor or Construction Manager (if retained) and the work of the Owner’s own forces and separate contractors. The Baseline Schedule shall be prepared by the Scheduling Consultant, Contractor, or Construction Manager (if retained) and shall be mutually accepted by the Owner, Architect and Contractor or Construction Manager (if retained) prior to issuance of a Notice To Proceed.
Construction Schedule – Originating from the Baseline Schedule, including cost loading and updates to reflect change in the Cost of Work, and modified by the Contractor or Construction Manager (if retained) as they deem necessary to perform the Work thereafter, however, increases in time to achieve: 1) milestones, 2) completion of phases, 3) Substantial Completion or 4) Final Completion, shall require approval through the Claims and Disputes process identified in AIA Document A107-2007, Standard Form of Agreement Between Owner and Contractor, as modified. If a Scheduling Consultant is responsible for maintaining and modifying the Construction Schedule, the Contractor or Construction Manager (if retained) shall provide all necessary information to the Scheduling Consultant so that he can perform his duties.
ARTICLE 20 TERMINATION OF THE CONTRACT
§ 20.1 Termination by the Contractor
If the Architect fails to certify payment as provided in Section 15.4.1 for a period of 30 days through no fault of the Contractor, or if the Owner fails to make payment as provided in Section 4.1.3 for a period of 30 days, the Contractor may, upon seven additional days’ notice to the Owner and the Architect, terminate the Contract and recover from the Owner payment for Work executed.
§ 20.2 Termination by the Owner for Cause
§ 20.2.1 The Owner may terminate the Contract if the Contractor
.1 repeatedly refuses or fails to supply enough properly skilled workers or proper materials;
.2 fails to make payment to Subcontractors for materials or labor in accordance with the respective agreements between the Contractor and the Subcontractors;
.3 repeatedly disregards applicable laws, statutes, ordinances, codes, rules and regulations, or lawful orders of a public authority; or
.4 otherwise is guilty of substantial breach of a provision of the Contract Documents.
§ 20.2.2 When any of the reasons described in Section 20.2.1 exists, the Owner, upon certification by the Architect that sufficient cause exists to justify such action, may, without prejudice to any other remedy the Owner may have and after giving the Contractor seven days’ notice, terminate the Contract and take possession of the site and of all materials, equipment, tools, and construction equipment and machinery thereon owned by the Contractor and may finish the Work by whatever reasonable method the Owner may deem expedient. Upon request of the Contractor, the Owner shall furnish to the Contractor an accounting of the costs incurred by the Owner in finishing the Work.
§ 20.2.4 If the unpaid balance of the Contract Sum exceeds costs of finishing the Work, including compensation for the Architect’s services and expenses made necessary thereby, and other damages incurred by the Owner and not expressly waived, such excess shall be paid to the Contractor. If such costs and damages exceed the unpaid balance, the Contractor shall pay the difference to the Owner. The amount to be paid to the Contractor or Owner, as the case may be, shall be certified by the Architect, upon application, and this obligation for payment shall survive termination of the Contract.
§ 20.3 Termination by the Owner for Convenience
§ 20.3.1 The Owner may, at any time, terminate the Contract for the Owner’s convenience and without cause. Upon receipt of written notice from the Owner of such termination for the Owner’s convenience, the Contractor shall:
.1 cease operations as direction by the Owner in the notice;
.2 take actions necessary, or that the Owner may direct, for the protection and preservation of the Work, and
.3 except for Work directed to be performed prior to the effective date of termination stated in the notice, terminate all existing subcontracts and purchase orders and enter into no further subcontracts and purchase orders.
§ 20.3.2 In case of such termination for the Owner’s convenience, the Contractor shall be entitled to receive payment for Work executed in accordance with the Contract Documents and costs reasonable incurred by reason of such termination, along with reasonable overhead and profit thereon.
§ 20.3.3 Upon termination by a court of competent jurisdiction that termination of the Contractor pursuant to Section 20.2 as wrongful or otherwise improper, such termination shall be deemed a termination for convenience pursuant to the Section 20.3 and the provisions of this Section SC 20.3 shall apply.
§ 20.4 SUSPENSION BY THE OWNER FOR CONVENIENCE
§ 20.4.1 The Owner may, without cause, order the Contractor in writing to suspend, delay or interrupt the Work in whole or in part for such period of time as the Owner may determine.
§ 20.4.2 The Contract Sum and Contract Time shall be adjusted for increases in the cost and time caused by suspension, delay or interruption as described in Section 14.3.1. Adjustment of the Contract Sum shall include profit. No adjustment shall be made to the extent
(Paragraph deleted)
.1 that performance is, was or would have been so suspended, delayed or interrupted by another cause for which the Contractor is responsible; or
.2 that an equitable adjustment is made or denied under another provision of the Contract.
ARTICLE 21 CLAIMS AND DISPUTES
§ 21.1 Claims, disputes, and other matters in question arising out of or relating to this Contract, including those alleging an error or omission by the Architect but excluding those arising under Section 16.2, shall be referred to the Architect for initial decision. Such matters, except those waived as provided for in Section 21.11 and Sections 15.7.3 and 15.7.4, shall require an initial decision by the Architect as a condition precedent to binding dispute resolution. Unless the Architect and all affected parties agree, the Architect will not decide disputes between the Contractor and persons or entities other than the Owner.
§ 21.2 Notice of Claims
§ 21.2.1 INTENTIONALLY OMITTED
§ 21.2.2 INTENTIONALLY OMITTED
§ 21.3 Time Limits on Claims
INTENTIONALLY OMITTED
§ 21.4 The Architect will review Claims and within ten days of the receipt of a Claim take one or more of the following actions: (1) request additional supporting data from the claimant or a response with supporting data from the other party, (2) reject the Claim in whole or in part, (3) approve the Claim, or (4) suggest a compromise.
§ 21.5 In evaluating Claims, the Architect may, but shall not be obligated to, consult with or seek information from either party or from persons with special knowledge or expertise who may assist the Architect in rendering a decision. The Architect may request the Owner to authorize retention of such persons at the Owner’s expense.
§ 21.6 If the Architect requests a party to provide a response to a Claim or to furnish additional supporting data, such party shall respond, within ten days after receipt of such request, and shall either (1) provide a response on the requested supporting data, (2) advise the Architect when the response or supporting data will be furnished or (3) advise the Architect that no supporting data will be furnished. Upon receipt of the response or supporting data, if any, the Architect will render an initial decision.
§ 21.7 The Architect will render an initial decision that either rejects or approves the Claim in whole or in part. This initial decision shall (1) be in writing; (2) state the reasons therefor; and (3) notify the parties of any change in the Contract Sum or Contract Time or both. The initial decision shall be final and binding on the parties but subject to binding dispute resolution.
§ 21.8 Either party may, within 30 days from the date of an initial decision, file for binding dispute resolution within 60 days of the initial decision. Failure to demand binding dispute resolution within said 30 days’ period shall result in the Architect’s decision becoming final and binding upon the Owner and Contractor, and shall result in a waiver by both parties of their rights to pursue binding dispute resolution proceedings with respect to the initial decision.
§ 21.9 INTENTIONALLY OMITTED
§ 21.10 Continuing Contract Performance
Pending final resolution of a Claim, except as otherwise agreed in writing, the Contractor shall proceed diligently with performance of the Contract and the Owner shall continue to make payments in accordance with the Contract Documents.
§ 21.11
(Paragraphs deleted)
INTENTIONALLY OMITTED
This Agreement entered into as of the day and year first written above.
OWNER (Signature)
Board of Directors of the Johnson County Library,
Bethany Griffith, Chair
(Printed name and title)
CONTRACTOR (Signature)
435 Roofing, Brian Kramer, Vice President of Sales
(Printed name and title)
Attest:
AIA Document A104™ – 2017 (formerly A107™ – 2007). Copyright © 1936, 1951, 1950, 1961, 1963, 1966, 1970, 1974, 1978, 1987, 1987, 2007 and 2017 by The American Institute of Architects. All rights reserved. The “American Institute of Architects,” “AIA,” the AIA Logo, and “AIA Contract Documents” are registered trademarks and may not be used without permission. This document was produced by AIA software at 15:58:51 ET on 05/06/2021 under Order No.3796044083 which expires on 02/16/2022. Is not for resale, is licensed for one-time use only, and may only be used in accordance with the AIA Contract Documents® Terms of Service. To report copyright violations, e-mail firstname.lastname@example.org.
APPROVED AS TO FORM:
Fred J Logan Jr.
Counsel to the Board of Directors of the Johnson County Library
Certification of Document’s Authenticity
AIA® Document D401™ – 2003
I, Sean Hendrix, hereby certify, to the best of my knowledge, information and belief, that I created the attached final document simultaneously with its associated Additions and Deletions Report and this certification at 15:58:51 ET on 05/06/2021 under Order No. 3796044083 from AIA Contract Documents software and that in preparing the attached final document I made no changes to the original text of AIA® Document A104™ – 2017, Standard Abbreviated Form of Agreement Between Owner and Contractor, as published by the AIA in its software, other than those additions and deletions shown in the associated Additions and Deletions Report.
(Signed)
JCL ARCH. PROJECT MANAGER
(Title)
5-7-21
(Dated)
|
Yellow Springs Senior Center Presents:
Keep on Dancin’
Marathon Fundraiser
Friday, March 13, 2020, 5 – 10 pm
The Emporium, 233 Xenia Ave., YS
Schedule: 5 – 8 pm - DJ
8 – 10 pm - The Hoppers LIVE
Come and Dance! Form a Team! Fund Dancers!
♦ A team is 8 -10 people who will commit to dance at some point during the 5 hours.
♦ Make a pledge to support a team in their efforts to dance 5 hours.
Contact: Call 937-767-1031 for more information or to volunteer to do any of the above.
Inclement Weather Policy
When the Yellow Springs Schools are closed due to the weather, the Senior Center is CLOSED. When the schools are on a delay, the Senior Center is not - it will open at the normal time. When the Senior Center is closed, ALL scheduled rides with YSSC Transportation and activities are CANCELLED for that day; HOWEVER, on such days, the Executive Director and the Transportation Manager will determine whether any – or all – medical rides shall proceed as scheduled.
As a ‘medical’ passenger on those days, you can expect a phone call from YSSC to further discuss your ride arrangements, 937-767-5751.
Welcome NEW Members!
Heartfelt thanks to all for your generous support through membership!
Berch Carpenter
Susan Carpenter
John Ciano
Alvaro Demarzi
Simone Stave Demarzi
Alisa Isaac
Artie Isaac
Annemone Keller
Christine Roberts
Cheryl Smith
Membership dues per year:
Single: $20
$15 for each additional household member
To subscribe & read the Senior Notes online:
1. Go to: ourseniorcenter.com
2. In the "community name" space - type in: Yellow Springs Senior Center
3. Click the search 'button' or 'icon' next to where it says "near Dayton Ohio"
4. Click on "make this my default community"
This will provide a box where you type in your name & email.
5. Click 'subscribe,' and you're done!
You will get an email notice when the new issue is available.
The past issues are continuously available. Just click the issue you want to see.
Chinese New Year 2020 is the year of the Rat
1924, 1936, 1948, 1960, 1972, 1984... people born in these years have been known for the following qualities:
charming, hard-working, thrifty and practical.
Pharmacy degree candidates of Cedarville Univ. discussed Rx interactions at YSSC, & gave flu shots at Benzer Drugs.
New tables & chairs arrived.
YS resident and YSSC member Paul Graham, second from the left, spoke on the Elder Panel in Nov. for GCCOA
Thanksgiving Tea in Nov. was enjoyed with the Juggle for Joy team! Thanks to Friends Care Community.
A terrific time was had at the GCCOA Soiree.
La clase de español tuvo una fiesta de traje en diciembre. Aquí es una foto de la fiesta con golosinas de la piñata en la mesa.
The Spanish class had a party, party in December. Here is a photo, on the right, of the party with piñata candies on the table. – photo and text by Bob Haston
Just a few of the incredible pieces from the all-members art show Nov.-Dec. in the Senior Center Gallery.
Happy New Year!
Some fun facts about 2020. 2020 will be a leap year. 2020 will be the 20th year of the 3rd millennium, the 20th year of the 21st century, and the 1st year of the 2020s decade. It will also mark the 100th anniversary since women received the right to vote. Speaking of voting, 2020 will be the 1st year that the Ohio primary election is in March…March 17th to be exact.
It is membership renewal time. Please see this newsletter for your envelope to renew your membership. If there are people you know who should be members, invite them to join you at an activity and then encourage them to be members.
Have a wonderful 2020. Enjoy the benefits of your membership at the Senior Center. Be safe and stay warm this winter.
See you around the Center.
- Karen Wolford, Executive Director, email@example.com
Weekly Announcements:
In 2020 we will be experimenting with calling members at least once a week to give an update on what’s happening at the Center during the week and to give a few reminders. This will be announcements only and not an opportunity to have a two-way conversation. It will be the voice of a staff member giving the announcements and the telephone number that shows up on your caller ID will be that of the Senior Center. We have been looking for a solution to better communication about events and activities and this might be a solution. Look for this to start in mid-January. And, look for an opportunity to give feedback in the next newsletter.
10-Digit Dialing
Effective February 8, 2020!! you will need to add the area code to all current 937 numbers…yes, even local numbers. To reach the Senior Center…even if you are local…you will need to dial 937-767-5751. If you want to dial your neighbor, you will have to dial 937 before the number. All of this is because beginning in March, the current 937 area code area will have an additional area code of 326.
From the Transportation Desk
We are now into Winter. Those reading this article are likely better at giving advice on Winter driving than receiving it. So, I’ll just say, “be careful out there!”
A quick note regarding Winter Weather and transportation at YSSC. The Center is closed on those days that Yellow Springs schools close for inclement weather. ALL scheduled rides with YSSC Transportation are presumed CANCELLED for that day.
However, medical ride requests will be individually reviewed to determine if they shall proceed as scheduled. As a ‘medical’ passenger on those days, you can expect a phone call from YSSC to further discuss ride arrangements.
- Robert Libecap, Transportation Program Manager, 937-767-5751 x 104, firstname.lastname@example.org
Hello Everyone!
I hope that you all had a wonderful holiday. We have been very busy here at the Senior Center. In 2019, we assisted more than 70 people with their Medicare health plan selection during open enrollment, and helped them save an estimated total of $35,000 - $40,000 in healthcare expenses for 2020. We are happy to offer this OSHIIP certified service at no cost to the older adults of our community, and are so appreciative of those who generously donate to help support this and other valuable programs offered here at the YS Senior Center. I wish you joy, good health, prosperity in 2020, and look forward to seeing you all in the coming year. Happy New Year! - Val
Valerie French, Senior Support Services Manager
OSHIIP Medicare/Medicaid Representative
937-767-5751 x 106; email@example.com
Ripples!!
Get ready for the 7th edition of Ripples, coming in 2020!
Please submit your stories, poems and photographs Featuring residents of YS and Miami Township, age 55 and over.
Ripples is published by the YS Senior Center and is a gift to the community. Pick up back issues and guidelines at the Senior Center’s front desk area.
The deadline is Friday, March 20. Contact Suzanne Patterson, firstname.lastname@example.org, with questions or comments.
Homemaker Program
Thank you to all of the homemakers for all you’ve done over the last year.
Your compassionate caring for the older adults in this village and beyond shines brightly. As we embark on this new decade with all of the new possibilities it is wonderful to know that we can confidently depend on your time-proven dedication to the welfare of the people you serve. Thanks, Teresa Bondurant
Teresa Bondurant, Homemaker Program Manager
937-767-5751 x 107; email@example.com
Euchre Group needs more players.
The euchre players play this easy-to-learn card game when they have three or four players. When there are just two, they play cribbage, so they can teach this game, also. If you like euchre, or want to learn, (or cribbage) please come join the euchre players, led by Brad Terry, at 2:00 pm on Thursdays in the Fireplace Room.
Questions? Call the Senior Center, 937-767-5751.
Book Notes
Creating Moments of Joy, Brackney, Purdue, 2017. The author is a well-known speaker on coping with Alzheimer’s. She offers examples of people dealing successfully with their loved one’s symptoms, but she emphasizes that one’s own experience with one’s loved one in the moment is the best teacher. A truly joyful book.
The 36-Hour Day: A Family Guide, Mace and Rabins, Johns Hopkins, 2017. “The Gold Standard for Alzheimer care” puts you in the hands of very thorough experts. Just the section on getting respite care for yourself covers everything from the caregiver’s feelings about care by others to getting the patient to go, to cost.
These books are available to check out at the YSSC Dementia Friendly Lending Library, front lobby area. Also see back page.
Scrabble
Join Larry Shine and the players for a fun boredom-eliminating game of Scrabble in the Great Room, Tuesdays, 10:00 am, right before Rummikub at 11:00.
Members Corner
In Antioch College’s Learning Collaborative, there will be three courses offered for Winter term; fees apply.
Senior Center member Daniel Pelzl is offering the course “Build Your Own Affordable House.” The course will teach how to build an affordable home.
Please check the website for more details: https://antiochcollege.edu/alumni-friends/public-programs/learning-collaborative/ or contact Hannah Spirrison, 937-319-0128, firstname.lastname@example.org.
YS Senior Center 937-767-5751
**Weekly Social Groups:**
*To find these activities, please check the days & times on the CALENDAR in this newsletter.*
**Senior Lunch** - A hot, nutritious lunch at noon on **Monday** and **Wednesday** in the Great Room at the Senior Center.
**Beginner Mahjong** - Learn to play this game of mental finesse and complex strategies - an excellent mental workout that really IS fun.
**Mahjong** - Join the regulars in this cognitive game, requiring players to use attention, memory, planning and calculation skills.
**Beginner Bridge** - Learn to play and boost the immune system through stimulation of the cortex, which is involved in brain functions needed to play bridge. Call Susan, 937-767-0235.
**Bridge** - Duplicate bridge is a pleasantly competitive table sport.
**Euchre** - Join this game, increase brain power and fun. All that laughter you have heard? ...well, this is the group!
**French Language Class** - for those in Level 2 or higher.
**Spanish Language Classes:**
Adv. Beg. Spanish I, II, & III
**Adv. German Language Class**
**Sign Language class** - You can learn to communicate by signing.
**YS Strings** - If you play a stringed instrument, please call Shirley Mullins, 937-767-3361 for info.
**Rummikub** - color & number game with tiles, very enjoyable!
**Scrabble** - word game.
---
**Classes and Exercise Groups:**
**Rise & Shine Exercise** - Work out kinks with easy movements that can be done sitting or standing. Includes resistance (weights).
**Seated Volleyball** - Non-competitive with light-weight beach balls.
**Yoga with Reena** - Beginner’s yoga, on the floor or seated, 2x/week.
**Strength Training** - Taught by master personal fitness trainer especially for seniors.
**Qi Gong** - *Qi Gong is an ancient Chinese health care system that integrates physical postures, breathing techniques and focused intention.*
Western scientific research confirms that Qi Gong reduces hypertension and the incidence of falling. One of the more important long-term effects is that Qi Gong reestablishes the body/mind/soul connection. The group follows an easy DVD on the big screen.
**Dancing with Parkinson’s** - For people with Parkinson’s and their spouses or caregivers. This movement class is simple, fun, free-form choreography performed to music, to get the body moving in a way that feels good, enjoyable and socially engaging. Participants work at their own potential on that day. Exercises can be modified to suit each individual’s level of comfort and ability. This class has been shown to have positive effects on gait speed, strength, balance, and quality of life. Voice exercise, too.
**Tai chi** - A gentle form of low or no impact exercise helps maintain strength, flexibility, and balance. Lowers blood pressure, improves heart health, reduces inflammation and has many more benefits. It could be the perfect activity for you. Tai chi chuan on Thurs. & Tai chi for balance on Friday.
**Constitutional Rights** - understanding and discussing the Constitution and other subjects with local retired history teacher, Joyce McCurdy. An on-going, popular group held the 1st & 3rd Wednesdays of the month.
**History Omitted** - Joyce McCurdy’s group that meets the 2nd & 4th Wednesdays of the month, discussing history which doesn’t get into school history books.
**Creative Writing Group** - weekly on Friday, a great way to motivate yourself to keep writing, get support and feedback - all welcome.
**Speaker Series** - Please see page 13.
**Scrabble** - 10:00 am on Tuesday, p. 4.
**NEW** - Bean Bag Toss Game - starts 10:00 am, Thursday, Jan. 9, p. 12.
---
**Monthly Groups:**
**80+ Birthday Luncheon** - in honor of those turning 80 and those who are over 80. Held each month with the Third Thursday Potluck Lunch, see p.15.
**Hearing Aid Help** - see Dr. Tom Lolan who volunteers for cleaning hearing aids, changing batteries, and providing advice, 4th Tuesday of the month.
**Great Books Group** - engaged discussions on the 2nd Thursday each month on previously selected title.
**Poetry Reading** - read aloud published poetry, discuss and enjoy monthly on the third Friday.
**Writers Eclectic** - writers share and support each other writing their poems, short stories, novels & more. First & third Sunday of the month.
**Grandmother Council** - discussion, sharing and support of all things grandmotherly on the third Sunday of the month.
SUPPORT THE ADVERTISERS THAT SUPPORT OUR COMMUNITY
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AUTHORIZED DEALER
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• Full Time Position with Benefits
• Sales Experience Preferred
• Paid Training
• Overnight Travel Required
• Expense Reimbursement
CONTACT US AT
email@example.com • www.4LPI.com/careers
UPGRADE TO A VIBRANT ad
Contact us for details • 800-477-4574
AC Service Co., Inc.
Your Local Yellow Springs Plumbing • Heating & Air Conditioning Co.
116 Dayton St.
937-767-7406
Please Visit Our Website:
www.acserviceysco.com
E-Mail: firstname.lastname@example.org
State I.D. #27702
TOGETHER WE CAN DO MORE.
JOIN US!
YSCE.org | 937-767-2655
150 E. Herman St. • Yellow Springs
www.friendshealthcare.org
Rehabilitation • Independent Living
Assisted Living • Extended Care
Outpatient Therapy
| THURSDAY | FRIDAY | SATURDAY/SUNDAY |
|----------|--------|-----------------|
| **2** | | |
| 1:30 – Yoga with Reena
2:00 – Euchre
3:00 – Adv. Beginner Spanish II
4:00 – Adv. Beginner Spanish III
5:00 – Spanish Potluck
6:30 – Tai Chi Chuan | 10:00 – Qi Gong
11:15 – Tai Chi for Balance, p. 5
12:30 – Sign Language
1:00 – Creative Writing Group
2:45 – Strength Training | **4**
8:30 – Winter Farmer’s Market
12:00 – Mahjong
2:00 – Writers Eclectic |
| **9** | | |
| 10:00 – Bean Bag Toss Game, p.12
1:30 – Yoga with Reena
2:00 – Euchre
3:00 – Adv. Beginner Spanish II
4:00 – Adv. Beginner Spanish III
6:30 – Tai Chi Chuan
6:30 – Great Books Group | 10:00 – Qi Gong
11:15 – Tai Chi for Balance
12:30 – Sign Language
1:00 – Creative Writing Group
2:45 – Strength Training | **11**
8:30 – Winter Farmer’s Market
12:00 – Mahjong |
| **16** | | |
| 10:00 – Bean Bag Toss Game
Noon – POTLUCK LUNCH &
80+ Birthday -YS School Superintendent Terri Holden, p. 13 & 15
1:30 – Yoga with Reena
2:00 – Euchre
3:00 – Adv. Beginner Spanish II
4:00 – Adv. Beginner Spanish III
6:30 – Tai Chi Chuan | 10:00 – Qi Gong
10:30 – Poetry Reading
11:15 – Tai Chi for Balance
12:30 – Sign Language
1:00 – Creative Writing Group
2:45 – Strength Training
4:00 – 7:00 pm -ART SHOW OPENING, see BACK cover | **18**
8:30 – Winter Farmer’s Market
12:00 – Mahjong
12:00 – Beloved Community Lunch, p. 15 |
| **23** | | |
| 10:00 – Bean Bag Toss Game
11:15 – Lunch Bunch: Club Oceano, p. 13
1:30 – Yoga with Reena
2:00 – Euchre
3:00 – Adv. Beginner Spanish II
4:00 – Adv. Beginner Spanish III
6:30 – Tai Chi Chuan | 10:00 – Qi Gong
11:15 – Tai Chi for Balance
12:30 – Sign Language
1:00 – Creative Writing Group
2:45 – Strength Training | **25**
8:30 – Winter Farmer’s Market
12:00 – Mahjong |
| **30** | | |
| 10:00 – Bean Bag Toss Game
1:30 – Yoga with Reena
2:00 – Euchre
3:00 – Adv. Beginner Spanish II
4:00 – Adv. Beginner Spanish III
6:30 – Tai Chi Chuan | 10:00 – Qi Gong
11:15 – Tai Chi for Balance
12:30 – Sign Language
1:00 – Creative Writing Group
2:45 – Strength Training | Volunteers Needed
Are you a person who likes food and community get-togethers? Could you volunteer to help move the Center’s new, lighter Great Room furniture on Potluck morning, set the table and introduce the person(s) who are presenting the program? Or help clear the room after the Potluck for the activity that follows? If so, please call Corinne Pelzl, Activities Manager, 937-767-5751 x 105. |
**NOTE:** For Transportation Service you must call at least 3 business days ahead for transport in YS, and at least 4 business days ahead for out-of-YS.
| MONDAY | TUESDAY | WEDNESDAY |
|--------|---------|-----------|
| Holiday Tea Party last December. | 10:30 – Rise and Shine Exercise
11:15 – Seated Volleyball
Noon – Senior Lunch
1:00 – Beginner Mahjong
1:30 – Yoga with Reena | LOOKING AHEAD:
Friday, March 20, is Ripples submissions deadline. See p. 4.
Friday, March 13, 5 - 10 pm
Keep on Dancin’ Marathon Fundraiser, at the Emporium, p. 1 |
| 3 | 4 | 5 |
| 10:30 – Rise & Shine Exercise
11:15 – Seated Volleyball
Noon – Senior Lunch
1:00 – Beginner Mahjong
1:30 – Yoga with Reena
3:00 – MOVIES: Methadone & Sparkle, p. 12 | 10:00 – Scrabble
11:00 – Play Rummikub
1:00 – Qi Gong
2:00 – French class
3:30 – Adv. Beginner German
7:00 – YS Strings Rehearsal | 10:00 – Needlework Group
10:30 – Rise and Shine Exercise
11:15 – Seated Volleyball
Noon – Senior Lunch
2:00 – Dancing with Parkinson’s
4:00 – Constitutional Rights
5:15 – Adv. Beginner Spanish I
6:30 – Bridge |
| 10 | 11 | 12 |
| 10:30 – Rise & Shine Exercise
11:15 – Seated Volleyball
Noon – Senior Lunch
1:00 – Beginner Mahjong
1:30 – Yoga with Reena
3:00 – MOVIES: Methadone & Sparkle, p. 12 | 10:00 – Scrabble
11:00 – Play Rummikub
1:00 – Qi Gong
2:00 – French class
3:30 – Adv. Beginner German
7:00 – YS Strings Rehearsal | 10:00 – Needlework Group
10:30 – Rise and Shine Exercise
11:15 – Seated Volleyball
Noon – Senior Lunch
2:00 – Dancing with Parkinson’s
3:30 – Valentine Tea, p. 14
4:00 – History Omitted
5:15 – Adv. Beginner Spanish I
6:30 – Bridge |
| 17 | 18 | 19 |
| CLOSED for President’s Day | 10:00 – Scrabble
11:00 – Play Rummikub
1:00 – Qi Gong
2:00 – French class
3:30 – Adv. Beginner German
7:00 – YS Strings Rehearsal | 10:00 – Needlework Group
10:30 – Rise and Shine Exercise
11:15 – Seated Volleyball
Noon – Senior Lunch
2:00 – Dancing with Parkinson’s
4:00 – Constitutional Rights
5:15 – Adv. Beginner Spanish I
6:30 – Bridge |
| 24 | 25 | 26 |
| 10:30 – Rise & Shine Exercise
11:15 – Seated Volleyball
Noon – Senior Lunch
1:00 – Beginner Mahjong
1:30 – Yoga with Reena
6:30 – Speaker Series, p. 13
African-American Genealogy | 10:00 – Hearing Aid Help, Dr. Lolan
10:00 – Scrabble
11:00 – Play Rummikub
1:00 – Qi Gong
2:00 – French class
3:30 – Adv. Beginner German
7:00 – YS Strings Rehearsal | 10:00 – Needlework Group
10:30 – Rise and Shine Exercise
11:15 – Seated Volleyball
Noon – Senior Lunch
2:00 – Dancing with Parkinson’s
4:00 – History Omitted
5:00 – BOARD MEETING
5:15 – Adv. Beginner Spanish I
6:30 – Bridge |
### THURSDAY
- **Front Desk Volunteers Needed**
- If you like people, and like talking on the phone, please volunteer to be a Senior Center Front Desk receptionist. Substitutes are needed for times the regular volunteers have to be out. It’s not necessarily often, but it is very important to the Senior Center. Please call 937-767-5751 x 105.
### FRIDAY
- The Senior Center is supported with funds from the Senior Services Levy through the Greene County Council on Aging (GCCOA), and your Annual Appeal donations.
### SATURDAY / SUNDAY
| Date | Event |
|------|-------|
| 1 | 8:30 – Winter Farmer’s Market
12:00 – Mahjong |
| 2 | 2:00 – Writers Eclectic |
| 8 | START 10-digit dialing, p. 3
8:30 – Winter Farmer’s Market
12:00 – Mahjong |
| 9 | |
| 15 | 8:30 – Winter Farmer’s Mkt.
11:15 – MV Orchid Show, p. 14
12:00 – Mahjong
12:00 – Beloved Community lunch, p. 15 |
| 16 | 12:30 – Grandmother Council
2:00 – Writers Eclectic |
| 22 | 8:30 – Winter Farmer’s Market
12:00 – Mahjong |
| 23 | |
| 29 | 8:30 – Winter Farmer’s Market
12:00 – Mahjong |
**Turn over for the January Calendar**
| MONDAY | TUESDAY | WEDNESDAY |
|--------|---------|-----------|
| **Turn over for February calendar.**
Dues are DUE for all members IN January, for 2020, unless you have just recently paid. Thank you! | **Monday & Wednesday Lunches**
A friendly group gets together for a nice, hot lunch in the Great Room on Mondays and Wednesdays at noon. More people could be served at this event, and it’s very simple to attend. Just come and try it out! These meals are part of the federal Senior Nutrition Program. Suggested donation, $2. | **1**
HAPPY NEW YEAR!!
Senior Center is CLOSED today. |
| 6
10:30 – Rise and Shine Exercise
11:15 – Seated Volleyball
Noon – Senior Lunch
1:00 – Beginner Mahjong
1:30 – Yoga with Reena | 7
10:00 – Scrabble
11:00 – Play Rummikub
1:00 – Qi Gong
2:00 – French class
3:30 – Adv. Beginner German
7:00 – YS Strings Rehearsal | 8
10:00 – Needlework Group
10:30 – Rise and Shine Exercise
11:15 – Seated Volleyball
Noon – Senior Lunch
2:00 – Dancing with Parkinson’s
4:00 – History Omitted
5:15 – Adv. Beginning Spanish I
6:30 – Bridge |
| 13
10:30 – Rise and Shine Exercise
11:15 – Seated Volleyball
Noon – Senior Lunch
1:00 – Beginner Mahjong
1:30 – Yoga with Reena
3:00 – MOVIE: Union Maids, p. 12 | 14
10:00 – Scrabble
11:00 – Play Rummikub
1:00 – Qi Gong
2:00 – French class
3:30 – Adv. Beginner German
7:00 – YS Strings Rehearsal | 15
10:00 – Needlework Group
10:30 – Rise and Shine Exercise
11:15 – Seated Volleyball
Noon – Senior Lunch
2:00 – Dancing with Parkinson’s
4:00 – Constitutional Rights
5:15 – Adv. Beginning Spanish I
6:30 – Bridge |
| 20
Senior Center CLOSED today in honor of Martin Luther King, Jr. | 21
10:00 – Scrabble
11:00 – Play Rummikub
1:00 – Qi Gong
2:00 – French class
3:30 – Adv. Beginner German
7:00 – YS Strings Rehearsal | 22
10:00 – Needlework Group
10:30 – Rise and Shine Exercise
11:15 – Seated Volleyball
Noon – Senior Lunch
2:00 – Dancing with Parkinson’s
4:00 – History Omitted
5:00 – BOARD MEETING
5:15 – Adv. Beginning Spanish I
6:30 – Bridge |
| 27 Newsletter Deadline for Mar-Apr.
10:30 – Rise and Shine Exercise
11:15 – Seated Volleyball
Noon – Senior Lunch
1:00 – Beginner Mahjong
1:30 – Yoga with Reena
6:30 – Speaker Series - Mexico, p. 13 | 28
10:00 – Hearing Aid Help, Dr. Lolan
10:00 – Scrabble
11:00 – Play Rummikub
1:00 – Qi Gong
2:00 – French class
3:30 – Adv. Beginner German
7:00 – YS Strings Rehearsal | 29
10:00 – Needlework Group
10:30 – Rise and Shine Exercise
11:15 – Seated Volleyball
Noon – Senior Lunch
2:00 – Dancing with Parkinson’s
5:15 – Adv. Beginning Spanish I
6:30 – Bridge |
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**Genetic Testing Scam**
Genetic testing scams are currently a widespread issue through the country. Scammers are offering Medicare beneficiaries cheek swabs for genetic testing to obtain their Medicare information for identity theft or fraudulent billing purposes.
Genetic testing fraud occurs when Medicare is billed for a test or screening that was not medically necessary and/or was not ordered by a beneficiary’s treating physician. The line that beneficiaries are being told by representatives from various companies is that Medicare fully covers a cheek swab that tests for any or all cancers, how your body processes prescriptions, and/or a variety of other genetic or hereditary diseases. This is just not true.
Do NOT give out your personal information or accept genetic screening services from someone at a community event or your housing complex. If you are contacted by anyone who offers these tests, say no and report it to the Senior Medicare Patrol at 1-877-808-2468.
**GCCOA is on YouTube**
GCCOA like most organizations, has a website and a Facebook page. They have added a YouTube channel, to which several videos have been uploaded. There are a Legal Chat welcome video, Advanced Directives, Wills & Probate, and Guardianship. New videos on a variety of topics will be posted, with the next one being the video from the recent Elder Panel.
**Quote**
“Some people embrace their golden years, others become bitter and surly. Life is too short to waste your days on the latter. Spend your time with positive, cheerful people, it’ll rub off on you and your days will seem that much better.”
- Steve Korker, Miller County Liberal paper, GA.
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**Activities Program - 2020 Senior Artisan Show Set**
The Senior Artisan Show is to be held the first three Sundays in March, 1, 8, and 15, and Wed. Mar. 18, at the Fairborn Art Association. For art show information, call Greene Council on Aging, 937-376-5486. The day to deliver art and entry form(s) to the show is Friday, Feb. 28. If you want assistance getting your art to the show on Fri., Feb. 28, or want to see the show on Wed., Mar. 18 (when you can also take your art home), please call the Senior Center. Limit: 4 passengers each trip: Fri., Feb. 28, pick-up about 11:00 am, and Wed. Mar. 18, pick-up about 12:30 pm. Alternates may sign up. Call 937-767-5751.
- Corinne Pelzl, Activities Program Manager, 937-767-5751, x 105.
**New: Bean Bag Toss Game**
Thanks to the loan of a bean bag set and two three-target goal boards, also thanks to volunteer leader, Wendy Levitch, a new game is starting up in the Great Room on Thursday mornings, 10:00 - 11:00 am. Please come and join in for the exercise, and try your eye-hand coordination in this more fun version of an old favorite. Starting Thursday, Jan. 9, at 10:00 am.
**Quote**
“Pain and discomfort go hand in hand with getting older. Try not to dwell on them but accept them as a part of the cycle of life we’re all going through. Try to minimize them in your mind. They are not who you are, they are something that life added to you. If they become your entire focus, you lose sight of the person you used to be.”
- Steve Korker, Miller County Liberal newspaper, Georgia
**Julia Reichert Films**
Continuing the series of Julia’s documentary movies, on Monday, January 13, 3:00 pm in the Great Room, Union Maids (48 min.) will be shown. Three remarkable women, all humorous storytellers, left their small farms for job opportunities in Chicago and joined the battle for better conditions for factory workers. Union Maids was nominated for an Academy Award for Best Documentary Feature.
On Monday, February 10, 3:00 pm in the Great Room, Methadone: an American Way of Dealing (60 min.), and Sparkle (18 min.), will be shown. The first, set in Dayton, is a still-relevant story of how heroin addiction was typically addressed in the early 70’s, when efforts to help often did the reverse. The second, Sparkle, follows Sheri Williams of Dayton Contemporary Dance Company, a star of the company for the unprecedented span of almost 40 years, who suffers her first serious injury and has to consider whether to return to the stage as her 50th birthday approaches.
Photos of local Filmmaker Julia Reichert
Notable African-American Residents of YS past.
**Norman Childs (1928 – 2011)** Childs helped develop the experimental G-suits and pressure suits in the Aero-Space Medical Laboratory at WPAFB. At the time of his retirement in 1988, he was senior clothing designer for the Air Force, designing both men’s and women’s uniforms.
**Mary Julia (Adams) Alexander (1937 – 2014)** In the 1970’s, Mary’s entrepreneurial spirit resulted in the birth of MJ’s Typing Service. This home business provided the YS community and surrounding areas with a professional publishing service.
**Joseph Cirl (1873-1943)** Cirl Gymnasium at Antioch College is named after Joe. Joe got along well with nearly everyone; and some said this could be attributed to his care to avoid disagreeing with people. On the contrary, it was also known that Joe stood his ground and did what he thought was right. He was one of the few blacks to confront whites with the same frankness and assertiveness he used with other blacks. That is one reason Cirl gained the support of many white voters in Village Council elections. Joe’s civic and professional career were a testament to the democracy of a small town. He held a modest job and belonged to a disadvantaged race; yet he was one of the leading citizens of YS for over 20 years.
**Susie A. Brown (1894 – 1984)** Miss Susie, as she was referred to in the village of YS, was born in 1894 in a small house situated on Marshall St., number 151. YS and her race were important to her as evidenced by her devoted philanthropic and civil rights involvement in the community. She also oversaw the Senior Citizens’ Thrift shop for many years, giving away clothes to Antioch College students in need.
*Excerpted from the 365 Project website* - an incredible and exciting wealth of information on YS beloved residents of color. Please check it out: [https://www.the365projectys.org/copy-of-notable-black-residents](https://www.the365projectys.org/copy-of-notable-black-residents)
---
**Club Oceano Restaurant at The Greene Shopping Center**
Bold restaurateurs have made the former McCormick and Schmick’s location into a go-to seafood hot spot, with Yelp reviews overwhelmingly over the top with joy and happiness. From the lunch menu at Club Oceano ([cluboceanoeseafood.com](http://cluboceanoeseafood.com), 937-988-0909), are Fish and chips $13; Crab cake sandwich, mixed greens, with house coleslaw, $14; Agave salmon: with lemon butter cream sauce, Italian black rice and asparagus, $15; Salmon Sliders (3 pcs.) $14, Chicken piccata: served with truffle *au gratin* potatoes, $13. We depart **Thursday, Jan. 23, at 11:15 am** from the west side of the Bryan Center parking lot. **We must have at least 6 people** who want to go on the morning of the trip for it to take place. $5.00 should be paid to the driver for transportation before the trip. To sign up to go or be an alternate, call 937-767-5751.
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**Speaker Series**
**Beth Holyoke**, local artist and student of Spanish at the Senior Center, presents a travel talk with photos from her recent trip to **Cuernavaca, Mexico**. In the Great Room, **Monday, Jan. 27, 6:30 pm**.
**Robert Harris**, retired Supervising Engineer, Aerospace Research Lab, WPAFB, tells of the 21-year-old **African American Genealogy** group he was involved in founding in Yellow Springs after he retired. Celebrate African-American History Month by learning about the African-American Genealogy Group of the Miami Valley, [aagmvm.org](http://aagmvm.org). In the Great Room, **Monday, Feb. 24, 6:30 pm**.
---
**January Potluck Lunch & 80+ Birthday**
The Third Thursday Potluck lunch is at **12:00 noon on January 16** in the Great Room. Bring a dish to share at noon, or come at **12:25 pm for the program**. Those 80 and over in **January** will be celebrated with dessert and song!
**Program:** Superintendent of YS Village Schools, Terri Holden, will speak about the Elementary, Middle and YS High School, and answer questions from those attending. Ms. Holden came in May to the local schools from her previous job as Director of Teaching and Learning at Winton Woods City School District, in a northern suburb of Cincinnati. For a ride, please call 937-767-5751 by **three days ahead**.
**Volunteer Needed**
Are you a person who likes food and community get-togethers? Could you volunteer to help move the Center’s new, lighter Great Room furniture on Third Thursday Potluck morning, set the table and introduce the person(s) who are presenting the program? Or help clear the room after the Potluck for the activity that follows? If so, please call Corinne Pelzl, Activities Manager, 937-767-5751 x 105.
February Potluck Lunch & 80+ Birthday
The third Thursday Potluck lunch is at **12:00 noon on February 20** in the Great Room. Bring a dish to share at noon, or come at 12:25 pm for the program. Those who become 80 and over in *February* will be celebrated with dessert and song.
**Music** - Members of the *Threshold Choir of Yellow Springs* will describe their organization’s service of song, “*Kindness Made Audible*” which they offer for people who are ill or otherwise troubled, and for people who are at the end of life. They emphasize they are not performers of music, more like sharers of their joy in music and of the solace gentle melody and harmony can bring. They will demonstrate by simulated bedside singing experiences at the potluck. You can try being in the chair! Potential members are welcome to consider joining the group.
For a ride, please call 937-767-5751, by three days ahead.
**Miami Valley Orchid Society Show**
This annual event is held at Dayton’s Cox Arboretum, south of the city, with amazing orchids in a beautiful round, windowed room. Young plants are for sale. The arboretum has a library, ponds, greenhouses, and displays of gardens and woody ornamental plants that are a real treat to visit, also a gift shop. We will depart from the Bryan Center parking lot, west side, at **11:15 am, Saturday, February 15**, to arrive in time for the 1:00 pm orchid educational program, in case you want to attend. Please have lunch ahead of time, and bring snacks and water. *We must have at least 6 people* who want to go on the morning of the trip for it to take place. There is no charge to see the orchids or the Arboretum. $5 should be paid to the driver for transportation before the trip. Please sign up as early as possible if you think you want to go or to be an alternate by calling the Senior Center, 937-767-5751.
**Valentine Tea**
Come join co-host *Becky Baker of Friends Care Community* and meet friends at the *Valentine Tea on Wednesday, Feb. 12, at 3:30 pm* in the Great Room. Let’s enjoy delicious tea and refreshments and share Valentine memories. It’s always a good time.
**Tea cups needed**
The Senior Center’s collection of tea cups needs a few more cups. If there are a few decorative, old fashioned tea cups with saucers out there which are not being used or enjoyed, maybe they could have a new life at the Senior Center. Please call the Activities Manager, Corinne Pelzl, 937-767-5751 x 105.
**Quote**
“I call my body my Duane suit. It is a 1932 model, some of which is being recalled. One can get spare parts: knees, hips, heart transplants. This energy that I am is essentially a consciousness inhabiting a costume called Duane, a fiction of my imagination. I am the ghost in the machine of my own story, whose plot I cannot explain.”
- Duane Michals, American photographer
**4 Easy ways to support the Center!**
If you shop at *Kroger* and have a Kroger Plus card, you can direct Kroger’s charitable giving to the YS Senior Center. The Center will get a percentage of your total spending. When the quarterly check arrives, the Center gets a total number of users and a donation, not names. *You will need our organization number, which is RU161.*
If you shop at *Amazon*, the Senior Center can benefit. You must create an Amazon Smile account, and then you shop as usual. You can designate YS Senior Citizens as the recipient of 0.5% of your purchase total. As easy as that!
**Planned Giving** – What is it about? It means you are planning to give a gift later. It is a plan that you put in your will, an item that is worked out with your family and attorney. From time to time, the Senior Center receives such gifts. Whether these amounts are small or large, they are extremely important. If you would like more information, please contact *Karen Wofford, Executive Director, 937-767-5751 x 101*. Your call or meeting is strictly confidential. This is one of the easiest ways to leave a legacy to the Senior Center and become a member of The Legacy Society.
**Required Minimum Distribution from your IRA**
If you are 70 ½ or older and have an IRA, you know that each year you must take your Required Minimum Distribution (RMD.) But did you know that you can make a transfer directly from your IRA to a charity of your choice and the contribution is not taxed? You can give up to $100,000 from your IRA to a charity and it will be counted towards your RMD but isn’t included in your adjusted gross income. If you want further information on how you can make a gift to the Senior Center from your IRA, please contact your financial advisor.
YS Senior Center 937-767-5751
**January Birthdays:**
| Date | Name |
|--------|--------------------|
| 01/01* | Betty Hairston |
| 01/02 | Don Gasho |
| 01/03* | Mary Gail Simpson |
| 01/03 | Sam Longo |
| 01/03 | Deborah McGee |
| 01/03 | Cindy Shaw |
| 01/03 | Frances Simon |
| 01/05 | Sharon Hatfield |
| 01/05 | Shirley Hatfield |
| 01/05 | Ron Lewis |
| 01/06 | Diana Atkins |
| 01/07 | Becky Eschliman |
| 01/08* | Seymour Wexler |
| 01/09 | Rachel Lemberg |
| 01/10* | Paul Beck |
| 01/11 | Theresa Mayer |
| 01/11 | Brenda Hubbard |
| 01/12* | Bruce Bradford |
| 01/16 | Kathy Heriot |
| 01/17 | Marilyn Van Eaton |
| 01/18 | Barbara Byrd |
| 01/18 | Margaret Davenport |
| 01/18* | Griffin M. Johnson |
| 01/18* | Sylvia Carter Denny (Miller) |
| 01/19* | Dan Beverly |
| 01/19 | Diane Collinson |
| 01/19 | Elizabeth Hosta |
| 01/20 | BG Goodwon |
| 01/20 | Joe Hill |
| 01/20* | David Erskine |
| 01/22* | Dorothy Freeman |
| 01/22 | Gary Greenberg |
| 01/23* | Ben Biteman |
| 01/23 | Chuck Buster |
| 01/23 | Ruth Paige |
| 01/24* | Elizabeth Danowski |
| 01/25* | Evelyn Britton |
| 01/27 | Mary Frost-Pierson |
| 01/27 | Bette Kelley |
| 01/27 | Katherine Schooler-Williams |
| 01/27 | Marianne MacQueen |
| 01/28* | Patty Alexander |
| 01/28* | Gail Bauman |
| 01/28* | Judy Rose |
| 01/28 | Rose Wright |
| 01/28 | Faye Choo |
| 01/29 | Roseanna Dufault |
| 01/29 | Catherine Roma |
| 01/30* | Mary Lamborg |
| 01/30 | Alan Staiger |
* Indicates those known to be 80 or over.
We apologize to anyone who may have been left off the Birthday List by mistake. We only include current members who have shared their birth date.
---
**February Birthdays:**
| Date | Name |
|--------|--------------------|
| 02/01 | Donna Caslin |
| 02/02 | Mary Anne Ryan |
| 02/02 | Marianne Kink |
| 02/02 | Celia Diamond |
| 02/02* | Diana Hayman |
| 02/03* | Peggy Miller |
| 02/03* | Helen Eier |
| 02/03 | Lois Gladchild |
| 02/03 | Diana Partee |
| 02/07 | MJ Kalkis |
| 02/07* | Nina Myatt |
| 02/07 | Margie Wehner |
| 02/08* | Phyllis Evans |
| 02/08 | Carolyn Smith |
| 02/08 | Louise Smith |
| 02/09* | Sylvia Smith |
| 02/10 | Carol Gasho |
| 02/10 | Patti Dallas |
| 02/11 | Pamela Davis |
| 02/12* | Nora Barth |
| 02/12 | Irena Brawley |
| 02/13 | A.C. Viena |
| 02/13 | Tom Siebold |
| 02/14 | Brian Maughan |
| 02/14 | Cheryl Smith |
| 02/14 | Cindy Freppon |
| 02/15 | Larry Shine |
| 02/16 | Jeff Huntington |
| 02/16* | Maggie Heston |
| 02/16* | Peter Whitson |
| 02/16 | Charlene Prestopino|
| 02/16 | Barbara Zulliger |
| 02/17 | Maria Valentine Wright |
| 02/17* | Janeal Ravndal |
| 02/18 | Bill Randolph |
| 02/19* | Margaret Doss |
| 02/20 | Coletta Bernaves |
| 02/21 | Margrit Tydings-Petrie |
| 02/22* | Dinah Anderson |
| 02/22 | Mark Partee |
| 02/22 | Shirley Smith |
| 02/23 | Wilford Simon |
| 02/24 | Peggy Saber |
| 02/25 | Terry Johnson |
| 02/25 | Marina Street |
| 02/26 | Scott Kellogg |
| 02/26 | David Robinow |
| 02/29 | Claire Burbank |
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**Birthday Luncheon**
If you turn 80 or more in January or February, you are especially invited to celebrate your birthday at the Senior Center Monthly Potluck Lunch on the Third Thursday of the month, January 16 and February 20.
Those with a birthday in the month of the potluck do not need to bring a dish. There is no charge for anyone for this event. Of course, we are going to sing “Happy Birthday,” and have a nice birthday dessert. The membership committee asks that the birthday persons sign up in advance by calling the Senior Center, 937-767-5751. Please let the receptionist know if you need a ride.
---
**Beloved Community Lunch**
**Notice:**
All who are interested may join in a Free Community Meal by the Beloved Community Project on the third Saturdays, Jan. 18 & Feb. 15, from noon to 2 pm., downtown at the YS Presbyterian Church. All food is homemade by volunteer YS cooks. See YS News for more info. Need a ride? Contact: Andree Bognar 937-767-2950 or Kate Anderson 937-767-2611.
---
**Monday & Wednesday Senior Lunch**
All are welcome and **more diners are needed** for this sociable time. Please call the Center to ask about the menu for any Mon. or Wed. lunch that you might like to attend.
Please call 937-767-5751 by noon the weekday before if you want a meal ordered for you for the first time, or just come.
Senior Notes
January - February 2020
Dance Marathon Fundraiser........p. 1
NEW - Bean Bag Toss Game.......p. 12
School Superintendent talk........p. 13
Speaker Series..........................p. 13
New Restaurant Outing.............p. 13
CURRENT RESIDENT, OR:
...unless you have recently renewed or have just become a new member, membership dues are due for everyone in January.
Single $20.00 per year, and $15.00 for each additional member of a household.
Thank you sincerely for your support!
The Senior Center is pleased to present the
January - March 2020 Art Show
Collage
Opening Reception:
Friday, January 17, 4:00 - 7:00 pm
in the Senior Center Fireplace Room Gallery
On exhibit through March 31.
YSSC Dementia Friendly Lending Library
The Lending Library is in the front lobby at the Center, on the counter by the front windows, come and check out a book on Alzheimer’s or caring for older adults. See p. 4 for Book Notes.
YS Senior Center 937-767-5751
Check the YS News for local events on MLK Day.
|
DON’T MISS … GOOD THINGS, TO GO TO or DO
› St Mary & St Nicholas Church Christmas Bazaar: 1st Dec 12-3pm at LVH, (Village Hall): Santa’s Grotto, stalls, food, live music. Grand Draw at 2.30pm.
› JHN Academy Christmas Fair: Weds 5th Dec: 5-7pm: Grotto, Raffle, Market, Fun & Games.
› Concert: Thur 6th Dec, 7.30pm: Rose Hill Methodist Church: West Gallery Carols, Village Tunes & Songs: Dave Mellstock 01865 714 778
› Christmas Craft Fayre: Sat 8th Dec 12-3pm at the RBL: Royal British Legion Hall, Lakefield Rd
› Blessed Dominic Barberi Christmas Bazaar: Sat 8th Dec, 2pm: with stalls & attractions including Father Christmas!
› Support 28th Oxford Scouts: they’re collecting funds & bag-packing in Co-op Cowley Centre 10am-5pm Sats 15th & 22nd Dec
› A showcase of Pole Dancing & Burlesque at TOA 15th Dec: 6-9.30pm, from Students & tutors of Dance Inspires. A family event: all ages welcome. Book at www.eventbrite.co.uk/e/dance-inspires-christmas-showcase-tickets-497766101750.
› Christmas Parkour Camp: TOA: 5 hours a day of aerial acrobatics 22nd-23rd Dec. Age Groups: 7-10 & 11-17. Please book online at www.ukfacadeacademy.co.uk.
› Littlemore Community Christmas Day Lunch: 25th December 1-4pm, in JHN Academy, Grange Road. Suggested donation £2.50, adult; £1.50, child. For more info & to book please call Caroline Gale 01235 819 499 or email@example.com.
› Coffee shop at the Village Hall resumes 10am-1.30pm, Sat 5th January. Delicious coffee, homemade cakes, hot soup…!
› Yoga (Hatha): LCC: New Thursday Over 50s class starts 10th January: 10:30-11:30am. Please bring your own mat: limited spares for first comers. Contact Elly Tiburcio 07376 247 432 or firstname.lastname@example.org.
› Spring Art & Craft workshops Oxford Summer School Plus at TOA: 9.30-4pm, 2nd & 3rd March: they’re listed here now as you need to book early! See www.oxfordsummerschool.com, or email email@example.com.
PROSE POEM FROM KADIE: YR 6: JHN ACADEMY
I HAVE A DREAM…
I have a dream that one day this nation will never feel the need to cause fear and distress to a child’s heart – to make our planet earth shine with glory and light, not to thunderstorm over children’s emotions.
I have a dream that one day the atmosphere will stop needing to plead for help. That one day the need to echo for freedom will decay.
I have a dream that one day all of the girls and all of the boys will be able to laugh and cheer together as their worries diminish. The punches and kicks to the heart will be no more; that the fears bottled up will be released. I have a dream today.
I have a dream that bruises, bumps and lumps will rise up. That the cupboards and drawers all bottled up will be unleashed.
I have a dream that schools will stop being torture chambers for the ones who fear them. Walking over the doorstep will not be as dreadful as it seems.
With this faith, with this ambition, hurricanes attacking their hearts will never happen again. This will be the day when they realise their very own true identity.
FROM LITTLEMORE PARISH COUNCIL…
Littlemore Parish Council wish to thank the following staff: Brian Hartree and Richard Broadway (Maintenance Team) for the fantastic work they put in looking after the grounds; Judith Godsland (Editor) for an excellent & informative Littlemore Local; Richard Wilkins (Parish Clerk) who ensures the smooth running of the Parish Council; and Ken Barrett (Groundsman) who worked with the Parish for 14 years and who retired in September. Thank you, too, to all the Volunteers who deliver Littlemore Local six times a year, and to the Oxford Direct Services Team who keep Littlemore Clean. We also wish all residents of Littlemore a Happy Christmas and New Year.
Lynda Comber, Chair, Littlemore Parish Council
BARBERI CLUB NEWS
In December our lively group will take a minibus to Yarnton Garden Centre to see their Christmas goodies. We’re also looking forward to welcoming Emmanuel Christian School to one of our Wednesday morning meetings: they’ll perform their Nativity and sing Christmas carols. The musical director and the children put in so much effort that we are pleased to see them every year. We finish the Christmas festivities with a lunch at the De Vere Hotel. If you’d like to join us please contact me, firstname.lastname@example.org.
Teresa Prescott
2210 SQUADRON AIR CADET NEWS
It’s been a busy & rewarding time: our Cadet Flight Sergeant was appointed Lord Lieutenant’s Cadet for the year; to mark the centenary of the ending of World War One the squadron visited Ypres and a number of war cemeteries and battlefields; we participated in the Oxford Remembrance Day at St Giles, in the service at Christ Church Cathedral where our cadets were part of an Honour Guard, and in St Mary & St Nicholas Church where we laid a wreath. Cadets have pursued some of their own interests too: we have a small but growing group of modellers who visited the Abingdon Model Show; some of our cadets are now actively rifle shooting at weekends once a month; others have taken courses in first aid and in radio communications. If you are interested in joining us, from January we will be holding a new cadet intake session on the second Monday of each month. To register your interest please email me, email@example.com.
Flt Lt Nigel Furlong
LITTLEMORE LOCAL HISTORY SOCIETY
See our new selection of Littlemore Christmas cards on Sat 1st Dec at the Church Christmas Bazaar (see above left), &/or join our traditional New Year Local History walk* on Sat 5th January. The Society’s Annual General Meeting & report on 2018 activities will be on Weds 16th Jan at the Community Centre. Email me at firstname.lastname@example.org for more info, & for our 2019 programme (which is also in the online version of LL).
*Walk details: meet 10.30 am outside Littlemore Fish Bar. We will walk on pavement & footpath up to Aquith Road, then along paths to Littlemore & Cowley Rds & Van Diemans Lane. We will cut through to the old Airfield, cross to Sandy Lane West & Spring Lane, go on footpaths to skirt the Academy, then up to College Lane. We’ll finish at Littlemore Village Hall with coffee & light lunch. It is about 2 miles, and we welcome everyone for this free event.
Sue Stewart
EDITOR: JUDITH GODSLAND
PUBLISHED BY LITTLEMORE PARISH COUNCIL: FIND THE ONLINE EDITION AT www.littlemoreparishcouncil.gov.uk/parishcouncil
PRINTER: FINEPRINT
DID YOU ANSWER THE HEALTHWATCH QUESTIONNAIRE?
They came earlier in the year to hear our experiences of local health & social services, to help improve them. You can find their report (Focus on OX4) online. It says: people in Littlemore were concerned about lack of GP services for their existing population, particularly in the light of forthcoming additional housing on the edge of the community: ‘There are three churches here, but no doctor, so you have to pray.’ See: https://healthwatchoxfordshire.co.uk/wp-content/uploads/2018/05/16090_Healthwatch_OX4Brochure_Digital.pdf.
ONE FREE ENTRY for newcomers to Dance: JIVE+ with this paper: see listings in Online Issue of LITTLEMORE LOCAL.
USEFUL CONTACT DETAILS: You can find lots more information in the electronic version of LITTLEMORE LOCAL at various Littlemore Websites including those managed by the Parish Council (click the Parish Council Tab), the Village Hall (Littlemore Live), and The Oxford Academy. It isn’t an exhaustive list; please contact the editor if you’d like to add anything for next time.
• **Allotments**: see main listings pages in LITTLEMORE LOCAL online
• **Aerial, Parkour & Acrobatics**: UKCF® Oliver Ward, 03302 233 995
• **Air Cadets**: Flt Lt Nigel Furlong, 07880 738 920
• **Angling Society**: Alan Campbell, 07789 334 710
• **Army Cadets**: SSN Stanton, email@example.com
• **Barberi Club**: Teresa Prescott, 07749 386 218
• **BBOWT Conservation workgroups**: Andy Gunn, 01865 775 476
• **Bingo**: Katie Tutty, firstname.lastname@example.org.
• **Bowls (Indoor)**: Paula Fontaine, 01865 775 891
• **Brownies**: Maggie Willis, 07467 127 009
• **Childcare**: Littlemore Playgroup: Dawn Roberts, email@example.com
• **Childcare: The Old Station Nursery**: Sharon Griffiths, firstname.lastname@example.org
• **Church**: Blessed Dominic Barberi: Fr John Hancock, 01865 775 454
• **Church: Emmanuel Church Littlemore Connect Group**: Paul Billingham, email@example.com
• **Church: God & People Centre**: Pastor Jennifer Stone, 01865 434 569
• **Church: Littlemore Baptist Church**: Rev Andrew Bevan, 01865 514 374
• **Church: St Mary & St Nicholas**: Rev Margreet Armitstead, 01865 748 003
• **Coffee & Conversation @ Church**: Rev Margreet Armitstead (as above)
• **Coffee Shop @ The Village Hall**: Claire Drinkwater, 01865 718 880
• **Community Breakfast @ Church**: Rev Hannah Cartwright, 01865 719 780
• **Community Emergency Food Bank**: Andrew Bevan, 01865 514 374
• **Computing for the Over 50s**: Stella Dunn, 01865 774 561
• **Conservation**: BBOWT work parties: Andy Gunn, 01865 775 476
• **Dance for preschoolers: diddi dance**: Tatiana Savine, 07922 668 740
• **Dance for children**: Flair Dance: Kelly-jayne Poulter, 07798 842 123
• **Dance for 16+: Jive Plus**: Modern Jive: Coralee Green, 07767 360 854
• **Dance Inspires Pole Fitness Academy**: Nicola Ghalmi, 07909 974 256
• **Dogs**: Cotswold Boxer Club: Lesley Wearing, 01295 810 831
• **Dogs**: Isis Ringruffa: Sara Nixon, phone txt 07271 939 800
• **Driftway Country Music Club**: Kevin McCullagh, 01235 529 976
• **Football and Futsal (5-a-side) coaching (from OUFC) for girls & boys aged 4-13**: Lyndsey Loader, 01865 338 159
• **Free Gym @ TOA for over 50s**: Rosie Butler, 01865 774 211 x 2111 (9.5)
• **Hall for Hire: Indoor Bowls Club**: Paula Fontaine, 01865 775 891
• **Hall for Hire: Royal British Legion**: Katie Tutty, 01865 778 869
• **Hall for Hire: Littlemore Village Hall**: Maggie Willis, 07467 127 009
• **Halls for Hire: TOA + OX4**: OX4 Community Facilities, 01865 783 238
• **Karate**: Chris Wilmost, 07880 636 123
• **Kendo**: Rowena Dossell, 07711 285 730
• **Kickboxing and Karate**: Steve Simmons, 07803 482 633
• **Littlemore Library**: Sharon Ingram, 01865 714 309
• **Littlemore Local History Soc**: Sue Stewart, firstname.lastname@example.org
• **Lunch Club for Over 60s**: Rev Margreet Armitstead, 01865 748 003
HAVE YOUR SAY : OTHER LOCAL PUBLIC CONSULTATIONS
• Changes to junction between Oxford Rd and Newman Rd: https://consultations.oxfordshire.gov.uk/consult/ti/B4150MarshLaneImprove/consultationHome; closes Dec 7th.
• Changes to the Ward boundary: (this won't affect LL delivery or the Parish Council boundary) https://www.lgbce.org.uk/all-reviews/south-east/oxfordshire/oxford/: closes Dec 4th.
DID YOU KNOW WE HAVE A LOCAL BRASS BAND?
Jubilee Brass is in its busy season playing at events all over Oxford and afar. We are always after players to join us, & those who just want to play for an evening. Full events on our website: jubileebrazzoxfordband.com. Dave Clack
• **Men’s Breakfast**: Andrew Bevan, 01865 514 374
• **Move It - Don’t Lose It over 60s class**: Jane Read, 01865 749 206
• **Music: Community Orchestra**: www.cowleyorchestra.weebly.com
• **Music: Jubilate Band**: Rev Margreet Armitstead, 01865 748 003
• **Music: Jubilee Brass**: Cliff Sadler, email@example.com
• **Music: Oxford Village Band**: Dave Townsend, 01865 714 778
• **Neighbourhood Police**: Rose Hill Community Centre, Carole's Way, OX4 4HF (call 101, or if it's an emergency, call 999)
• **Open House**: Andrew Bevan, 01865 514 374
• **Parish Council: Clerk**: Richard Wilkins, 07377 682 216 (M-F 4-7pm) or firstname.lastname@example.org
• **Pilates**: Jane Callaway, email@example.com
• **Pop-Up Pilates**: Lauren McLeod, 07547 920 909
• **Reading Group @ Public Library at TOA**: Sharon Ingram, 01865 714 309
• **Reading Group, 'Reading Round':** Tim Peers 01865 552 605
• **Report Anti-Social Behaviour**: Contact the police on 101 or the Anti-Social Behaviour Investigation Team, firstname.lastname@example.org
• **Report Dog Fouling, Noise, Fly-tipping etc.**: email email@example.com or phone 01865 249 811
• **Report Needles, Sharps, Offensive graffiti**: phone Direct Services (Streetcene) on 01865 335 400
• **Restore Café & Shop**: Grace Ward, 01865 902 098
• **Rhythmic Gymnastics**: Zuzana Gergelova, 07866 846 273
• **Rose Hill Advice Centre**: 01865 438 634
• **Royal British Legion Club**: Katie Tutty 01865 778 869
• **Rugby training (Junior 6-18 yrs)**: John Perry, 07766 954 922
• **Rugby Training (Senior)**: Carl Wright, 07515 120 460 or Jason Chambers, 07796 607 647
• **School: Emmanuel Christian School**: (3-11) www.eschool.co.uk
• **School: John Henry Newman Academy**: (3-11) www.jhnacademy.co.uk
• **School: Mabel Prichard Secondary School**: (16+) www.mabelprichard.org
• **School: SAE Institute**: A partner Institute of Middlesex University: http://www.sae.edu/abr/campuses/oxford
• **School: St John Fisher Catholic Primary School**: http://www.st-john-fisher.oxon.sch.uk
• **School: The Oxford Academy**: (age 11-19) www.theoxfordacademy.org.uk
• **Slimming World**: Kate Bailey, 07941 959 035
• **Stay & Play @ JHN**: contact school reception 01865 772 495
• **Stay & Play: Little Chuggers**: Ruth Lloyd, 07376 831 038
• **Walking Group**: Rita Beavan, firstname.lastname@example.org
• **Whist @ the Indoor Bowls Club**: Paula Fontaine, 01865 775 891
• **Woodturners Club**: email@example.com, 07894 234 654
• **Yoga (Hatha)**: Elly Tiburcio, 07376 247 432
• **Youth Club**: Joseph Barrett, firstname.lastname@example.org
• **Youth Groups**: Beavers (age 6-8); Cubs (age 8-10½); Explorers (age 14-18) and Scouts (age 10½ - 14); see individual websites
• **Zumba**: over 15yrs: Steffani Herring-Hall; www.zumba-Steffi.co.uk
CHURCH NOTICES: Find regular services + full contact details in the online issue of Littlemore Local at the Parish Council website
GOD & PEOPLE CENTRE at Littlemore Community Centre:
*Sun 23rd Dec, 11.30am-1pm Christmas Service, followed by Christmas Dinner from 1.30-3.30pm. All are welcome: please book with me by 16th Dec! Rev Jenny Stone, 01865 434 569
BLESSED DOMINIC BARBERI RC CHURCH
*Sat 8th Dec, Christmas Bazaar: at 2pm with the usual stalls and attractions, including Father Christmas! *Sun 16th Dec, 11am Mass will include Christingles, & children singing the Christingle Carol. Christmas Mass times:* Mon 24th Dec, 4pm: Vigil Mass with carols & children placing the figures in the Crib. *11.30pm Carol singing in church *25th Dec, 12 midnight: Blessing the Crib + first Mass of Christmas *11am: Mass for Christmas Day. Weekday Mass times over Christmas & New Year are at the normal times, except New Year’s Day when Mass is at 10am. Confession times on Christmas Eve are: 12 noon—12.30pm, 5-6pm, 11.15-11.45pm. Rev John Hancock
EMMANUEL CHRISTIAN SCHOOL NEWS
Our Open Day is a chance for us to celebrate life & learning, and for prospective families to discover what we’re like. This time we went on a bear hunt: visitors navigated caves, grass, water, mud, forests, and snow, and in the process we all learnt more about the art of prehistoric man, the footprints of animals, and the symmetry of snowflakes. The centrepiece of the day was a performance of Michael Rosen’s We’re going on a Bear Hunt by the Drama Club, which meets with Mrs Felce each week: at the club children from Year 1 to 6 develop confidence as each finds their authentic voice. Lizzy Nesbitt, Principal
MABEL PRITCHARD SCHOOL NEWS
Sixteen MPS students had the experience of a lifetime putting on Romeo & Juliet as part of the Shakespeare Schools Festival: they staged their performance in a fully equipped theatre, with the support of professional actors. They worked as a team and grew in confidence & maturity. We received praise from strangers as well as friends. It was wonderful! The next day, students from MPS joined 500 others (half of whom had special needs) at the last night of the Music for Youth Proms at The Royal Albert Hall. Each was buddied up with an Oxfordshire County Music Service choir student who wanted to help others have equal opportunities. Their songs included In Caelum Fero, and This Is Me from the film The Greatest Showman. The relationships they formed were inspiring. We received the only standing ovation of the evening: it was an invaluable and joyful experience for all. Amanda Makoka & Emma Connell
THE OXFORD ACADEMY (TOA) NEWS
Are you a local business owner or manager, with some time to volunteer? TOA is looking for local professionals to get involved with our careers events calendar, helping students gain real experience, new contacts & confidence. There is no minimum commitment, and everything is optional: please email email@example.com. For news about our Duke of Edinburgh Award scheme and the recent Royal Visit see the online pages of Littlemore Local! To keep up to date with everything at TOA, please find us on twitter @TheOxfordAcad or Facebook www.facebook.com/TOA17. Rosie Butler
HOW TO AVOID COOKING FIRES
Did you know: 1 in 3 people rescued from Oxfordshire house fires are rescued from cooking fires? The main cause of such fires is distraction…the phone rings, someone’s at the door, or a TV show catches your attention. If you need to leave your cooking: turn down the heat, or set the timer, or ask someone to watch it for you. Find out more at: www.365alive.co.uk/cooking.
LITTLEMORE BAPTIST CHURCH
*Sun 16th Dec, 3pm at EKH: Corinthian Carol Service, with refreshments *Christmas Day there’s no meeting at EKH: please join us at John Bunyan Baptist Church at 10.30am. Andrew Bevan
ST MARY & ST NICHOLAS CHURCH
*Community Breakfast Mon & Weds 9-10am + every weekday in school holidays *Sat 1st Dec, 12.30pm Christmas Bazaar at the Village Hall: see front page. *Thurs 6th Dec, St Nicholas Lantern Festival starts 4pm at Community Centre, ends 5.30 in church. Bring a carrot or an apple for St Nicholas’ horse! Please let me know if you can help. *Sun 9th Dec, 5pm: Christingle Service *Tues 18th Dec, 7pm, Community Carol Service + mulled wine & mince pies; in church, for the whole community *24th Dec, *5pm Crib Service for the whole family *11pm Carol singing in church, followed by 11.30 Midnight Mass *Christmas Day 10am: Family Eucharist. Rev Margreet Armitstead 01865 748 003
COLD WEATHER HELP FROM OUR LOCAL POLICE
As it gets colder, your local Neighbourhood Police Team hopes to visit those who are most vulnerable. We did this last year when the snow was bad, making sure people had basic foods and heating. Do you know of anyone whom we should visit? If ‘yes’ please contact us (details on last page) and think too, about who in your community you might visit and help. Sgt Stephen Why, SE Ox Neighbourhood Police Team
HAVE YOU BEEN A VICTIM OF CRIME OR ABUSE?
Victims First provides free emotional and practical support to victims & witnesses of crime or abuse, and to victims’ families, whether or not the crime has been reported to the police. A Young Victims Service is available to those under 18. Services include telephone & face to face support; advocacy, including help contacting other services; support through the criminal justice system (for those who have reported the crime); counselling and/or referral to a specialist service for victims of sexual violence and domestic abuse. To speak to a Victims First Officer please call 0300 1234 148. Find more information or apply for support online at www.victims-first.org.uk. Sarah Stokes, Thames Valley Police
LITTLEMORE ORGANISATION FIGHTS EXPRESSWAY
Some readers will have seen ‘No Expressway’ signs up in Sandford. The Expressway is a major dual carriageway that the government is proposing between South Oxford & Cambridge: new roads would connect roads that already exist, and up to one million new homes would be built. The precise route is yet to be decided, but a corridor of land has been chosen. The Berks, Bucks and Oxon Wildlife Trust (BBOWT) whose HQ is in Littlemore, the River Thame Conservation Trust, Plantlife, the RSPB, and the Campaign to Protect Rural England (CPRE) are all concerned that the project will endanger large areas of wildlife habitat, and that this will negatively impact human life. BBOWT has launched a legal challenge arguing that the government should have made a proper assessment of the environmental impact before choosing land for the project. A public consultation is due next year. We welcome support from the public to fight this legal battle so wildlife habitats are not destroyed: contact me (below) or find out more about why BBOWT is concerned at https://www.bbowt.org.uk/wildlife/nature-matters/oxford-cambridge-expressway. Caroline Culver Media & Campaigns, BBOWT firstname.lastname@example.org
You can find more about this, and maps which show how close to Littlemore the Expressway will come in the online version of Littlemore Local at littlemoreparishcouncil.gov.uk/parishcouncil
WHY WILL THE OXFORD TO CAMBRIDGE EXPRESSWAY AFFECT LITTLEMORE?
Information and images\(^1\) are taken from a Government publication which you can find at:
http://assets.highwaysengland.co.uk/roads/road-projects/Oxford+to+Cambridge+expressway/Oxford+to+Cambridge+Expressway+Corridor+overview+booklet.pdf
Further publication in Littlemore Local does not mean that the editor, or the Parish Council support or endorse the views or the methods of the Government or of Highways England.
Traffic is already forecast to increase between 32% to 40% by 2035 and in the absence of transport improvements, congestion is expected to become worse.
As part of the government’s first Road Investment Strategy (RIS1), Highways England was asked to explore the case for a fast high-quality road link better to connect Oxford, Milton Keynes and Cambridge, to improve existing travel times and allow for a substantial increase in jobs and housing.
They concluded that there is the need for a new road… It will lie in a ‘corridor’ and will enable “transformational growth,” regeneration and redevelopment across the corridor. The changes are intended to fill a 30-mile gap in the road network between the M1 at Milton Keynes and the M40 at Oxford, and provide new capacity at Oxford to relieve pressure on the A34. It is hoped that the developments will bring up to 470,000 more people within commuting distance of the Oxford Science Park in Littlemore.
The area in which the road might lie stretches between Abingdon and Milton Keynes, and is broadly aligned with the proposed East West Rail route. The map below shows its boundaries: the road will pass either to the south-east or to the west of Oxford.
The study considered possible routes in the study area, leading to a shortlist of:
- Corridor A: via Aylesbury
- Corridor B: the East-West Rail corridor
- Corridor C: the existing A421 corridor
- A number of sub options around Oxford
In June 2017, these options were taken forward for further analysis by Highways England. Together with the sub options these were refined into seven corridor sub-options which have been individually assessed. The work over 2018 has focussed on the ability of each corridor option to deliver the government’s strategic objectives for the project.
The seven sub options were called A, B1, B2, B3, C1, C2 & C3. The research so far suggests to Highways England that Corridor B delivers better benefits for the region; outperforms both Corridor A and C in supporting strategic transformation and economic growth; and provides wider benefits such as better access to jobs, education, leisure and health services. The report says that Corridor B will also help the region plan for the future, reducing the effects of new housing on local roads, contributing to better safety whilst promoting sustainable transport modes. Therefore corridors A and C have been rejected.
Highways England says that work to date has allowed them to rule out one of the southern corridors around Oxford - B2 because, though it offers similar benefits, at a similar predicted cost to B3, the environmental impacts around the Horspath and Wheatley areas are substantially more difficult to overcome. There are also a number of significant constraints as the B2 corridor heads north towards Bicester across Otmoor Nature Reserve.
They have chosen two corridors B1 and B3 for further investigation. They are shown in the map below.
Highways England will work with their stakeholders to explore them further, and investigate in more detail the economic, environmental, traffic and cost impact of the possible options, but at the moment their view on the relative advantages of Corridors B1 and B2 can be summarised:
**Corridor B1**
- Offers the potential to use the existing highway infrastructure in a route to the west of Oxford
- Potential to minimise division of communities by a new or improved road
- Lowest predicted cost at this stage
- Broad alignment with East West Rail thus enabling multi-modal transport corridor
**Corridor B3**
- Fewer sites with environmental designations
- Broad area to identify a suitable route to the east of Oxford
- Potential to move traffic away from existing settlements
- Broad alignment with East West Rail thus enabling multi-modal transport corridor.
WHAT HAPPENS NEXT, and WHEN DO WE GET OUR SAY?
- The public will be consulted in 2019.
- The route will be announced in 2020.
- The road will be built after 2025 and opened in 2030.
\(^1\) Published in LITTLEMORE LOCAL through permissions allowed by Crown Copyright.
ROYAL VISIT TO THE OXFORD ACADEMY!
HRH The Earl of Wessex was recently given a short tour of The Oxford Academy. As part of a campaign to generate support for The Duke of Edinburgh’s Award charity, he visited and met TOA’s Duke of Edinburgh’s Award group, its Real Tennis Players, and other members of the Academy. Prince Edward saw some of the Academy’s sports facilities; he joined Year 7 Science students making slime (see photo); he spoke to students about their DofE experiences, and he spent the afternoon playing Real Tennis at Merton College with four TOA students and players from other local schools.
TOA Head Andy Hardy said: ‘We are extremely pleased to have been chosen to have such a prestigious visitor.’ TOA has recently relaunched its Duke of Edinburgh Award scheme, become a Licence Holder, and appointed a member of Staff (Mr Callaghan) to support students doing the scheme.
The DofE programme offers young people aged 14-24 a unique opportunity to grow as young adults, gain valuable life experience, and develop essential employability skills such as confidence, resilience and drive. The journey doesn’t end after achieving an Award: many continue volunteering, honing their new skills or improving their fitness. Please visit www.DofE.org for more about it.
WEBSITE FOR YOUNG PEOPLE
(run by Oxfordshire County Council)
www.oxme.info - health, life, earn, learn, news + events.
- info you need to keep fit, healthy and happy
- fun things to do, be social and keep safe
- info you need to keep learning and build your future
- ways to find an apprenticeship, work, or places to volunteer.
ROSE HILL ADVICE CENTRE...
... is an independent charity, grant-aided by Oxford City Council, which serves Rose Hill, Donnington & Littlemore. We offer free advice in confidence to all. Should the need arise, we will represent you in Courts of Law concerning debt, rent arrears, eviction or mortgage repossession.
Find us: *in the Community Centre, Carole’s Way, off Ashhurst Way, Rose Hill, OX4 4HF. *Tel: 01865 438 634.
*online at advicetoxford.org.uk *email: email@example.com.
We are open: *Mon 9.30am-12.30pm (drop-in) & 2-4pm (appointments only). *Tues: 9.30am-12.30pm (appointments only) & 2-4pm (*Weds 9.30am-12.30pm (drop-in)
*Thurs 9.30am-12.30pm (appointments only) & 2-4pm (drop-in).
To enable us to reach more people: *we’re at Edith Kempson House; Chapel Lane, Littlemore, OX4 4QB on the 3rd Thursday each month from 10.30-11.30am.
POLE DANCING AND BURLESQUE IN LITTLEMORE
From 6-9.30pm on 15th December, Dance Inspires Students, Tutors & supporting members will gather for a spectacular showcase of pole dancing & burlesque at The Oxford Academy, where they train. Established in 2006 as Oxford’s first and finest pole & aerial dance academy, Dance Inspires provides tuition to men & women of all ages & sizes. The Christmas Showcase, a way of providing students and friends with a safe, friendly platform to express their dance skills, is a regular ending to each year. The expert instructors who will also perform include Amy Furey, pictured below.
Nicola Ghalmi, Dance Inspires owner says: ‘It’s a joy organising this yearly event, and watching students and friends having fun preparing their routines and getting into the Christmas spirit. It’s also nice to see the support from students’ families and friends who come to watch. Pole isn’t a backstreet club antic anymore – it’s a public sport, and a way to get fit the fun way. It changes the lives of those that do it, and I am glad to see our local friends embrace what we do.’
Come and be wowed by the performances! It is a family event and all ages are welcome. Seating for the event is limited but available for order at https://www.eventbrite.co.uk/e/dance-inspires-christmas-showcase-tickets-49766101750.
Nicola Ghalmi
OXFORD SUMMER SCHOOL PLUS
SPRING ART & CRAFT WORKSHOPS AT TOA
9.30am-4pm, 2nd & 3rd March 2019 at The Oxford Academy.
Book early to avoid disappointment!
Taught by talented artists, a variety of courses including:
- Eco Print Dyeing with Sue Pearl: this is a fascinating way to print on fabric using real flowers and leaves.
- Silver Jewellery with Pauline Payne, giving you the chance to create your own piece of wearable art.
- Folded Secrets Keepsake Books Inspired by a Chinese Folk Art Tradition with Ruth Smith: construct & decorate your own unique keepsake book.
- Birds and Beautiful Creatures with Jenny O’Leary: create realistic or fantastic creatures to transform into pieces of art using batik (hot wax resist) on tissue and on fabric.
- Portrait Painting in Oils using Impasto/Knife with Mark Fennell: paint bold expressive portraits with painting knives using a variety of textural effects.
- Creating with Colour – A Bead Weaving Adventure with Stephanie Burnham (see below): create a colourful piece of jewellery using Miyuki Delica beads & Peyote stitch.
For more information about Summer School+, and to book please visit www.oxfordsummerschool.com or email me, firstname.lastname@example.org. Gemma Wheeler
PARISH COUNCIL: CONTACT DETAILS
- **Clerk:** Richard Wilkins
To arrange a meeting please phone him between 4 & 7pm, Monday to Friday on **07377 682 216**. You can email him and the Parish Council at email@example.com, or you can write to them at The Oxford Academy, Sandy Lane West, Littlemore, Oxford OX4 6JZ. Richard will try to answer all queries within 7 days but please note that those requiring Parish Council discussion, decision and/or approval will always be referred to the next full Parish Council meeting.
- **Individual LPC Member’s contact details**
- Lynda Comber (Chair) 07493 211 139
firstname.lastname@example.org
- Macer Wicker (Vice Chair) 07885 779 011 or email@example.com
- Susan Stewart (Planning) 01865 711 332, firstname.lastname@example.org
- Gill Sanders (County Council rep.) 01865 761 856 email@example.com
- John Tanner (City Council rep.) 01865 251 441, 32 Sunningwell Road, OX1 4SX firstname.lastname@example.org
- Michael Evans 07713 842 877, email@example.com
- Anita Fisher 07934 852841 firstname.lastname@example.org
- Mashhuda Glencross 07799 694 122, email@example.com
- David Henwood 07824 462 002, firstname.lastname@example.org
- Matthew Hutton email@example.com
- Tina Hill firstname.lastname@example.org
- Kim Wicker 07713 055 316, email@example.com
- Maggie Willis firstname.lastname@example.org
- Dorian Hancock 07868 020 036, email@example.com
- **We welcome two newly co-opted Parish Councillors,** Cllr Tiago Corais and Cllr Margaret Wareing. Their individual contact details will be posted later.
LOCAL HALLS FOR HIRE: + CONTACT DETAILS
**LITTLEMORE VILLAGE HALL:** Hall with small kitchen at Railway Lane, Littlemore, OX4 4PY; see [www.littlemorelive.moonfruit.com](http://www.littlemorelive.moonfruit.com). Contact Maggie Willis 07467 127 009, firstname.lastname@example.org.
**ROYAL BRITISH LEGION LITTLEMORE:** Function rooms, Games room and Bar at Lakefield Road, Littlemore, OX4 4LZ; see [www.littlemorebritishlegion.co.uk](http://www.littlemorebritishlegion.co.uk). Contact Katie Tutty 01865 778 869 or email@example.com
**THE OXFORD ACADEMY:** Beecroft Theatre, Bistro Hall, Events Room, Sports Hall, 3G Full size floodlit pitch (**NEW!**), 3G Dome, Astroturf pitches, Grass pitches, Dance Studio, Fitness Suite, Drama studio and Classrooms: at TOA, Sandy Lane West, Littlemore, OX4 6JZ. Contact OX4 Community Facilities: firstname.lastname@example.org, or 01865 783 238.
**OXFORD & DISTRICT INDOOR BOWLS CLUB**, Conference & Board Rooms, Bar, Kitchen: at Sandy Lane West, Littlemore, OX4 6NA: see [www.oxbowls.co.uk](http://www.oxbowls.co.uk). Contact Paula Fontaine 01865 775 891 or email@example.com.
---
**PARISH COUNCIL MEETINGS: DATES FOR 2019**
| FULL PARISH COUNCIL MEETING | FINANCE COMMITTEE MEETING | PLANNING COMMITTEE MEETING |
|-----------------------------|----------------------------|----------------------------|
| Tuesdays: 7-9pm at The Oxford Academy | Mondays: 7pm Edith Kempson House | Mondays: 7.45pm Edith Kempson House |
| Jan 8th | Jan 28th | Jan 28th |
| Feb 12th | Feb 25th | Feb 25th |
| March 12th | Mar 25th | Mar 25th |
| April 9th | April 29th | April 29th |
| May 14th | May 20th | May 20th |
| June 11th | June 24th | June 24th |
| July 9th | July 29th | July 29th |
| Aug 13th | Aug 19th | Aug 19th |
| Sept 10th | Sept 30th | Sept 30th |
| Oct 8th | Oct 28th | Oct 28th |
| Nov 12th | Nov 25th | Nov 25th |
| Dec 10th | Dec 16th | Dec 16th |
PLEASE NOTE: Parish Council meetings are open to the public to attend, but are not public meetings. Meetings are held for the Council to conduct its business in an atmosphere conducive to working: members of the public are permitted to attend to watch and listen to proceedings. Residents are allowed to speak or contribute at the start of the meeting by prior arrangement with the Clerk.
---
NEIGHBOURHOOD WATCH: CONTACT NUMBERS
**NEIGHBOURHOOD POLICE**
Rose Hill Community Centre, Carole’s Way, Oxford OX4 4HF Ring 101 for non emergency calls, or 999 for emergencies, or mail firstname.lastname@example.org.
Follow us on:
Twitter – ‘TVP Oxford’ or Facebook – ‘Thames Valley Police’ [www.thamesvalleyaleraut.co.uk](http://www.thamesvalleyaleraut.co.uk)
To report DOG FOULING, NOISE, FLY-TIPPING etc, Contact the Community Response Team, Oxford City Council, St Aldate’s Chambers, Oxford, OX1 1DS report by email at email@example.com or telephone 01865 249 811.
To report ANTI-SOCIAL BEHAVIOUR contact the police or the Anti-Social Behaviour Investigation Team, Oxford City Council, St Aldate’s Chambers, St Aldate’s, Oxford, OX1 1DS email: firstname.lastname@example.org Phone: 01865 249 811.
To report NEEDLES AND SHARPS, OFFENSIVE GRAFFITI or graffiti on public buildings, council properties and in parks, cemeteries and bus shelters: report online at [https://www.oxford.gov.uk/info/20095/do_it_online](https://www.oxford.gov.uk/info/20095/do_it_online) or telephone Direct Services (StreetScene) on 01865 335 400 (they’ll give advice about graffiti on private property, too).
Two lovely part-time jobs close to home
Help to make Sandford an even better community
Meet interesting people
Get to know your neighbours
Enjoy variety – no two days alike
Sandford Village Hall is a resource for local community benefit. It provides rooms for hire to local people at affordable rates; a space for services and activities open to local people; and rooms for commercial hire by local businesses.
Sandford Village Hall Manager
The Hall Manager’s job involves working with hirers to meet their needs and give them a positive experience of the job well, you need to enjoy meeting people and working with them. You will play a key role in the running and administration of the hall, managing enquiries and room bookings, overseeing the Hall Caretaker, and liaising with the staff and volunteers of Talking Shop.
It is important that the Hall delivers a range of services accessible to and suitable for people from all groups within the community, while also covering its costs through hire fees. The Manager is the outward-facing representative of the Hall, playing a key role in ensuring that all hirers feel welcome and valued. Working with the Management Committee, you will help to market the Hall by raising its profile and broadening the range of hirers and users by offering a variety of services.
Part-time - around 15 hours per week.
Sandford Village Hall Caretaker
The Caretaker plays a key role in the day-to-day smooth running of the Hall, working closely with the Hall Manager and the staff and volunteers of Talking Shop.
You will carry out a variety of practical tasks including ensuring that the hall and grounds are kept in a safe and attractive state to give them a professional appearance. You will open and close the village hall for each of the regular hirers as required during the week and at weekends. Regular hirers of the Hall have their own keys and do not need this service.
The hours worked will be flexible depending on the hirers from week to week, and should be 4 hours per week on average, and no more than 7.
The Hall Manager and Caretaker cover for each other when necessary.
For further details of either or both jobs, please email: email@example.com , call 07986 975 969 or ask in Talking Shop.
WHAT’S ON: CLUBS, SOCIETIES, CLASSES
DECEMBER 2018 AND JANUARY 2019
KEY: LOCATIONS IN LITTLEMORE
ACF Army Cadet Force Building, OX4 6LD
ATC Air Cadet Building, OX4 6LD
BDB Blessed Dominic Barberi Hall, OX4 4JX
EKH Edith Kempson House, OX4 4QB
HCR Herschel Crescent Recreation Ground, OX4 3TU
IBC Indoor Bowls Club, OX4 6NA
JHN John Henry Newman Academy, OX4 4LS
LCC Littlemore Community Centre, OX4 4PL
LRC Littlemore Rugby Club, OX4 4NH
LVH Littlemore Village Hall, OX4 4PY
RBL Royal British Legion Hall, OX4 4LZ
RHC Rose Hill Community Centre, OX4 4HF
SHQ Scout HQ, Fairlie Road, OX4 3SW
SJF St. John Fisher School, OX4 6LD
SM+SN St Mary and St Nicholas Church, near OX4 4PB
TOA The Oxford Academy, OX4 6JZ
• Advice Centre (Rose Hill & Donnington): local sessions:
EKH: 3rd Thurs of month: 10.30-11.30am: see Open House
• Aerial, Parkour & Acrobatics: UKCF Academy*: TOA: a parkour park + tumble track, ropes, trapezes, silks, hoops, handstand canes & more. Sundays: *10.30am-6pm: age 7-17 years *6-8pm: 18+ Pre-book only via www.ukcfacademy.co.uk, 03302 233 995 Oliver Ward
• Air Cadets: ATC: Mondays and Wednesdays 7.15-9.30 pm: Flt Lt Nigel Furlong 07880 738 920, firstname.lastname@example.org, or www.aircadets.tv/2210
• Allotments at the following sites are available to all Littlemore residents: *Thompson Terrace *Minchery Farm (see City Council website) *Elder Stubbs (see Restore website) and *Denny Gardens (see www.odfaa.com/members/contact)
• Angling Society: club waters at Sandford: Alan Campbell, email@example.com, 07789 334 710 or 01865 964 126, www.littlemoreanglingsociety.co.uk
• Army Cadets: ACF: Thursdays 7.15-9.30pm for young people age 12 (and in year 8) to 18: SSI N Stanton, firstname.lastname@example.org, www.armycadets.com/county/oxfordshire-acf
• Barberi Club: BDB: Wednesdays 10-12-ish: talks, games, visits, refreshments: all ages are welcome: Teresa Prescott 07749 386 218, email@example.com
• Bingo: RBL: 1st & 3rd Friday of every month, doors open 7pm for 8: contact Katie Tutty firstname.lastname@example.org
• Bowls (Indoor): IBC: Contact Paula Fontaine 01865 775 891, www.oxbowls.co.uk, email@example.com
• Brownies (girls 7-10 yrs): we now meet Friday 6-7.30pm with East Oxford Brownies at St Albans Church Hall, Charles Street, OX4 3AH. Call Maggie Willis on 07467 127 009.
• Childcare: Littlemore Playgroup: LCC: 9-12noon M-F: term-times: Dawn Roberts firstname.lastname@example.org or 01865 396 449 when open
• Childcare: The Old Station Nursery: Oxford Science Park, children aged 3-months-5-years: open all year. Please contact Sharon Griffiths: email@example.com or 01865 777 167
• Coffee & Conversation: SM+SN: 11.15am-12noon every Sunday. Rev Margreet Armitstead 01865 748 003 firstname.lastname@example.org, or www.littlemorechurch.org
**Join Us for Festive Fun**
**John Henry Newman Academy PTA Christmas Fayre**
*Wednesday 5th December 2018, 5-7.30pm*
*Santa’s Grotto * Raffle & £100 Prize Draw *
*Christmas Market * Refreshments * Fun & Games *
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**A Village Christmas**
**Carols & Festive Music**
West Gallery Carols from OXFORDSHIRE HARMONY
Village Tunes & Songs from THE OXFORD VILLAGE BAND
Thursday 6th December at 7.30 pm
Rose Hill Methodist Church
Rose Hill, OXFORD, OX4 4JP
£10.00 (includes refreshments)
£8.00 concessions (Under 18, over 65, student or unwaged)
All proceeds to Helen & Douglas House Children's Hospice
01865 714 778 or email@example.com
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- **Coffee Shop:** LVH: 10am-1.30: 1st Saturday of month: coffee, chat, stalls, light lunches: Claire Drinkwater, 01865 718 580
- **Community Breakfast:** SM&SN: Mon & Wed, 9-10am +every weekday during school holidays: contact Revd Hannah Cartwright: 07885 719 780, firstname.lastname@example.org
- **Computing for the Over 50s:** LCC: Fridays 10-12noon: term times+extra flexible dates: Stella Dunn 01865 774 561, email@example.com
- **Conservation: work parties at local nature reserves:** Friendly groups do practical conservation every week. Berks, Bucks & Oxon Wildlife Trust, 1 Armstrong Rd, Littlemore OX4 4XT. Andy Gunn 01865 775 476, firstname.lastname@example.org
- **Cotswold Boxer Club:** LVH: 7.30-10pm: 3rd Thursday of month: Show-training for Boxer Dogs, handlers & judges: Lesley Wearing 01295 810 831, email@example.com
- **Dance (diddi dance@):** for preschool girls & boys (+carer): LCC: Thurs 10-10.45am: see www.diddidance.com: contact Tatiana Savine 07922 668 740 or firstname.lastname@example.org
- **Dance (Jive+: Modern Jive) for 16+:** all abilities: TOA: Thurs 7.45pm for 8.00–10.40pm + some weekend social events. Ladies specially welcome as we have more men: Coralie Green 07767 360 854, www.jiveplus.com
- **Dance Inspires Pole Fitness Academy:** TOA: *Beginners pole lessons Mon 7pm & 8pm, Thurs 7pm & Sun 2pm. Intermediate & advanced classes also available. Private pole tuition, & parties on request. Nicola Ghalmi 07909974256 email@example.com, www.danceinspires.co.uk
- **Driftway Country Music Club:** RBL: Live music+dance: Alternate Sundays 7.45–10.45pm: Kevin McCullagh 01235 529 976
- **Flair Dance Studio:** for children of all ability TOA: *Mini Movers (4-7yrs) Tuesdays 4.45pm & Saturdays 10.15am *Juniors (8-12yrs) Tuesdays 5.30pm *Seniors (12years +) Tuesdays 6.30pm *Gymnastics (5yrs +) Saturdays 9am Kelly-jayne Poullter 07798 842 123 www.flairdancestudio.co.uk
- **Football Coaching for girls & boys age 4-13 years:** TOA 3G Dome: offered by Oxford United in the Community: please visit www.officialsoccerschools.co.uk/oxfordunited or contact Lyndsey Loader, 01865 338 159 for more detail
- **Futsal Coaching (5-a-side football) for boys & girls 4-12 years:** TOA: Offered by Oxford United in The Community: Weds 5.30-6.30please visit www.officialsoccerschools.co.uk/oxfordunited or contact Lyndsey Loader, 01865 338 159 for more detail
- **Gym: FREE Sessions (over 50s):** TOA: Sat & Sun 9-11am. To book your induction call Rosie Butler 01865 774 211 ext 2111 (daytime) or OX4 on 01865 783 238 (eves and w/e) or email firstname.lastname@example.org
- **Isis Ringcraft:** LVH: Show Training for Pedigree Dogs + Handlers: Classes at least once a month on Tues evenings: please check with Sara Nixon by phone txt for dates: 07721 939 800
- **Karate:** JHN: *age 4-6yrs Thursdays 3.30-4pm *age 7-14yrs Thursdays 4-5pm. Chris Wilmott, 07880 636 123 or email@example.com
- **Kendo:** TOA: (Japanese samurai 'sword' fighting with bamboo shinai & wood bokken): Saturdays 2.30-4.30pm for boys+girls, men+women age 4yrs to 60+. Rowena Dossett: Oxford City Kendo Club 07711 285 730, firstname.lastname@example.org, or www.oxfordkendo.com
- **Kickboxing and Karate:** LCC: Tuesdays + Fridays 6.15-7.15pm: for boys+girls, men+women age 4yrs to 40+, Steve Simmons: 07803 482 633
• **Littlemore Library**: public library on TOA campus: open to all. *Open Monday: 2-6pm | Tuesday: 2-4.30pm | Weds: Closed | Thurs: 9.30am-12.30pm + 2pm-4.30pm | Friday: 9.30am-12.30pm | Saturday: 9.30am-1.30pm. Manager: Sharon Ingram: email@example.com. See www.oxfordshire.gov.uk/cms/content/littlemore-library
• **Littlemore Local History Society**: LCC except in summer when we take walks: 7 for 7.30pm 3rd Wednesday of month: talks+summer walks & occasional special walks. Sue Stewart firstname.lastname@example.org
• **Lunch Club for Over 60s**: George Pub: Second Friday most months: 12-2pm; Rev Margreet Armitstead 01865 749 003 or email@example.com
• **Men’s Breakfast**: EKH: 9-10am: 2nd Sat of month: Andrew Bevan: 01865 514 374
• **Move It - Don’t Lose It**: LVH: Thursdays 10-11am: lively exercise for over 60s and those unable to stand: Jane Read 01865 749 206
• **Music: Community Orchestra**: TOA: Weds 7-9pm term times. New members always welcome – no auditions, we just play for fun! See www.cowleyorchestra.weebly.com
• **Music: Jubilate Band**: SM+SN: plays in the monthly Sunday morning Jubilate Church Service: Rev Margreet Armitstead 01865 748 003, firstname.lastname@example.org or www.littlemorechurch.org
• **Music: Jubilee Brass**: our local brass band: light & traditional music. Available for fêtes, concerts/carols, etc: full band or small group as required. New members always very welcome. Cliff Sadler: email@example.com
• **Music: Oxford Village Band**: LVH: Weds 8-9.30pm termly (for over 16s). Traditional Music in Harmony: Dave Townsend 01865 714 778
• **Open House**: EKH: Thursdays 10-11.30am: free coffee, & chat: an advisor from Rose Hill Advice Centre is present 10.30-11.30 on 3rd Thurs: Andrew Bevan: 01865 514 374
• **Pilates**: classes & 1:1 sessions in and around Littlemore: Jane Callaway, Physiotherapist: firstname.lastname@example.org
• **Pop-Up Pilates**: LVH: Wednesdays at *5.30pm & at *6.30pm: Lauren McLeod 07547 920 909, email@example.com or see www.pop-up-pilates.com
• **Reading Group**: Public Library at TOA: Thursdays 10.30-11.30:ish: currently full: contact Sharon Ingram 01865 714 309
• **Reading Round**: TOA: Weds 6.15-7.45pm: explore stories & poems for sheer enjoyment: a reading group with a difference: Tim Pears 01865 552 605 firstname.lastname@example.org
• **Restore Café & Shop**: Sandford Road: Open M-F 10-2.30 (café closes at 1.30). Mental Health Charitable Organisation. Find us on Facebook or at www.restore.org.uk. For more about our service contact: Grace Ward 01865 902 098 or email@example.com
• **Rhythmic Gymnastics**: TOA: *Preschoolers Sat 9-4.54am, 9-10am & 9.45-10.45am, Tue 5-6pm & 6-7pm, Fri 5-6pm & 6-7pm, *Advanced Tue 5-7pm & Friday 5-7pm: contact Zuzana Gergelova: firstname.lastname@example.org, 07866 846 273, or www.oxfordgymnastics.co.uk
• **Rugby Training (Senior)**: LRC: Tues + Thurs: arrive 7pm for 7.15-9pm session: all abilities welcome: contact Carl Wright 07515 120 460, email@example.com or Jason Chambers firstname.lastname@example.org 07796 607 740
• **Rugby training (Junior 6-18 yrs, all abilities welcome)**: LRC: at the Oxford Academy: please enter via the Northfield Close gate and turn right immediately: Sundays: arrive 9.45am for 10-11.30am session: John Perry 07766 954 922 email@example.com
• **Slimming World**: BDB: Thursdays 5pm and 7pm: dietary advice + support: Kate Bailey: 07941 959 035
• **Stay & Play: Little Chuggers**: LVH: Fridays (term times) 9.30-11.30am. Stay & Play for 0-4 year olds and their parents/carers. Minimum contribution: £1.50. Ruth Lloyd. 07736 831 038, firstname.lastname@example.org
• **Stay & Play: Soft Play for Children** (birth to 3 yrs) & their carers: JHN: Thurs, term times, 9-10am; just turn up: usually run by JHN sports coach staff: contact school reception 01865 772 495
• **Walking Group**: a monthly Friday ½-day walk, with a pub (or other) lunch: Rita Bevan: email@example.com or 01865 514 374
• **Whist**: IBC: 7-9pm: Thursdays: non-members welcome: Paula Fontaine: 01865 775 891, www.oxbowls.co.uk
• **Woodturners Club**: LVH: 7.30-10pm: 2nd Thursday of the month, for turners of all abilities & knowledge: come for demonstrations by well-known turners or for hands-on experience at the lathe: for more contact the secretary: firstname.lastname@example.org, 07894 234 654
• **Yoga (Hatha)**: LCC: Mixed abilities: Thursdays 6-7pm (takes a break Dec 27th & Jan 3rd): All welcome. New Thursday Over 50s class starts 10th January: Thursdays 10:30-11:30am. Please bring your own mat, & a pillow and strap/belt for support. Contact Elly Tiburcio 07376 247 432 or email@example.com.
• **Youth Club**: ages 11-19 yrs: LCC: Wednesday's 5-7pm: contact Joseph Barrett: firstname.lastname@example.org
• **Youth Groups**: Beavers (age 6-8): Cubs (age 8-10½ ): Explorers (age 14-18) and Scouts (age 10½-14): SHQ: various nights. Please see their individual websites for details.
• **Zumba**: over 15yrs of age and all abilities welcome: TOA: Mon 7-8pm & Weds 7.45-8.45pm: Steffani Herring-Hall: www.zumba-Steffi.co.uk.
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This isn’t an exhaustive list of what’s on in our community, it’s just that not everyone communicates with me!
If you know of anyone who’d like to be listed, please let them know about me.
There’s no charge for these listings:
all I ask is that group organisers check them every 2 months & give me permission to publish. That way everyone knows that they are up to date.
Please contact email@example.com. Thank you!
LITTLEMORE SCHOOLS AND COLLEGES
EMMANUEL CHRISTIAN SCHOOL
Sandford Road, Littlemore, Oxford, OX4 4PU
A registered charity under the number 900505.
- Telephone: 01865 395 236
- Email: firstname.lastname@example.org
- Web: http://www.ecschool.co.uk
Emmanuel Christian School offers education from 3 - 11 in a beautiful site on Sandford Road in Littlemore. Open Days are held each term. Please phone (as above) for more information.
JOHN HENRY NEWMAN ACADEMY
Grange Road, Littlemore, Oxford, OX4 4LS
A two-form entry school for children aged between 3 and 11. A church school underpinned by its strong Christian ethos, it embraces the diversity of the community of Littlemore.
- Telephone: 01865 772 495
- Email: email@example.com
- Web: http://www.jhacademy.co.uk/
THE OXFORD ACADEMY
Sandy Lane West, Littlemore, Oxford, OX4 6JZ
- Telephone: 01865 774 311 (Jeanette Booth)
- Email: firstname.lastname@example.org
- Web: http://www.thetheoxfordacademy.org.uk
An 11-19 mixed Academy educating children of all faiths and none. Facilities include a theatre, a music technology suite, dance studio, rehearsal rooms, a gym & sports halls.
ST JOHN FISHER CATHOLIC PRIMARY SCHOOL
Sandy Lane West, Littlemore, Oxford, OX4 6LD
- Telephone: 01865 779 676
- Email: email@example.com
- Web: http://www.st-john-fisher.oxon.sch.uk
St John Fisher is a one-form entry Catholic Primary School. It is part of the Dominic Barberi Multi Academy which works to enhance provision for Catholic education.
MABEL PRICHARD UPPER SCHOOL
Sandy Lane West, Littlemore, OX4 6JZ
- Telephone 01865 777 878
- Fax 01865 775 218
- Web: http://www.mabel-prichard.oxon.sch.uk
An Oxfordshire Local Authority School on two local sites (in Blackbird Leys and in Littlemore). A day special school for children aged 2 to 19 with severe, profound and complex learning difficulties. Its catchment area is the City of Oxford.
SAE INSTITUTE: A partner institute of Middlesex University.
Littlemore Park, Armstrong Road, OX4 4FY
- Telephone: 01865 787 150
- Email: firstname.lastname@example.org
- Web: http://www.sae.edu/gbr/campuses/oxford
SAE offers degree level creative media courses including Audio & Digital film production, Animation, and Web Development. Applicants need 72 UCAS tariff points at A level (or equivalent). For applications from mature students, SAE also considers work and life experience.
COMMUNITY EMERGENCY FOOD BANK
If for any reason you are short of food (for example delay in benefits; loss of hours at work; illness; financial or other emergency) your doctor, midwife, or health visitor, a minister, social worker, advice worker or other professional in the community will be able to give you a blue form to collect food from Edith Kempson House, Chapel Lane, OX4 4QB during Open House on Thursday mornings between 10 and 11.30, or from St Francis Church, 226 Holloway Way, OX3 7JF on Tuesdays and Fridays between 12 noon and 2pm. A basic range of food is provided, to cover a few days, the quantity depending on the size of your household. Andrew Bevan, 01865 514 374 or 07799 532 177, email@example.com
SUPPORT SERVICES AND HELPLINES
Numbers accurate as of MARCH 2018
SEEKING HELP IN OXFORD?
- Oxford City Council and Oxfordshire County Council can help you with all issues relating to local government & services.
- Oxford City Council also has local Customer Service Centres where you can drop in and ask about housing, council tax, benefits, etc.
- Oxford County Council’s Health and Social Care webpages are particularly useful if you are looking for a support organisation locally.
- Oxford’s What’s On: Daily Info at www.dailyinfo.co.uk/oxford/help-organisations carries contact details for local resources covering the following areas of need:
- Advocacy Services
- Al-Anon & Alateen
- Alcoholics Anonymous
- Alixcare Home Shopping Service
- Alzheimer’s / Dementia / early onset dementia
- Aphasia: (communication difficulties following a stroke or head injury)
- Asian Women’s Helpline
- Benefits Advice
- Breastfeeding: Oxford Baby Cafés Group
- British Red Cross
- Cancer, Older People and Advocacy - Care Act Advocacy
- Care Agencies (private)
- Childcare Information
- Children’s Play Development
- The Clive Project (Early onset dementia support)
- The Community Health Council (Independent body helping patients with complaints)
- Contented Dementia Trust
- Counselling
- Cruse - Bereavement Care
- Drug and Alcohol treatment services
- Families Need Fathers
- Female Genital Mutilation: advice and specialist treatment
- Health Information Service
- Homelessness / Night Shelter
- Humanist Funeral Services
- KEEN (Kids Enjoy Exercise Now)
- Mediation Services
- Mental health services
- NHS Direct: Nurse-led 24hr helpline.
- Oxford Friend: Lesbian and Gay Helpline
- Oxford Sexual Abuse and Rape Crisis Centre
- Oxfordshire Befriending Network
- Oxfordshire Credit Union
- Oxfordshire Family Information Service
- Oxfordshire Women’s Aid.
- The Owl Therapy Centre for children aged 0 - 18
- Racism
- Relate
- Ricability (advice for the elderly / disabled)
- The RSPCA
- The Samaritans
NATIONAL HELPLINES
These can also often direct you to local services:
Abuse (children)
*NSPCC: www.nspcc.org.uk Children’s charity dedicated to ending child abuse and child cruelty: CHILDLINE: 24-hour helpline for children: 0800 1111... 24-hour helpline for adults concerned about a child: 08088 005 000.
Abuse (domestic violence)
*Do you feel you might be an abuser? There is help and advice available from Respect: 0800 802 4040.
*Reducing the risk: 0808 2000 247 (24hrs): Oxfordshire charity dedicated to ensuring the safety and wellbeing of women, men and children at risk through domestic abuse: www.reducingtherisk.org.uk
*Refuge: 0808 2000 247 (24hrs): www.refuge.org.uk
*Action On Elder Abuse: 0808 80 88 141
*Men's Advice Line: (M-F, 9-5) for men suffering domestic abuse: 0808 80 10 327
Addiction (drugs, alcohol, gambling)
*Alcoholics Anonymous: 24-hour helpline 08009 177 650: www.alcoholics-anonymous.org.uk
*Gamblers Anonymous: www.gamblersanonymous.org.uk
*Narcotics Anonymous: 0300 999 1212 (daily until midnight): www.ukna.org.uk
Alzheimer’s
*Alzheimer’s Society: provides information on dementia, including factsheets and helplines: 0300 222 1122: www.alzheimers.org.uk
Bereavement
*Cruse Bereavement Care: 0808 808 1677 (Mon-Fri, 9.30am-5pm): www.crusebereavementcare.org.uk
Crime victims
*Rape Crisis: 08088 029 999 (daily, 12-2.30pm, 7.9-30pm): www.rapecrisis.org.uk
*Victim Support: 08081 689 111 (24/7): www.victimsupport.org
Deafness:
*Deaf Direct: Supporting deaf & hard of hearing people in Herefordshire, Oxfordshire and Worcestershire: 01905 746301 www.deafdirect.org.uk
Eating disorders
*Beat: 0808 801 0677 (adults) or 0808 801 0711 (for under-18s) both 3pm-10pm daily: www.b-eat.co.uk
HIV/AIDS
*Terrence Higgins Trust: Information, advice and support: 0808 802 1221: www.tht.org.uk
Learning disabilities
*Mencap: Charity working with people with a learning disability, their families and carers: 0808 808 1111 (Mon-Fri, 9am-5pm): www.mencap.org.uk
Mental health
*Anxiety UK: Charity providing support if you’ve been diagnosed with an anxiety condition. Phone: 08444 775 774 or 03332 125 820 (Mon-Fri, 9.30am-5.30pm): www.anxietyuk.org.uk
*Bipolar UK: A charity helping people living with manic depression or bipolar disorder: 03333 233 880 (local rate): www.bipolaruk.org
*CALM: Campaign Against Living Miserably, for men aged 15-35: 0800 58 58 58 (5pm-midnight): www.thecalmzone.net
*Depression Alliance: a network of self-help groups: www.depressionalliance.org
*Men’s Health Forum: 24/7 stress support for men by text, chat and email: www.menshealthforum.org.uk
*Mental Health Foundation: information and support for anyone with mental health problems or learning disabilities: www.mentalhealth.org.uk
*Mind: Promotes the views and needs of people with mental health problems: has three helplines: @illness and help 03001 233 393 (Mon-Fri, 9am-6pm); @mental health law 03004 666 463 (9-6, M-F); and for staff, volunteers and carers 03003 035 999 (Mon-Fri, 9am-6pm): www.mind.org.uk
*No Panic: charity offering support for sufferers of panic attacks and OCD. Offers a course to help overcome your phobia/OCD. Includes helplines: for adults 08449 674 848 (10am-10pm daily): & for 13-20 year olds 03306 061 174 (for times see website): www.nopanic.org.uk
*OCD Action: for people with obsessive compulsive disorder. Includes information on treatment and online resources: 0845 390 6232 (Mon-Fri, 9.30am-5pm): www.ocdaction.org.uk
*OCD UK: charity run by people with OCD, for people with OCD. Includes facts, news and treatments: 03332 127 890 (Mon-Fri, 10am-4pm): www.ocduk.org
*PAPYRUS: Young suicide prevention society: 08000 684 141 (10am-10pm Weekdays, 2pm-10pm weekends, 2-5pm Bank Hols): www.papyrus-uk.org
*Rethink Mental Illness: support and advice for people living with mental illness: 03005 000 927 (Mon-Fri, 9.30am-4pm): www.rethink.org
*Samaritans: email firstname.lastname@example.org or freephone 116 123 from anywhere in UK, 24 hours a day, 365 days a year. You don’t have to be suicidal to call us.
*SANE: Emotional support, information and guidance for people affected by mental illness, their families and carers: 03003 047 000 (daily, 4.30-10.30pm): www.sane.org.uk/support
*YoungMinds: Information on child and adolescent mental health. Services for parents and professionals. Parents’ helpline 08088 025 544 (Mon-Fri, 9.30am-4pm): www.youngminds.org.uk
Parenting
*Family Lives: Advice on all aspects of parenting including dealing with bullying: 0808 800 2222 (Mon-Fri, 9am-9pm. Sat-Sun, 10am-3pm): www.familylives.org.uk
Pregnancy
Life-Pregnancy Matters: Emotional and practical support for pregnancy-related problems: 0808 802 5433: www.lifecharity.org.uk
Relationships
*Relate: 0300 100 1234 (for information on their services): www.relate.org.uk
LOCAL BUSINESSES:
Littlemore has a large number of local businesses: they’re located in the Science Park; the Kassam Stadium Complex; and in the Sandy Lane West & Ledgers Close area. Some people work from home. Littlemore Local accepts requests for advertising space from this last group, but this doesn’t mean that we don’t want to hear from the rest of you!
The editor is happy to announce that one local business in Ledgers Close is once again in the news.
pameano which featured a couple of issues ago because it reached the Oxfordshire Business Awards Final has now been shortlisted for a 2018 Drapers Award as Accessories Brand of the Year. It is run by a Littlemore resident, and it employs several other Littlemore people. Check the company out at www.pameano.co.uk. Explore the site carefully, and you might even win all of your Christmas Shopping.
Programme for 2019
January 5th (Sat) New Year Walk, meet 10:30am at Littlemore Fish Bar (Newman Rd/Lang Lane)
January 16th AGM followed by informal talk looking at various documents, photos etc
February 20th Oxford Archaeology digs (incl Littlemore Priory): David Radford (Oxford City Council)
March 20th Exploring your roots, family history: Alan Simpson
April 17th Straight Joints/Curved Braces! An introduction to datable features on houses: Heather Homer
May 19th The Great Strike! Engineers, sewerage systems & the Victorian battle against dirt: Tom Cook
June 15th (Sat) 1:30 - 4:30 Midsummer Social with dancing & refreshments, at Littlemore Village Hall
July 17th Local evening walk (details TBA)
August 17th (Sat) Local afternoon walk (details TBA)
September 18th George Brown... Littlemore’s sporting hero! Mike Simpson
October 16th Farming: The rural history of Littlemore: Buffy McClelland
November 20th Social evening with refreshments and review of society activities
December NO MEETING
Indoor meetings take place on the 3rd Wednesday of the month at The Community Centre, Gilpin Road, Littlemore, OX2 8NW. Commence at 7:00pm (for refreshments) for a 7:30pm start.
Membership: £12/year (starts Jan). £3.00 per meeting for non-members. Events could change at short notice: for up to date information please ask to be put on our mailing list email@example.com also find us on FACEBOOK: Littlemore Local History Society.
LITTLEMORE NEIGHBOURHOOD PLAN: UPDATE
Littlemore has changed since the painting (centre) was done in about 1845, and it will continue to change. The Parish Council wants to be more active in shaping this change, so we are developing a Neighbourhood Plan, and we wish it to be informed by local opinion. Through Littlemore Local and its volunteer delivery team we delivered our initial survey to approx 2690 households and organisations in Littlemore in August 2017. Using the questionnaire on the next two pages, we asked you all what you want here in the future. We received 216 responses. Here are some of our findings.
Wellbeing
The survey revealed that people placed a strong emphasis on having a friendly, safe environment in which to live, work, and learn and they also thought that it is ‘important’ to maintain provision of current amenity spaces. 72% of respondents felt it was ‘highly important’ for Littlemore residents to have a strong sense of community, with better access to medical and dental facilities. 35% of respondents thought provision of a ‘wide range’ of leisure facilities was important, while 74% of those surveyed thought the provision and of trees, verges and footpaths ‘highly important’. One resident highlighted the concerns of many: ‘We need a general practice this side of the ring road for Littlemore and Sandford.’
Housing
55% of those surveyed thought there had been enough development in Littlemore. However, if there has to be more housing 51% accepted the need for more ‘affordable’ housing, and 69% agreed that provision of key worker housing was important. Respondents were less keen on student accommodation (1.8%). 38.5% thought there was a strong need for smaller or medium sized housing units houses or flats that could accommodate 1 or 2 bedrooms, but an equal number voted for medium or large houses. Although many residents thought the spacing between dwellings was important, there was less importance placed upon mixed building styles, reflecting the acceptance of the current mix of buildings in Littlemore. 52% would be happy to see better provision of retirement homes, care homes and sheltered housing, perhaps reflecting an ageing and more vulnerable demographic in Littlemore. 86% of respondents said it was important to accommodate sufficient amenity or space for cycles, bins and play. There was a strong resistance to HMOs (84% against) with some residents feeling that they would undermine the sense of community and social cohesion. One resident commented that whatever the size of houses ‘Littlemore needs to attract people with energy and internal resources who can get involved in making improvements here.’ Residents also thought new builds should incorporate eco-friendly technology, be attractive, and use materials reflecting current developments in the area. Residents also strongly agreed that the height of new builds should also reflect current provision.
Transport & Parking
95% thought that air quality and promoting a safe and sustainable environment were important. 65% of respondents thought that the high speed and high volume of traffic in Littlemore is a serious concern, though the majority accepted that there should be provision for car/bike parking and for public transport. (82%) said off-street parking should be provided in new developments. One resident commented on the particular dangers of Oxford Road. When asked about how they got about many respondents ticked more than one box, indicating that respondents used a combination of car, bus and walking. Few people just walked, but most considered walking an important part of their journey. The majority of residents travel just 3 miles to reach their destination, only 20% travelling outside of the city boundary. 71.5% thought that our connections to other places needed to be improved.
Business & Retail
Many residents thought there is a need to improve business opportunities in Littlemore, along with improved transport links. 59% thought a dedicated community space for networking and development would improve start-up schemes. 44% thought that a local skills directory would improve access to local businesses and social enterprise schemes, and 59% thought this might be achieved via the parish council’s website. The majority of residents thought improved mobile phone and faster broadband were not priorities. When asked to choose a business need from a shortlist, the largest response was in favour of more care services for the elderly (72%). This was followed by better restaurants and cafes, garden services and the development of the arts, crafts and creative businesses.
Survey Demographic
Because most respondents were female aged between 55-75, the steering group will continue to elicit information for the neighbourhood plan by interviewing a wider range of respondent over the next few months. These opinions will form the structure of future policies.
If you’re a local resident and would like to fill in the questionnaire and can download and print it, please find it on the two pages below. Please return your completed survey to me at firstname.lastname@example.org. If you wish to remain anonymous, send it to email@example.com; the editor will forward it to me as an anonymous document. You may also put it in the drop box at Littlemore Community Centre.
Cllr David Henwood
A Neighbourhood Plan is a way of helping local communities influence the planning of the area in which they live and work. It can be used to:
- Develop a shared vision for the neighbourhood.
- Choose where new homes, shops, offices and other development should be built.
- Identify and protect important local green spaces.
- Influence what new buildings should look like.
In areas where a parish or town council exists, such as Littlemore, these are the only bodies that can prepare a Neighbourhood Plan: however the public can have its say, and you are welcome to become more fully involved.
For more see:
https://www.gov.uk/guidance/neighbourhood-planning--2
1 Which of the following describes what’s important for you about Littlemore?
| | 1 Not important | 2 | 3 | 4 | 5 Highly important |
|--------------------------|-----------------|------------|------------|------------|--------------------|
| Conservation area and listed buildings | □ | □ | □ | □ | □ |
| Trees, verges and footpaths | □ | □ | □ | □ | □ |
| Spacing between homes | □ | □ | □ | □ | □ |
| Open green spaces | □ | □ | □ | □ | □ |
| Mixed building styles | □ | □ | □ | □ | □ |
| A good feeling of community | □ | □ | □ | □ | □ |
| Connections to surrounding villages, districts & countryside | □ | □ | □ | □ | □ |
| Having a wide range of leisure facilities | □ | □ | □ | □ | □ |
| Easy access to medical & dental facilities | □ | □ | □ | □ | □ |
| A friendly, safe environment to live, work & learn | □ | □ | □ | □ | □ |
| Good access to main roads and the city centre | □ | □ | □ | □ | □ |
2 Which of the following issues do you consider important for the Littlemore Plan to address?
| | Strongly agree | Agree | Disagree | Strongly disagree |
|--------------------------|----------------|-------|----------|-------------------|
| Village identity and feeling part of a single community | □ | □ | □ | □ |
| Village activities and community cohesion | □ | □ | □ | □ |
| Speed and volume of traffic | □ | □ | □ | □ |
| Car parking and transportation | □ | □ | □ | □ |
| Dog fouling and litter | □ | □ | □ | □ |
| Shop mix and protecting employment sites | □ | □ | □ | □ |
| Improving air quality | □ | □ | □ | □ |
| Promoting a safe, sustainable environment | □ | □ | □ | □ |
3 If new homes were to be provided, which type of dwellings are needed?
| | Strongly agree | Agree | Disagree | Strongly disagree |
|--------------------------|----------------|-------|----------|-------------------|
| Affordable housing | □ | □ | □ | □ |
| Housing for key workers | □ | □ | □ | □ |
| Housing for rent | □ | □ | □ | □ |
| Student housing | □ | □ | □ | □ |
| Purpose built Houses of Multiple Occupancy (HMOs) | □ | □ | □ | □ |
| Retirement Homes, Care Homes or Sheltered Housing | □ | □ | □ | □ |
| Small houses or flats: 1-2 bedrooms | □ | □ | □ | □ |
| Medium or large houses: 3-4 bedrooms | □ | □ | □ | □ |
4 What size of development is appropriate to accommodate new homes? Tick all that apply.
| Size of Development | Strongly agree | Agree | Disagree | Strongly disagree |
|----------------------------------------------------------|----------------|-------|----------|-------------------|
| None: there has been enough new development | | | | |
| One or two dwellings, fillings gaps between houses | | | | |
| A range of small-scale developments (4-9 units) | | | | |
| Medium-sized developments (more than 9 units) | | | | |
| Large developments (more than 100 units) | | | | |
| Sufficient amenity or space for cycles, bins, and play | | | | |
5 What design principles should influence the design of new homes in Littlemore?
| Design Principle | Strongly agree | Agree | Disagree | Strongly disagree |
|--------------------------------------------------------|----------------|-------|----------|-------------------|
| Energy efficient and eco-friendly technology | | | | |
| Off-street parking | | | | |
| Attractive landscaping and planting | | | | |
| Height of building in keeping with location | | | | |
| Materials and design in keeping with existing nearby homes | | | | |
6 Which forms of travel you do mostly use in a normal week? Tick all that apply.
- Car
- Motor bike
- Local Bus
- Bicycle
- Walk
- Train
- Coach
7 Where do you travel to most frequently?
- Oxford City Centre or within 3 miles
- Outside the city boundary or more than 3 miles
8 Which would improve your experience of living, working, or studying in Littlemore? Tick all that apply.
| Improvement | It is needed | It would help | Not important |
|--------------------------------------------------|--------------|---------------|---------------|
| Improved mobile phone reception | | | |
| Faster broadband | | | |
| Local skills directory | | | |
| Improved transport links | | | |
| Dedicated community space for networking & development | | | |
| Parish Council website to include local directory of support facilities and volunteer opportunities | | | |
| Other: please specify (staple extra pages if necessary) | | | |
9 Would you support development of these businesses and job opportunities in Littlemore? Tick = yes.
- Arts, crafts & creative businesses
- Domestic services
- Restaurants and cafés
- Offices
- Financial and professional services
- Charity shops
- More Hot food takeaways
- Local Taxi service
- Care services for the elderly
- Garden services
- More Pubs
- Breakfast clubs or homework clubs for schoolchildren
10 Please tell us a little about yourself by ticking boxes that apply to you.
- Male
- Female
- School age (12-17)
- Age 18-34
- Age 35-54
- Age 55-75
- Age over 76
- Prefer not to answer
NEIGHBOURHOOD PLAN: UPDATE
Littlemore will continue to change; the Parish Council wants to be active in shaping this change, so we’re creating a Neighbourhood Plan. We wish it to be informed by local opinion, so we delivered an initial survey to approx 2690 Littlemore households & organisations in 2017 through Littlemore Local & its volunteer delivery team. We received 216 responses, mostly from women aged between 55 & 75. The steering group would like a more representative sample of the Littlemore population. For those who missed it we’re publishing the survey again. You can find it, and my full report on the results so far at littlemoreparishcouncil.gov.uk/parishcouncil, in the online pages of Littlemore Local. You’ll be invited to vote on the Plan in 2020: linking it to Council Elections will keep the costs down. Cllr David Henwood
THANK YOU FROM LITTLEMORE VILLAGE HALL...
...to all who made our Autumn Fayre such a success: our lovely stall holders; local businesses who contributed to the Prize Draw; the catering team & cake bakers; volunteers who set up, cleared away, sold tickets & worked hard behind the scenes. Last but not least, thank you to all who came on the day. Together you helped us raise £613 for Village Hall funds. Claire Drinkwater
LITTLEMORE ANGLING SOCIETY : FIXTURES : DRAW : FISH
DECEMBER: *2nd Vice-President’s Cup/Winter League, Sandford: 7.30am: 9am-2pm *16th Christmas Shield/Winter League, Sandford: 7.30am: 9am-2pm
JANUARY: *6th Canal Cup/Prior Cup 4, 3 Pigeons: 7.30am: 9am-2pm *20th S Dennis Shield/Winter League, Sandford: 7.30am: 9am-2pm. Alan Campbell
FREE COMPUTER SESSIONS for retirees (and over 50s)
Do you need help with your laptop or tablet? Do you want to start at the very beginning using one of our computers? Do you want to keep contact with your family, or to shop on-line using the internet? If ‘yes’, join us on Fridays 10-12noon at the Community Centre. You will be warmly welcomed. Just drop in or contact me on 01865 774 561. Stella Dunn
PARISH COUNCIL MEETINGS are usually 7-9pm on the second Tuesday of each month (except August) at The Oxford Academy: pedestrian entrances at Long Lane and Northfield Close are kept open for us. Please seek room directions at reception.
WHAT’S ON AT THE GEORGE
EVENTS: December 15th Christmas Family Fun in support of St Mary & St Nicholas Church: Fairground Rides, Stalls, Music, Children’s & Adult’s Raffles: come & meet Father Christmas in his grotto: 3pm ‘til late January 26th Live Music Rock ‘n Roll Night: 9pm start: £2 Entry
OVER 60’s LUNCH CLUB: sponsored by St Mary & St Nicholas Church: 12-2pm Fridays: *Dec 14th Christmas Lunch with all the trimmings (£3) – Carol Singing *Jan 11th (menu tbc). Book by the Monday with Rev M (01865 748 003) or with me (01865 779 341) Nigel Woodley
RECYCLING AND BIN DAYS OVER CHRISTMAS
*No brown bin or bulky waste services from Tues 25 Dec to Mon 7 Jan inclusive. *Blue & Green bin changes: Tues 25 ➔ Thurs 27 | Weds 26 ➔ Fri 28 | Thurs 27 ➔ Sat 29 | Fri 28 ➔ Mon 31 | Tues 1 ➔ Weds 2 | Weds 2 ➔ Thur 3 | Thur 3 ➔ Fri 4 | Fri 4 ➔ Sat 5. *Too much stuff for your blue bin? (eg wrapping paper [not glittery paper], cards, wine bottles, beer cans, foil & Christmas pudding boxes): leave it next to your blue bin in a cardboard box or a clear bag. *Battery & small electrical recycling: Recycle old fairy lights by leaving them on top of your blue, brown or green bin lid in a clear bag any bin day. *Real Christmas trees recycle into compost: put naked trees (no pots, baubles or tinsel) out on blue bin collection days between Tues 8 Jan & Fri 1 Feb, or drop them off on the Village Green: for other drop off points see www.oxford.gov.uk/info/20074/recycling/913/recycling_at_christmas. Laura Baughan
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Hands-Free Augmented Reality for Vascular Interventions
Alon Grinshpoon
Columbia University
email@example.com
Shirin Sadri
Columbia University
firstname.lastname@example.org
Gabrielle J. Loeb
Columbia University
email@example.com
Carmine Elvezio
Columbia University
firstname.lastname@example.org
Samantha Siu
Columbia University
email@example.com
Steven K. Feiner
Columbia University
firstname.lastname@example.org
Figure 1: Model of patient heart viewed through HoloLens in procedure room.
ABSTRACT
During a vascular intervention (a type of minimally invasive surgical procedure), physicians maneuver catheters and wires through a patient’s blood vessels to reach a desired location in the body. Since the relevant anatomy is typically not directly visible in these procedures, virtual reality and augmented reality systems have been developed to assist in 3D navigation. Because both of a physician’s hands may already be occupied, we developed an augmented reality system supporting hands-free interaction techniques that use voice and head tracking to enable the physician to interact with 3D virtual content on a head-worn display while leaving both hands available intraoperatively. We demonstrate how a virtual 3D anatomical model can be rotated and scaled using small head rotations through first-order (rate) control, and can be rigidly coupled to the head for combined translation and rotation through zero-order control. This enables easy manipulation of a model while it stays close to the center of the physician’s field of view.
CCS CONCEPTS
• Human-centered computing → Mixed / augmented reality; Graphics input devices; Interaction techniques; User interface design; Information visualization; • Social and professional topics → Medical technologies; • Computing methodologies → Graphics input devices;
KEYWORDS
Hands-free interaction, augmented reality, vascular interventions, head tracking, head-worn display.
ACM Reference Format:
Alon Grinshpoon, Shirin Sadri, Gabrielle J. Loeb, Carmine Elvezio, Samantha Siu, and Steven K. Feiner. 2018. Hands-Free Augmented Reality for Vascular Interventions. In Proceedings of SIGGRAPH ’18 Emerging Technologies. ACM, New York, NY, USA, 2 pages. https://doi.org/10.1145/3214907.3236462
1 INTRODUCTION
When performing vascular interventions, physicians frequently need both hands for intraoperative tasks. However, augmented reality (AR) and virtual reality (VR) systems for surgical procedures often rely on hand-based or foot-pedal input, sometimes complemented by head tracking, to enable targeting and selection (e.g., [Hasan and Yu 2017; Jalaliniya et al. 2013; LaValle et al. 2014; Mewes et al. 2017]).
To address the need for hands-free visualization control, without involving the physician’s feet, we present the head-tracking and voice-based 3D user interface to an AR guidance system for vascular interventions that uses Microsoft HoloLens to present 3D models of patient anatomy (Figure 1) [Grinshpoon et al. 2018; Loeb et al. 2018]. Since current AR head-worn displays (HWDs) have a limited field of view (FOV), physicians can potentially lose sight of virtual content during manipulation. To avoid this, we use first-order (rate)
Figure 2: Rotating a model. (a) User selects transformation mode while looking at model. (b) In rotation mode, model rotates in same direction as head (to right, as shown here). (c) The farther away head is oriented from model center, the faster transformation is applied. Only small changes in head orientation are required to control transformation, as shown in top row.
control of model rotation and scaling in response to small head rotations (Figure 2), keeping content near the center of the FOV.
Image-based facial motion and orientation tracking of physicians has been used to control position and orientation of surgical instruments such as laparascopes [Nishikawa et al. 2003] and endoscopic cameras [Reilink et al. 2010; Wachs et al. 2010], intraoperatively using 3DOF zero- and first-order control. However, this may introduce restrictions on a physician’s head position and orientation or require physical input through methods such as foot pedals [Reilink et al. 2010] in order to function properly. Because we use a self-contained, 6DOF-tracked HWD and voice-command control, we avoid these restrictions and enable a physician to move their head and body freely throughout a procedure.
2 USER INTERFACE
The user selects a virtual model by positioning and orienting their head such that a cursor aligned with the forward-facing direction of their head intersects with that model. The user then issues a voice command to select a mode, indicated by the cursor icon.
Head translation and rotation control transformation of the model. For rotation (Figure 2) and scaling, the user must look away from the model’s center window (a predefined distance from the model center) to apply the transformation, using first-order (rate) control. The user can pause the transformation by looking back towards the center window beyond a predefined cursor window or saying “stop” to exit the transformation completely.
Transformation rate is determined by the magnitude of the vector $\vec{r}$ between the model center and the intersection $g$ of the gaze direction with a plane $P$ that passes through the model center and faces the user (with the up vector determined by the camera). Rotation is counterclockwise about an axis obtained by rotating $\vec{r}$ counterclockwise 90° in $P$. For scaling, size is increased (decreased) when $g$ is above/right of (below/left of) the line $u = -v$, where $u$ and $v$ are coordinates in $P$. To perform combined translation and rotation, the virtual model is rigidly coupled to the translation and orientation of the user’s head, accomplishing zero-order control.
3 CONCLUSIONS AND FUTURE WORK
We have described a hands-free user interface for manipulating virtual 3D content in AR, designed for intraoperative use with input based on voice and head tracking. We are currently running a user study to determine the effectiveness of our techniques.
ACKNOWLEDGMENTS
This material is based on work supported in part by the National Science Foundation under Grant IIS-1514429 (S. Feiner, PI), the National Institutes of Health under Grant NHLBI 5T35HL007616-37 (R. Leibel, PI), and Columbia University Vagelos College of Physicians and Surgeons under Dean’s Research Fellowships to G. Loeb and S. Sadri. We thank the physicians at NewYork-Presbyterian/Columbia University Medical Center who contributed to this research.
REFERENCES
A. Grinshpoon, S. Sadri, G. Loeb, C. Elvezio, and S. Feiner. 2018. Hands-free interaction for augmented reality in vascular interventions. In Proc. IEEE Virtual Reality.
M. Hasan and H. Yu. 2017. Innovative developments in HCI and future trends. Int. J. of Automat. and Comp. 14, 1 (Feb 2017), 10–20. https://doi.org/10.1007/s11633-016-1039-6
S. Jalaliniya, J. Smith, M. Souza, L. Bühne, and T. Pedersen. 2013. Touch-less interaction with medical images using head & foot gestures. In Proc. Ubicomp 2013 Adjunct. ACM Press, NY, NY, 1265–1274. https://doi.org/10.1145/2501282.2497352
S. M. LaValle, A. K. Kuchibhotla, M. Katsev, and M. Antone. 2014. Head tracking for the Oculus Rift. In Proc. ICRA 2014, 187–194. https://doi.org/10.1109/ICRA.2014.6906608
G. Loeb, S. Sadri, A. Grinshpoon, J. Carroll, C. Cooper, C. Elvezio, S. Mutasa, G. Mandigo, S. Lavine, J. Weintraub, A. Einstein, S. Feiner, and P. Meyers. 2018. 3:54 PM Abstract No. 29 Augmented reality guidance for cerebral angiography. JVIR 29, 4 (Apr 2018), S17. https://doi.org/10.1016/j.jvir.2018.01.036
A. Mewes, B. Hensen, F. Wacker, and C. Hansen. 2017. Touchless interaction with software in interventional radiology and surgery: A systematic literature review. Int. J. Comput. Assist. Radiol. Surg. 12, 2 (Feb 2017), 291–305. https://doi.org/10.1007/s11548-016-1480-6
A. Nishikawa, T. Hosoi, K. Koara, D. Negoro, A. Hikita, S. Asano, H. Kakutani, F. Miyazawa, Y. Yamamoto, M. Yasui, Y. Miyake, S. Takiguchi, and M. Monden. 2003. Face MOUSe: A novel human–machine interface for controlling the position of a laparoscope. IEEE Transactions on Robotics and Automation 19, 5 (Oct 2003), 825–841. https://doi.org/10.1109/TRA.2003.817093
R. Reilink, G. de Bruin, M. Franken, M. A. Mariani, S. Misra, and S. Stramigoli. 2010. Endoscopic camera control by head movements for thoracic surgery. In Proc. IEEE RAS & EMBS Int. Conf. on Biomed. Robotics and Biomechatronics. IEEE, 510–515. https://doi.org/10.1109/BIORob.2010.5627043
J. P. Wachs, K. Vujcieni, E. T. Matson, and S. Adams. 2010. "A window on tissue"–Using facial orientation to control endoscopic views of tissue depth. Proc. IEEE EMBC 2010 2010 (2010), 935–938. https://doi.org/10.1109/embc.2010.5627338
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Change is something we meet almost every day in a medical library. Some change involves new and exciting technologies that makes our jobs easier, or faster, or more fun. Other change is more difficult. That is the kind that involves less money, less space, less staff; a drastically different way of doing things. All change involves a period of transition which makes us feel uneasy.
One change on the horizon is the pilot interlibrary loan project involving several of the largest Seattle area hospitals and the University of Washington Health Sciences Library. An overview of this agreement, written by Jackie Gagne and Elaine Martin, is on page 3-5 of the May 1993 SUPPLEMENT, with additional comment by Nancy Press on page 6. I urge you to read it carefully. The project will begin in January 1994, and will have a major impact on the way ILL’s are routed and filled in the PNC area. It may also effect your budget and/or your workload.
Briefly, the participating libraries have decided to go FIRST to HSLIC for all their ILL’s. They will place all other libraries after HSLIC in their DOCLINE routing tables. They will require that other libraries in the region place them after HSLIC in their own routing tables. Since all these libraries are large net lenders, their removal from the ILL loop will shift the pattern of lending and borrowing throughout the entire region, most notably in Washington.
As you can imagine, this topic has caused extensive and much heated discussion in both SAHLC and WMLA. It has ranged from an incredulous “Can they really do that?” to “What do the rest of us do now?”
Certainly, each librarian is free to make policy decisions for the library s/he directs. No one is obligated to provide free, unrestricted interlibrary loan service. We have gone through changes of this type before, and have found ways to get the information our patrons need.
What the rest of us need to do now is to think carefully about the ramifications and to plan our budgets for the coming year to accommodate any increased costs. We need to be prepared to answer the questions, which may be raised by our administrators, about the anticipated increase in interlibrary loans costs. We need to know the alternative sources for document delivery and the costs. (A helpful fact sheet appears on page 5 in this issue of Northwest Notes). We need to set up our DOCLINE routing tables to distribute loan requests as equitably as possible. We need to view this change with an open mind.
(continued on page 3, column C)
Around the Region
**Oregon**
Natalie Norcross of Tuality Community Hospital Library has been selected as a recipient of the Professional Recognition Certificate for achievement in Leadership. The Hospital Libraries Section of MLA would like to encourage members to nominate colleagues for certificates in the areas of leadership, technological innovation, research and publication.
**Washington State**
The Inland NorthWest Health Science Libraries, headquartered in Spokane, exhibited at the Washington State University Health Fair for our third year. The Fair was held on April 13, 1993, in the WSU Union Building. Gail Fielding represented Whitworth College and Holy Family Hospital; Vicki Croft led a contingent of WSU science and Vet-Med librarians and, as usual, did an exemplary job with local arrangements. Combining exhibit backdrops and info from the Regional Medical Library with CD-ROM Medline and other resources from the WSU Libraries, the librarians found info and answered questions for a steady flow of students and staff.
INWHSL will also be exhibiting at the Washington State Nurses' Assn. annual meeting this year, which will be held in Spokane June 2-3.
The above is from Bob Pringle, Head Librarian (and INWHSL Chair)
Susan Way is celebrating her 9th month as Systems Librarian at the Fred Hutchinson Cancer Research Center Libraries, Seattle. With Eve, she wrote an RFP for an integrated library system. This new ILS will link the three Hutch libraries — First Hill (clinical), Public Health (a.k.a. MetII), and Lake Union (research). She is co-authoring a new chapter in the Hospital Library Management text on library automation and coordinating the Washington State license for QuickDoc. Marilyn Ross assumed manager duties for the library at PhysioControl after Susan's departure from that position. Congratulations to both!
Fred Hutchinson Cancer Research Libraries have added a new branch — Lake Union. This new library is the largest of the three (see above item), houses the local area network file server and is the "home" for most of the staff. Some numbers for the staff have changed, please change your directories to include these changes.
| Name | Phone |
|---------------|---------|
| Eve Ruff | 667-6845|
| Susan Way | 667-6848|
| Pia Fish | 667-6514|
| Reference | 667-6580|
| Cynthia Stevens (ILL) | 667-6852|
Mailing addresses stay the same with the addition of a mail stop notation after Library—B1-010 for Lake Union, MP-201 for Public Health. Fax numbers are 667-4737 for Lake Union, 667-5216 for First Hill, and 667-5530 for MetII.
Beula B. Horak is back in the region after a stint in Hawaii. She is sharing a brief resume with us. "I graduated from UW Library school in 1981 and worked for 5 years as the librarian at Puget Sound Health Systems Agency. I am a former medical technologist (worked for 10 years at UW Hospital Chemistry Lab). We packed up and moved to Hawaii in 1986 and I worked at Hawaii Medical Library as a reference librarian and then head of reference until summer of 1992. HML is a resource library and is affiliated with the UH School of Medicine. We have a 20 month old son and we are very happy to be back in the great northwest (although a Hawaiian beach would be nice right now)."
St. Joseph Hospital, Tacoma, was recently part of JCAHO's integrated testing of the 1994 survey standards. Ten hospitals around the country were selected to participate in this mock survey process to allow the JCAHO to test their new process and new standards, and to test each hospitals' readiness for the 1994 standards. Brynn Beals met with the surveyors twice, once as part of the Information Management interview and once as they toured the library. The Information Management interview was attended by the Director of Medical Records, the Director of Information Systems, Director of Patient Information Systems, and Brynn. They were mostly interested in talking to the Director of Information Systems at that meeting. The library tour was quick. The two main things they were interested in were how the library fits into the hospital mission and how the librarian assesses the information needs of those the library serves. "I thought I'd pass this information along since the 1994 standards are so much different than previously. Just the fact that the library was included marks a significant change!" Brynn Beals
**Canada**
The following is the response I sent to Lois Ann Colaianni on the NLM variable charging scheme for foreign cd-rom networks. I would be interested to hear comments and thoughts on other reasons to cancel this unfortunate policy.
Thank you for your quick reply to my note re: NLM charging for foreign cd-rom networks. You have provided a clear indication of where NLM is coming from on this issue. I wish to provide you with some insight into why the "foreigners" are unhappy about this situation. I will also attempt to answer your questions from an academic medical school librarian's point of view.
I would also add that I have received a number of other responses from colleagues who are also concerned about this pricing policy, mainly Canadian but also from the UK. It is certainly a priority issue for the Canadian Health Libraries Association and the medical school librarians committee of the Association of Canadian Medical Colleges. You can be sure that NLM will be hearing more from us about this.
1. I am sure all of my colleagues have no argument with the NLM right to add a surcharge for foreign users of their data. There is a question of how much should that surcharge be and for what purposes is it allocated. "Fair share of the creation costs..." is a term which seems to be used a lot in your licencing agreements. If it is really only the costs of creation of the MEDLINE database then that should be a fairly fixed amount which can be calculated rather easily. Or does creation costs also apply to paying for access systems (MEDLARS and the other commercial tape centres)?
2. The question arises again of what it is you are trying to recover costs for. Charging by connect time, characters and printing is symbolic of the mainframe era of computing when resources were controlled in such a manner. The workstation/PC era has always had much less emphasis on such traditional control mechanisms thus encouraging use which is also presumably one of your goals.
3. Of course some CD-ROM networks are not really CD-ROM based anymore. Anyone who is trying to support large numbers of simultaneous users is looking at using magnetic disk storage. This is an
inevitable result of the rapidly increasing power of PC/networking technology which are becoming as powerful as the old style mainframe based systems. I have thought that your charges for CD-ROM use were absurdly low, particularly the networking surcharge you imposed in the price policy previous to this one. 1992 is the first year that we have ever paid any networking charges for using MEDLINE on CD-ROM and the first year that any charge was collected directly for NLM. That was not very bright on NLM's part when you consider the precedents set by commercial database publishers. The key is that charging should be based on the number of simultaneous users.
4. I agree that you should level the field. But do it in a manner which encourages use of your databases rather than discourages it. A flat fee based on number of simultaneous users of your data would be consistent with emerging industry practices and represent a fair allocation of cost share. It might be difficult to implement for the tape vendors but I suspect that you have had difficulties in the past with the academic tape customers who normally lack the sophisticated charging systems found in the commercial vendor systems.
5. If you required reporting of statistics on number of simultaneous users you could develop an annual fee that would meet your needs. The vendors could provide you with these statistics since they need the same statistics to assess their own networking charges which are on top of your database royalty charges. The total number of foreign simultaneous users (single user version or networked) multi-user could be divided into your foreign charge to arrive at a figure.
6. To summarize here are the main complaints you will hear about this pricing policy:
a. There was no consultation with the foreign client group. The discussion we are having now should have occurred before you posted the rates as official policy. None of us ever heard about it or at least the significance was not clear until very recently.
b. The change to a variable pricing policy will make it economically impossible for many foreign institutions to network your databases. A colleague of mine at the University of Saskatchewan has calculated that their annual cd-rom network charges (for NLM royalty alone) under the new system would be $16,272 US for connect time alone. You have destroyed one of the major benefits of CD-ROM databases which is fixed pricing which permits rational budgeting.
c. The technological capability to implement your usage charges does not exist in any commercial cd-rom vendors software currently and is therefore impossible to assess adequately. CD-ROM retrieval software is trouble prone enough already that forced changes of this nature are highly undesirable.
d. By implementing this charging scheme you are actively discouraging foreign use of your databases which is an actual obstacle to improvement of health care world wide. If the developed world countries are complaining then the undeveloped world might as well forget about access. Health care world wide. If the developed world countries are complaining then the undeveloped world might as well forget about access.
e. There is a concern that you seem to be trying to protect the commercial tape subscribers at the cost of reduced access to your databases. This seems strange for an agency which has been as proactive as NLM has in making its information resources easily available.
I have carried on at great length so I will end here. As I receive more comments from my colleagues I will undoubtedly contact you again. Would you be willing to allow me to post your original message to some of the newslists? I believe it provides a good summary of where NLM is coming from and will assist in constructive debate about the pricing issue.
George Beckett
Health Sciences Library
Memorial University of Newfoundland
St. John's, Nfld., A1B 3V6 Canada
Phone: (709)737-6670
FAX: (709)737-6866
Internet:email@example.com
New Members
Please welcome the following individuals as new members to PNC/MLA for 1993:
Jean Shipman
works at the University of Washington HSLIC as the new Outreach Services Librarian. e-mail at firstname.lastname@example.org
Catherine Burroughs
Chief Librarian at Prospect Associates in Rockville, Maryland
comes from Spokane and would like to relocate to the Northwest
Jean Pasche
Librarian at Seattle Midwifery School
Terry Wiggins
Terry is the Director of the Idaho Health Sciences Library at Idaho State University in Pocatello
Barbara Crain
Librarian at the McLaughlin Research Institute in Great Falls. She moved there with her husband from Massachusetts recently.
(Chair's message cont'd from page 1)
This is a pilot project. It involves a limited number of libraries as full participants. It is for the calendar year 1994, and will be evaluated at the end of that period. If it is successful, it may be expanded to other libraries in Washington, and perhaps the region.
If you have questions about the project, you may want to talk with some of the librarians who initiated the pilot project. You may certainly talk to me. By all means, come prepared to network with your colleagues at the PNC/MLA meeting in Portland.
Automation Column
"Where to Start" for new Internet Users
Jim Miles
Ver 1.2
2/10/93
1. E-mail systems vary widely. For help with most e-mail questions (signature files, quoting, and so on), contact your local computer support personnel or your Internet service provider.
2. Some recommended books for new users of the Internet:
LaQuey, Tracy. *The Internet companion: a beginner's guide to global networking.* Reading, MA: Addison-Wesley, 1992.
Read this first; the best guide for the true beginner, useful for the pre-beginner who has not yet signed on to the Internet.)
Krol, Ed. *The whole internet: user's guide & catalog.* Sebastopol, CA: O'Reilly & Associates, 1992.
Read this after LaQuey; much more in-depth and comprehensive, at this writing Krol is *the* essential guide to the Internet.)
Tennant, Roy, John Ober, & Anne G.
Lipow. *Crossing the Internet threshold: an instructional handbook*. Berkeley, CA: Library Solutions Press, 1993.
Includes helpful fact sheets on various Internet tools from ftp and telnet to archie, gopher, WAIS, and World-Wide Web.
Kehoe, Brendan. *Zen and the art of the Internet: a beginner's guide*. 2d ed. Englewood Cliffs, NJ: Prentice-Hall, 1993.
One of the first and most popular guides to the Internet. The first edition is distributed free on the Internet, and is still available at many anonymous ftp sites, e.g., nic.merit.edu, directory /introducing.the.internet, filename zen.txt.)
Quarterman, John S. *The matrix: computer networks and conferencing systems worldwide*. Bedford, MA: Digital Press, 1990.
A comprehensive guide to the history and present (as of 1990) state of the Internet and its component and related networks. Recommended for those who want to learn the background and history of the Internet.)
3. For those who know enough about using the Internet to be able to use "ftp", the following sources are very useful (note that they are regularly updated, so the version numbers and file names may change):
Martin, Jerry. "There's gold in them thar networks! or searching for treasure in all the wrong places." RFC 1402, January 1993. Available via anonymous ftp from nic.merit.edu, directory /introducing.the.internet, filename network.gold.
"NYSERNet new user's guide to useful and unique resources on the Internet." version 2.2, April 1992. Available via anonymous ftp from nysernet.org, directory /pub/guides, filename new.user.guide.v2.2.txt.
Polly, Jean Armour. "Surfing the Internet: an introduction." version 2.0.2. December 16, 1993. Available via anonymous ftp from nysernet.org, directory /pub/guides, filename surfing.2.0.2.txt.
"SURAnet guide to selected Internet Resources." January 1993. Available via anonymous ftp from ftp.sura.net, directory pub/nic, filename infoguide.1-93.txt.
Yanoff, Scott. "Special Internet connections" (updated frequently). A list of interesting and useful selections showing the broad range of Internet resources, including a few Online Public Access Catalogs, chat lines, weather servers, campus wide information systems and other reference resources. Available via anonymous ftp from csd4.csd.uwm.edu, directory /pub, filename inet.services.txt.
---
**GOVERNMENT RELATIONS COMMITTEE**
Bob Pringle
**NIH reauthorization measure passed by Congress, June 1993**
Last week, Congress completed action on S.1, the National Institutes of Health (NIH) Revitalization Act of 1993. The bill, which has been in the works for five years, was passed by the House and the Senate, and is expected to be signed by President Clinton. The bill reauthorizes the National Library of Medicine for three years; establishes a single authorization of appropriations for NLM programs at the level of $150 million; increases the cap on extramural outreach grants from $750,000 to $1,000,000; authorizes the establishment of new grants for research, development and demonstration of new education technologies within stated
guidelines; establishes a National Information Center on Health Services Research and Health Care Technology; lifts the ban on Fetal Tissue Research; requires the inclusion of women and minorities as subjects in clinical research conducted or supported by NIH; provides statutory authority for the Office of Research on Minority Health at NIH. On behalf of the Governmental Relations Committee and Legislative Task Force, I want to thank everyone who has worked to support passage of the legislation over the past several years. The next reauthorization bill is expected to be introduced in 1996. Mary Langman, MLA GRC.
**Professional Calendar**
June 26-July 1, 1993 **ALA Annual Conference**, New Orleans. Contact ALA 800.545.2433.
October 20-22, 1993 **PNC/MLA Annual Meeting**, Benson Hotel, Portland, OR. Contact Peggy Baldwin 503.230.6075.
Nov. 1-3, 1993 **Online/CD-ROM Conference and Exposition**, Washington, D.C. Hilton and Towers. Contact Jeff Pemberton 800.248.8466.
May 19-26, 1994 **MLA Annual Meeting**, San Antonio, TX.
May 6-12, 1995 **MLA Annual Meeting**, Washington, D.C.
---
**Commercial Document Suppliers - MLA Poster Session**
The following was prepared for the poster session “A Comparison of Commercial Document Suppliers” by Peggy Richwine at the Medical Library Association Annual Conference in Chicago.
**ADVANTAGES OF COMMERCIAL DOCUMENT SUPPLIERS**
Handle copyright payments
Locate obscure items
Reduce “net borrower” burden
Business relationship
**COMMERCIAL MEDICAL DOCUMENT SUPPLIERS**
At the Indiana University School of Medicine Ruth Lilly Medical Library commercial document suppliers are used to augment the usual interlibrary borrowing activity on OCLC and DOCLINE. The commercial suppliers are used for obscure materials such as issue supplements or conference proceedings, for RUSH requests, or when holdings on OCLC do not offer adequate choices. Most of the requests to commercial suppliers are initiated through the OCLC PRISM ILL system. All the borrowing requests are transferred to the SAVEIT database which calculates turnaround time from date of request to date received.
**Suppliers Used:**
| UMI Article Clearinghouse | The Information Store |
|---------------------------|-----------------------|
| University Microfilms International | POBox 3691 |
| 300 North Zeeb Road | San Francisco, CA 94119-3691 |
| 33University Microfilms International | POBox 3691 |
| 300 North Zeeb Road | San Francisco, CA 94119-3691 |
| Ann Arbor, MI 48106 | Phone: 415-433-5500 |
Institute for Scientific Information
The Genuine Article
3501 Market Street
Philadelphia, PA 19104
800-523-1850 ext. 1140
CARL Uncover
CARL Systems, Inc.
3801 E. Florida Ave.
Bldg. D Ste. 300
Denver, CO 80222
303-758-0606
UMI and The Genuine Article are used when the OCLC Union List shows availability and no reciprocal agreement library holds the title and/or volume desired. UMI was used more frequently than The Genuine Article because of the group discount available to us. The Genuine Article will also give high-volume discounts and has better turnaround time. The Information Store was used for the most difficult-to-find requests and was able to supply all that was requested. CARL Uncover is available to all persons affiliated with Indiana University. An article can be identified for delivery through the table of contents, billed to a charge card or deposit account, and the article will arrive within 24 hours via FAX or the requester will receive a status report on the request.
Further studies will concentrate on the matches between requested documents and documents available from each supplier. Additional suppliers will be studied.
UMI ADVANTAGES
- HOLDINGS AND ORDERING AVAILABLE ON OCLC
- LARGE COLLECTION OF IN-HOUSE TITLES WITH BACKFILES TO 1978
- COPYRIGHT ROYALTIES PAID
THE GENUINE ARTICLE ADVANTAGES
- LARGE COLLECTION OF IN-HOUSE TITLES
- ORDERING AVAILABLE ON OCLC
- CURRENT CONTENTS CITATIONS EASILY SUPPLIED
- IMPROVING TURNAROUND TIME
- COPYRIGHT ROYALTIES PAID
THE INFORMATION STORE ADVANTAGES
- WILL SUPPLY DOCUMENTS FROM THE MOST OBSCURE CITATIONS
- ORDERING AVAILABLE ON OCLC
- COPYRIGHT ROYALTIES PAID
CARL UNCOVER ADVANTAGES
- SHORTEST TURNAROUND TIME
- NOTIFICATION IF CANNOT SUPPLY IMMEDIATELY
- ACCESS TO BLDSC TITLES
- CAN DELIVER DIRECTLY TO LIBRARY CLIENT
- COPYRIGHT ROYALTIES PAID
DISADVANTAGES
- LONG TURNAROUND TIME
- HIGHER COSTS THAN OTHER SUPPLIER
DISADVANTAGES
- LONG TURNAROUND TIME
- HIGHER COSTS THAN DISCOUNTED UMI
DISADVANTAGES
- MUST BE SEARCHED SEPARATELY FROM OCLC
- DEPENDS ON INTERNET AND FAX TRANSMISSIONS
INDIANA UNIVERSITY SCHOOL OF MEDICINE
RUTH LILY MEDICAL LIBRARY
COMMERCIAL SUPPLIERS USED 1/1/93 - 3/31/93
| SUPPLIER | COPIES REQSTD | PERCENTAGE FILLED | AVERAGE COST | AVERAGE TURNAROUND TIME |
|-------------------|---------------|--------------------|--------------|-------------------------|
| UMI | 34 | 88% | $7.75* | 11 DAYS |
| THE GENUINEART. | 6 | 100% | $15.25 | 7 DAYS |
| THE INFO.STORE | 3 | 100% | $12.50 | 15 DAYS |
| CARL UNCOVER# | 5 | 80% | $10.50 | 1 DAY |
* This is a discounted rate. Usual cost is $12.50
# These requests were made from 10/1/92 - 3/31/93
Peggy Richwine, Ruth Lilly Medical Library 317-274-2292
Indiana University School of Medicine 317-274-2088 (FAX)
975 W. Walnut IB 207
Indianapolis, IN 46202
mrichwin@indyvax
During a recent discussion about salaries on another Internet discussion list, the following was offered to the group.
"Why God Never Received Tenure at a University:
1. Because He had only one major publication.
2. And it was in Hebrew.
3. And it had no references.
4. And it wasn't published in a refereed journal.
5. And some even doubt that He wrote it Himself.
6. It may be true that He created the world, but what has He published/done since?
7. His cooperative efforts have been quite limited.
8. The scientific community has had a very rough time trying to replicate His results."
THE WHITE HOUSE
Office of Presidential Correspondence
Dear Friends:
Part of our commitment to change is to keep the White House in step with today's changing technology. As we move ahead into the twenty-first century, we must have a government that can show the way and lead by example. Today, we are pleased to announce that for the first time in history, the White House will be connected to you via electronic mail. Electronic mail will bring
(cont'd page 7, column A)
the Presidency and this Administration closer and make it more accessible to the people.
The White House will be connected to the Internet as well as several on-line commercial vendors, thus making us more accessible and more in touch with people across this country. We will not be alone in this venture. Congress is also getting involved, and an exciting announcement regarding electronic mail is expected to come from the House of Representatives tomorrow. Various government agencies also will be taking part in the near future. Americans Communicating Electronically is a project developed by several government agencies to coordinate and improve access to the nation's educational and information assets and resources. This will be done through interactive communications such as electronic mail, and brought to people who do not have ready access to a computer.
However, we must be realistic about the limitations and expectations of the White House electronic mail system. This experiment is the first-ever e-mail project done on such a large scale. As we work to reinvent government and streamline our processes, the e-mail project can help to put us on the leading edge of progress.
Initially, your e-mail message will be read and receipt immediately acknowledged. A careful count will be taken on the number received as well as the subject of each message. However, the White House is not yet capable of sending back a tailored response via electronic mail. We are hoping this will happen by the end of the year.
A number of response-based programs which allow technology to help us read your message more effectively, and, eventually respond to you electronically in a timely fashion will be tried out as well. These programs will change periodically as we experiment with the best way to handle electronic mail from the public. Since this has never been tried before, it is important to allow for some flexibility in the system in these first stages. We welcome your suggestions.
This is an historic moment in the White House and we look forward to your participation and enthusiasm for this milestone event. We eagerly anticipate the day when electronic mail from the public is an integral and normal part of the White House communications system.
President Clinton Vice President Gore
email@example.com
firstname.lastname@example.org
---
**CERTIFICATES OF SERVICE FOR HLS RETIREES**
The Hospital Libraries Section of MLA awards Certificates of Service for retirees. The purpose of the certificate is to acknowledge and congratulate HLS members upon their retirement for their years of service in the field of hospital librarianship. In order to be eligible for a Certificate, the recipient must:
1. have reached an acknowledged retirement age or tenure;
2. have been an HLS member for at least five years preceding retirement;
3. be verified/approved by the HLS Membership Committee for certificate eligibility.
Certificates of Service may be requested by retiring librarians themselves, or may be requested for a retiring librarian by a colleague. The certificate is suitable for framing and will be issued as soon as the request is approved. Recipients will be announced at the the HLS Annual Meeting and in an issue of the National Network.
If you would like to request a Certificate of Service for yourself or a colleague, please write to Debra Rand, Health Sciences Library, Long Island Jewish Medical Center, New Hyde Park, NY 11042 or email@example.com. Enclose the following information: member name, year (date) of retirement; age at retirement (whether over or under 55 years of age); length of service in the field; and approximate number of years with HLS membership.
---
**CALL FOR MLA FELLOWS NOMINATIONS**
The Membership Committee of HLS also encourages you to consider nominating eligible HLS members as life-long Fellows of the Medical Library Association. Fellows are individual members of the association who have made outstanding contributions to the advancement of the profession and the association. Candidates are ordinarily at or near the close of an active professional career. Fellows are also recognized as distinguished members of the Academy of Health Information Professionals. Nominations for 1994 are open. For further information on how to submit a name contact the current Chair of Awards Committee:
Sheldon Kotzin, National Library of Medicine, 8600 Rockville Pike, Bethesda, MD 20894, 301.496.6217; fax 301.496.0822.
Northwest Notes is published five times per year by the Pacific Northwest Chapter, Medical Library Association.
Kathy Murray, Editor; Providence Medical Center, Horton Health Sciences Library, PO Box 34008, Seattle, WA 98124. Phone 206.320.3788; fax 206.324.5871; OnTyme PMC; Internet firstname.lastname@example.org.
News and articles are most welcome! Please submit items via OnTyme, Internet or send them on a diskette as ASCII files (text only; NO formatting!). Short items (under one page) may be submitted to the Editor as typed copy. Please specify clearly that items are for the newsletter. Include your name, library, address, phone, and fax number (if available) with all submissions. Call or write for further details.
The Editor reserves the right to edit submissions as necessary.
Articles from Northwest Notes may be reprinted without permission; credit would be appreciated.
To join the Pacific Northwest Chapter, send membership dues to:
Maryanne Blake
Pacific Northwest Region, NN/LM
Health Sciences Library & Information Center
University of Washington, SB-55
Seattle, WA 98195
DUES: $15.00 U.S.
$18.00 Canadian
MAKE CHECK PAYABLE TO PNC/MLA
Your Name: ____________________________________________
Address: _______________________________________________
_______________________________________________________
_______________________________________________________
(You may use home or work address)
Circle those that apply: Renewal New Member
Membership type requested:
Individual Institutional
Are you a member of the Medical Library Association?
Yes No
|
Redfield Edge Primary School
www.redfieldedgeprimary.co.uk
Contents
⇒ Our School
⇒ Welcome letter from Mrs Robinson (Head Teacher)
⇒ School Values
⇒ Enriched and Engaging Curriculum
⇒ Early Years Foundation Stage
⇒ Inclusion
⇒ Pupil Voice
⇒ Family Link and Pastoral Care
⇒ Uniform
⇒ Out of School Provision
⇒ Extra Curricular Opportunities
⇒ The Friends of Redfield Edge
Dear Parents and Carers
‘Striving to be the best version of ourselves.’
On behalf of the staff, governors and pupils here at Redfield Edge Primary School, I offer you a warm welcome to our school. We are a small, one form entry Primary School situated in the village of Oldland Common on the outskirts of Bristol.
I am incredibly proud to be the Head Teacher of such an inspirational, caring school, which has the children’s learning experiences and wellbeing at the heart of everything we do. We understand that each child’s learning journey may look a little different, and we strive to ensure all of our pupils are supported and challenged effectively to enable them to be the best they can be.
Our curriculum is enriched and engaging with fantastic opportunities for all children to enjoy and feel inspired by. Learning is well-structured and challenging and all children are encouraged to meet high expectations academically, socially and morally. Everyone at Redfield Edge is valued. We work hard to make sure that each child feels safe and respected, and demonstrates our school values on a daily basis.
We have a fantastic team of Governors; compassionate and professional staff; an engaged and hardworking Friends group; as well as a highly supportive group of parents and carers working together to ensure we deliver the best possible education for all of our pupils.
We have high aspirations for all our pupils. We work hard to enable children to develop self-confidence and independence, while recognising that each and everyone has a part to play as a responsible member of our learning community, wider community and the world we live in.
We are all proud to be part of the Redfield Edge family.
**Our School Vision**
We are routed in the heart of the community and committed to providing high quality education for all our pupils, ensuring they can be the best version of themselves.
We provide eye-opening opportunities, inspiring our pupils to challenge their thinking and thrive, whilst exploring the world around them.
We nurture and grow confident and passionate life-long learners.
Yours sincerely
Lisa Robinson
Head Teacher
The Mosaic Partnership Trust is a multi-academy trust (MAT) established in 2024, bringing together a group of 12 primary schools from South Gloucestershire and Wiltshire. Its primary aim is to improve education by fostering collaboration between schools while maintaining each school's unique identity. The trust focuses on core values of integrity, innovation, and partnership to enhance learning experiences for children. Schools within the trust benefit from shared expertise, resources, and support, which helps build capacity at all levels of the school community. By working together, the Mosaic Partnership strives to improve outcomes and ensure a high standard of education across its member schools.
School Values
“Striving to be the best version of ourselves”
RESPECT
I am confident and like to try new things
I am inspired
I have the opportunity to thrive
I have good manners
I am happy at school
I understand and follow the school rules
I appreciate differences
RESILIENCE
I am excited by my learning
I am happy with my achievements
I am resilient
I am proud of my school and my community
I know there is always someone there to help
I am truthful
I am trustworthy
I am happy to ask questions
I am curious about the world we live in
COMPASSION
I am happy with my friends
I know how to get help
I can put myself in other peoples shoes
I am happy to help
I want to go to school
I enjoy all of the activities and trips
“Striving to be the best version of ourselves”
Curriculum Intent
At Redfield Edge Primary School, our aim is to provide our children with an engaging, enriched and exciting curriculum which equips our children for our ever changing world - today and tomorrow.
Our children learn how to be mindful of themselves and others, creating an honest and safe environment to learn and develop.
Our children are encouraged to understand how to contribute to their community and make it a better place to live.
Our topic based curriculum is designed to recognise children’s prior learning; to provide worthwhile learning experiences allowing children to develop independence, build resilience, challenge thinking and become creative thinkers.
Every child is recognised as a unique individual through celebrating and welcoming differences in our school and the wider community.
Every child has the right to a high quality primary education and we pride ourselves in using educational discussions and research to develop practice in school.
Golden Threads
- Community
- Mental Health
- Life Skills
- Global Issues
- Technology
These are woven through every topic to make sure our intent is achieved.
They were created by all members of our school community such as parents, staff and pupils.
Little Extras
- British Sign Language
- First Aid Training
- Young Leader Award
- Mental Health Ambassadors
Establish Life Long Inventory
(ELLI Characters)
Here at Redfield Edge we are proud of our enriched and engaging curriculum, ensuring all pupils receive the highest standard of teaching in a wide range of subjects.
Children have many opportunities to enhance their learning through curriculum enrichment activities such as educational trips (including residential), focus curriculum weeks and visitors coming into school.
We strongly believe that teaching a child the skills to learn is vital to success. Pupils at Redfield Edge understand the importance of developing skills such as perseverance, curiosity, creativity and teamwork through ELLI (Effective Life-Long Inventory).
Each character has a different learning style which helps the children to articulate and discuss how they are learning.
The children are explicitly taught that making mistakes is a way of learning in itself and the ability to adapt learning styles and tackle a challenge are key to making good progress.
Enriched and Engaging Curriculum
Speaking & Listening
At Redfield Edge School we recognise that the ability to use language has a profound effect on a child’s progress in all curricular areas. As listening is as important in communication as speaking, we consciously plan curriculum activities to facilitate purposeful talking and listening experiences.
Phonics
To develop and nurture an enjoyment and desire for reading from the beginning of Early Years. Through the systematic phonics programme taught in the EYFS, Year 1 and Year 2, we are passionate about seeing every child at Redfield Edge have the phonic knowledge to path out their reading journey for life.
Reading
Reading is the most marvellous adventure you can have
We aim to provide an exciting experience when developing reading skills through the whole school. Through the use of VIPERS (Vocabulary, Inference, Predication, Explain, Retrieval and Sequence/Summarise) we develop skills that enable children to focus on certain areas that are broken down to their level. It gives them ownership of their learning and allows them to understand and appreciate themselves as individual learners. We provide an interesting and holistic range of books and activities which are tailored for each class’s interests. The love of reading is important as it is at the foundation of everything we do in life. There is nothing better than getting stuck into a good book!
Writing
“Why I write? Because creating something that didn’t exist before is as close to magic as I’ll ever get”
Writing is one of the main modes of communication and as such, is inseparable from reading and speaking and listening. Our aim is to treat children as writers from an early age and create a climate in our classrooms where all kinds of writing are encouraged and valued.
We acknowledge that the teaching of writing should include both the development of handwriting, presentation, spelling, grammar and creative content. We teach cursive script across the school.
Mathematics
“The only way to learn maths, is to do maths”
At Redfield the purpose of our maths curriculum is to teach a rich, balanced and progressive programme of study which allows pupils to develop mathematical skills and knowledge that they are able to use confidently throughout their lives. They will develop fluent conceptual understanding, starting with Number Sense in Key Stage 1 through to mastering number in Arithmetic in Key Stage 2, to become confident in using maths to reason and problem solve in each area.
Our curriculum aims to use maths to support children to better understanding the mathematical world around them. This links maths to real life experiences and ensures their learning is cross curricular and relevant to the lives of the children of Redfield Edge. Children should develop an enjoyment of mathematics as well as feeling confident in using both mental and written methods, including correct selection of methods and operations in a range of contexts.
Our curriculum design ensures that pupils develop mathematical skills and knowledge that they are able to use confidently in the next stages of their school career and life; they will be confident in selecting the methods, strategies and resources they need. Through becoming confident and fluent in mathematics, pupils will also develop a sense of enjoyment for the subject. They will be able to discuss mathematical concepts and strategies, explain their thinking and respectfully challenge others in their mathematical thinking. We measure the impact of mathematical teaching and learning through summative and formative assessment.
The aim and purpose of teaching Science at Redfield Edge is to provide opportunities for children to develop knowledge and understanding of important ideas, processes and skills and relate them to everyday experiences.
Science changes our lives on a daily basis and is vital to the world’s future prosperity and sustainability.
At Redfield Edge Primary School, scientific enquiry skills are embedded on a termly basis, sometimes discretely and when appropriate, through topics. Many key concepts are revisited and developed throughout a pupil’s time at school. Topics, such as plants, are taught in Key Stage One and studied again in further detail throughout Key Stage Two.
This allows pupils to build upon their prior knowledge and increases their enthusiasm for the topics whilst embedding this knowledge into the long-term memory.
We learn about the ways of thinking, enquiring and communicating scientific ideas. They should be encouraged to understand how Science can be used to explain what is occurring, predict how things will behave, and analyse causes.
We also explore our values and attitudes through our science lessons.
At Redfield Edge, we encourage children to develop their interest in Science through first-hand experiences, allowing them to observe, question, hypothesise and record their findings effectively.
Art
“Every Child an Artist”
Children are given the opportunity to exercise their creative powers in different media and dimensions. As we provide individual and collaborative experiences, we hope to build the children’s self-confidence in the creative society we live in. Art and Design provides children with the opportunity to look at the world through the eyes of an artist; it gives the children the chance to express their individual interests, thoughts and ideas.
We encourage children to use art as a means of exploring and understanding their world. Children are taught to observe their environment carefully; drawing attention to line, pattern, colour, form and textures in the natural world and within man-made and mechanical objects. The work of artists and craftsmen is introduced and children are encouraged to appreciate and respond to the works of others. A wide variety of media and equipment is used to allow the children freedom to express themselves creatively.
Children are encouraged to plan and display their work to produce a stimulating and colourful classroom environment. As they progress through school the children develop a knowledge, understanding and appreciation of art, craft and design, including the history of art and art from other cultures.
At Redfield Edge, we aim to provide a PE curriculum that pupils from Reception to Year 6 not only enjoy but also allows them to experience a range of activities that help them to develop their health, fitness and wellbeing. We intend to offer a high-quality physical education curriculum that inspires all pupils to succeed and excel in competitive sport and other physically-demanding activities. It provides opportunities for pupils to become physically confident in a way which supports their health and fitness. Opportunities to compete in sport and other activities build character and help to embed values such as fairness and respect.
At Redfield Edge we use real PE to aid us in delivering PE lessons.
real PE supports teachers to confidently deliver an outstanding PE curriculum that transforms experiences for EVERY child, teacher and family. View the impact real PE has made and see how schools have celebrated improvements in: staff knowledge and confidence; pupil engagement; pupil progress; the broader impact of real PE across the school.
The national curriculum for PE aims to ensure that all pupils:
develop competence to excel in a broad range of physical activities,
are physically active for sustained periods of time,
engage in competitive sports and activities
lead healthy, active lives.
Music
“Without music, life would b♭ (flat)”
For every child to enrich their lives with the sound of music. To deliver rich musical experiences through different instruments, genres and cultures, which inspire children to compose, perform and appraise with a high level of understanding and confidence.
When children leave Redfield Edge, they have a love of music and have had a range of opportunities to develop their skills of listening, appraising and composing music. They are inspired to use music to aid their wellbeing and positively affect their mood.
Modern Foreign Languages (French)
KS2 only
“If you talk to a man in a language he understands that goes to his head. If you talk to him in his language that goes to his heart”
At Redfield Edge Primary School, it is our intention to provide all of our children with the foundations in French which will not only develop their skills as linguists but also build their understanding of a different culture in Europe. We believe that learning a language enriches the curriculum, provides excitement, enjoyment and challenge, and helps to develop positive attitudes to language learning throughout life.
Our curriculum is underpinned by oracy. It is clear to us that the skills; knowledge; and understanding gained from learning a language will make a major contribution to the development of our children’s oracy and literacy skills, as well as to their understanding of their own culture and those of others. Our community is not as diverse as others which makes the teaching of the MFL curriculum even more important. It teaches children the importance of celebrating other cultures as well as lay the foundation for future language learning.
History
“History is who we are and why we are the way we are”
It is important to have knowledge of our past history, origin and culture to be able to look forward into our own future.
History is concerned with people and the past. The children of Redfield Edge are encouraged to develop a sense of time and understanding of past events and their effect on modern society. By learning to evaluate a range of primary and secondary sources, our historians will be able to explain how people around the world used to live and that interpretations of events can differ. Pupils will be taught about historical events, where they take place within a historical timeline and famous historical figures who may have shaped the world today.
Topics are informed by the National Curriculum and are designed to be progressive, outlining the skills, knowledge and vocabulary that are taught in a sequential way, building on prior knowledge. The curriculum has been designed to link to the local area helping our children to make sense of topics in history – for example Castles and World War 2 – that might seem too remote. Good local history enables the pupils to discover the people that lived in their community in the past and how their lives may be similar and different to their own.
During their time at school, children take part in a number of educational visits and events. These experiences are designed to enhance the children’s knowledge, appreciation and understanding of the world in which they are growing up.
Geography
“Without Geography, where would we be?”
Geography explains the past, illuminates the present and prepares us for the future. What could be more important than that?
Geography is concerned with people and place. Our programme of topics are planned to develop the children’s knowledge and understanding of the world in which they live. The children undertake studies of their local environment (Community - Golden Thread), the British Isles and selected areas of the world and develop an awareness of human, physical and environmental geography. Pupils will be taught about the locations of the world’s continents, countries, cities, seas and oceans. They will develop skills of interpreting sources of geographical information, including maps, diagrams, globes, aerial photographs and geographical information systems. Where possible, we will link Geography to other subject areas developing our cross-curricular contextual learning. Specialist vocabulary for each topic is taught and built on.
Geographical themes are informed by the National Curriculum and are designed to be progressive, outlining the skills, knowledge and vocabulary that are taught in a sequential way, building on prior knowledge. The curriculum has been designed to link to the local area helping our children to make sense of topics.
As children move through the school we begin to move from local geography to national and global topics, for example studying disasters and climate. Global Matters (Golden Thread) and children’s knowledge and understanding of what is happening around the world is of high importance.
Good local geography enables the pupils to gain a sense of place and engage in community. Community (Golden Thread) and being a good citizen is of very high importance.
Meaningful fieldwork is embedded in an enquiry approach, which provides pupils with a model of the enquire process and associated enquire skills. It engages pupils by valuing their existing knowledge and opinions and provides an excellent base line for latter reflection and evaluation of what parents have learnt.
Design and Technology
“Design is thinking made visual”
Design and Technology is an inspiring, rigorous and practical subject. Design and Technology encourages children to learn to think and intervene creatively to solve problems both as individuals and as members of a team. At Redfield Edge, we encourage children to use their creativity and imagination, to design and make products that solve real and relevant problems within a variety of contexts, considering their own and others’ needs, wants and values. We aim to, wherever possible, link work to other subjects such as mathematics, science, engineering, computing and art. The children are also given opportunities to reflect upon and evaluate past and present design technology, its uses and its effectiveness and are encouraged to become innovators and risk-takers.
Computing
“Computing is not about computers, it is about living”
At Redfield Edge Primary School we aim to prepare our children for a rapidly changing world through the use of technology. Our computing curriculum is designed to enable them to use computational thinking and creativity to further understand our world. We aim to use the computing curriculum to make links with mathematics, science, and design and technology. At the core of our computing curriculum is computer science, in which pupils are taught the principles of information and computation, how digital systems work, and how to put this knowledge to use through programming. Building on this knowledge and understanding, we intend for our children to use information technology to create programmes, systems and a range of content. We aim to ensure that pupils become digitally literate – able to use, and express themselves and develop their ideas through, information and communication technology. Children confidently use the internet to explore and research the world around them. Safety when online, whether that is in school or at home, is paramount. Explicit online safety lessons give children the skills to use technology safely and identify and report when content is inappropriate.
Religious Education (RE)
“Equality implies individuality – respect and celebrate”
In an ever-changing human population, it is vital that children are taught to recognise and respect individual differences around them. An increasing ability to show recognition of different worldwide views and beliefs, including developing their own, will allow them to become an important part of communities, helping to maintain their own and others well-being whilst supporting those most in need. Children will be able to contribute to questions about religion within society from a balanced perspective, including sharing their own views and beliefs.
Religious Education is taught throughout our school in line with the procedures and guidelines laid down by South Gloucestershire locally agreed syllabus and guidelines from the Qualifications and Curriculum Authority, using Discovery RE for the delivery of RE lessons. Teaching of RE covers the main religions of the world including Christianity, Judaism, Hinduism, Sikhism, Buddhism and Islam, with the aim of enabling children to understand all religions, their beliefs and practices.
Our Collective Worship is largely Christian based, but not exclusively. Children have regular opportunities to come together as a school community, whether in class or during whole school assemblies. In these, we discuss core values, reflect upon our actions and develop an understanding of what is happening in the world around us.
These whole school opportunities and celebrations also allow the exploration of religions and worldviews from a global viewpoint to ensure they are aware of events happening in communities across the country, and indeed the world.
Collective Worship
Our Collective Worship is largely Christian based, but not exclusively, with a daily opportunity for worship during class or whole school assemblies. It is seen as an important part of our school day offering an opportunity to celebrate children’s achievements. Parents have the right to withdraw their child from Collective Worship. If you wish to do so we will be happy to discuss this with you.
Nature Explorers
“There is no Wi-Fi in the forest, but I promise you will find a better connection”
Our Nature Explorers is an inspirational process, which offers ALL learners regular opportunities to achieve and develop confidence and self-esteem through hands-on learning experiences in a woodland or natural environment with trees.
Forest School is a specialised learning approach that sits within and complements the wider context of outdoor and woodland education.
This learner-centred approach interweaves with the ever-changing moods and marvels, potential and challenges of the natural world through the seasons to fill every session with discovery and difference. Each session shares a common set of principles, aimed at ensuring that all learners experience the cumulative and lasting benefits that quality Forest School offers.
We are lucky to have a Forest School area where the children’s learning experience is enhanced through this outside classroom.
In Nature Explorers, all participants are viewed as:
⇒ equal, unique and valuable,
⇒ competent to explore & discover,
⇒ entitled to experience appropriate risk and challenge
⇒ entitled to choose, and to initiate and drive their own learning and development,
⇒ entitled to experience regular success,
⇒ entitled to develop positive relationships with themselves and other people,
⇒ entitled to develop a strong, positive relationship with their natural world.
It is important at Redfield Edge children gain experiences beyond the classroom door. We are very proud of all of our educational trips which have been carefully selected to enhance our already enriched and engaging curriculum.
We have trips on our doorstep such as visiting Kingswood Heritage Centre and other as far as London where we explore the Houses of Parliament.
‘Play is the highest form of research’
We want the children in Holly Class to have language rich, open-ended experiences which enable them to become independent and resilient learners. Our environment is skills based, ensuring children know where they can find the things they need to challenge themselves. We push the children to solve problems, to think for themselves and to overcome challenges. We want children to understand failure is proof they are challenging themselves as they are trying and learning from their experience. At Redfield Edge, we support children by creating an enabling environment (both physical and emotional) and through the relationships and interactions the children experience, working collaboratively or alongside the children as they explore and investigate. Our children feel safe, secure and build strong relationships with each other and with the adults in the provision. This ensures they are able to make progress from their individual starting points and have an enthusiasm for learning. The school’s Golden Threads of Community, Mental Health, Global Matters, Life Skills and Technology weave through our curriculum, encouraging deep thought, care and consideration of others and practical skills sets. Our children know that they will be listened to and respected which forms a culture of mutual respect, perfect for learning as they move through the school. Children are learning within topics and themes which are familiar and relevant to them and which they have chosen.
Imaginative Play
Life Skills
Developing Motor Skills
Exploring Materials
Creative Play
Teamwork
The Characteristics of Effective Learning demonstrate how an individual child learns:
⇒ Playing and Exploring
⇒ Active Learning
⇒ Creating and Thinking Critically
These skills are embedded in the Early Years Curriculum and are reported to parents at the end of the year.
Children’s progress throughout their first year at school is carefully measured by adults working in the classroom through observation and carefully planned activities. By the end of the academic year, children are expected to have achieved the Early Learning Goals. The Early Learning Goals are a series of statements clearly defining the expectations for children’s progress throughout the key 7 different areas of learning. These statements are divided into developmental stages that begin from birth and continue to the end of the reception year.
Redfield Edge is an inclusive school. We make every effort to meet every individual child’s needs whatever their starting point. All children in school are accepted equally, encouraged, respected and valued regardless of their ability and/or behaviour. Our aim is to provide children with the best possible outcomes in preparation for life-long learning.
**Special Educational Needs and Disability (SEND)**
The school’s provision for pupils who have special educational needs has been developed in line with the Education Act and takes into account the guidelines set out in the Government’s Code of Practice, and the Education Authority’s Policy and Procedures.
We endeavour to raise the aspirations and expectations of all pupils, including those with SEND by working collaboratively with parents and carers and listening to the voice of the pupil.
**Our Core Objectives**
To identify at the earliest opportunity those children with special educational needs and/or additional needs.
To provide, monitor and review personalised provision as appropriate and set realistic and challenging targets.
To work within the guidance provided in the SEND Code of Practice 2014.
To ensure that every aspect of a child’s development is taken into consideration and provided for within a whole school, inclusive ethos.
To heighten awareness that every teacher is a teacher of every child including those with SEND.
An appropriately qualified/experienced SENCO will be provided by the school to ensure that all of the points in this policy are upheld.
To provide support, advice and facilitate training for all staff working with pupils with SEND.
To develop and maintain partnership and high levels of engagement with parents and effectively liaise with outside agencies.
The aim of the school’s Special Educational Needs Policy is to ensure that the needs of pupils with learning, behavioural or medical difficulties are identified early and met within school. Sometimes the school seeks advice and guidance from outside agencies such as Educational Psychologists, consultant Paediatricians and the inclusion support service. Parents and children are involved in the setting up of an individual Support Plan, which may involve in-class support, 1:1 interventions and small group work.
A ramp from the playground provides access for those with disabilities. There is also a toilet facility for disabled children and adults. All the classrooms are situated on the ground floor.
The school’s last Ofsted Inspection Report said, ‘Teachers plan very well to meet the needs of disabled pupils and those who have special educational needs. Skilled teaching assistants provide effective support for these pupils. They ensure that all are fully included in lessons and help them to overcome many of their barriers to learning. Consequently, they make progress equal to that of their peers.’
Pupil Premium
The Government believes that the Pupil Premium, which is additional to main school funding, is the best way to address the current underlying inequalities between children eligible for free school meals (FSM) and their peers by ensuring that funding to tackle disadvantage reaches the pupils who need it most.
It is for schools to decide how the Pupil Premium, allocated to schools per FSM pupil, is spent, since they are best placed to assess what additional provision should be made for the individual pupils within their responsibility.
The money can be used to support pupil’s social development, pay for school clubs or trips, pay for school uniform or support learning within school.
Schools are free to spend the Pupil Premium as they see fit. However they will be held accountable for how they have used the additional funding to support pupils from low-income families. New measures will be included in the performance tables that will capture the achievement of those deprived pupils covered by the Pupil Premium.
Since September 2012, schools have been required to publish online information about how they have used the Premium. This will ensure that parents and others are made fully aware of the attainment of pupils covered by the Premium. Schools will be provided with information about strategies and interventions which can improve the progress and attainment of pupils from poorer backgrounds.
All Pupils
We strongly believe that here, at Redfield Edge, ALL pupils are challenged to maximise their full potential. Personalised targets are set in the core areas and rigorous assessment ensures that all learning is tailored to meet individual needs. Our aim is for ALL pupils to make outstanding progress and master core skills appropriate to age related expectations.
Looked after Pupils
We ask those parents and carers who have children adopted from care or who have special guardianship to inform the school so we can help support you and your child/ren appropriately. The designated members of staff for this are Lisa Robinson (Headteacher) or Jessica Griffiths (Deputy Headteacher).
Sensory Room
At Redfield Edge, we have a fantastic sensory room. Many children with many needs access this room to help regulate their emotions and sensory needs. Through the use of the black out pod or mini trampoline, the sequined wall or starry night projector, children can access this space and help their sensory diet.
Mindfulness Pod
Our Mindfulness Pod is on the playground where it is easily accessible to all children. It is a calm, inclusive space where children can go to have some time away from, what can be, a very fast-paced playground.
Two representatives from year 2 to 6 make up our School Council. The children are voted for by their peers and represent their class at regular meetings led by the Headteacher.
At each meeting the children follow an agenda discussing a range of themes including how to further improve the school, fundraising opportunities, curriculum enrichment opportunities, resources and the school grounds.
Two representatives from year 2 to 6 make up our school’s Eco team. This is a group of pupils who work together with a member of staff to improve the impact our school has on the environment. We are always thinking of ways to remain sustainable and reduce our carbon footprint. We endeavour to promote a positive attitude amongst children to take care of their wider environment and take responsibility in protecting the world in which they live.
As a school we recycle paper, card and plastic; compost food waste; encourage the use of the garden to grow our own produce; encourage pupils to conserve water and electricity; encourage pupils to look after the school grounds and throw litter away.
In school we have a dedicated Family Link Worker who works closely with our families providing pastoral support.
The Family Link service includes:
**Parents**
- Providing parents with support and information regarding their child’s emotional needs and well-being
- Advising parents on issues such as behaviour, routines within the home and attendance
- Developing parental engagement with their child’s learning
- Signposting families to other agencies – such as School Nurse,
- Parent support and SENCO (Special Educational Needs Coordinator)
- Leading regular support meetings dealing with issues such as healthy eating, bedtimes, homework support, sickness and absence
**Children**
- Counselling sessions to support children with anxieties, traumatic experiences and bereavement
- Social skills groups
- Sand therapy sessions
**Child Protection**
Our first priority is your child’s welfare and therefore there may be occasions when our concern about your child means we have to consult other agencies before we contact you.
The procedure we follow has been laid down by the South Gloucestershire Area Child Protection Procedural Manual.
Please have a look on our website for more information around safeguarding and child protection.
https://redfieldedgeprimary.co.uk/safeguarding/
Uniform
**Summer**
- Dark grey or black school trousers, shorts or skirt
- White or bottle-green school shirt/blouse or white short sleeved polo shirt
- Bottle-green school or plain jumper, sweatshirt or cardigan
- Green and white gingham or striped school dresses
- White, black or grey socks
- Black school shoes
**Winter**
- Dark grey or black school trousers, shorts or skirt
- White or bottle-green school shirt/blouse or white short sleeved polo shirt
- Bottle-green school or plain jumper, sweatshirt or cardigan
- Dark grey or black skirt or pinafore dress
- Black, grey or bottle-green tights
- White, black or grey socks
- Black school shoes
**Physical Education**
PE kits come to school in a named PE bag and consists of:
- Black Shorts
- A Redfield Edge PE t-shirt (in the colour of the child’s house)
- Socks
- Black daps
- White trainers
*Children in the Early Years Foundation Stage are encouraged to bring waterproofs and wellington boots to school for outside learning in all weather!*
Breakfast club starts at 7:45am and offers a nutritious start to the day with a selection of cereal, toast and fruit on offer. A range of activities keep the children stimulated once they have finished breakfast and opportunities are given to develop social skills and relationships with pupils from other year groups. Provision starts at 7.45am and finishes at 8.45am when the children are delivered safely to their classes. Breakfast club runs from Monday to Friday. There is a small charge for this service.
After school club starts at 3.30pm and finishes at 6pm. The children take part in a range of activities such as multi-sports, cricket, basketball, tennis and much more.
There is a small charge for out of school provision.
Extra Curricular Opportunities
- Art
- Netball
- Construction
- Football
- Mindfulness
- Choir
The ‘Friends’ of Redfield Edge
WHO ARE WE?
Our purpose is to enrich the lives of the children of our school and make memories which last a lifetime. Parents and teachers work together to raise money to spend on things not covered by the school budget. FoRE is a registered Charity, with elected trustees who oversee events and fundraising.
RECENT FUNDRAISERS
- 3 x discos per year
- Elf Wrapping room
- Redgefest summer fair
- Summer fun run
- Christmas cards
- 2024 challenge
- The Circus
- Easter competitions
- SATS breakfast
- Holly class bears
- Leaver’s gifts
- Advent calendar raffle
- Christmas jumper swap
- Bags 2 School
- School Lottery
RECENT PURCHASES
- Reading shed
- Playground equipment
- Timeline mural
- Outdoor floor painting
- New stage and lights
- iPads
- Sensory room
- Welcome bears for Holly class
- Refreshments for events
- Leaver’s gifts
- Class Christmas gifts
- Outdoor storage
- Netball posts
GET INVOLVED!
We are so appreciative of our parent helpers, and are always looking for more people to help out with events, share ideas, and join the charity committee. We’d love for you to join us!
FOLLOW US!
facebook.com/thefriendsofredfieldedge
instagram.com/thefriendsofredfieldedge
Redfield Edge Primary School
High Street
Oldland Common
Bristol BS30 9TL
Telephone 01454867165
Email: firstname.lastname@example.org
Follow us on X (formally known Twitter)
@HollyClass_RE @HazelClass_RE @PineClass_RE2 @WillowClassRE2
@BeechClass_RE @Maple2Class_RE @OakClass_RE
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A Regular Meeting of the Board of Directors (referred to hereafter as “Board”) of the Conservatory Metropolitan District, (referred to hereafter as “District”), was convened Monday, the 18th day of July, 2016, at 9:00 a.m., at the Conservatory Clubhouse, 2665 South Jebel Way, Aurora, Colorado. The meeting was open to the public.
**ATTENDANCE**
**Directors In Attendance Were:**
Laverne Palmer
Birgit Baldwin
Pedro L. Moczo, Jr.
Ronald Degenhart
Following discussion, upon motion duly made by Director Degenhart, seconded by Director Baldwin and, upon vote, unanimously carried, the absence of Director Staley was excused.
**Also In Attendance Were:**
AJ Beckman; Special District Management Services, Inc. (“SDMS, Inc.”)
Jennifer Gruber Tanaka, Esq.; White Bear Ankele Tanaka & Waldron, P.C.
Georgia Harland; Simmons and Wheeler, P.C.
Mike Pekas; Lenmar Corporation (via speakerphone for a portion of the meeting)
Sharon Fisher; Conservatory Homeowners’ Association (“HOA”).
See attached sign-in sheet for additional attendees
**DISCLOSURES OF POTENTIAL CONFLICTS OF INTEREST**
**Disclosures of Potential Conflicts of Interest:** Attorney Tanaka advised the Board that, pursuant to Colorado law, certain disclosures might be required prior to taking official action at the meeting. The Board reviewed the Agenda for the meeting, following which Directors Palmer, Moczo, Baldwin and Degenhart, along with each consultant, confirmed that they
have no conflicts of interest in connection with any of the matters listed on the Agenda.
PLEDGE OF ALLEGIANCE
Pledge of Allegiance: Director Moczo led the Board in reciting the Pledge of Allegiance.
ADMINISTRATIVE MATTERS
Agenda: Director Palmer reviewed with the Board the proposed Agenda for the District’s Regular Meeting.
Following discussion, upon motion duly made by Director Degenhart, seconded by Director Baldwin and, upon vote, unanimously carried, the Agenda was approved, as presented.
CONSENT AGENDA
Consent Agenda: The Board considered the following actions:
- Approve Minutes of the May 16, 2016 Regular Meeting and the June 6, 2016 Special Meeting, as amended
- Acknowledge Homeowners’ Association Meeting Reports/Updates
- Determine Director on Duty for the months of December 2016 and January 2017
- Ratify Independent Contractor Agreement for Concrete Construction between the District and Vandelay Construction LLC
- Ratify First Addendum to Independent Contractor Agreement with Bomar Painting for Monument Painting Services
- Ratify Assignment of Independent Contractor Agreement from Valley Crest to BrightView
- Ratify Addendum No. 5 to Independent Contractor Agreement (Landscape Maintenance Services 2016) dated October 19, 2015
Following review, upon motion duly made by Director Baldwin, seconded by Director Moczo and, upon vote, unanimously carried, the Board approved the Consent Agenda.
COMMUNITY COMMENTS
Community Comments: Ms. Fisher reminded those in attendance of the HOA’s Saturday Night movie night at the Frontier School soccer park at 8:30 PM. In the event of bad weather, the event will be moved into the school.
Mr. Pekas joined the meeting via speakerphone.
Director Palmer inquired about dead trees in Tracts I, J and K. Mr. Pekas explained that in his opinion trees die for various reasons and stated that Director Staley could more adequately explain the reasons some of the trees had died. Director Palmer inquired into whether Lennar had obtained information from their landscaper as to why the trees died. Mr. Pekas stated that they had not. It was noted that some shrubs and bushes had been removed but never replaced. Director Palmer inquired into whether the landscaping improvements being installed in the Lennar development include warranty protection. Mr. Pekas stated that landscaping improvements in the Lennar area are under a one-year warranty from the date of the initial planting. Mr. Baumgartner, a member of the community, noted that some of the trees in question are directly behind his property and noted that he believes that the trees are not receiving sufficient water. Director Palmer asked Mr. Pekas if there were drip lines to the trees. Mr. Pekas advised that the trees in Tracts I, J and K are watered by both drip irrigation and spray irrigation. Director Palmer asked if the water to the trees would be increased based on feedback from the community and asked Mr. Pekas if he would have the irrigation scheduled adjusted accordingly now that this matter and the desires of the community have been brought to his attention. Mr. Peaks gave no definitive answer.
Director Baldwin explained that Lennar is asking for a walk through of the area; however, the landscaping is nowhere near an acceptable condition and is wondering what would be gained from the walkthrough at this time. Mr. Pekas explained that his landscaping contractor is requesting the walkthrough so that they can be on the same page as to what needs to be addressed as his landscapers have advised him that the punch list items have all been addressed. Director Palmer asked if Mr. Pekas had reviewed the area to confirm that all the punch list items had been addressed. Mr. Pekas responded that he had not, but requested that Mr. Beckman set up the walkthrough sometime this week. Mr. Beckman explained that he would have to coordinate with the Landscaping Committee.
Director Palmer asked Mr. Pekas about the wildlife barrier that was requested by the District but not installed by Lennar. Mr. Pekas explained that a concrete pathway in Tract K provides ingress for prairie dogs which the barrier would not prevent, furthermore the wildlife barrier was deemed unsightly by Lennar and was cost prohibitive. Director Palmer asked if that information had been communicated to the District. She also asked about the addition of a previously requested trash can and pet waste station in Tract J. Mr. Pekas reported that these items are not included on the approved landscape plans and Lennar has no budget for these improvements.
Director Palmer noted the general discontent throughout the community with the native grass areas and noted there are a significant amount of weeds within the native area. Director Palmer explained that she previously discussed the landscaping approval with Mr. Pekas. Mr. Pekas provided her with an email communication in which Director Staley approved the landscaping plans for Tracts I, J, and K. Director Palmer then inquired with Attorney Tanaka as to whether such approval is binding since the action was taken by an individual director rather than a vote by the entire Board. Attorney Tanaka explained that the action was in fact binding because Mr. Staley is a Director and was appointed by the Board to serve on the Landscape Committee. Mr. Pekas noted that the native grass areas were recently sprayed with weed killer and he believes the areas look better.
Director Palmer then asked Mr. Pekas about the status of funding for the public art obligation to be paid by Lennar. Attorney Tanaka explained that she is working with the City of Aurora to obtain the amount of the funding that will be required according to the City’s calculations. Director Palmer asked about the location of the artwork and inquired as to whether Lennar would provide the finished surface area for placement of the artwork. Mr. Pekas explained that the landscaping plan includes the installation of 3/8 inch crushed granite at the location selected for the artwork which they are committed to providing. Mr. Pekas noted that Lennar would be willing to agree to provide the financing for the public arts obligation and the cost of the crushed granite installation to the District in order to bring this matter to a close.
Mr. Hogan asked about Tract K noting that the area skirting the retaining wall receives no water. He reported inquiring with the landscaping company employed by Lennar about the matter and that he was informed that the responsibility for the area lies either with the District or with the City of Aurora. Mr. Pekas suggested that this issue, and others like it that have arisen, might be remedied during the upcoming walk-through. Attorney Tanaka added that such issues sometimes never come to District’s attention because homeowner complaints are often made directly to Lennar and the District would appreciate that all outstanding issues be addressed in good faith in order to remedy them now as opposed to dealing with them in the future after Lennar has completed the project. Director Palmer asked Mr. Pekas if such complaints are being relayed to the District so that they may be added to the punch-list. Mr. Pekas explained that homeowner complaints, when received by Lennar, are handled by Larry Kelly at Lennar. Attorney Tanaka and Director Palmer requested that Lennar coordinate internally to keep the District informed of homeowner complaints arising from landscaping issues in tracts I, J, and K. Director Palmer asked Mr. Pekas if he would coordinate this process. Mr. Pekas stated that he would
not and that homeowners should contact Mr. Kelly. Director Palmer asked Mr. Pekas who he and Mr. Kelly report to. Mr. Pekas responded that Frank Walker is the person who oversees both he and Mr. Kelly and he can be reached at 303-754-0600.
Ms. Fisher asked about landscaping and landscape maintenance in Tract I. Director Palmer explained it was her understanding that the plan for Tract I specified that native grass be installed and that the District will not accept the maintenance responsibility if trees in the Tract are dead or distressed. Ms. Fisher asked about what constitutes “native” grass. Director Baldwin explained that currently only about 30% of the Tract contains native grasses which are tall and lack the broad leaves characteristic of weeds. Ms. Knabe inquired about necessary maintenance for native grasses. Mr. Beckman answered that frequency of mowing is dependent on precipitation but is generally performed between once and five times annually. Director Palmer added that for areas of native grasses that abut private property, the 2017 Request for Proposals for Landscape Maintenance Services requires the mowing of “beauty bands” where native is growing next to private property, twice monthly. Ms. Knabe expressed concern over the approved landscaping and asked for clarification regarding the process whereby landscaping plans are approved. Director Palmer explained that she reviewed emails forwarded by Mr. Pekas all Board minutes for that time period, and polled 3 of the 5 Board members serving on the Board during the time the landscape plan was approved. None of the 3 were given information about the instillation of native grass in Tracts I, J and K. The approval was given by Director Staley but not by the entire Board. Ms. Fisher requested that processes be put in place to prevent Directors from acting independently. Director Palmer acknowledged the concern voiced by Ms. Knabe and assured her that the need for Board concurrence for such actions will be made very clear. Mr. Baumgartner noted that much of the seeded area in Tract J has eroded and will need to be regraded. He also asked about the drip irrigation system in the Tract and other residents in attendance seconded his request that the system receive a thorough inspection prior to acceptance.
Mr. Beckman discussed other improvements within the Lennar area such as mail kiosks and retaining walls and suggested that they be professionally inspected prior to acceptance by the District. Director Palmer noted that the District will communicate information about these improvements to the HOA as information is received.
Mr. Pekas disconnected from the meeting at this time.
Claims: The Board reviewed the check register for the period ending June 30, 2016 including check numbers 2770 through 2780, totaling $33,137.81.
Following review and discussion, upon motion duly made by Director Baldwin, seconded by Director Moczo and, upon vote, unanimously carried, the Board approved the check register for the period ending June 30, 2016 including check numbers 2770 through 2780.
The Board then reviewed a second check register for the period ending June 30, 2016 including check numbers 2781 through 2788, totaling $28,000.90.
Following review and discussion, upon motion duly made by Director Baldwin, seconded by Director Moczo and, upon vote, unanimously carried, the Board approved the check register for the period ending June 30, 2016 including check numbers 2781 through 2788.
Ms. Harland noted that only 50% of the Valley Crest (not BrightView) invoice for the annual flowers is being paid per Board direction. It was later noted that Valley Crest reduced the bill by 50% and the Board agreed to pay this reduced invoice.
Ms. Harland also noted that the June water bill has not yet been received. Director Baldwin noted that Valley Crest is billing the District for irrigation repairs which are duplicated and she is working to try and get this resolved.
There were no claims presented for the period ending July 18, 2016.
Cash Position Schedule: Ms. Harland reviewed the Cash Position Schedule as of July 18, 2016 and the current cash flow projection through July 2017 with the Board.
Following discussion, upon motion duly made by Director Baldwin, seconded by Director Moczo and, upon vote, unanimously carried, the Board accepted the cash position schedule as of July 18, 2016 and the current cash flow projection through July 2017.
Financial Statements: Ms. Harland reviewed with the Board unaudited financial statements of the District for the period ending June 30, 2016. Director Palmer noted that the debt service payment will require the use of funds from the reserve fund.
Following review and discussion, upon motion duly made by Director Degenhart, seconded by Director Baldwin and, upon vote, unanimously
carried, the Board accepted the unaudited financial statements of the District for the period ending June 30, 2016.
**LANDSCAPING MATTERS**
**Landscape Expenditure Budget Tracking Matrix:** Mr. Beckman reviewed the Landscape Expenditure Budget Tracking Matrix with the Board. Director Palmer requested that a legend be added indicating green signifies amounts in budget and red signifies not in budget and that the Shrub Replacement Project be added to the tracking matrix.
**Report from Bright View:** Mr. Beckman reported to the Board that he did not receive the monthly report from BrightView in time for this meeting. He noted he will circulate the report via email once received.
**Landscaping Committee Update:**
*Status of Shrub Removal and Replacement Project:* Director Baldwin updated the Board on the status of the shrub removal and replacement project, noting that Summit Services, Inc., had begun work on Tuesday and should be finished by Friday of this week. Director Baldwin advised the Board that she requested BrightView to run the drip irrigation system twice daily, and asked Mr. Beckman to follow-up with BrightView to ensure compliance with this irrigation schedule. Director Baldwin also noted that she is coordinating a walk-through of the area affected by the shrub removal and replacement project with Summit Services, Inc. and with BrightView to inspect the irrigation system upon completion of the project. Director Baldwin added that it appears that with the scope of the project and the overall cost that the project will be slightly less than the original bid.
*Status of Pilot Project design by Ivy Street Design:* Director Baldwin briefed the Board on a meeting the Landscaping Committee had with Ivy Street Design on Thursday of this week. Potential areas for the pilot project include the Lennar Tracts and the entrances on Hampden Avenue. Director Baldwin advised the Board that Ivy Street Design will compile a complete inventory of plants currently in place and share findings with the Committee.
Ms. Simmel addressed the Board and explained that the HOA is considering prohibiting Cottonwood trees from new installations. The Board then discussed shrubs along Eastman and Conservatory Parkway noting that the shrubs need to be pruned and that notification should be made to the homeowners at that location about water discharging from the home onto District property. The Board directed Mr. Beckman to solicit a quote for trimming the shrubs along Eastman and Conservatory Parkway from
Summit Services, Inc. and to send a letter to the homeowner of the property discharging water onto the District’s property.
*Status and Impact of Upcoming Lennar Walk-Through:* Director Baldwin advised the Board that she will walk through the area with Director Staley next week. The directors agreed to email any areas of concern they have to Mr. Beckman by Friday of this week so that those concerns can also be addressed with Lennar.
**Manager’s Report:** Mr. Beckman reviewed his report with the Board. A copy of the Manager’s Report is attached hereto and incorporated herein by this reference.
**Status of Detention Ponds:**
*Engineering and Project Management Services necessary for Detention Pond renovations:* Mr. Beckman and Directors Degenhart and Palmer reviewed a bid tabulation with the Board for Engineering and Project Management Services necessary for the Detention Pond renovations. The Board also reviewed the budget available for Detention Pond renovations.
Following review and discussion, upon motion duly made by Director Baldwin, seconded by Director Moczo and, upon vote, unanimously carried, the Board authorized the Detention Pond Committee to interview Tamarack Consulting, LLC and Lamp Rynearson and to engage one of the firms thereafter.
**LEGAL MATTERS**
**First Amendment to Amended and Restated Intergovernmental Agreement between the City of Aurora, Colorado and the District:** Attorney Tanaka discussed the First Amendment to Amended and Restated Intergovernmental Agreement between the City of Aurora, Colorado and the District, noting that the City provided a few additional comments on the Amendment and that she has no objection to their revisions. Director Palmer advised that she will be meeting with the City of Aurora’s Management and Finance Committee on July 27, 2016, along with Director Degenhart, Attorney Tanaka and Mr. Beckman. Ms. Tanaka also noted that the City Council’s approval of the Amendment is scheduled for August 22, 2016. Board members were invited to attend the City Council meeting at members of the community but not as Board members.
Following discussion, upon motion duly made by Director Baldwin, seconded by Director Moczo and, upon vote, unanimously carried, the
Board approved the First Amendment to Amended and Restated Intergovernmental Agreement between the City of Aurora, Colorado and the District, subject to any needed finalization with the City of Aurora.
**Master License Agreement with City of Aurora:** Attorney Tanaka reported that the final Master License Agreement with the City of Aurora is in process and will be ready to submit in the next couple of weeks.
Following discussion, upon motion duly made by Director Moczo, seconded by Director Degenhart and, upon vote, unanimously carried, the Board approved the Master License Agreement with the City of Aurora, subject to finalization with the City and incorporation of any comments by the Board received by Ms. Tanaka within one week.
**BOARD MEMBER INPUT**
**Board Member Input:** Director Moczo advised the Board that he has marked prairie dog burrows in the District and contacted Orkin and arranged for removal of the prairie dogs.
Director Baldwin inquired about the frequency of irrigation inspection. Mr. Beckman advised that the irrigation system is inspected weekly. Director Baldwin requested that the inspections take place after the sod is mowed so that any damage from mowing can be addressed and repaired. Director Baldwin requested to meet with BrightView on Friday of this week to review the inspection schedule.
Director Palmer expressed concern about trash accumulating in certain areas of the District and requested Mr. Beckman follow-up with BrightView. Director Palmer also noted her satisfaction with the mowing of native grass performed in anticipation of the July 4\textsuperscript{th} holiday weekend.
**EXECUTIVE SESSION** Pursuant to Sections 24-6-402(4)(b) and (e), C.R.S. upon motion duly made by Director Palmer, seconded by Director Degenhart and, upon an affirmative vote of at least two-thirds of the quorum present, the Board convened in executive session at 12:05 p.m. for the purpose of discussing negotiations with third parties and receiving legal advice, as authorized by Sections 24-6-402(4)(b) and (e), C.R.S.
Pursuant to Section 24-6-402(2)(d.5) (II)(B), C.R.S., no record will be kept of the remaining portion of this executive session that, in the opinion of the District’s attorney, constitutes privileged attorney-client communication pursuant to Section 24-6-402(4)(b), C.R.S.
The Board reconvened in regular session at 12:17 p.m.
OTHER BUSINESS
Community Outreach: The Board discussed the following items as information to be included in the July 2016 Community Update. It was noted that, when available, this information will be posted on the District’s new website.
- Budget Workshop
- Shrub Removal and Replacement Project
- Landscaping RFP
- Ivy Street Designs Pilot Project
Public Arts Obligation: Ms. Tanaka addressed the Board on the public arts obligation and noted that the Board previously approved an assignment of the agreement that was originally with ADM, SAN-7353, LLC to Lennar but noted that a significant amount of time has passed and requested that the Board consider re-approving the assignment. Ms. Tanaka also noted that Mr. Pekas’s agreement earlier in the meeting to pay the District funds to install the granite base should also be incorporated since it was not previously included in the assignment.
Following discussion, upon motion duly made by Director Palmer, seconded by Director Baldwin and, upon vote, unanimously carried, the Board approved to re-approve the Assignment of Rights and Delegation of Duties Pursuant to Agreement Regarding Public Art Funds with the addition of the requirement for Lennar to pay to the District $1,500 for the installation of a foundation.
ADJOURNMENT
There being no further business to come before the Board at this time, upon motion duly made, seconded and, upon vote, unanimously carried, the meeting was adjourned.
Respectfully submitted,
By: [Signature]
Secretary for the Meeting
RECORD OF PROCEEDINGS
THESE MINUTES WERE APPROVED AS THE OFFICIAL JULY 18, 2016 MINUTES OF THE CONSERVATORY METROPOLITAN DISTRICT BY THE BOARD OF DIRECTORS SIGNING BELOW:
Laverne Palmer
Dan Staley
Pedro Moczo, Jr.
Birgit Baldwin
Ronald Degenhart
Attorney Statement
Regarding Privileged Attorney-Client Communication
Pursuant to §24-6-402(2)(d.5)(II)(B), C.R.S., I attest that, in my capacity as the attorney representing the Conservatory Metropolitan District, I attended the executive session on July 18, 2016 for the sole purposes of providing legal advice on specific legal questions and discussing matters subject to negotiation, as authorized by §§24-6-402(4)(b) and (e), C.R.S. I further attest that it is my opinion that all or a portion of the executive session discussion constituted attorney-client privileged communication as provided by §24-6-402(4)(b), C.R.S., and, based on that opinion, no further record, written or electronic, was kept or required to be kept pursuant to §24-6-402(2)(d.5)(II)(B), C.R.S.
Jennifer Gruber Tanaka, Esq.
General Counsel
Conservatory Metropolitan District
| Name | Address | Email |
|---------------|--------------------------|-------|
| Lynn Sims | | |
| Peggy DiFore | | |
| Ron Baumgartner | 2000 W. 13th St. | |
| Sharon Fisher | | |
| Brittany Bell | West 15th St. | |
| CAL HOGAN | 3000 N. 14th St. | |
| DERRISE KUBBE | | |
Action Items of Interest or Recently Completed:
No. 240: Ownership of Off-Site Detention Ponds: Item will be discussed in Executive Session at the July 18, 2016 Board meeting. The Pond Committee prepared and distributed a request for proposal for Engineering, Design and Project Management work associated with pond renovation work. The proposals will be reviewed at the July 18-2016 Board Meeting.
No. 309, Update to Master License Agreement: The document is approaching completion. A draft will be presented at the July, 18, 2016 Board meeting for consideration.
No. 392 Interview Design Firms: Ivy Street Designs was authorized to be engaged upon clarification of the scope of work. The revised and clarified scope of work was provided and the agreement was prepared and fully executed on June 30, 2016.
No. 367, Proposal for Removal of Remaining Dead Shrubs: At the May 16, 2016 Board Meeting the scope of work for shrub replacements was increased to $45,000 and the contract awarded to Summit Services. The work is expected to begin the week of July 12, 2016.
No. 394, Pet Waste Stations: A proposal for the installation of four additional pet waste stations was requested from Dogwood Poop Scoop for the entrances to City owned tracts, JJ and Z. The board decided not to pursue adding to landscaping areas owned by the City. The stations would have to have been added to the Master License Agreement.
Monument Painting: At the May 16, 2016 Board Meeting it was noted that the monument at the North entrance to the District was not painted. The Board authorized an addendum to the contract to include this monument. The additional monument was painted at a cost of $195.23. The addendum was signed on June 2, 2016 by Bomar Painting and the work was completed on June 5, 2016.
No. 344: Lennar Punch List Items: On May 2, 2016 AJ sent the final version of a letter to the City requesting that the final two Certificates of Occupancy be withheld by the City until Lennar has satisfied all punch list items and the public improvements are accepted by the District. A copy of the final letter was sent to all Directors under separate cover. Terry von Clausburg with the City subsequently confirmed via email that the City will add the District’s punch list items to the City’s items and require completion of all items noted prior to closing out the project. Mr. von Clausburg confirmed that withholding Certificates of Occupancy is an option the City may choose to exercise. In an email exchange on June 17, 2016 Mr. von Clausburg confirmed that he or one of his inspectors would attend the punch list walk through.
No. 388 Concrete at Mail Kiosk No. 5: On June 28, 2016 the work was completed. The contractor was subsequently asked to remove stakes and barrier materials, which occurred a few days later.
No. 403 Annual Color: Following the installation of the flowers Director Baldwin noted that the yellow flowers (Argyranthemum) had been cut and there were few blossoms remaining. Following many rounds of discussion the Landscaping Committee working through the Board decided to give the flowers a week to see if they would blossom as suggested by Bright View Landscaping. The flowers did not blossom to the satisfaction of the Board and the final payment was cut by one half for final payment of $2,415.
Irrigation Invoices: On June 22, 2016 Ms. Harland and Director Baldwin had numerous questions on several irrigation invoices where duplications were found for parts and labor. Invoices that should have been deleted from the Bright View system and reissued were inadvertently included in the billing. AJ worked with Ms. Harland, Ms. Palmer and Bright View to correct the invoices.
Schedule for Board Member on Duty:
| July 2016 | August 2016 | Sept. 2016 | October 2016 | Nov. 2016 | Dec. 2016 | Jan. 2017 |
|-----------|-------------|------------|--------------|-----------|-----------|-----------|
| Laverne | Birgit | Pete | Ron | Dan | Birgit | Laverne |
| Feb. 2017 | March 2017 | April 2017 | May 2017 | June 2017 | July 2017 | August 2017 |
|-----------|------------|------------|--------------|-----------|-----------|-------------|
| Pete | Ron | Dan | Birgit | Laverne | Pete | Ron |
|
Titre: On the Challenges of Implementing Machine Learning Systems in Industry
Auteur: Emilio Rivera-Landos
Date: 2020
Type: Mémoire ou thèse / Dissertation or Thesis
Référence: Rivera-Landos, E. (2020). On the Challenges of Implementing Machine Learning Systems in Industry [Mémoire de maîtrise, Polytechnique Montréal]. PolyPublie. https://publications.polymtl.ca/5538/
Document en libre accès dans PolyPublie
URL de PolyPublie: https://publications.polymtl.ca/5538/
Directeurs de recherche: Foutse Khomh, & Giuliano Antoniol
Programme: Génie informatique
On the Challenges of Implementing Machine Learning Systems in Industry
EMILIO RIVERA-LANDOS
Département de génie informatique et génie logiciel
Mémoire présenté en vue de l’obtention du diplôme de Maîtrise ès sciences appliquées
Génie informatique
Décembre 2020
© Emilio Rivera-Landos, 2020.
Ce mémoire intitulé :
On the Challenges of Implementing Machine Learning Systems in Industry
présenté par Emilio RIVERA-LANDOS
en vue de l'obtention du diplôme de Maîtrise ès sciences appliquées
a été dûment accepté par le jury d'examen constitué de :
Michel DESMARAIS, président
Foutse KHOMH, membre et directeur de recherche
Giuliano ANTONIOL, membre et codirecteur de recherche
Daniel ALOISE, membre
ACKNOWLEDGEMENTS
I would like to first and foremost thank Foutse Khomh for his help, guidance and trust during my long journey throughout my work. His continuous support and desire for seeing me accomplish my goals have allowed me to present this work.
I also would like to thank Md Saidur Rahman, for his help and consistency during our work with the industry partner: his availability and critical thinking have helped me question my own decisions in a more critical way during our work together – perhaps more than he knows.
I would also like to thank my friends who incited me to pursue my master’s and with whom I shared good experiences. In addition, I would like to thank all the people involved with AÉCSP throughout the years who made my journey special.
Finally, I want to thank everyone who has helped me directly or indirectly, either in technical or relational aspects, without whom this work would not have come to fruition.
RÉSUMÉ
Dans l’optique de ce mémoire, nous nous concentrons sur les défis de l’implantation de systèmes d’apprentissage automatique dans le contexte de l’industrie. Notre travail est réparti sur deux volets : dans un premier temps, nous explorons des considérations fondamentales sur le processus d’ingénierie de systèmes d’apprentissage automatique et dans un second temps, nous explorons l’aspect pratique de l’ingénierie de tels systèmes dans un cadre industriel.
Pour le premier volet, nous explorons un des défis récemment mis en évidence par la communauté scientifique : la reproductibilité. Nous expliquons les défis qui s’y rattachent et, à la lueur de cette nouvelle compréhension, nous explorons un des effets rattachés, omniprésent dans l’ingénierie logicielle : la présence de défaut logiciels.
À l’aide d’une méthodologie rigoureuse nous cherchons à savoir si la présence de défauts logiciels, parmi un échantillon de taille fixe, dans un cadriciel d’apprentissage automatique impacte le résultat d’un processus d’apprentissage. Nous cherchons à quantifier l’impact qu’a la présence, ou absence, de défaut logiciel sur le potentiel d’apprentissage.
L’application de la méthodologie nous mène à la création d’un cadriciel pour permettre de quantifier avec le moins de variables confondantes les effets du non-déterminisme : ReproduceML. À la suite de l’application de la méthodologie, nous n’avons pas été en mesure d’accepter l’hypothèse du test statistique qui permettrait d’établir que les défauts logiciels ont un impact sur la qualité d’un modèle d’apprentissage automatique.
Finalement, nous discutons des effets induisant le non déterminisme dans les systèmes d’apprentissage automatique et formulons des conseils qui s’appliquent à l’industrie et au monde de la recherche en général.
Pour le second volet, nous faisons un rapport sur les considérations pratiques que nous avons rencontrées dans le contexte d’un travail collaboratif entre notre équipe de Polytechnique Montréal et un partenaire Industriel. Plus spécifiquement, nous expliquons les problématiques auxquelles le partenaire d’affaire a été confronté et détaillons les systèmes d’apprentissage automatique que nous avons conçus afin de régler leurs problématiques.
Nous levons aussi le voile sur les défis techniques et relationnels rencontrés lors de l’exécution de ce travail. Suite à quoi nous formulons des recommandations qui se répartissent sur trois axes afin d’assurer une meilleure implantation des systèmes d’apprentissage automatiques dans un contexte industriel, mais qui bénéficiera l’ensemble des acteurs qui mettent en place de tels systèmes.
Software engineering projects face a number of challenges, ranging from managing their lifecycle to ensuring proper testing methodologies, dealing with defects, building, deploying, among others. As machine learning is becoming more prominent, introducing machine learning in new environments requires skills and considerations from software engineering, machine learning and computer engineering, while also sharing their challenges from these disciplines.
As democratization of machine learning has increased by the presence of open-source projects led by both academia and industry, industry practitioners and researchers share one thing in common: the tools they use. In machine learning, tools are represented by libraries and frameworks used as software for the various steps necessary in a machine learning project.
In this work, we investigate the challenges in implementing machine learning systems in the industry. We first look at one of the computational challenges dealing with machine learning systems: reproducibility and why it represents a significant crisis for current scientific research. We establish the fundamental factors that cause non-determinism in machine learning systems and propose that academia and industry both understand its impact. We then explore a rarely discussed source of non-determinism introducing factors: software versions.
Software products and thus machine learning tools have multiple changes introduced over their development. These changes are made for various reasons: performance gain, new features, defect corrections, among others. As these changes end up in versions and some not, different versions behave differently due to these changes being present or absent.
We explore this source of non-determinism by conducting an empirical study on the impact that one of these changes – bugs – has on machine learning systems. This study aims to quantify the impact that the occurrence of bugs (in a sample of fixed size) in a machine learning framework has on the performance of trained models trained using said framework. Counterintuitively we find that there is no current evidence based on our limited dataset to show that bugs which occurred in the framework PyTorch affect the performance of models.
We then look at the practical challenges based on our experiences in implementing machine learning systems for our industry partner with whom we collaborated to solve transactional problems. We describe the problems that we studied and our machine learning engineering approach to solve them. We share the lessons that we learned during the multiple months over which this project spanned. We also formulate recommendations for researchers and practitioners, to help ease the engineering of machine learning based software systems.
# TABLE OF CONTENTS
ACKNOWLEDGEMENTS .................................................. iii
RÉSUMÉ ................................................................ iv
ABSTRACT ................................................................ v
TABLE OF CONTENTS ..................................................... vi
LIST OF TABLES ............................................................ ix
LIST OF FIGURES .......................................................... x
LIST OF SYMBOLS AND ACRONYMS .............................. xi
LIST OF APPENDICES ................................................... xii
CHAPTER 1 INTRODUCTION ............................................. 1
CHAPTER 2 BACKGROUND .............................................. 3
2.1 Machine learning ..................................................... 3
2.1.1 Models .......................................................... 3
2.1.2 Training and inference ..................................... 3
2.1.3 Architectures ................................................ 4
2.1.4 Advent and differences of Deep Learning .......... 5
2.2 On measureability .................................................. 5
2.2.1 Software and computer engineering perspective .... 6
2.3 Engineering of Machine learning systems reproducibility .. 7
2.3.1 Software ..................................................... 8
2.3.2 Hardware ................................................... 11
2.3.3 Frameworks ............................................... 13
CHAPTER 3 LITERATURE REVIEW ..................................... 15
3.1 Reproducibility in machine learning .......................... 15
3.1.1 Reproducibility crisis ..................................... 15
3.1.2 Calls for reproducibility in machine learning ...... 16
3.2 Non-deterministic introducing factors ......................... 17
3.2.1 Root causes .................................................. 18
3.2.2 Controllable confounding factors ......................... 18
3.2.3 Summary .................................................... 20
3.3 Existing work on reproducibility for Machine Learning ....... 21
3.3.1 Measuring the effects of non-determinism ............... 21
3.3.2 Benchmarking ........................................... 23
3.3.3 Tools .................................................... 25
3.4 Research on machine learning bugs ............................. 27
3.5 Industry-Academia Relations .................................. 27
CHAPTER 4 EMPIRICAL STUDY OF THE IMPACT OF BUGS ON THE QUALITY OF MACHINE LEARNING SYSTEMS ........................................ 32
4.1 Context ....................................................... 33
4.2 Methodology .................................................. 34
4.2.1 Concept and Definitions ................................. 35
4.2.2 Procedure ............................................... 36
4.2.3 Artifacts generation .................................... 37
4.2.4 Evaluation .............................................. 38
4.2.5 Analysis ................................................ 39
4.3 ReproduceML .................................................. 40
4.4 Execution and results ........................................ 43
4.4.1 Methodology application ............................... 43
4.4.2 Experimental setup .................................... 44
4.4.3 Metrics calculation ................................... 46
4.5 Results and analysis ......................................... 46
4.5.1 Statistical analysis .................................. 46
4.5.2 Deviation of runs ..................................... 47
4.5.3 Unreported results .................................... 49
4.5.4 Summary ................................................ 49
4.6 Limitations and threats to validity ............................ 50
4.6.1 Triggering the bug .................................... 50
4.6.2 Model and dataset used ................................. 50
4.6.3 Non-deterministic inducing factors ..................... 51
4.6.4 Evaluation ............................................. 52
4.6.5 Build system ........................................... 52
4.7 Discussion ................................................... 53
4.7.1 Reproducibility and its impact on the industry and academia .......................... 53
4.7.2 Building ........................................................................................................... 55
4.7.3 Archaeology of software .................................................................................... 56
4.8 Future works ......................................................................................................... 57
4.8.1 Improvements to our methodology ............................................................... 57
4.8.2 Other related studies ....................................................................................... 59
4.9 Summary ............................................................................................................... 59
CHAPTER 5 INDUSTRY CASE STUDY WITH SAP, AN OVERVIEW OF MACHINE LEARNING CHALLENGES IN THE INDUSTRY ............................................. 61
5.1 Context .................................................................................................................. 62
5.2 ML-Based detection and correction of transaction errors ..................................... 63
5.2.1 Transaction and Transaction Errors ............................................................... 63
5.2.2 The Problem .................................................................................................. 64
5.2.3 Overall Solution Architecture ........................................................................ 65
5.2.4 Data Collection and Preprocessing ............................................................... 65
5.2.5 Feature Selection ............................................................................................ 66
5.2.6 Feature Extraction .......................................................................................... 66
5.2.7 Error Detection Approach .............................................................................. 67
5.2.8 Error Correction Approach ............................................................................. 68
5.2.9 Performance ................................................................................................... 69
5.2.10 Agile approach for research and development ............................................ 70
5.3 Lessons Learned .................................................................................................... 71
5.3.1 Software Engineering Perspectives ............................................................... 72
5.3.2 Machine Learning Perspectives ..................................................................... 74
5.3.3 Research Collaboration Perspectives ........................................................... 77
5.3.4 Recommendations ........................................................................................ 79
5.4 Conclusion ............................................................................................................ 84
CHAPTER 6 CONCLUSION .......................................................................................... 85
6.1 Summary of Works ............................................................................................... 85
6.2 Limitations ............................................................................................................ 86
6.3 Future Research .................................................................................................... 86
REFERENCES ............................................................................................................. 87
APPENDICES .............................................................................................................. 98
| Table 4.1 | Composition of experiment steps | 36 |
|-----------|---------------------------------|----|
| Table 4.2 | Attributes of an experiment | 36 |
| Table 4.3 | Metrics collection sample | 39 |
| Table 4.4 | Shared attributes for our runs | 45 |
| Table 4.5 | p-values of RQ1 | 48 |
| Figure | Description | Page |
|--------|-----------------------------------------------------------------------------|------|
| 3.1 | Non-determinism Introducing Factors sources and interactions in the machine learning workflow | 21 |
| 3.2 | Reported impact of practices in Industry-Academia Collaboration projects [1] | 30 |
| 4.1 | Distribution of metric values for bug study-pr31433 | 47 |
| 4.2 | Distribution of metric standard deviations across all experiments | 49 |
| 5.1 | Transaction data structure | 63 |
| 5.2 | Error detection and correction system architecture | 66 |
| 5.3 | Error detection performance | 70 |
| 5.4 | Top-k recommendation performance | 71 |
| C.1 | Distribution of performance metrics for excluded result study-pr35253 for using different seeds | 104 |
| C.2 | Distribution of performance metrics for excluded result study-pr32763 for using different seeds | 105 |
| C.3 | Distribution of performance metrics for excluded result study-pr33050 for using different seeds | 106 |
| Acronym | Description |
|---------|-------------|
| AI | Artificial Intelligence |
| ML | Machine Learning |
| DNN | Deep Neural Network |
| CNN | Convolutional Neural Network |
| API | Application Programming Interface |
| RL | Reinforcement Learning |
| DL | Deep Learning |
| GPU | Graphics Processing Unit |
| CPU | Central Processing Unit |
| VCS | Version Control System |
| NDIF | Non-deterministic Introducing Factor |
LIST OF APPENDICES
Appendix A Experiment configuration ........................................... 98
Appendix B Results ................................................................. 100
Appendix C Excluded results from statistical analysis ..................... 104
CHAPTER 1 INTRODUCTION
There has been a rise in popularity of machine learning, deep learning and data science in the last few years, due to the increase in reported performance for many real-world tasks. This newly found popularity pressures industries to create and adopt tooling for machine learning in a more data-centric world. However, while models are getting better for canonical tasks, both research and industry face their own set of challenges that directly impact their respective core mission. We examine these challenges of machine learning systems on a theoretical/empirical and an applied standpoint.
Reproducibility and empirical study
In the first part, we explore the theoretical shortcomings and the reproducibility crisis facing scientific workloads, with a focus on machine learning.
We first outline the problem and attempted solutions to the core scientific characteristics — reproducibility, replicability and repeatability — and to software engineering characteristics — determinism — in the field of machine learning. We explore the existing solutions by a literature review and find that there is a need for a better scientific process in machine learning. We also establish the important concept of “Non-Determinism Introducing Factors” as part of the literature review.
With these concepts defined, we study the empirical effect of the presence or absence of bugs in the machine learning framework PyTorch. To support further research efforts, we propose a framework for deterministic evaluation of software configuration effects in a real-life, but controlled, environment. Furthermore, we establish a methodology in order to reduce the sources of non-determinism introducing factors in our study and to properly evaluate the effects of bugs in machine learning frameworks. Our study is also crafted to make sure it adheres strongly to aforementioned scientific principles, so that our research is reproducible and extensible.
We then discuss the implications that these non-determinism introducing factors have on academia and industry. Notably, we provide some recommendations for better reproducibility in the machine learning. Practical challenges and considerations of carrying out build processes are also briefly discussed. We also explain the challenges of carrying out empirical version control history mining in open-source software repositories.
Engineering machine learning systems in the Industry
In the second part, we discuss the challenges and recommendations in engineering machine learning systems for the industry, in light of a collaboration between our team from Polytechnique Montréal and our industry partner SAP.
To do so, we first begin by reviewing the literature on the challenges of Industry-Academia Collaborations in the field of software engineering, at multiple levels. We then present the collaboration with our industry partner, by explaining the problematic they faced and how it was addressed by our team by using machine learning models.
Furthermore, we discuss the challenges we encountered during our collaboration in the perspectives of (1) software engineering, (2) machine learning and (3) industry-academia relations. Following these, we propose a set of recommendations for each perspective in order to efficiently engineer machine learning systems.
In the context of this thesis, we also provide new recommendations to the original set that was submitted and adopted by SAP. These additional recommendations pertain to reproducibility and its impact on machine learning workflows, in light of our work.
Chronology
The collaboration between our team and SAP started in fall 2017 and is still ongoing, albeit with different team members and scope of work.
The collaboration effort here expressed is situated between fall 2017 and fall 2018: the contact was first established in 2017, with initial data being delivered. A team member was then added and the official work as described began in 2018, in light of the early prototyping work done in fall 2017.
This period starting in beginning of 2018 up until summer 2018 is the work described for the proposed solution. The recommendations highlighted, however, are the accumulation of multiple years of collaboration and work not explicitly tied to the collaborations, i.e., personal experience.
The empirical study was done in fall 2020.
CHAPTER 2 BACKGROUND
2.1 Machine learning
Machine learning is a field of Artificial Intelligence in which the computer, which is referred as a model, learns to accomplish tasks by analyzing the patterns present in data [2]. Indeed, handcrafted heuristics (e.g., intelligent agents in a video game that use A*) or algorithms to solve a problem can be considered Artificial Intelligence. In machine learning, data is the key ingredient: procedures and algorithms are designed so that the behaviour is modified according to the data itself. Machine Learning (ML) finds its root in statistics and applied mathematics.
2.1.1 Models
We employ the term “model” as a scientific construct that describes how a system behaves. A machine learning model can be described at a high-level as an equation to describe a reality. In the case of ML, a model is a mathematical function: this function can be as simple as a linear combination with a single dependent variable, but typically involves a richer and more complex set of functions and operators. The goal of a model is to serve as a representation of a reality or desired behaviour, in this case described as output data. Canonical and earliest examples of such models are statistical models, e.g., linear regressions and ANOVA can be considered as models. Nowadays, machine learning is mostly regarded as a discipline in the field of data science.
2.1.2 Training and inference
The mathematical equations underlying a model are expressed in terms of parameters and variables. In this context, we refer to “variables” as traditional “dependent variables”. Parameters are numeric coefficients that interact with the variables to create equations. The process of finding the value for these parameters is known as model “training” or “fitting”. Within the field of ML, all training processes aims to achieve best performance, i.e., represent accurately a solution to a problem. Specific definition of this performance varies depending on the type of models and its complexity. Generally, this can be viewed as the optimization of a certain criteria; there are various optimization techniques across fields.
2.1.3 Architectures
Traditional statistical models use techniques based on purely statistical methods, e.g., Maximum a posteriori (MAP) or Maximum Likelihood Estimation (MLE) algorithms, etc. In this case, a model is modelled as an estimator to which bias and variance are defined by mathematical constructs. Furthermore, when using a Bayesian approach, one needs to postulate a prior distribution for the parameters that govern the model inputs, i.e., parameters. Multiple choices can be used for the prior distribution, depending on the available data. For example, in the task of natural language processing when training to classify texts containing sequences of words to know to which category they belong to, a plausible prior would be a function of the empirical frequency of words. One could also assign values sampled from a normal distribution or even uniform if no information is available or one wants no assumption.
It is important to note that some models have an optimal solution that can be determined mathematically, i.e., finding the optimal solution of a certain task, e.g., PCA or MAP under certain conditions. However, analytical solutions can become intractable as more data is given and complex equations are simply unsuitable for manual analytical computation. Therefore, training procedures can be modelled as an iterative process that minimizes a function. Traditional statistical models such as MAP or MLE can use an iterative process such as Expectation Maximization (EM) to achieve the most probable parameter configuration.
Often, Deep Learning (DL) networks are trained using the concept of *empirical risk minimization* [2]. The idea behind this concept is that we want to calculate the parameters that minimize the risk of having outputs different that are not compatible from the dataset, i.e., we want to have the output of our model as close to the dataset for the corresponding input. Instead of wanting to know the true underlying *true* distribution of the parameters, we compute an estimate of the divergence of our model by minimizing the *empirical* risk of these parameters giving diverging results: the measure of the diversion of results is known as our loss function. If the mathematical equation has computable derivatives, we can employ methods such as gradient descent to minimize this loss function. The efficient calculation of the gradient itself in DL is done by using backpropagation,
Moreover, the complexity of modern models as seen in DL is based on techniques developed to overcome the need for manual computation of derivatives. The use of auto-differentiation has been a major step in the availability to construct complicated networks.
The process of giving the model data and expecting a result is known as inference. The quality of a model is based on its inference capabilities among other factors.
2.1.4 Advent and differences of Deep Learning
While DL was present in the pre-2000 era, modern DL has been made possible by technological improvements over the years: the ability to ingest and store a vast quantity of data cheaply is one of the reasons DL has been made possible. Furthermore, ability to quickly make calculations on datasets using one or multiple Graphics Processing Unit (GPU) allows for faster training time that would have been order of magnitudes longer if done on Central Processing Unit (CPU). Contrary to traditional ML, DL can create powerful representations from data alone without too much need of the traditional manual feature engineering [2]. Instead, DL leverages its deep architecture to create intermediary representation of the data. Notably, Convolutional Neural Network (CNN)s on modern DL architectures create intermediary representations of edge detection that would have been manually created before, through the feature engineering process.
2.2 On measureability
The scientific process finds its core and credibility by laying down a framework to formulate hypotheses and verify them. An essential characteristic of this process is its validation and acceptance by reaching a consensus, based on thorough methodology and repeatable experiments. There are various levels at which an experiment can be conducted and reenacted by other scientists. We aim here to lay out some core terminology used throughout this work. As there has been discussion about this topic, in literature.
The Association for Computing Machinery (ACM) suggests the following terminology which we follow in this work (version 1.1) [3]:
- **Repeatability**: “The measurement can be obtained with stated precision by the same team using the same measurement procedure, the same measuring system, under the same operating conditions, in the same location on multiple trials. For computational experiments, this means that a researcher can reliably repeat her own computation.”
- **Reproducibility**: “The measurement can be obtained with stated precision by a different team using the same measurement procedure, the same measuring system, under the same operating conditions, in the same or a different location on multiple trials. For computational experiments, this means that an independent group can obtain the same result using the author’s own artifacts.”
- **Replicability**: “The measurement can be obtained with stated precision by a different team, a different measuring system, in a different location on multiple trials. For
computational experiments, this means that an independent group can obtain the same result using artifacts which they develop completely independently.”
Interestingly, ACM did have to change their definitions [3] to provide consistency with the National Information Standards Organization (NISO) for a standard still in progress [4]. With this standard, these aforementioned definitions hold with the current definition from NISO [4], but their definition does not include repeatability. Therefore, throughout this work we will refer reproducibility as being “a peer using author’s artifacts” and replicability as “a peer using new artifacts”.
2.2.1 Software and computer engineering perspective
A similar but not equivalent concept in software and computer engineering is *determinism*: whether or not a system would give the same output with no changes in the inputs of said computational system, excluding possible external corruption factors. This concept can be applied to multiple problems: automatons, algorithms, verification, among others.
Determinism is a strongly desirable property for software systems and algorithms, as it makes them verifiable thus more maintainable.
As a demonstration, suppose a bug is reported for a certain software module, which affects purely arithmetical operations. This bug happens if the input data has certain properties, e.g., if input’s mean is zero (0). A software engineer is interested in fixing this bug: to do so, he *reproduces*¹ the condition, i.e., software environment, in which the bug occurred. In this case, this means that the same input data needs to be used *and* the same version of the software module as reported having failed needs to be used. If the software module is deterministic, the software engineer should observe the same defect, as originally reported.
Let us assume that a second software module does similar calculations, but this time also introduces variance into the output value, by sampling a random value and adding it to the result. Such calculation uses a software module that requires a (pseudo)-random number generator to yield “random” values. At first glance, reproducibility looks harder to achieve since randomness in itself is non-deterministic. However since true randomness generation remains a problem in computer science, pseudo-random number generators are used. These can usually be configured, *seeded*, in order to get deterministic behaviour. Indeed, most programming languages have the concept of randomness seed, which allows to control the original value for a random number generator. The goal of the randomness seed is to ensure
¹This is a reproducible environment and data scenario. “Replicability” as we defined would be if the arithmetical operations on the input data were coded as a new software module and tested upon.
a consistent initialization value for the random number generation process. That is, given a specific initialization seed, output from the random generation process is deterministic.
When using ML techniques to create models, we integrate a stochastic aspect to our software process. Our assumption is usually that our dataset is observed data coming from an unknown distribution. Having such random variables and making assumptions on data, e.g., i.i.d allows us to leverage statistical methods to create some traditional ML models. Other models rely on other methods that still involve a stochastic process when sampling from an unknown distribution.
As a result, ML workflows are impacted by stochastic processes: in order to obtain a deterministic view of these workflows, there needs to be a control in the random seed of programs. Multiple factors can impact reproducibility as demonstrated by our simplistic example. ML workflows and libraries are considerably more complex than such a simple setup. Moreover, several other factors can impact reproducibility in computational workflows. These factors are broad and range from low-level implementation to high-level constructs in the computer and software engineering fields. In the following sections, we will explore software and computer engineering concepts related to reproducibility: software, software versioning, data sampling, runtime configuration, computer architecture.
2.3 Engineering of Machine learning systems reproducibility
In this section, we present the various processes that influence the ecosystem of ML. Explanation and laying out this information is necessary to understand the various interactions between components of a ML process designed to be reproducible. ML is used to make observation and inference using random variables and random processes inherent to the world we live in. Modelling uncertainty and randomness has been a core problem in computer science since its creation. Thus, we currently rely on pseudo-random number generators in order to mimic randomness.
In order to properly implement deterministic capabilities in a framework, it is imperative to know how the entire stack of hardware and software modules interact to create an output. Consequently, in this section we offer a brief overview of software and computer engineering concepts and explain how interactions between components affect ML processes.
In the first subsection, we introduce some of the common software-related tools used in ML and how their use can impact reproducibility. Likewise, in the second subsection, we look at how hardware components for computations used in ML affect reproducibility. Finally, we present PyTorch, a framework for scientific computation and DL model definition and
2.3.1 Software
While ML in itself is not tied to a specific programming language, trends among practitioners have increased the popularity of certain programming languages in this field. Nowadays, the most used programming languages for ML are: Python, C++ and JavaScript according to activity on GitHub [5].
In our work on ML frameworks, we specifically focus on PyTorch which uses Python as its interface for building computational graphs. Therefore a brief explanation of Python is necessary.
Python
Python is an interpreted, dynamically-typed programming language. While it lacks performance in comparison to much closer to hardware and compiled languages such as C++, its ease of use makes it a good candidate for quick prototyping and teaching. It is also designed to be easily extendable by users, by building python extensions. The reference implementation of Python is known as CPython, implemented in C and Python.
In general, Python compiles to bytecode and is interpreted by a Python interpreter: we refer to this environment as the runtime of the program. As such, runtime reproducibility entails runtime determinism. In other words, in order to ensure reproducibility in the ML workflow, and therefore in a computational workflow, determinism at the Python interpreter needs to be ensured. Mechanisms that affect the reproducibility in Python runtime are mostly related to the control of randomness within the program. It is partially possible to control determinism by fixing the seed of the built-in random number generator. However, other mechanisms affecting determinism in runtimes include thread interactions: when threads within the same runtime create sequence operations whose end results depend on the order of these operations. We will look at such problems in Section 2.3.2.
However, usually, threads are managed and created by the frameworks, by implementing their thread management or by using external dependencies.
Dependencies
A dependency in regards to software engineering is an external module on which a system relies to accomplish some functionality. Indeed, as reusability of software is a desirable and
use of external modules proven to be correct is possible, most non-trivial software projects integrate externally defined code into their code base. Using external dependencies therefore becomes a choice between effort, cost, complexity, security and time, among other factors.
In the context of ML, Python’s ecosystem offers a wide variety of libraries for data processing and model creation. As most of these libraries and frameworks try to offer the best performance, implementation of ML algorithms exclusively written in *pure* Python are rare. By pure, we mean that there is no external library written in something other than Python called. Indeed, most Python packages for ML and data processing are built with libraries that contain bindings to libraries written in other programming languages – usually C++ – to offer vastly superior performance. However, using externally defined dependencies for a library or framework imposes a choice: using static or dynamic links to said libraries.
Using static linking allows for software releases to be packaged with all the necessary components and core packages at the cost of high binary size. Most software now ship with dynamically linked libraries for core components.
To avoid being overly restrictive and offering poor compatibility across various systems, software makers have the choice to allow certain versions of their applications to dynamically linked without breaking the API. These considerations raise the need for versioning artifacts.
**Software releases and versioning**
Depending on the type of software, software releases are managed differently. Nonetheless, versioning systems allow a form of contract between the software makers and its users. While this contract is not enforced by entities, it is in the best interest of software makers to make sure changes to the released software does not displease their users and clients if applicable.
A well-known application of this process is the versioning of releases in a semantic fashion: semantic versioning of a system. While formal definition and guidelines of semantic versioning exist, software makers decide how to implement this process. Generally, under this paradigm, software distributors have *major* and *minor* releases – versions. Changes in major version usually indicate that multiple major new features are available under the new version or that there are changes that would break existing systems if they were to replace without modification their external dependency (the newly released software). Such changes are known as breaking changes. As breaking changes break backwards compatibility, they are usually planned along a policy determined by the software makers. Consequently, software makers include documentation on releases to inform end users if an upgrade towards their new version would break existing applications. Traditionally, changes made throughout releases
are collected into a Changelog that allows for documentation.
Each project deals differently with defects in their release process, but project maintainers usually explain their bug fixes throughout releases in the same manner as a changelog.
This approach is necessary on modern systems since software modules usually need multiple external dependencies. Each of these dependencies has its own development and release process. Consequently, management of dependencies can be complicated and lead to multiple issues if not managed properly: security vulnerabilities, low performance, incompatibility, etc.
**On the difficulties of releases**
As such, for a single software module that contains a set number of dependencies, there is a combinatorial quantity of different configurations possible; this depends on various factors.
From the point of view of a software maker, this combinatorial number of configurations to be supported is unmanageable. As a result, software makers usually constrain the version of software they allow to be used with their own software systems. This process is called version constraint. Nevertheless, a software system that is released, i.e., compiled – if applicable –, bundled and distributed represents a single instance of the multiple possible configurations.
While this distribution process is done by software makers with closed-sources, distribution of prebuilt packages is also present in open-source projects. Notably, when it comes to ML, libraries and frameworks that contain external dependencies are partially dynamically linked. By partially, we entail that there are some libraries that are statically linked while other libraries are dynamically linked. The process of building and linking binaries is done by the software makers or an external entity — whose trust ultimately goes to the end-user. However, users also have the choice of building their own version of software. This process is sometimes necessary for end users in order to customize the software, activate parts of the software that were not originally present or simply for security reasons. Most library and framework users do not build their own version of the software and rather rely on prepackaged versions made available by the software maker and/or distributor.
Developers of the software need to build versions for testing the software and implementing new functionalities. While projects have their own development workflow and process, usage of a Version Control System (VCS) is standard.
**Version control system**
For open-source project, defects are usually reported by opening issues on a bug tracking system to advise software developers that there is a problem. The quality and specificity of
issues reported in the bug tracking system varies greatly with factors such as project maturity and the user reporting the bug. Consequently, the reported issue goes through a project-specific workflow for assigning a priority for the defect severity. This process is known as triage and culminates in a user working on the issue. This user can be a member of the community or a member of the project itself.
When and if a fix is developed and tested, the changes made by the user that fix the bug are incorporated in the main tree of development. Eventually this fix is integrated in a release, depending on the severity of the issue and the timeline of releases.
In most cases, the process of contribution, e.g., providing a bug fix, goes through review, unit tests and eventually integration: this process is known as merge request or pull request, i.e., integrating — traditionally merging — branches in git. It is important to note that there are various ways to integrate changes into a git history, but merging and rebasing are the main techniques. Each of these techniques has upsides and downsides when it comes to git history management. One other mechanism which is also used in some software workflows is cherry-picking.
All of these techniques also greatly influence the ability of performing searches in a project and thus understanding the workflow and history of a specific open-source project.
### 2.3.2 Hardware
In this section we present an overview of the use of computer hardware that impact ML workflows and reproducibility.
#### Acceleration
Several components for ML have been developed by hardware makers to facilitate training and offer a competitive edge. Notably, NVIDIA remains the main provider when it comes to GPU acceleration for DL workloads: various tooling has been provided by the hardware maker. Notably, DL frameworks support CUDA based workloads to provide strong acceleration, whereas direct support for OpenCL is non-existent in TensorFlow or PyTorch. CUDA is a computational library made by NVIDIA in order to launch highly parallel programmatic computations on their GPUs, and is used throughout most DL frameworks to make computations.
When it comes to other types of workloads, hardware manufacturer Intel has released libraries to improve ML-based workflows with tools such as MKL [6], MKLDNN [7]. These respectively allow for optimized common operations of general mathematical functions and DL-related
operations on CPU. By using functions from such libraries, programs can leverage optimized Single Instruction Multiple Data (SIMD) operations and specialized CPU instructions to gain performance. Furthermore, these libraries can use parallel thread-based computations based on non CPU-specific instructions: these parallel threads open the door for floating point operations non-determinism.
Open source projects aiming to leverage hardware acceleration for ML-workloads are also seen in projects such as openBLAS, CPU acceleration of linear algebra using architecture specific vectorized instructions.
Tools mentioned are almost all used in modern ML-based workflows for training and even data processing; they constitute external dependencies for software-based ML frameworks and libraries.
ML frameworks often opt to include support for multiple of the above tools in order to support a wide user-base. Consequently, when packages for such frameworks are built and distributed, they come linked to these externally provided vendor libraries, see Section 2.3.1. Dynamic linking to these libraries creates challenges, as there is no strong guarantee that everyone has the same version of these external libraries, i.e., that symbols have not changed causing crashes upon execution. Fortunately, with the use of semantic versioning these difficulties can be reduced, provided libraries follow a documented approach to releases as described in Section 2.3.1.
**Floating point operations**
Floating-point operations can constitute a serious problem in ML and computational workflows, as calculations are prone to underflow or overflow, if care is not taken when implementing operations. Moreover, floating point operations can lose precision depending on the ordering of instructions.
**Representation and precision** Bit representation of decimal points in computers can vary from one computer architecture to another. However, a standard for representing floating point numbers for multiple binary sizes is described by IEEE-754 [8]. There are some problems when using floating points as described by this standard: precision of the result and sequencing of operations. Because there is a limit on the precision on the number themselves: when using a fix number of bits, it is impossible to represent an infinity of values using traditional computations. While the IEEE-754 standard offers a way to resolve rounding, it also entails that operations are non-associative [9]. In computational workloads, this means that the mapping of operation unto each core can affect the final result, i.e., additions are
not deterministic [9,10]. As ML frameworks use highly parallel environments to execute their operations, this means that the result of floating point arithmetic depends on the number of cores that are used. These are runtime and hardware-related sources of non-determinism.
**Quantization** While IEEE-754 mandates a representation of floating point numbers and a range of multiple bit widths [8], there has been a push for bit width calculations lower than standard minimal 16-bit (half) precision. The main argument for using lower bit width in DL, is a lower total size of model parameters [11] and faster inference, due to faster operations on hardware [12]. Both of these can decrease the computational energy needed, thus is suited for mobile devices [13]. This, however impacts the precision of number possible to represent.
**Underflows and overflows** In the more specific case of ML, operations that act on computations with small and big values have the potential to overflow or underflow. For example, when normalizing values coming from a Deep Neural Network (DNN), *e.g.*, calculating a softmax, the operation can easily overflow, if not implemented properly. Moreover, the nature of the calculations done in DL can also exhibit some shortcomings: the *vanilla* RNN is famous for its vanishing gradient problem due to successive matrix multiplication of small values.
For most common operations, frameworks provide operations that have been created so that they leverage the best performance by using computer architecture-specific instructions and accuracy. However, for problems regarding floating point precision, the runtime is a big factor and cannot be controlled by frameworks.
### 2.3.3 Frameworks
In this section, we present the base idea of a ML framework. We describe **PyTorch** at a high-level as it is the framework that will be used for our study in Chapter 4.
Here, we define a ML framework as a package or set of packages, *i.e.*, artifacts, that allows for end-to-end training of ML models. Therefore, libraries to provide scientific calculations such as **numpy** are not considered to be frameworks since more tooling is necessary to create ML models in a streamlined way. Nonetheless, ML frameworks do use such libraries in order to leverage reusability, at a cost that was explained in Section 2.3.1.
Popular frameworks for machine learning are **TensorFlow**, **scikit-learn**, **PyTorch**, **MXNet**, **CNTK**, **Keras** among others. These frameworks allow for the definition, creation and realization of a training procedure of a ML model.
In this thesis, we analyze specifically **PyTorch**, but the considerations for non-reproducibility
are similar for most other ML frameworks, as their goal remains similar.
**PyTorch**
PyTorch is an open-source computational and DL framework hosted on GitHub. The project’s first release dates back to 2016 and currently contains 30,000 commits over its 4 years of development. While it is open-source, the project is maintained principally by Facebook employees.
At its core, **PyTorch** is composed of two parts, with support for hardware acceleration across its operations. Its first part consists of a C++ library for manipulating tensors, *i.e.*, multi-dimensional data, for computational purposes as what is referred as “computational workloads.” Its second part is a module for creating and training DL models. The DL workload functionality is supported by their implementation of automatic differentiation [14].
Computations on **PyTorch** are done by manipulating dynamically a Control Flow Graph: a graph where nodes are operations and vertices are tensors (data). More importantly for our work, **PyTorch** supports multiple hardware to make sure computations on tensors are fast: they do so by referring them as “computational backends”. GPU support is boasted on their GitHub page, since most DL workloads run much faster on GPU due to their architecture. In Section 2.3.2, we explained how certain hardware acceleration software modules were designed by manufacturers. In order to accelerate their computations, **PyTorch** also uses other libraries such as MKL, MKLDNN, OpenMP to carry parallel computations, even when using a GPU, notably to accumulate (reduce) values in parallel. These computations are prone to the floating-point loss of precision and thus non-determinism explained in Section 2.3.2. Several other libraries are also used to make **PyTorch** work.
**PyTorch** makes use of these libraries in order to make sure that the tensor operations run optimally on most platforms. This also means that the codebase must interface with said external libraries: this is an important factor impacting reproducibility therefore our work, as the considerations about external libraries were explained in Section 2.3.1.
Furthermore, **PyTorch**’s release and management processes and special considerations will be discussed in Chapter 4, for our empirical study of the impact of bugs.
CHAPTER 3 LITERATURE REVIEW
This section aims to review the current literature on the two main themes of this work. First, we will review the state of reproducibility in ML, by explaining its importance, what factors affect reproducibility and how current tools and studies try to address the issue. In the second section, we review the literature on Industry-Academia Collaboration and present the general recommendations for efficient collaboration.
3.1 Reproducibility in machine learning
This section lays the foundation of our work for Chapter 4 in which reproducibility is at the core. Indeed this section will shed light on the various factors that affect determinism in a machine learning context. These factors directly impact the ability to conduct empirical studies in machine learning.
We first review the concept of reproducibility in science and showcase the “reproducibility crisis”. Then we review the literature in order to demonstrate that there is a critical need specifically in machine learning for reproducibility and repeatability. Then we introduce the concept of “non-deterministic introducing factors” which affect the ML workflow at many levels and that is key to improving reproducibility in this field. We also review existing works that treat reproducibility on three different levels: (1) the existing works on ML Non-deterministic Introducing Factor (NDIF), (2) the benchmarking tools adapted to ML and (3) the tools that exist for reproducibility.
Finally, we showcase the existing works that are related to our study of machine learning bugs.
3.1.1 Reproducibility crisis
The reproducibility crisis is acknowledged by many contributions from the literature: these come from many fields [15, 16] such as ML [17, 18], medicine [19–22] and other disciplines such as psychology [23], archaeology [24], among others. The general terminology for reproducibility include: “replicability”, “reproducibility” and “repeatability”. These terms have been defined and used multiple times throughout the literature, but the desire for the paramount need of reproducibility in science is not questioned [20].
In light of the need for reproducibility, many propositions for research guidelines have emerged by showcasing reproducible research [17], creating guidelines for research formulation [25],
guidelines for reproducible research [26–29] or even by modelling research [30, 31] and its workflows [32, 33]. We discuss many of these guidelines in Section 3.3.3. They are meant to advance the state of reproducibility in ML and science.
Multiple efforts have been made to enable a rigorous science for ML [25]. Furthermore, works by Vanschoren et al. try to standardize and centralize research results and processes for ML by constructing “experiment databases” [31], allowing for researchers to explore and query results from ML findings. Building on this work, Vanschoren et al. create OpenML, a platform allowing for sharing datasets, implementations and results among ML researchers [34]. Using such platform has the benefit of improving reusability and reproducibility of previous ML research.
Interestingly, the topic of reproducibility in “medical”-related fields has raised some relevant research: in the (bio)-medical field [19, 21, 22, 35–37] and neuroscience [27, 38].
There is a need for benchmarks in the machine learning community, as papers have shown that trivial changes in non-reported configuration for papers can lead to different results [37, 39]. There is also a call from scientists to use open source software for machine learning [40], as the use of undisclosed/private work hinders progress.
### 3.1.2 Calls for reproducibility in machine learning
Work by Pham et al. [41] studies the effects of non-determinism on ML training procedures: they show non-determinism can cause total failure of a training procedure (final accuracy of a model below 20%). Even when removing such extreme cases of training failure, they still report a potential difference in accuracy of up to 10.8%. Furthermore, when controlling as much as possible the sources of non-determinism – by setting special runtime configurations –, they still observed a 2.9% variation in accuracy across their experiments, which they attribute to “implementation-level non-determinism”: non-determinism inherent to their libraries and computing platform. Therefore, they recommend that when papers state improvement of state-of-the-art models that are less than this measure, care should be taken”.
Pham et al. also surveyed the literature to understand the state of reproducibility and repeatability in software engineering and artificial intelligence, and found that 19.5% of papers tried to use identical runs when reporting their results [41]. These findings outline the need for reproducibility in the field of machine learning, as well as the need for awareness on factors that influence the ML workflow. We discuss in more detail the work by Pham et al. in Section 3.3.1
Reproducibility has also been in the spotlight in reinforcement learning, as several papers aim
to raise awareness about it. Notably, a literature survey conducted in 2019 on conference papers show that only 5% of the papers applied a significance testing methodology: this survey was reported by Alberti et al. [42] but the original source is a talk by Pineau [43] promoting reproducibility in reinforcement learning. Following the same trend, there are discussions for better workflows in reproducibility [44].
Similarly, a recent analysis of code inclusion in ML papers found that 25.8% of DL papers include code [45]. The proportion is 50% for reinforcement learning [42]. While code inclusion in a research paper goes one step further for reproducibility, it needs to be usable. Thus, a study by Gunderson [46] goes a step beyond to introduce degrees of reproducibility, and find that most papers in artificial intelligence are not fully reproducible. A similar finding in studies for ML applied in medicine shows a 9% reproducibility [19].
There are also papers calling for better reproducibility, that share the same desire to have better reproducibility in ML [18, 47] and DL [38, 48].
Most of the above papers from the literature measure one way or the other reproducibility based on the criteria of obtaining reproducible results or the availability of artifacts from research. Reproducibility of the results is directly impacted by the underlying causes of variance: “non-determinism introducing factors”.
### 3.2 Non-deterministic introducing factors
In this section, we present the various *controllable* factors that cause non-determinism specifically in regards to ML. These factors are referred as “non-determinism introducing factors” and are borrowed from Pham et al. [41] and adapted with findings based on Crane [49] and Guo et al. [50]. Each of these non-determinism introducing factors find their non-determinism in some root factor: we explain these in Section 3.2.1. Then we define a list (3.2.2) of factors influencing the ML workflow that can be controlled and that enhances reproducibility in Section 3.2.2.
In the context of machine learning, we define “Non-Deterministic Introducing Factors” as any change in the ML lifecycle that directly or indirectly affects the training or inference results due to non-deterministic behaviours.
In other words, NDIF are factors that are important to consider to be able to *reproduce* an experiment.
In this section, we discuss the causes of NDIF only in the context of *computational output* reproducibility. We do not consider other forms of reproducibility, e.g., resource performance reproducibility. All the factors described below also do not mention obvious differences that
can affect the output, such as running *drastically* different hardware, software versions and hyper-parameters.
### 3.2.1 Root causes
This section discusses the root factors that introduce non-determinism in computational, thus ML workflows. While they are causes for non-determinism, they do not carry a negative connotation and are by-products of how computer science, computer and software engineering have dealt with fundamental problems.
**Randomness** We explained a basis for random seed and determinism in Section 2.2.1. The random number generation has an impact on all aspects of random-based calculations, thus determinism.
**Versioning** As we saw in Section 2.3.1, the number of possible configurations for a specific set of dependencies is combinatorial, *i.e.*, it is the product of each dependency’s allowed cardinality. As such, if no “pinned” versions are set, a specific version of a program might exhibit erroneous behaviour, while another valid configuration might not, as different software releases carry a variety of changes, such as bug fixes.
**Floating point operations** As we saw in Section 2.3.2, floating point operations are non-associative, thus the ordering on multiple threads affects the result of operations, potentially inducing non-determinism when parallel computations are done. Furthermore, the data itself has a representation with an associated precision: lower precision number and calculations affect the final output, thus influencing the capability to *reproduce* and possibly impeding the capability to *replicate*.
### 3.2.2 Controllable confounding factors
In light of the defined root causes for non-determinism in computational workloads, we propose a revised list for terminology to encourage reproducibility. We explain how these NDIF are tied to their root causes. Our list of controllable factors that introduce variability includes the following concepts:
- Random Seed
- Model definition
• Software versions
• Threading model
• Runtime
• Hardware
• Data
**Random Seed** In this context, it is important to remember that there are various random seeds: at least one for each runtime. Furthermore, a runtime’s dependencies, such as external libraries, may need to be configured before or during the runtime, as it may not be attached to the program’s runtime. Notably, when executing a program and using a random number generator, the program’s associated runtime will check to see if a special configuration was done. This special configuration is called “seeding” the number generator. Providing a specific value for the seed should generate the same random number from the generator, thus enhancing reproducibility.
**Model definition** While a model is generally static in its definition, there are some parts that may be affected by the random number generation. In the case of DL, model definition as a NDIF can be showcased by the presence of some layers that are subject to randomness effects, such as Dropout methods [51].
**Threading model** The main reason why a threading model can affect non-determinism is the non-associativity of floating-point operations. Therefore, training a model with multiple threads can affect the output of floating point calculations and therefore resulting in non-deterministic behaviour.
**Software versions** Software versions encompasses two aspects that are different: (1) direct software dependencies of the program and (2) software versions that are available in the runtime. While versioning is also a cause for non-determinism, it is possible to mitigate its effect by “pinning” versions for an experiment.
**Runtime** A runtime is the environment in which a program is executed. This can span multiple “layers”, e.g., a Python interpreter and virtual machine are runtimes for the Python language, which runs on an operating system. Each of these layers might run with different configurations affecting the output. As an example, a specific runtime might be built with
support for double precision while another might only perform standard precision operations. As previously stated, the computational runtime in which runs a program also dictates how the pseudo-random numbers will be generated.
**Hardware** The hardware used for a specific computation may yield different results in computational workloads for a variety of reasons. Fundamentally, different hardware might use different architectures which use different instructions which might yield different floating point precision. Specific implementation might offer different results due to specific instructions being available for specific hardware instructions, having specific hardware support for data types *e.g.*, half and double precision floating point support, or even using different than IEEE-754 representations [52, 53].
**Data split** While using a specific dataset already split in training, validation and test, there is another factor to take into account: the inner ordering of each of the splits. For analytical solutions, this might not pose a problem, but for networks trained with “mini-batches”, the size [54, 55] and order [38] affect the training. Moreover, for algorithms using optimization techniques such as Stochastic Gradient Descent (SGD), ordering of data affects the convergence rate, as samples are stochastically sampled, thus dependent on the randomness. While SGD is demonstrably stable [56], it does not guarantee determinism in output model function; it rather bounds the error. Furthermore the data shuffle can affect the convergence rate when using SGD [57].
### 3.2.3 Summary
We establish three root causes of non-determinism in computational and ML workloads: (1) randomness, (2) versioning and (3) floating point operations. These impact multiple aspects of the ML workflow by potentially introducing non-determinism: we establish a list of 7 controllable factors that should be disclosed when publishing material as each of these factors are a source of potential non-determinism. Fig. 3.1 establishes a mapping between these factors.
While all these NDIF *can* cause non-deterministic computations, it can be infeasible to duplicate every aspect. In fact, an exact duplication is highly unlikely and is the reason why standards exist, *i.e.*, defining a standard and allowing implementations that guarantee they respect the standard. The goal for *reproducibility* is thus to reduce possible NDIF in order to obtain same results *within the stated precision* [3]. Consequently, a proper calculation of the results with statistical analyses is paramount for reproducibility in computational sciences.
Figure 3.1 Non-determinism Introducing Factors sources and interactions in the machine learning workflow
and thus ML.
3.3 Existing work on reproducibility for Machine Learning
In this section, we detail the various works found in literature and in software that are closely related to ML reproducibility. First, we review studies that directly deal with NDIFs and measurement of their impact. Then we review studies and works that indirectly deal with NDIF, i.e., benchmark tools. Finally, we look at the various tools that exist in research for opportunities in reproducible ML.
3.3.1 Measuring the effects of non-determinism
In this section, multiple works from the literature are presented. Some of them explicitly deal with the measurement of NDIF while others obtain measurements on NDIF indirectly. Several of the works introduced here are also explained in the benchmarking Section 3.3.2. A recent study done by Pham et al. [41] directly showcases the problem of variance in
ML systems by measuring the impact that a random seed has on a model’s performance and measuring the knowledge among practitioners on NDIF through a conducted survey. To do so, they run multiple models on the same task with a specific random seed. They introduce, to our knowledge, the term “Non-deterministic Introducing Factor” (NDIF), which are the various sources of randomness that can affect a ML workflow. First they measure performance differences of up to 10.8% in terms of accuracy when no effort is done to deal with NDIFs. But most interestingly, when taking precautions by setting the random seed and disabling other NDIF, the range is still substantial: up to 2.9% of difference can be found, with an empirical standard deviation ranging from 0.1% and 0.7% (depending on the model used). They also measured accuracy variance across ML frameworks when setting a specific seed, but did not find that each of the frameworks had different variances [41]. However, they did find that when using different low-level libraries (GPU-related) versions, difference in accuracy can reach 2%. The conclusion is thus that current level of NDIF can empirically produce up to 2.9% variation in accuracy even when using the same seed and configuring the code to act in the most deterministic way; two statistical tests are used in order to assert at a 90% confidence-level. As for the survey, the results show that 83.3% of participants were unaware or uncertain of implementation-level NDIF [41]. Similarly, they find that 31.9% of the surveyed people are unaware of variance in ML, while 21.8% are unsure about variance presence in DL. These survey findings indicate the need for more awareness in the community regarding variance and reproducibility.
Another study from Guo et al. [50] tries to measure the performance difference in multiple DL frameworks: in order to do so, they create similar experimental runs across frameworks and conduct a statistical analysis to measure the impact of choosing a specific framework on accuracy. They also investigate the robustness of models trained by each framework against adversarial inputs. As with Pham et al., they select the best model out of multiple training runs. While Pham et al. used 16 runs to select the best model [41], the study by Guo et al. used the best out of 5. They also notice that across different frameworks, by using the same configuration, the weights and biases obtained by the models are different, thus their relative performance is different: they attribute this to differences in inner implementations of computations [50]. More specifically, PyTorch’s training results were more stable than CNTK, TensorFlow or MXNet [50]. This relates to the computational model definition of NDIF (see Section 3.2.3). Furthermore, they research the effect of quantization, i.e., using lower precision tensors in order to calculate results, on the performance of models deployed on mobile devices. While they did not observe statistically significant impacts of quantization on the real dataset inference results, they did find statistically significant differences on adversely generated examples [50].
When it comes to variability in results stemming from non-deterministic behaviours, several works in reinforcement learning point to big differences in performance metrics [58] where “a single source of non determinism” could lead to drastically different results. Nagarajan shows that these impacts appear to be more accentuated in the later phases of learning. Interestingly, a similar study but with CNN contrasts these findings by stating that changes in random seed affects mostly the early phases [59]. This might indicate an avenue for further research.
A poster presented in the context of neuro-engineering data consortium also highlights the issue: authors set the same random seed in order to measure difference in performance between different random seeds, and between PyTorch and Tensorflow [38]. They show a 7% difference between the random seeds; which is similar to the aforementioned results. More interestingly, they look at the “sensitivity to Data Ordering” and show that there is as much as 3% difference when changing the order in which the data was fed.
Measurement of NDIF has also been conducted indirectly, i.e., by works that aim to create benchmarking tools: we will discuss these in detail in the next section.
### 3.3.2 Benchmarking
Benchmarking is the process of evaluating and comparing several artifacts based on certain criteria. This is done to provide a fair comparison between artifacts. By its nature a benchmarking tool or suite is designed to provide a *fair* comparison by giving the same task to multiple artifacts. Multiple criteria can be assessed, but measurements and outputs are quantitative. Therefore, the act and process of benchmarking needs to be as *reproducible* as possible. Depending on the determinism and experiment variances that are present due to methodology, benchmark results are often repeated and averaged in order to compensate for these variances.
Other types of benchmarks measurements are also often considered. The performance evaluation, which captures a framework’s ability to train models rapidly is a key metric at heart of benchmarking. It is in fact the main goal of benchmarking.
In the following section, we explore the various benchmarking tools available for ML and DL. A recent comparison of popular DL frameworks is done in [60] in which they compare the performance on CPU and GPU as well as accuracy. Comparison is made with the same datasets and model architectures while leaving all default framework configurations. While authors disclose their hardware and use it consistently throughout their experiment, no random initialization control is made. To compensate, they average 3 runs for the same experiment.
Statistical relevance of results therefore is probably lacking. Moreover, as no control on randomness is done, some results about accuracy and convergence rate should be taken lightly. There is a GitHub repository that seems to contain the configuration and versions used to measure the results.
Another similar benchmark framework DawnBENCH [61] mainly focuses on end-to-end performance and high-level accuracy for the popular frameworks PyTorch and TensorFlow. The project aims to improve repeatability and proper benchmarking in DL workflows. In addition, they add cost as a metric. This project captures the essence of a benchmarking tool, but no control on randomness is done.
A study by Coleman et al. analyzed the output of runs executed on DawnBENCH to measure optimization repercussions [62]. The key metric in this work is a concept known as time-to-accuracy (TTA). This measure is the amount of time a model needs to be trained in order to achieve a certain level of accuracy. Within their analysis they did not use the same seed and observed that varying the randomness seed does not change the end TTA result, stating variance of 5.3%. Some may argue that 5.3% is in fact a big gap: indeed, in the search for deterministic and repeatable ML workflows, this variance needs to be diminished.
The same team behind DawnBENCH also created an updated benchmarking tool MLPerf whose purpose is to measure pure performance (i.e., speed) to reach TTA [59]. In their initial findings, they conclude that hyperparameters sharing, i.e., using the same hyper-parameters across different systems, is relatively portable.
Moreover, they state that small changes in the randomness seed with the same hyperparameters affect the final results, mostly early during the training phase.
In order to more adequately leverage the benchmarking process, they strictly prohibit data augmentation.
On the hardware side of tools, Fathom [63] was developed to measure difference in performance in order to help hardware makers optimize. Notably they implement reference DNNs workloads so that hardware makers can know if their changes have an impact on performance. Such a framework could also benefit from our work, since repeatability is at the core of benchmarking and measuring optimizations.
Similarly, a project called BaiduDeepBench [64] is created to correctly compare hardware in DL workloads. In this case, the main goal is to know which hardware gives the best performance for DL workloads. Rather than comparing models and frameworks, this is done by implementing as-close-to hardware-level instructions. Such project has the advantage of not being tied to any framework and measure a stricter set of operations. As DL frameworks use
the same constructs to leverage hardware-acceleration, overall effectiveness should transpose to the real-world use cases.
Another tool called TBD aims at benchmarking performance out of DL workloads [65]. TBD implements state-of-the-art models for ML frameworks TensorFlow, MXNet and CNTK. Authors also build tools to perform “end-to-end analysis” and provide recommendations for optimization in implementation of the frameworks.
Liu et al. talk about design considerations that need to be studied when creating a benchmarking tool for deep learning [66]. They find that runtime configuration as well as data configuration impact the performance of a model. The goal of this paper was to exhibit this behaviour so that makers of benchmarking tools take into account that these factors do in fact impact the output and performance.
A comparison of popular DL frameworks by benchmarking the performance is done by Shi et al. [67]. They demonstrate and explain why there are differences in training time for the same model within different frameworks. Notably, the presence or absence of certain CPU instructions in a version of TensorFlow would drastically alter the performance in comparison to other frameworks. This confirms our intuition that framework dependencies have a direct impact on runs, based on solely compilation factors, as authors note that a subsequent version of TensorFlow contained the fix to this.
Similarly, a comparison of different DL frameworks has been done by Guo et al. reporting that PyTorch performs better than others while using the same seed [50]. However, each model was trained 5 times as cross-validation and then benchmarked in inference of 10000 data points, which leads us to question the statistical significance of their results.
### 3.3.3 Tools
Each of the tools presented in this section aims to either encourage reproducible ML workflows for the ML’s practitioner or to help conduct reproducible research. Each of these affects the ML workflow in one way or another.
**Collaborative research** There is a promising tool for managing the ML workflow in an ecosystem called MLFlow [68]. Its main goals are to simplify the lifecycle of a ML project by wrapping over existing processes. Such encapsulation of the lifecycle, they argue benefit the ML practitioner. Moreover, reproducibility is boasted as one of its four challenges addressed. MLFlow allows for tracking of experiments metrics and configuration via file configurations. A similar idea for research experiments databases was proposed by Vanschoren [31] in order
to promote collaboration. While MLFlow only addresses part of the requirements of Vanschoren, anecdotally it seems to have a higher popularity. Work on experiment databases by Vanschoren goes a step further by proposing to create ontologies for experiments, in whichever field of research. By using an ontology using RDF descriptors, they provide a powerful capability on meta knowledge of the ML workflow and propose a sample modelling language for describing it: ExpML. Using such ontology for describing the ML lifecycle would in our opinion greatly help reproducibility and overall knowledge of the applied ML workflow.
In the idea of promoting research reproducibility and disclosure of data Zenodo was created [69]. Zenodo encourages researchers in publishing artifacts from research on their platform in order to achieve “open science”. Guidelines for reproducible research mention sharing artifacts as a guideline explicitly [70].
A survey was conducted by Isdahl comparing the existing ML “platforms”. These platforms are ecosystems for managing the ML workflow in some way or another [71]. They rank these platforms by comparing their “out-of-the-box reproducibility”. They show that most of these ecosystems offer some degree of reproducibility, but none of them achieves total reproducibility. Therefore, reproducibility is not yet completely managed by a single ML ecosystem and it is up to practitioners and researchers to make sure their work is reproducible.
**Data versioning** There has been some demand for data versioning systems [72, 73]. Data Version Control (DVC) is a tool that aims to facilitate scientific experimentation in ML, both in terms of shareability and reproducibility [73]. They use a variety of techniques and tools to make sure experiments can be easily shared and reproduced. They version data, models by using configuration files, without tying themselves with a specific run configuration, thus making it framework-agnostic. Our work, ReproduceML, resembles closely DVC as we also use configuration files to control reproducibility, notably for datasets. Our approach differs in that it acts more as a central database for collection and reproduction of runs. Moreover, we aim at ensuring that the runtime on which experiments are executed are tightly controlled, in order to collect measurements. Our work could use DVC in order to make sure data stays the same between experiments.
**Other tools** Other tools such as COBRA [74] aim to create reproducible setups of workflows by installing tools via a command line interface. A tool called ReproZIP is meant replicate experiments across various computers by capturing dependencies using tracing technologies [75]. They argue that configuration and moving from a research environment to a computational environment requires manual changes that discourage users from creating reproducible setups. There are certain ecosystems that have been developed for reproducible computations in the cloud, namely MULTI-X [35], PRECIP [76], and other unnamed solutions [77]. Other solutions such as CoLoMoTo are worth mentioning [36].
### 3.4 Research on machine learning bugs
In this section, we present the studies that are related to bugs in ML. Particularly, we will pay attention to the empirical studies that classify and measure the impact of bugs in ML programs. There have been two types of empirical studies conducted on the effect of bugs related to ML frameworks: studies on the bugs of the framework itself and the impact of the bugs on *end-user* code. Works on bugs in ML frameworks have been done on the past, but literature is rather sparse. There is, however, a vast literature for bug classification and prediction using ML techniques [78].
For research strictly analyzing only the bugs in frameworks, works by Sun *et al.* [79] and Thung *et al.* [80] are the main works on this topic in the literature. Both approaches mine the information from the source code and the associated version control system in order to create metrics and provide insights based on manual analysis. The former work considers *scikit-learn* while the latter examines Apache projects *Mahout*, *Lucene* and *OpenNLP*.
The other area of focus for research in ML is the impact on end users. Islam *et al.* have done research on understanding and classifying the “nature, root cause and impact of bugs” in DL frameworks [81]. They updated an existing taxonomy which was used for software engineering purposes. Zhang *et al.* classify the bug symptoms and causes [82] in *end-user* code, *i.e.*, repositories that use ML frameworks. Their classification of symptoms falls within the taxonomy of Islam *et al.*, if one does not consider their “unknown” category.
### 3.5 Industry-Academia Relations
The collaboration between industries and the academic world has been researched in multiple fields, not only software engineering. In this section, we present the takeaways from literature on collaboration between the Industry world and the Academic world. Such work has been labelled in many ways throughout the literature: Industry-Academia Collaboration, University-Industry collaborations and the most general research goal is to better to interaction between both parties, known as bridging the gap, or even “chasm” as the gap can be seen by many as considerable.
Improvements on collaborations between industry and academia have been made possible by
several publication approaches. One of these approaches is the publication of case studies in which Academia publishes reports on the experiences and outcomes of the collaboration. Next, literature review of case studies is a way to acquire insight from all papers that were published in the context of Industry-Academia Collaboration. Researchers identify and output recommendations based on the content of the published material. Such works were conducted by Garousi et al. [83] and Carver et al. [84]. One key factor here is that there might be sampling bias in the findings reported by the resulting papers. Therefore, a more global approach tends to be survey-based. Surveys are created to explore a research question on Industry-Academia Collaboration and are sent out to researchers. Results are then gathered and analyzed to produce an answer to the research questions. Such work is conducted by Garousi et al. [1] and tend to summarize quite well the current state of Industry-Academia Collaboration since there is less selection bias and data is available to verify the results.
Another approach to measure and present results coming from Industry-Academia Collaboration projects is the Collaborative Practice Research introduced in 2002 by Mathiassen [85]. This approach fuelled academia to use it as ways to bolster better research and collaboration. Notably, this approach has been studied and applied in studies such as [86].
In the following sections, we present the general topics of research in Industry-Academia Collaboration pertaining that are linked to our own industrial collaboration.
**Agile Methodologies**
A practitioner notes that the nature of an Industry-Academia collaboration project tend to be “waterfallish in nature” when they span over multiple years [87]. He notes that industries are more familiar with agile methods favouring shorter periods of work in contrast to a waterfall approach. Research on the length of Industry-Academia projects seem to vary depending on the location and other factors. Indeed, as seen in collaborations between industry and academia within countries like Canada and Turkey, most projects span several years [83]. Arguably, the number of projects in that study that reported length is quite low (12 out of 33). A more recent study done by the same authors on a wider set of industry-academia relations seem to indicate, however, that most projects are rather short [1]. Nonetheless, there is empirical evidence showing that collaboration between industry and academia are fortified by recurrent synchronized collaborations, whether it being by using an agile methodology or recurrent activities such as workshops [1, 83, 88]. This addresses one of the top challenges for a successful industry-academia project relation, i.e., “integration into daily work” of the industry partner [89]. Sandberg outlines that collaboration between ITU and its industry partner Ericsson is most successful if researchers use an agile methodology by recommending that research questions aim to produce artifacts quickly [86]. They also state that delivering an answer to a research question seems to be
optimal after 6 months using such agile workflows. Building on this work, guidelines for agile methodologies are presented by Sandberg [90]: the use of SCRUM methodology was seen by both parties as good by 89% of the concerned people. A common challenge for agile collaboration in research projects is the availability of research students participating in such collaboration environments [89, 90]. Notably, Runeson says on this topic having a more flexible schedule indirectly contributes to a more successful project, by ensuring time is spent by students in the industry [91]. This finding goes in hand with the challenges outlined by Wohlin [89] and a case study in which, as highlighted by Carver et al., where a lesson learned was that “personal commitment was needed from both the researcher and the industrial test manager” [84].
**The need of champions** Work done by Wohlin et al. establish that there needs to be a person on the industry side that drives the project: a “champion” [92]. This person must want the project to succeed and must provide the necessary help to the academic team. In this context, a “champion” differs from a “stakeholder”: the champion must actively have stakes and will for the project’s fruition, i.e., the simple act of appointing a specific person as a stakeholder does not guarantee this. Evidence of the importance of a champion is presented in [88], where it is stated that “the active involvement of the company’s CEO was of key importance for the success of the project.”
**Academia challenges** Researchers are expected to have multiple qualities to ensure a better project outcome. Notably, soft [93] and social skills [89, 92] are seen as good factors towards building a successful relation and thus project. In projects that are geared towards solving business problems, Palkar indicates that students in computer science and engineering that participate would greatly benefit from knowledge in business [93]. We believe this statement is a specific instance of the more general concept of having non-technical skills.
**Importance of non-technical factors** Several challenges have been reported by practitioners and academia, and suggestions for improvement have been made, as seen throughout the previously mentioned paragraphs. It is interesting to notice that non-technical factors are considered to be the most impactful factors in the success of these industry-academia collaborations. While this may be a bias in literature, i.e., the fact that technical challenges are not reported, a collaboration is purely a relationship construction. It thus makes sense that most challenges are on the non-technical side.
The largest current work on case studies reviews for software engineering Industry-Academia Collaboration is made by Garousi et al. [1]. In this work, 101 projects are analyzed to find and
rank patterns and anti-patterns affecting Industry-Academia Collaboration. Moreover, much like Wohlin [92] they output evidence-based recommendations for successful collaboration on the basis of the observed data. A summary of answers can be found in Fig. 3.2. The top three practices that *on average* have a positive impact on collaboration are relational-based: “(1) working in (as) a team and involving the “right” practitioners, (2) having mutual respect, understanding and appreciation, and (3) considering and understanding industry’s needs, and giving explicit industry benefits.”. In the same work, for anti-patterns, one of the top anti-patterns can be tied to a technical aspect. Notably the following anti-patterns constitute the main three practices hindering collaboration: “(1) poor change management, (2) ignoring project, organization, or product characteristics and (3) following a self-centric approach”. Unsurprisingly, the recommendations made by Garousi *et al.* in this work to avoid these anti-patterns are respectively to: (1) be flexible to change, (2) pay attention to both the industry partner and academia’s needs and organizational factors by encouraging the use of soft skills, and (3) for researchers to be open to criticism, *i.e.*, avoiding a self-centred approach.
Thus, we can see throughout multiple sources that a practitioner needs to have not only technical skills, but also relational skills [1, 93]
![Figure 3.2 Reported impact of practices in Industry-Academia Collaboration projects [1]](image)
Carver *et al.* report specific instances in which ultimately successful Industry-Academia Collaboration projects progress can be hindered by non-technical factors; in fact, the lessons are almost all of a relational nature [84]. Moreover, they found that frequent communication with
stakeholders was a key factor in establishing the relationship between the industry partner and the academic team. A case study with a medical industry partner also highlights some of the challenges in the industry-academia relationships; they give three recommendations in order to improve communication between the parties, encouraging training, documentation, and monitoring of the developed work [88].
**Other factors to consider** Data privacy and security are important factors to consider when starting a project since they can be the reason for cancellation of ongoing projects [1]. Moreover, these factors can potentially hinder research findings publications in academic journals because industry may want to retain intellectual property over the project and its artifacts. These are some of the reasons why reproducibility can also be hard to attain [70]. However, there is a growing need for a consolidated set of guidelines regarding software engineering for machine learning. We aim to contribute in filling this important gap by reporting about our experience building ML software components in an industrial context.
CHAPTER 4 EMPIRICAL STUDY OF THE IMPACT OF BUGS ON THE QUALITY OF MACHINE LEARNING SYSTEMS
In this chapter, we explore the theoretical challenges affecting the engineering of machine learning system and the ML workflow and how NDIF factors in. First, we assess the impact of bugs in the PyTorch framework on model performance. In order to do so, we create a generic methodology for measuring the effect of changes in ML frameworks and apply it on bugs present in PyTorch. The methodology has multiple steps in which systematic treatment of data is encouraged and is designed to promote reproducibility. We also discuss the various challenges in the reproducibility of ML workloads and their repercussion in the process of engineering ML systems.
We study and answer the following research questions:
**RQ1** Given a sample of fixed size of recent bugs in a given machine learning framework, does the occurrence of bugs affect the performance metrics of machine learning models?
In order to answer this question, we also formulate the following research objectives:
**RO1** Create a methodology to measure the impact of bugs in machine learning frameworks.
**RO2** Create a framework that minimizes the effects of non-deterministic introducing factors.
**RO3** Create the tooling towards systematic reproducible empirical software mining
**Structure** This chapter is organized as follows: In Section 4.1, we provide a brief summary of the context of this study. In Section 4.2 we present our designed methodology from data collection to the specific statistical analysis needed to answer our research questions. In Section 4.3, we introduce ReproduceML, a framework for reproducible machine learning training and inference. In Section 4.4, we apply the designed methodology on PyTorch and discuss the main considerations for applying the methodology. In Section 4.5, we conduct the statistical analysis of the results. In Section 4.6, we explain the main limitations and threats to validity of this study. In Section 4.7, we discuss the results, their impact on the ML workflow. We also comment on reproducibility of this study and the main challenges for conducting empirical studies of the same nature, and its impact of Industry and Academia. In Section 4.8, we list and explain a list of future works, mainly in light of the considerations and challenges discovered, while also providing improvements for the methodology.
4.1 Context
Frameworks and libraries in machine learning have various sources: products that were once used for internal research in companies are now distributed to the open-source community (e.g., Tensorflow and PyTorch). Such tools and frameworks are now becoming an essential tool for the ML practitioner. As these frameworks are developed and become stable, they are versioned and distributed, thereby becoming software products. As all software, they are susceptible to having bugs introduced in their codebase which by definition directly impact their usability.
Bugs in machine learning have been studied in empirical settings [79, 80, 82], but such studies have been limited to understanding the origin of the bugs and providing a classification [81]. The empirical impact of bugs on the machine learning process, however, has not been studied before, although works by Crane [49], Pham et al. [41] and Guo et al. [50] conducted studies on ML frameworks by using techniques to reduce the amount of NDIF.
Motivation In the machine learning research process, industry and academia both have a common task: improving the performance of their models rapidly and efficiently. Both use commonly available tools to carry out their experiments in ML: frameworks. However, as these products are software artifacts, they also exhibit their same potential for having defects. Quantifying the impact of these defects in the process of ML therefore allows to take educated decisions on the versions used to develop and deploy a ML system. Understanding the effect of defects in ML frameworks on the models will also allow us to gain understanding on the robustness of models as well as prioritize the bugs present in the codebase of such frameworks. The robustness of a model can be explained as its ability to adapt to defects. As ML models are mathematical equations, if the defects affect operations within the model, the resulting overall equation might behave similarly while some of the “inner” operations might change. However, while the model may behave differently internally, its output may remain the same. In a hypothetical case, we imagine a neural network that has L2 penalty applied to all the neuron’s parameters. If a bug affects the distribution of weights very weakly, say for rounding errors in arithmetic and exponential calculation, the weight of the models might deviate from their correct calculation. However, after passing the past neurons’ output into the current neuron, the resulting activation function threshold might still be met, therefore not affecting at all the model’s ability to learn.
Such theoretical cases, while good for improving one’s understanding of theoretical foundations of a model, have not been measured in practice and with changes that are empirical
rather than purely theoretical. Therefore, the goal of this study is to shed light on these issues by providing empirical evidence with real bugs coming from a popular machine learning framework. A by-product of this study is also gaining knowledge on how open-source (but maintained by companies) software evolves over time.
**Applicability on other frameworks** While the methodology allows for any “change” to be used, a proper analysis for the effect of bugs needs access to the source code of the framework and access to the bug information. Having clear information on these aspects allows for better information gathering that will be used in the filtering part of the methodology. Moreover, the software development process of the framework using a VCS greatly affects the applicability of this methodology. Indeed, using best practices such as indexing and addressing issues in an issue tracking system and creating small well-defined fixes in commits to fix these issues allows for a systematic way to find where the bugs where fixed. We discuss the challenges and particularities of applying this methodology to **PyTorch** in Section 4.7.
### 4.2 Methodology
This section describes the general methodology applied in order to measure the impact of *code changes* (and specifically bug fixes) in a ML framework. The main idea is to obtain versions of a framework before and after a change is introduced and measure the impact of the change based on an evaluation procedure we define.
First, we define a *change* as the difference between two accessible *versions* of a software artifact: note that this definition does not mention releases. Indeed, a *change* is merely the difference of the software at two points in the lifetime of the software. Practically, a change is a difference between *versions* in a VCS, *i.e.*, a difference between two “commits” in Git. Note that a change can span multiple individual commits, as is the case for changes between releases.
The presence and absence of a bug, by the process of bug fixing can be seen as a change; therefore this methodology applies directly to bugs; since the overall idea is to quantify the impact that the presence or absence of a bug has on performance, we use two (2) different versions of the framework. The first version containing the bug is denoted as “buggy” whereas the version that does not have the bug is denoted as “corrected”. While the steps taken are framework-agnostic, there might be subtle differences to take into considerations, notably in data collection and data filtering processes.
Generally, for an end-user of a library, the buggy and corrected versions would be separated
by an official release of the software. However, while applying the methodology using official releases would be much faster and accessible, by doing so we would not measure *only* the bug presence, but also all the other changes that were bundled in the same version. Therefore, we opt not to use official releases. **We rather compare on the absence and presence of a bug by obtaining an artifact, i.e., a build of version, with and without the defect’s presence.** In either case, buggy and corrected versions are both Git revisions. Consequently, for each bug the key information is its buggy and corrected versions.
We use the terms “revisions”, “commits” and “version” interchangeably without loss of generality. In the context of this study, acceptable can be different from state-of-the-art performance. Indeed, it is not currently uncommon to use various ensemble techniques to boost model performance. It is important to note that achieving the best possible performance is not the goal of this study nor a requirement: measuring the difference in performance is. Nonetheless, models are to be trained in the same way and achieve relatively close performance to their state-of-the-art counterparts.
**In the current study methodology, we propose to set the “buggy” and “corrected” versions as respectively, the last version that contained the bug and the version that contains the bugfix.** Therefore, the bugs are separated by a single commit
The general process consists of the following steps: (1) Data collection, (2) Data Filtering, (3) Artifact collection, (4) Experimental runs and (5) Statistical analysis. These steps are generic and can be applied to any ML framework, however special considerations might lead to small experimental differences from framework to framework.
The methodology is designed to reduce the amount of confounding variables and non-determinism, and thereby variance. The details of each step are found in Section 4.2.2.
### 4.2.1 Concept and Definitions
An experiment constitutes the whole metric collection process of a training procedure executed multiple times, each repetition is being denoted as a *run*, for a specific version of the framework. In this context, a training procedure aims to recreate as close as possible the process of learning used in modern machine learning; a run’s output is a trained model that gives acceptable performance along with the metrics calculated against a test set. An *experiment* is uniquely characterized by the attribute in table 4.2. More specifically, a training procedure (run) is the set of steps taken to train a model from scratch. In the case of neural nets, the training procedure consists of multiple training epochs over the same dataset and
updating the weights via gradient descent.
Table 4.1 Composition of experiment steps
| Term | Description |
|----------|--------------------------------------------------|
| Epoch | Ran multiple steps |
| Run | Ran multiple epochs |
| Experiment | Ran multiple runs |
Table 4.2 Attributes of an experiment
| Attribute | Description |
|-------------|--------------------------------------------------|
| Bug identifier | A user given name |
| Evaluation type | Either “buggy” or “corrected” |
| Model | Model used to train |
| Challenge | The dataset used to train the model |
| State | The random state used |
| Artifact | Specific build that showcases the bug |
| Software | Software dependencies used for the runtime |
| Epochs | Number of epochs used to train the model |
For each bug, we will conduct two experiments: one for the buggy and one for the corrected. We use the term performance as various measurements of a model’s capability to correctly accomplish its task. Notably, for classification problems, metrics used are Accuracy, Precision, Recall and F1-score, among others. In the context of this study, we are not interested in the traditional sense of performance, so we use “performance” to denote performance metrics.
4.2.2 Procedure
The following section describes the methodology procedure from extraction of the change information, to the actual measurements. The procedure can be summarized as:
**Step 1: Collection**: Gather bug information into set of all bugs $B_a$
**Step 2: Filtering**: Create a subset of $B_a$, $B_f$ that only contains bugs that are relevant (non-user) and “silent”
**Step 3: Artifacts**: Obtain artifacts for buggy and corrected versions in $B_f$
**Step 4: Evaluation**: Get performance metrics with the least variance as possible for both versions of each bug of $B_f$ by using a custom runtime
**Step 5: Analysis**: Conduct a statistical analysis to determine if the bug presence affects
Data collection The first step to data collection is to collect information about the past defects in the framework, i.e., identify what bugs are present. There are various ways this can be done as a consequence of machine learning frameworks varying in size, software engineering complexity, documentation and release process.
In either case of manual or systematic bug collection, the core information that needs to be available at the end of this step is: (1) buggy and corrected versions of each bug, (2) enough information to build an artifact for each version and (3) enough information on the understanding of the bug to apply a decision on the filtering process.
As mentioned before, we take buggy and corrected versions to be before and after a bug fix is applied to the main branch of the project.
Data Filtering After having collected all the bug information, there is a necessary step of manual filtering. Each project being managed differently, specific methods, adapted for each framework’s development life-cycle, to list potential bugs to be studied are to be considered. However, for each framework, the following conditions for a specific bug to be examined share the same rejection criteria:
For each bug $x \in B_f$
1. Reject $x$ if it causes a compilation error
2. Reject $x$ if it causes a runtime error, causing the application to exit (crash).
3. Reject $x$ if it is caused by end-user code
Bugs that comply with the previous conditions are added to the set of issues to be examined, $B_f$. Our reasoning behind these criteria is to only study bugs that are silent and could easily be missed during the process of training ML models. In the first two cases, we therefore remove from evaluation all non-silent bugs. Lastly, we do not consider bugs that would be opened due to errors by end users, as they do not constitute a bug of the ML framework itself.
4.2.3 Artifacts generation
This step aims to create artifacts that can be used to measure the impact of the bug at both buggy and corrected. For each bug-revision pair, one needs to go through the entire build
pipeline to produce an artifact that is suitable to be installed and measured in a “benchmarking” framework. The build process between a bug’s buggy and corrected revisions have to be identical, while the build and linking dependencies need to be tightly controlled. Ideally, build dependencies are identical as well as the build process. While this specific step is to-the-point, there are magnitude of precautions and limitations that one needs to take into account. Section 4.6.5 discusses the precautions and limitations in more detail, notably on why a single build configuration environment is probably not enough. Depending on the framework at study, certain other precautions might apply.
For each bug $x \in B_f$
- Identify the build tool chain and configuration needed, namely $T_x$
- Build a version $x_b$ for the buggy version using $T_x$ at revision buggy
- Build a version $x_c$ for the corrected version using $T_x$ at revision buggy and corrected.
### 4.2.4 Evaluation
For a single bug $x \in B_f$, let $e_b$ and $e_c$ be its experiment for respectively buggy (b) version and corrected (c) version. The only experimental attributes (see Table 4.2) that differ between $e_b$ and $e_c$ are their evaluation type $t$ and artifact $b$.
Additionally, the following criteria must be met identically for both $e_b$ and $e_c$, which we denote by $e$:
**Procedure** The procedure is the collection of metrics for an experiment. Notably, it characterizes a model’s performance given a specific set of experiment attributes.
- The experiment must consist of $N$ runs
- At the start of each run $r_i$, all random configurations must be reset to specific state $s$
- Each $r_i$ must consist of a training algorithm spreading over $e_t$ epochs
- At the end of each $r_i$, measure performance metrics on test set and record metrics.
An appropriate number of runs $N$ is to be set for analysis: this depends on various factors, but we recommend at least 30.
For each bug $x \in B_f$
- Choose experiment attributes $e$ (4.2) representative instance of $x$
• Apply evaluation procedure 4.2.4 with experiment attributes for $e_b$, the buggy version.
• Apply evaluation procedure 4.2.4 with experiment attributes for $e_c$, the corrected version.
For a single experiment, $e$, a sample output can be seen in table 4.3:
| | 0 | 1 | ... | N |
|----------------|-----|-----|-----|-----|
| accuracy | $a_0$ | $a_1$ | ... | $a_n$ |
| precision | $p_0$ | $p_1$ | ... | $p_n$ |
| recall | $r_0$ | $r_1$ | ... | $r_n$ |
| f1 | $f_0$ | $f_1$ | ... | $f_n$ |
### 4.2.5 Analysis
This step aims to define the measurements of performance of machine learning models running on artifacts, for both buggy and corrected versions. The general idea is to train both versions on the same model, hyperparameters, data, randomness configuration, data dependencies and hardware and gather a series of point measurements during training and evaluation: these are experiment attributes.
For a said bug, in order to quantify the impact of the bug, different distributions are measured: the distributions of performance metrics when the bug is present (buggy) and the distributions of the metrics when the bug is corrected (corrected). The multiple distributions recorded for each model consist of data points representing each of the performance metrics. In order to reduce the variability, the same random seed is used for each experiment, that is both the buggy and corrected versions of a bug will be trained using exactly the same data and initial random seed. More generally, the buggy and corrected versions should run with identical NDIFs, see Section 3.2.
**Hypothesis** In order to answer our research question, we define the following hypotheses:
- $H_0$ For a training procedure, there are no differences in the f1-measure between the buggy and the corrected version of a bug fix.
- $H_1$ For a training procedure, there is a difference in the f1-measure between the buggy and the corrected version of a bug fix.
We formulate the alternative hypothesis as a strict inequality since we have no prior knowledge of measurements, i.e., we use a two-tailed test. In order to answer research question RQ1, we use a
Wilcoxon-Mann-Whitney test between the performance metrics of each version, i.e., between the training procedure results using $e_b$ and $e_c$. Wilcoxon-Mann-Whitney is a nonparametric test that measures the difference in mean ranks between two samples [94]. There are two versions of this test: one in which observations are paired and one in observations are not paired. As the methodology prescribes that all initial factors be identical at each run, ordering of the runs is not important. Furthermore, the samples are not considered paired, as each run contains the same random seed configuration and is reinitialized to its initial state. In this case, as the metrics for runs are not paired we use the non-paired version Wilcoxon-Mann-Whitney’s test: the *Wilcoxon-Mann-Whitney U-test*. We will use a 95% confidence interval for measuring the impacts.
**Experimental Setup required** In order to get these performance metrics, one needs to train models repeatedly. However, using a traditional environment for training does not suffice. Indeed there are a plethora of factors affecting the performance of a ML model. In this study, it is imperative that the runtime and its dependencies be the same for both experiments of a same bug. Therefore, a consistent runtime needs to be used: we advise using ReproduceML, presented in Section 4.3 in order to consistently collect the data needed in this sections’ statistical analysis. While ReproduceML deals with the configuration of randomness and data across runs, there are other mechanisms that it cannot control, notably the runtime itself. Consequently, a virtual machine with predefined Docker [95] images provides a good compromise in runtime configuration and ease of configuration.
### 4.3 ReproduceML: a framework to support deterministic model performance assessment
The creation of ReproduceML is motivated by the need for reproducibility in ML and the lack of existing solution at the time of creation of the framework. It was originally designed to specifically run the experiments as explained in the Methodology Section 4.2 and thereby reducing the amount of variance between runs. At its core, ReproduceML is a Python training benchmarking framework focused on *repeatability* and striving for *reproducibility*. As there are technical limitations, prohibiting complete reproducibility, we will use the term “reproducibility” to indicate both “repeatability” and “reproducibility”. It is important to note that ReproduceML is not a ML framework: rather, it configures the necessary runtime mechanism for other existing ML frameworks in order to have reproducible results: it focuses on reproducible data splits and reproducible random state configuration where possible. Another goal of ReproduceML is to have a simple usage with as simple as possible opt-in mechanism: this is done by defining clear interfaces. While ReproduceML is young and currently only supports Python and PyTorch for its runtime configuration, additional configuration for other ML frameworks is well within the realm of possibility.
It is primordial to consider that ReproduceML aims to address reproducibility at the data and randomness aspects of the machine learning workflow. The goal here is not to create an ecosystem to
ensure reproducibility but rather to provide a framework for the specified parts: runtime configuration, data management and randomness seed archival. Other tools exist and their combined use with this framework is what will allow empirical studies to achieve better reduction of confounding factors.
ReproduceML performs the concept of “data versioning” but has some key differences to DVC [73]: our work is a benchmarking tool that integrates data versioning. DVC, however, is to be used in the ML workflow. The benchmarking system provides a centralized and clearly defined metric collection procedure. In short, it consists of two portions: a client and a server, each of which needs special configuration to achieve reproducibility. The client trains ML models in tightly controlled experiments which are given by a server. The server is responsible for giving the training and test data subsets in a deterministic fashion and to collect results from multiple clients. What makes this portion of the framework stand out from most other available frameworks is its focus on reproducibility rather than performance as seen in Section 3.3.2.
Ensuring reproducibility
As previously stated, there are two main parts interacting within the framework. In this section, we explain how ReproduceML deals with the essential parts of the machine learning workflow in order to have better reproducibility and repeatability than standard ML workflows.
When it comes to the use of ReproduceML, the server can be viewed as static, whereas the client is dynamic. Indeed, the server acts as a central repository for data collection, challenges and most importantly deterministic data serving to clients. Clients, on the other hand, are expected to widely vary in configuration, hence there are two key aspects to consider: (1) reproducible random seed initialization and processes during training and (2) communication with the server in order to collect data and send metrics.
Client The client interfaces with libraries and has the responsibility to configure the runtime using reproducibility mechanisms available in the dependencies. Therefore, the client is strongly tied to machine learning frameworks and their versions. The client therefore uses the built-in mechanisms of dependencies and frameworks to correctly set the runtime. As an example, the core of the framework comes with support for PyTorch and interfaces with the runtime for model training. Interoperability with various frameworks is done by leveraging the interpreted nature of Python and its mechanism for dynamic imports. Using this, ReproduceML sets the several mechanisms to make sure the randomness is controlled.
Users are expected to import their models by inheriting from a base class or creating a class that contains the model. The training procedure is entirely controlled by the framework as the interface from the base class is representative of a typical DL training procedure. Currently, ReproduceML comes with two predefined models for image classification VGG [96], AlexNet [97] taken from the
official implementation of PyTorch’s related module torchvision [98] which have been adapted. It also comes with a CNN inspired from VGG but adapted for working with 32x32 images, internally named VGG-X. When running a model with the framework, one specifies the runtime it wants to load and the model name, among other parameters. Therefore the goal is for a user to write their model with the ML frameworks of their choice, make sure it is supported by the framework and launch a client running procedure. Provided that the server is running, this setup will allow for reproducible runtime configuration done by the framework and the training sequence can begin.
Server The server responsibility of ReproduceML is two-fold: (1) keeping metadata and metrics about experiments and (2) serving data to a client in a deterministic and reproducible fashion. The server controls the metadata by holding and safekeeping seed values for an experiment. In this context, an experiment is a unique identifier that is supplied by the client. Deterministic random seeds are generated when a new identifier is transmitted by a client and are saved in a file by the server. These seeds are used both by the client and the server to configure the randomness on their end. On the server-side, data splitting reproducibility directly uses the random seed therefore allowing for consistent serving of data.
Moreover, the server collects metrics from runs by establishing a session with a simple protocol for communication. This protocol is followed by the current Python implementation provided in ReproduceML.
It is also possible to use the server as standalone and simply leverage the communication protocol defined within ReproduceML, as the underlying protocol is TCP. Therefore ReproduceML could be used to make a simple metric collection server and dashboard for comparison based solely on the identifier. This allows for other works to provide similar work of controlling randomness on the clients not using a Python runtime.
Communication The client and the server communicate over TCP to exchange training data, seed information and metric collection. There are some rudimentary safeguards currently implemented in ReproduceML’s communication protocol to make sure data is correctly received and unchanged. Notably, as a precautionary action, both parts of the communication check data integrity when receiving information. Security of the communication channel was not studied nor implemented in the context of this work as the current communication is meant to be done within trusted machines and/or networks.
Another precautionary action taken is by sending the value of the seed when the client asks for data for a specific run. The seed is compared to the server’s version and if a mismatch is found, the server stops. Moreover, a checksum is used on both sides to make sure data integrity and ordering are preserved.
Limitations
Notwithstanding, the limitation of work needed in order to add a ML framework, the main hurdles to usability is that ReproduceML is limited by the external ML frameworks’ ability to control randomness and ensure reproducibility. Therefore, we strongly encourage ML framework developers and hardware makers to provide compatibility for reproducible workflows. One limitation of the current implementation of this framework is the backup mechanism and checkpoint system for seeds: there is a mechanism in place in order to save the values when the program ends or a signal is received, but this needs to be done more periodically, perhaps at each generation, as unexpected errors can cause seed values to be lost in environments where programs can end at any moment. Moreover, as of now there is no validation set generation, i.e., data splits are made in “train” and “test”. As the primary intended use was for controlling specifically the random seed for the methodology, and since validation sets are used to tune hyperparameters and provide cross-validation, this feature was not included. It is however trivial to add support for validation sets if one desires to use it as a metric collection and challenge database. There are multiple factors affecting the stochastic aspect of training a model that cannot be controlled by runtime configuration: e.g., installed version dependencies and the runtime itself. These issues are meant to be addressed by other tools and techniques.
4.4 Execution and results
In this section, we first discuss how we carried out the methodology. We then briefly summarize the experimental setup used throughout the study. Finally, we present the results of our application of the methodology on PyTorch.
4.4.1 Methodology application
The current subsection presents the results and specific methodological considerations taken in order to carry out an empirical study for the bugs in PyTorch. The study analyzes the bugs on specific releases ranging from version v1.1.0 up to version 1.6.0. As short explanations on our study decisions will be discussed here, Section 4.7 provides a more thorough explanation on decisions taken here.
We divided the data collection step of the methodology into several sub-phases in order to provide a systematic approach whenever possible.
Data collection and processing In order to measure the impact of defects on PyTorch, we extracted 737 bugs following an automated approach to parsing of release notes published by the maintainers. This parsing yielded metadata such as the Pull Request number, links to description, etc. Out of this corpus, we analyzed 439 bugs out of which 115 seem to meet our criteria explained
Collection In the case of PyTorch, the software release process has been streamlined and changes are usually correctly reported in their Release Notes with corresponding bug fix information. Therefore, we use the bug fix sections of each release notes to construct our corpus. We followed this methodology since the bugs that are reported by the maintainers are guaranteed to be coming from the framework and are definitely labelled as bugs. As PyTorch’s repository is hosted on GitHub, it is possible to mine the issues to find the bugs since GitHub provides a web API to get information about issues opened and their labelling scheme. However, we found that in practice this approach leads to more complications, as a bug might be wrongly labelled by the triage system in place. Additionally, using an issue-mining approach is time dependent, as labels can be added and removed at any time. Following the guideline of never changing the content of an official release by using consistent semantic versioning principles allows us to mine the information directly from the release notes.
Filtering For this study, in addition to the clear criteria established in the methodology, we added the following constraints to limit the search of bugs. These constraints were applied in order to prioritize bugs that would have a clear impact on training and that would be easy to replicate. Thus, a manual filtering effort was made on the 439 bugs with the following additional criteria:
- Rejection criteria:
1. Is on CPU (takes too much time)?
2. Version <= 0.x (early versions are more difficult to make models for)
3. Don’t see an application that would be affected
- favourable acceptance:
1. Related to gradient
2. Related to math functions
3. Recent version of PyTorch (> v1.0.0)
This effort was made by people possessing a working knowledge of ML and DL. We use “favourable acceptance” instead of “acceptance”: this is done to avoid false negatives. This criterion still led to false positives and false negatives, we discuss this in Section 4.7.2.
4.4.2 Experimental setup
Multiple systems were used in order to conduct this study: in this section we overview the overall experimental configurations. For a complete list of our hardware and software used throughout the sections, see appendix A.
Building To build the various versions of PyTorch, we used Google Cloud Platform (GCP) virtual machines running Docker containers. Specifically, we use n2-standard-16 machines that directly mount docker containers. We use two images to build the versions: the first is a container loaded with the tools needed to build PyTorch at Python 3.7.9 while the other is for the version 3.6.7. This dual setup is to make sure that we replicate a plausible build: a more in-depth explanation of time-related builds and software archaeology explains this in Section 4.7.3.
Evaluation For running the experiments, we leverage virtual machines for hardware control and Docker containers for software and runtime dependency control. The virtual machine used is a n1-standard-16 with virtualization on Skylake CPUs running Linux kernel version 5.4.0-1028-gcp, on Ubuntu 18.04.5 equipped with a NVIDIA V100 SXM2 16B rev al running driver 450.51.06 with CUDA 11.0. Experiments ran on Docker 19.03.13 accelerated by the nvidia-container-runtime. One might notice that the CUDA version is different between the build developer tools and the runtime. This is partially a configuration error as the original idea was to run the NVIDIA CUDA 10.1. This should not change the result as NVIDIA promises binary compatibility between versions [99]. This is indeed the case as our experiments can be run and still use the libraries against which they were built.
For ReproduceML, we use the code at revision v0.1.0. At this version, the optimizer is set by the framework and uses SGD with a learning rate of 0.01 and a momentum of 0.5.
Our current experimental runs use VGG-X from the default models provided by ReproduceML to run experiments on working on the CIFAR-10 dataset. A brief description of the architecture can be found in appendix A. This choice is motivated by a good balance between complexity, time to train, and relative novelty of the model. We run our model for 30 epochs over 50 experimental runs for each of the buggy and corrected versions.
We chose to experiment on a Docker container in order to provide a reliable and reproducible software configuration. The overhead induced by Docker is not noticeable and has been shown to be small when training models [100].
Notably we use the following common experiment attributes:
| Attribute | Value |
|-------------|----------------------------------------------------------------------|
| Model | VGG-X (no Batch Norm) |
| Challenge | CIFAR-10 |
| State | Depends on the bug |
| Software | Depends on the bug, but Docker image contains specifics |
| Epochs | 30 |
The random state used varied from a bug to another, as we are not interested in measuring the
stability for a single random seed. Within a single bug, the random seed stays identical for all the runs.
4.4.3 Metrics calculation
Since our challenge is CIFAR-10, the problem is multiclass. Therefore, there are multiple ways to calculate the accuracy, precision and recall. In this study, the scores reported are using the unweighted mean of scores of each metric. That is, we average the metric for each class, without weighing by the number of representatives in each class.
4.5 Results and analysis
This section presents the results and the analysis conducted for 18 bugs in our corpus. We present the results after having processed the log files emitted by our experimental setup. There were manual steps needed to parse and verify that results were clean of any mistakes. Notably, we verified that each experiment was conducted under the same experimental setup as described in Section 4.4. Out of the 115 candidate bugs for our experiment, we have been able to measure successfully 18 and conduct the Wilcoxon-Mann-Whitney test on their buggy and corrected versions. We find that there is currently no statistically significant evidence that the occurrence of bugs in the studied ML framework affects the performance of models trained using the framework. Discussions about these results follow in Section 4.7.
Note that there are two bugs that did not complete the 50 runs mandated for both \texttt{buggy} and \texttt{corrected}, namely experiment \texttt{study-pr36832} for its buggy version completed 47 runs (and 50 for its corrected). The second is experiment \texttt{study-pr31433} which completed 43 runs for its corrected version and 50 for its buggy version. All other bugs completed 50 runs; we will mark with “†” results that did not complete full 50 runs for both versions. We kept these two bugs for full disclosure.
4.5.1 Statistical analysis
As mentioned in the methodology, we use a Wilcoxon-Mann-Whitney non-paired test to test whether or not the results did show an impact. Table 4.5 shows the p-values of the hypothesis test for all our experiments.
The Wilcoxon-Mann-Whitney test can accept different number of samples in each population, but in this case, we choose to only compare the same number of samples in the population. That is, for the bugs that did not complete the full experiments, the values portrayed are for a Wilcoxon-Mann-Whitney test done with the minimal number of runs available by either buggy or corrected version.
Statistically significant result We can see that only a bug did show in fact a statistically significant result for our experiment: study-pr31433. This bug’s corrected version did only complete 43 runs. Even when computing the p-value by using the maximum number of samples in each population (50 for buggy and 43 for corrected), we still obtain p-values less than 0.05 for each metric. We can see the distribution of each metric in Fig. 4.1. Interestingly, this bug is not related to our CNN: the bug fix is related to completely different files (about LSTMs).
We categorize this value as an outlier as there is no reason to suspect there was a difference between the two versions. Furthermore, we think that there is several aspects that introduced non-determinism in our experiments: these will be explained in Section 4.6.
4.5.2 Deviation of runs
We here report the standard deviation of each metric for our runs, for each bug and metric. This allows us to observe the effects of NDIF on the runs. The table in Appendix B shows the complete result. Taking from this table, we can observe in Fig. 4.2 that the standard deviation for each metric is pretty small for all runs, indicating that some control of NDIF was done, without, however, quantifying the impact that is left to control.
Table 4.5 p-values of RQ1
| study-pr31167 | 0.62929 | 0.42190 | 0.58365 | 0.88217 |
|---------------|---------|---------|---------|---------|
| **study-pr31433†** | **0.03320** | **0.00243** | **0.03508** | **0.01057** |
| study-pr31552 | 0.92581 | 0.58365 | 0.97525 | 0.73292 |
| study-pr31584 | 0.58356 | 0.56486 | 0.62208 | 0.57893 |
| study-pr32044 | 0.84956 | 0.39074 | 0.78009 | 0.48842 |
| study-pr32062 | 0.46259 | 0.87673 | 0.45033 | 0.77481 |
| study-pr32350 | 0.48821 | 0.55096 | 0.53270 | 0.65657 |
| study-pr32541 | 0.63418 | 0.63185 | 0.61237 | 0.39074 |
| study-pr32829 | 0.50135 | 0.21085 | 0.50589 | 0.39455 |
| study-pr32831 | 0.66144 | 0.94230 | 0.65657 | 0.95327 |
| study-pr32978 | 0.31404 | 0.29949 | 0.35740 | 0.44620 |
| study-pr33017 | 0.14363 | 0.21849 | 0.12005 | 0.10014 |
| study-pr35022 | 0.28821 | 0.51031 | 0.29629 | 0.32932 |
| study-pr36820 | 0.20198 | 0.53270 | 0.20097 | 0.57422 |
| **study-pr36832†** | **0.30004** | **0.37223** | **0.26631** | **0.26958** |
| study-pr37214 | 0.67396 | 0.72257 | 0.69181 | 0.69181 |
| study-pr38945 | 0.40400 | 0.97525 | 0.36465 | 0.58365 |
| study-pr39903 | 0.97249 | 0.74854 | 0.98625 | 0.93681 |
4.5.3 Unreported results
There are 3 bugs that have been excluded for not using the same seed: these are the consequences of ungraceful shutdowns due to GCP specificities, leading to data loss of seed value. We have therefore removed the 3 from our results. For the record, the values using different random seeds did show a statistically significant result, but were erroneous as different initialization seeds were used. While these are not reported here, box plots showing the results are visible in appendix C, their p-value is virtually null.
4.5.4 Summary
Out of the 18 bugs, only has shown statistically significant results allowing to reject our hypothesis $H_0$. However, we think that it is an outlier, as the buggy and corrected versions of the bugs do not seem to differ. We can therefore say that with the current data, there is no evidence to reject $H_0$, thus we cannot conclude that bugs in ML framework have an impact on model performance. For this, we have to take into account the multiple limitations that our study suffers.
4.6 Limitations and threats to validity
This section exposes the different limitations that are present in our realization of the methodology from a theoretical and practical standpoint. The different subsections are ordered on our intuition of the biggest limitations present in our work. The main limitation of our work was to establish if the bugs were actually triggered during the execution, we discuss the relevant resolution methods in Section 4.8.1.
4.6.1 Triggering the bug
The first and most important concern in this study is validating if bugs were actually triggered during the execution of our runs. We are aware that this is a huge limitation, as the core of this study relies on it. Time constraint was the biggest factor here. While the bugs could be triggered during manual execution, e.g., by reproducing the bug with the code from the pull requests, this does not mean that when processing data in a training process this would happen. This is due to multiple factors, but the biggest is that PyTorch is a big framework with multiple “backends”; here, the key is building the right version, with the right build parameters to make sure that the bug is triggered. As mentioned before, we will discuss in Section 4.8.1 a way to validate the bug’s presence during execution of the training process.
Indeed, if the bug was not triggered, this study only means to demonstrate the variability induced by NDIF even by controlling the seed, for within bug experiments. It can also be used to show the variance between multiple random seeds, although on a very small scale, since most of the runs (inter-bugs) did run on different seeds, as such, the split and the ordering of the data fed might affect the final training efficiency.
4.6.2 Model and dataset used
One might wonder why only a variation of VGG was used throughout this experiment: this goes in line with most of the considerations above. Indeed, there is no way of knowing during training if the workload contains the bug, as it is silent. Therefore, instead of using multiple models to accomplish the same task, we use the same model. The current model that was used that we named VGG-X is intended to work on the CIFAR-10 dataset: traditionally, the model works on the ImageNet [101] dataset, but as we wanted to reduce NDIF by reusing the same data split, we did not succeed in time to provide fast and deterministic serving of the ImageNet dataset. Furthermore training on such dataset would have taken considerably more time.
In summary, we adapted the original VGG model (PyTorch’s implementation in torchvision [98]), to work on 32x32 input images. While this does not change the results for our study, in the sense that comparison was made for the same model, which achieve acceptable good performance (around 70-74%) and considering that comparisons should be made only between buggy and corrected versions,
our comparison holds. Notwithstanding the validity on a theoretical side, the neural network should achieve better performance considering its size. We believe that the adaptation of the model to fit the 32x32 input did in fact cause some non-optimal configuration for the network. Notably, there is one aspect of the network that caused some potential non-determinism: the Dropout layer. Two dropout layers with activation probability of 0.5 were in the network: this could have affected the determinism of the computation. This falls under the “Model definition” NDIF (see Section 3.2.2).
4.6.3 Non-deterministic inducing factors
There are multiple non-deterministic sources that have not been controlled.
Our work is currently limited and does not offer any guarantee against multiple confounding variables such as floating point calculations, possible thread interactions and GPU models. These are however mitigated by the fact that we carry the computations by using the same hardware, runtime, software versions and threading model for our experiments. Consequently, the results for a specific bug, i.e., between a buggy and a corrected experiment, use the same experimental attributes, thus reducing the effects of NDIF.
Specifically for thread interactions, ReproduceML uses PyTorch’s built-in mechanisms in order to control its thread interactions. Consequently, our experiments use only one CPU core to do its work, thereby eliminating some thread interactions from sources of errors. However, there is not a complete guarantee that PyTorch’s thread interactions are complete, and our work is based on their suggestions for reproducibility [102, 103].
However, by detailing the current running hardware and related configurations, our work should be repeatable.
Random seed While we use ReproduceML in order to control the random seed on runtime, there are still variations present in the runs. There are multiple sources for this randomness that have not been controlled throughout the experiment. This indicates that additional precautions need to be taken when interpreting results. We think that they are the result of NDIF at the implementation level, as results by Pham et al. show a similar range of values for a similar model to ours [41].
Floating Point Calculations Our current work does not currently support detecting if floating point operations are the same between experimental runs. There has been some research on making float point operations more stable [104], but we are aware that our current framework values only hold for a specific architecture, which is why we disclose the hardware and software used in the study. Furthermore, adding support for such tools would most likely introduce more challenges and sources of error, as they are not integrated by default within ML frameworks.
4.6.4 Evaluation
The current experiments work on a sample of the dataset instead of the entire dataset: this poses a problem for reproducibility as this split is constructed dynamically. Practically, we used half of the dataset to train and test. Future work should improve over this limitation.
4.6.5 Build system
In the context of this study, we built versions of PyTorch using a common build process and using the default suggested parameters for build execution. As most software are distributed prebuilt through various channels, the upside from this process is that we reduce the possibility of introducing multiple build-related errors, as the recommended configurations reflect most widespread use of the framework. There are, of course, differences that can affect the final build artifacts from the ones we have built, notably because there might be some changes in the specific tooling used. Indeed, in the aim of reducing confounding variables, a single build system configuration was chosen to build all the versions with two variants on the Python version. Each variant represents a Docker container with the dependencies used to build PyTorch according to their guidelines.
Nonetheless, both containers use CUDA API 10.1. Note that building does not use the GPU, but here the CUDA version refers to the CUDA toolkit, i.e., the necessary developer dependencies needed to build application with support for CUDA.
Dependencies The methodology prescribes using a build system in order to build buggy and corrected versions. However great care must be taken when doing so: in the case of PyTorch, there are multiple computational “backends”. These are libraries dependencies that exist in order to execute mathematical operations in order to allow different hardware and software configurations to run PyTorch. The limitation comes from the fact that some parts of the library can only be used, i.e., compiled with one of these “backends”. In an ideal world, one would need to build all the different versions of a framework with the different build options and then make an assessment of the impact of those while using statically linked libraries. Practically, this is infeasible and means that care has to be taken when building a version for a specific bug.
For reproducibility, the best way to build a framework such as PyTorch would be to statically link every dependency instead of using dynamic dependencies as this would mitigate improper or deviation of the methodology. Indeed, when statically linking an assembly, there would be no question of which runtime on the framework dependencies would be used. This would allow relaxation of the current constraint of running within the Docker container. Configuring static linking, however, is not trivial and would require a lot of effort. Furthermore, since we use Docker to control the runtime dependencies, we have tight constraints on the available runtime versions.
Docker and Python While it would have been possible to only use one Python version for all the bugs, there is no guarantee that a specific version of Python would be supported in a specific version of PyTorch. As an example, it is possible to build an old version of PyTorch, ex using 1.1.0 released in April 2019 with a Python version 3.7.9 released in August 2020, this configuration would not have been possible at the release of said PyTorch version and there is no practical use to ensure compatibility retroactively.
4.7 Discussion
Deviation of runs For each experiment, the standard deviation for all metrics across runs is situated between 0.2% and 0.51%, showing that controlling NDIF was done relatively well, considering the facts discussed in Section 4.7. We compare ourselves to work done by Pham et al. [41], in which we can observe that the larger models have a bigger standard deviation than smaller models when using a fixed seed. Notably, our model uses around 15M parameters, with the Dropout effect encountered and still shows mean standard deviations around 0.3%. Comparatively, for Pham et al.’s most comparable model in number of parameters, i.e., ResetNet56 shows similar range, around 0.5% of standard deviation. While there is no hard evidence of the effect of size, i.e., statistical test to show this, we think based on purely ad hoc observations that bigger models have a higher potential of being affected by NDIF. It would be interesting to see how Pham et al. constructed their models, since they say it was reviewed multiple times [41]. However, at this time, their repository does not seem to contain their implementation.
Impact of the random seed We briefly recall that we discarded some results because they did not fall under our methodology, namely some of them did not use the same random seed. While these results were discarded, they did prove statistically significant impact. Consequently, we can argue that when using different random seeds, a statistical test such as Wilcoxon-Mann-Whitney might positively reject $H_0$. In light of these findings and recommendations by Pham et al. [41], and this overall thesis, we recommend that publications and research in ML and DL use statistical tests to measure the performance of their work.
4.7.1 Reproducibility and its impact on the industry and academia
Reproducibility in computational workloads such as ML is becoming more common, as we have shown in Section 3.1. But what does it mean for the industry? And for academia?
We have seen that industries are interested in reproducibility, especially the ones in the life sciences. The work shown here along with work shown by Pham et al. [41], Crane [49], Guo et al. [50] and Jean-Paul et al. [38] show that the effect of randomness can cause drastic differences in the result of a ML workload.
Considering that ML and DL systems are being used for important medical systems, reproducibility is now more than ever paramount in the field of computational sciences [19]. This also translates into other industries, as having results varying from small values can have drastic repercussions, e.g., an industry investing would never say no to 1% more performance in a market investment model. For the NDIF that is the random seed, there is already a huge impact on the industries, consequently, we suggest that industry models be checked with a statistical significance tests before being deployed. This will serve to more critically assess the performance of the model and show its underlying variance. While this might be more costly, by a multiplicative factor, we recall that such significance testing is the basis for any scientific rational decision. The exact same argument goes for academia when it comes to training and publishing results, perhaps even more strongly worded, as they constitute the basis for scientific progress.
In both cases, the artifacts for reproducibility should be available: for the industry this means keeping track of the NDIF that were present during the training part, and also providing the necessary artifacts for repeatability purposes. For the academia, this means publishing the results along with as many details as possible on the NDIF and other traditionally reported information; we aim to raise awareness on the issue of the reproducibility by listing a set of NDIF that should be published (see Section 3.2.2).
The effect of randomness is being researched by various authors, but there are other aspects that are sources of non-determinism. Notably, within all the factors established as being NDIF in Section 3.2.2, software versions are the subject of this study. Indeed, a bug fix is merely a change in version, although not necessarily consumed by users, as versions are only published in “nightly-builds”. We have not been able to affirm that bugs in DL, in this case PyTorch, yielded different results, but we argue that this is mostly due to our limited number of samples and detecting the bug’s presence at training time. We highlight the future possible studies that should be done with these NDIF in Section 4.8 and possible remediation solutions.
While the specific impact of these NDIF has not been measured, we highly suggest industry and academia to set their version constraints correctly in artifacts, as this will enhance reproducibility and thus the workflow. Doing so will be beneficial in the process of engineering ML systems, which has financial value.
In order to encourage the reuse and reproduction of this study, various efforts throughout the methodology were taken. Notably we provide the Docker images used to build and run the experiments as well as the build artifacts and logs of versions used. The full configuration can be found in Appendix A and the details explained in Section 4.4. Inside the Docker images, there are files containing the specific environment used for building, but specific verification can also be done by running a container based on the image and verifying the tools installed in the environment. Build artifacts and logs can be provided on demand.
4.7.2 Building
In hindsight of the labelling process of bugs and creating their corresponding artifact, we reach the conclusion that a solid understanding of the repository was needed in order to correctly assess where the bug would be triggered. Indeed, as PyTorch and arguably other ML frameworks have a lot of modules, knowing specifically how a bug affects the framework requires rigorous effort by a machine learning practitioner. Indeed, only after a third pass by an individual with average knowledge of the internals of PyTorch did we find that some bugs were misclassified: a peer-review process did not detect these false positives and false negatives.
Furthermore, a good ability to understand build systems and dependencies is needed, as there are multiple ways to build a single version. While PyTorch does offer some documentation for its build process by providing straight to the point explanations and offering a single build process, there are multiple cases where the bug could be triggered only by using a specific configuration, e.g., bugs using MKLDNN when this option can be disabled.
Anecdotally, some tests have been performed after this study, to improve the quality of certain aspects. These improvement efforts have been hindered by build-related factors. Briefly, we did some test to use our environments outside a Docker environment on different hardware running a different operating system than the one in our study. Our artifacts were linked with the C runtime at a version higher than the one currently supported and no easy way was found to replicate an environment without a lot of work. This goes to further our point of packaging experiments into Docker containers for reproducibility purposes, as this greatly enhances reproducibility, thereby reducing the possible sources of non-determinism.
In addition to these difficulties, the availability of artifacts for builds might pose an additional problem. We preface the next subsection with a little overview of the difficulties encountered when building some artifacts versions for bugs.
Historical build During the process of building artifacts as part of the methodology, there were some cases in which manual intervention was needed. These situations happened because at some specific commit for which the build was created, the dependencies were pointing to a non-existing repository. Consequently, the build would always fail, as it was needed for the artifact to gather its dependency on a specific git repository. Upon manual investigation, it was found that the version was affected because of an older commit which introduced a dependency as a “hotfix” to an issue. Consequently, the following versions would get the temporary repository and when the root issue would be ultimately resolved by another mechanism, the original repository would be deleted. However, when we were trying to build, this repository would be non-existent, thus posing a problem. Fortunately, a similar version of the deleted repository was found and the build continued successfully, to the best of our knowledge this should not affect the results.
This showcases one of the limitations of our methodology albeit rare that can still happen. One
might argue that there is no guarantee for build availability to be had when looking at past released versions, especially not specific commits. Nonetheless, these commits were on the main branch of the repository, in which a working version should be held at all time. There are multiple considerations for the advantages and disadvantages of keeping repositories clean and “buildable” for a long time, but adopting it would allow for easier search in software repositories.
4.7.3 Archaeology of software
This section aims to describe and provide explanation on design choices and difficulties of work that go back in time to analyze or build specific software artifacts: git archaeology.
When releasing software versions, considerations of future backtracking are rare: there is no expectation that external dependencies will remain available in the future. The only similar considerations mostly have to do with backwards compatibility, i.e., if the next release would break old clients. The general assumption is that when a product is released at one time, support is given and build artifacts are distributed. If a change happened in the ability to create a past release, a new version of the software would be released and the old versions would be abandoned. While the release artifact might still be available, the process to do so might not, due to the possible disappearance of external dependencies. These are the basic of release support. When doing empirical work that deals with past versions of software, there are multiple special considerations that need to be taken.
Git archaeology, on the other hand, goes one step further and explores the availability of artifacts when going backwards in time. Indeed, as the goal of the study was to measure the impact of past releases at specific points in history, there are cases in which it is hard and sometimes impossible to recreate the exact version. A prime example of this is when “hotfixes” that reference separate channels are introduced and then deleted some time after. Channels are usually Git repositories. In this case, at the time the “hotfix” was applied, the repository pointed existed and artifacts could have been created. When the repository is deleted, some changes in the repository are made in order not to break the software again. The problem arises when we later try to position ourselves at a specific time, i.e., commit at or between the introduction of the “hotfix” external channel dependency. That external dependency could have been deleted in the meantime, because the assumption is that there is no need for reproducibility at the commit-level. The same explanation can be extrapolated to releases, but there is usually – although not measured – more care given in keeping release dependencies available.
To mitigate such a problem, one would need to find a copy (archive) of the dependencies or functional equivalents. For reproducibility reasons, an archive would be best, but this is not always possible. Furthermore, finding such copies is not necessarily guaranteed. Therefore, the next possible solution is to use functional equivalents. However this implies changing the source thereby posing an additional hurdle to the practicality of the situation.
4.8 Future works
This section contains two parts. First we propose several improvements to the methodology, in light of our experience and findings. We also present some additional features of our codebase that will allow for a systematic approach to bug empirical analysis. Then we propose multiple other studies that can be conducted with the help of the current work and said additional features.
4.8.1 Improvements to our methodology
The factors that would most directly impact the methodology are those related to determinism in software and hardware configurations.
Tracing
The biggest threat to this study is knowing if the bugs were triggered when the training was in progress. The best way to verify such behaviour is to insert trace points inside the program and use a tracing software. Therefore, in next studies, when building artifacts we highly recommend inserting trace points inside the code. This was attempted in this study, but due to external constraints, we were forced to proceed with non-traced versions. However, the Docker images provided for building PyTorch do have a LTTng [105] tracer equipped.
The main challenge is to make sure the code correctly builds with the new shared libraries: such a solution was found during the building phase of our study for some commits. Indeed, it is not possible to insert trace points into every source file: notably, CUDA files that have functions defined in device functions proved hard to trace. Current tracing tools such as LTTng can only trace OpenCL programs. While successful attempts to use tracing within CUDA source files were made by using tools such as Extrac [106], they did not allow to insert code executed on the device; more work would then need to be done in order to put the tracing point outside such a function. Such work could be interesting for the developers of ML frameworks. There are other tools to be used when tracing CUDA applications, such as NVIDIA’s own tools, but these require a proprietary format which discourages the reusability and feasibility of systematic highly parallel workloads. We believe tracing GPU device functions is possible, but does not pertain to the scope of this work.
Nonetheless, the current tools that accompany this work have the ability to insert traces in the source code with LTTng. Thus, we recommend that each version be instrumented using the tools made available. For a solid complete study, this would need to be done, as it proves crucial to verifying this when the model is running examples in training and in inference. There is also the “trivial” way for trace execution, by inserting in the standard output a certain value, which might prove more convenient but might also introduce possible overhead and side effects.
Multiple models
In this work, we currently have used a variant of VGG, which was adapted from PyTorch’s repository, to work on the CIFAR-10 challenge. We argue that more models might need to be used to trigger each bug, as a model’s architecture uses only a subset of PyTorch’s features. After our work labelling bugs, we can anecdotally say that most bugs are contained within specialized functions: triggering such functions might not be done by using a single model.
Moreover, in this work we have limited ourselves to using CNNs, hence only computer vision workloads. Several bugs might not be triggered by using such workloads: several bugs stem from functions that are rarely used in practice. Therefore, ReproduceML should be updated in order to work with different challenges and models.
While adding several models adds the possibility to explore more venues, it does not guarantee that the bugs will be triggered. Therefore we propose that after new models and challenges are introduced, a systematic search of bug triggering for models should be explored. This search assumes that the tracing tool is available in the versions; a quick heuristic to avoid building multiple versions of frameworks with traces embedded would be to instrument one of the versions, say before each minor release and from there make a search for the models triggering the bugs. This search would prove fast and would reduce the amount of instrumentation needed to be done: one on each release is more manageable than for each bug.
Injecting bugs
In the current methodology, we assessed the statistical difference in performance by building several versions. More specifically, in order to reduce the number of confounding variables, we built the versions which did contain a bug and its following revision. Therefore, the only difference between our comparisons would be the bug fixing process and the presence of NDIF which we tried to limit. There is another method to accomplish the same goal: by injecting the changes in a stable version.
This would partially solve the problems about possible missing versions, as the build process for a stable release has more chance to be robust and have longevity. However, this would still require building a specific version with that change: the goal of this approach would be to have better, cleaner and faster builds. This option becomes more interesting as we advance in time, as bugs present in the earlier versions of the frameworks would become more and more difficult to reproduce. This nonetheless runs the risk of being less representative of current advances in the field, as the maturity of ML frameworks progresses, there might be less opportunity to investigate such bugs. Another challenge with this approach is that while we can easily extract changes from one version to another, using “diffs”, application of these might not hold for drastically different versions. Therefore, manual injection of faults might be needed when considering such an approach.
4.8.2 Other related studies
With the current tooling presented in this work, by following a similar methodology, several other empirical research on machine learning configurations can be made. Studies on these research questions are possible:
- How does the dependencies’ versions in machine learning frameworks affect the performance metrics of machine learning models?
- How does the use of deprecated functions in machine learning frameworks affect the performance metrics of machine learning models?
- How does the occurrence of bugs in machine learning frameworks affect the raw performance (speed)?
4.9 Summary
In this Chapter, we partially answered the research question: “Given a sample of fixed size of recent bugs in a given machine learning framework, does the occurrence of bugs affect the performance metrics of machine learning models?” In order to do so we conducted an empirical study on the DL framework PyTorch by extracting, filtering, building and evaluating the artifacts. This study was based on a newly created methodology for the effect of software “changes”. We have collected 737 from PyTorch’s repository, labelled 439, filtered 115, built 49 bugs (for their buggy and corrected version) and conducted our statistical analysis on 18 of them.
Based on these numbers and our dataset, we have the following answer to RQ1: “We cannot conclude that our sample of bugs in ML framework has an impact on model performance”. Obviously, this conclusion is on the negative: we cannot conclude firmly based on our findings since there are not enough bugs studied. Furthermore, we have doubts with regards to bug triggering during training, among other limitations such as the tight control of NDIF.
Creating a methodology The first research objective, RO1 was about creating a methodology for measuring the impact of machine learning bugs. We did so by proposing a general methodology to measure the impact of any “change” in a repository by using the commits as the revision upon which a build process would be initiated. We executed this methodology by applying it to the PyTorch framework. As part of this methodology, we also explored the various factors that influence reproducibility in this context and devised the methodology and artifacts used in order to enhance reproducibility in the study. The aspect of reproducibility is showcased in both by (1) reducing the confounding variables of the methodology and measurements by reducing the NDIF and (2) by the reproducibility of this study.
Creating a framework reducing non-determinism introducing factors For the second research objective, the goal was to create a framework that minimizes the effects on non-determinism to accompany the methodology step of evaluation. This was accomplished by introducing ReproduceML which performs both random-seed control and data split control, a primitive form of data versioning.
Towards reproducible empirical software mining The last research objective was to create the tooling needed to conduct the proposed study. We aimed to create tools necessary to perform systematic reproducible software mining. This has been accomplished by the implementation of tools aimed at gathering the information for this study, which will be made available to the public under an open source license.
Towards machine learning reproducibility We also discussed the challenges that are present for reproducibility in ML, the impact of random seeds and NDIF on the output of the models and what it entails for academia and industry. We argue that each scientific publication of ML should be posted with a statistical test and the necessary artifacts to reproduce their work and therefore assess the true gains in a scientific manner. For the industry, we also recommend conducting statistical tests to ensure optimal model performance and stability.
We also propose a series of improvements and future works in light of the experience gained by executing this methodology.
CHAPTER 5 INDUSTRY CASE STUDY WITH SAP, AN OVERVIEW OF MACHINE LEARNING CHALLENGES IN THE INDUSTRY
In this chapter, we present an industrial case study to share our experience and insights from a research project on machine learning conducted in collaboration between Polytechnique Montréal and SAP. We first present our approach to developing ML-based components for automatic detection and correction of transaction errors. Here, we apply machine learning on retail transaction data to detect and correct transaction errors. We follow an agile methodology to develop ML-based solution. We identify the challenges in each step of our software development process. We present these challenges along two distinct perspectives: (1) software engineering, and (2) machine learning. From these perspectives, we explore the relationships and dependencies among the challenges to have better insights into the challenges in software engineering for machine learning. In particular, we answer the following two research questions:
RQ1 What are the key challenges of machine learning (ML) application development?
RQ2 What practices should the ML developers follow to overcome challenges of ML application development?
We synthesize our observations from our case study and existing knowledge from the literature on the common challenges and best practices to recommend a set of guidelines for developing ML applications in an industrial context.
The key contributions of this chapter are summarized below:
- We have identified important challenges in software engineering for machine learning. Our insights will help developers build ML applications.
- Based on our experience from our industrial case study, we propose guidelines for researchers and practitioners defining best practices in ML application development.
- Our proposed guidelines have been adopted by SAP as part of its internal guidelines for ML development.
The rest of the chapter is organized as follows: Section 5.1 offers a brief introduction for our work on a machine learning perspective and introduces our industry partner SAP. Section 5.2 presents our case study outlining our approach for detection and correction of transaction errors. We share important lessons learned from this case study in Section 5.3. Finally, Section 5.4 summarizes our work.
This chapter is part of a paper submission. There have been some modifications a posteriori. Changes deemed important to the essence of this chapter will be marked with “†”.
5.1 Context
Machine Learning in industry Artificial Intelligence (AI) and Machine Learning (ML) have shown promising prospects for intelligent automation of diverse aspects of business and everyday life [107]. The rapid development of machine learning algorithms and tools and easier access to available frameworks and infrastructure have greatly fuelled this era of the development of ML-based software solutions for real-world problems. Software companies, big or small, are striving to adopt ML in software applications, in order to improve their products and services. However, the potential of machine learning accompany multifaceted challenges to the traditional software development processes and practices [107, 108]. The development of ML-based software applications may add challenges to all phases of the development life cycle [109]. The requirements for the ML models are dynamic in nature to adapt to the rapidly evolving user requirements and business cases. ML-based applications are data-driven. Thus, efficient pipelines and infrastructure are required for data-streaming; i.e., data acquisition, data storage, preprocessing and feature extraction, and ingestion by the ML models. Also, model building and deployment have different constraints regarding the type of problem, data, and the target environments. Software engineering for machine learning applications has distinct characteristics that render most traditional software engineering methodologies and practices inadequate [108]. The design of ML applications needs to be flexible to accommodate the rapidly evolving ML components. In addition, the testing of ML applications differs significantly from traditional software testing. So, new guidelines are needed to help ML developers cope with these challenges. Additional challenges are likely to surface when the ML applications are developed in collaboration of multiple teams with diverse backgrounds and expertise [90].
Industry Client SAP is the market leader in enterprise application software offering an end-to-end suite of applications and services to enable their customers worldwide to operate their business. Retail customers of SAP deal with millions of sales transactions for their day-to-day business. Transactions are created during retail sales at point-of-sale (POS) terminals and those transactions are then sent to some central servers for validations and other business operations. A considerable proportion of the retail transactions may have inconsistencies or anomalies due to technical and human errors. SAP provides an automated process for error detection but still requires a manual process by dedicated employees using workbench software for correction. However, manual corrections of these errors are time-consuming, labour-intensive, and might be prone to further errors due to incorrect modifications. Thus, automated detection and correction of transaction errors are very important regarding their potential business values and the improvement in the business workflow.
5.2 ML-Based detection and correction of transaction errors
This section presents our case study. Here, first we briefly present the basic concepts of transaction errors and their correction. Then we describe our approach to develop the ML component for automatic detection and correction of errors in retail transactions.
5.2.1 Transaction and Transaction Errors
By transaction (Fig. 5.1) we refer to a set of records (table rows) in the database related to a single order from a customer. A transaction consists of hierarchically organized components including metadata, item-level information (\textit{e.g.}, price, product code, quantity, item-specific discounts) and the transaction-level information (\textit{e.g.}, transaction type, taxes, discounts, payments). Each component can have zero or more sub-component(s). For example, an item can have none or several discounts applied on it. The relationships among the transaction components are governed by well-defined business rules. The transaction data are primarily contained in two (2) flattened tables: a Transaction Log (TLOG) representing the details of the transactions and a Process Log (PLOG) table logging the details of the changes to the transactions (in TLOG). A tuple of four (4) fields including the transaction index, transaction date, store number, and the timestamp, together uniquely identifying each transaction in TLOG. The same fields as in the TLOG table can be used as the key in the PLOG table for the identification of individual transactions. These key fields are used for mapping of transactions between TLOG and PLOG tables. Retail transactions created at POS terminals are sent to SAP’s validation system. In case of validation failure, the cause of the failure (error) is logged in the process log table. These transactions are the candidates for corrections. All events (\textit{e.g.}, creation, modification, \textit{etc.}) related to transactions are logged in the PLOG table. Logs are written in batches and each row in the PLOG table can be associated with
a range of transactions in TLOG. Transaction keys (from TLOG) are used to define the range of the transactions in PLOG. The PLOG table acts as a destination in which the logs for written for a transaction in TLOG, that is, it acts as a logging table. The error status column in PLOG can be used to detect the presence of an error while the changes to transaction column can identify its type. We cannot present example transactions due to a non-disclosure agreement.
5.2.2 The Problem
In SAP provided software solutions, retail transactions are created and processed in two primary phases. First, transactions are created in point-of-sale (POS) terminals and stored in the client company’s server. These transactions are then forwarded to SAP’s server for additional processing (\textit{e.g.}, validation, audits, \textit{etc.}) for different business functions. Transactions can be in an erroneous or inconsistent state for multiple reasons. More often than not, these errors stem from human errors (\textit{e.g.}, incorrect manual input) rather than software or technical errors (\textit{e.g.}, communication link failure). Additionally, transactions can have multiple errors at the same time, but SAP’s software solutions only output one error at a time. Thus, multiple entries in the PLOG table can be recorded at different times, depending on the time of resolution of the previous error.
One might argue that these errors could be handled with perfect accuracy by hard-coded rules in transaction processing logic. However, the issue is that although SAP’s solutions come with a rich set of features with core business rules, they give the client companies necessary flexibility to customize their software solutions to accommodate their business needs. For example, an individual store may need to customize product price, discount types and rates, loyalty benefits, \textit{etc}. There might be different event and region specific offers which may be managed exclusively by individual stores. Similarly, there might be company-specific customization of the system that applies to all stores. While technically possible, these variabilities render hard-coded solutions infeasible in terms of cost. From a business operations points of view, this flexibility requirement cannot be compromised due to technical complexities of the transaction processing system.
Moreover, POS operations are real-time activities, and thus the technical issues need to be resolved immediately. For example, in the case of a communication link failure for a sales tax calculator service from a third party, the cashier may need complete transactions to keep service uninterrupted by compensating customers with reduced taxes or other similar measures. These transactions eventually need to be corrected to pass through the audit systems. Besides, there might be human errors in POS sales such as incorrect product code and price, discount code, amount \textit{etc.} which may lead to unbalanced transactions. All these transactions become candidates for error detection and corrections. As mentioned earlier, defining hard-coded rules is not a viable solution for such error scenarios. Currently, tools exist in SAP’s solutions to identify the root cause of the errors but the error resolution is a manual process and might become time consuming. Manual correction incurs high costs and it is a serious bottleneck to the business operations. Thus, we aim to develop MLbased solutions to leverage past correction examples for automatic detection and error resolution proposals with high accuracy. Here, our objective is to build machine learning models to detect (classify) and to correct (predict actions and the correct values) errors in retail transactions.
5.2.3 Overall Solution Architecture
As shown in Fig. 5.2, we extract transaction data from the database and extract features. We take a two-step approach. Our first model (Model 1) is a multi-label classifier that detects the types of errors in the erroneous input transaction. Each label in the classification corresponds to a specific error type (and location) of the error. Once we have the errors detected, we apply our second model (Model 2) to suggest values for the correction of the error. Model 2 is a multi-class classifier that predicts the correction value from the set of possible values for a transaction field. Model 2 is also fed the error information given by the first model.
5.2.4 Data Collection and Preprocessing
In our case, transaction data is stored in a large table (TLOG). The process log table (PLOG) captures all events and changes to transactions that are done either manually or automatically. Although there are millions of transactions in our data set, we are particularly interested in the erroneous transactions that were successfully corrected. Based on the error (task) status of the transactions from PLOG, we select corresponding erroneous transactions from the TLOG table. Again, the TLOG table contains the final state of the transactions. Thus, once corrected, only the corrected version of an erroneous transaction is available in the TLOG. However, to build a model that detects errors in transactions, transaction data needs to be in its erroneous state. Consequently, a transaction reversal process was designed and executed on transactions in TLOG based on the changelogs in the PLOG to extract the erroneous version of the transactions. This reversal process is also used to label our dataset for one of our models.
Data reception and quality As data comes from a SAP customer, said customer applies transformations to protect sensitive business and customer data before handing the data to SAP. The data as received by SAP undergoes a secondary cleaning process before being transmitted to our team. Not all of the transactions with correction logs qualify for our analysis. In fact, out of the millions of rows received, only a small percentage qualifies as erroneous. Nevertheless, we filter out transactions that are missing necessary attributes or contain inconsistent field values, or that are outliers (with an excessive number of product items).
Pipeline As a step of data preprocessing, we developed data pipelines: our implementation strategy promoted code reusability and separation of concern, as rapid prototyping was needed to try on multiple features without losing data treated at a previous stage. We used a data extraction
module using User Defined SQL functions made with a connector to SAP’s database. Data cleaning was done by scripts in a different module. Once settled and ready for model training, data underwent a final phase to create “model-ready” features. Each of these steps culminated in a different separate dataset.
5.2.5 Feature Selection
We analyzed the transactions in the TLOG and the corresponding correction logs in PLOG to understand the categories and characteristics of the errors. To infer the relationship between fields and how each field is related to the transaction errors, we analyze the error messages, associated field(s), correction steps and the changes in field values. We select table columns as the base features and we also compute some derived features. Our selection and derivation of base and derived features are based on the shared knowledge from domain experts and our understanding of the relationships between the components of the transactions. We iteratively refined our choice of the fields as features for the machine learning algorithms.
5.2.6 Feature Extraction
To extract features, we programmatically navigate the structures of the selected transactions to access transaction fields to extract base features. We also compute derived features from the extracted base features. Each feature vector is composed of features representing both transaction-level and item-level information. As transactions are variable in size depending on the number of items, we consider transactions only with maximum 20 retail items to avoid making the feature vector too sparse. This threshold is based on our analysis of the distribution of the number of retail items per transaction. We process all the qualifying transactions and store the features in Hierarchical Data Format (HDF) file for efficient processing. Our selection of features is based on knowledge from
domain experts and our understanding of the relationships among the transaction components. We iteratively refined our choice of the transaction fields as features for ML algorithms.
5.2.7 Error Detection Approach
By error detection, we refer to the identification of the types and locations of errors. As transaction can have multiple errors, we model our error detection problem as a multi-label classification problem. Here, we label the feature vector for each transaction with a binary vector of length equal to the number of possible error classes. The label vector contains 1s in places where there is an error in the corresponding transaction field and 0s otherwise. We identify errors by examining the manual changes in the (PLOG) table. For example, if we detect a change in a tender type code, we infer that there was an erroneous tender type code. Thus, we set the bit in the label vector corresponding to the tender type code to 1. Once we have a labelled dataset, we build machine learning models to perform multi-label classification for error detection.
The dataset
For error detection, we need transaction data with correction examples. Therefore we select transactions that were detected as erroneous and extract their history in PLOG. We exclude erroneous transactions without corrections or that cannot be rebuilt to their original state by our reversal process. Then, we extract features from the erroneous version of the corrected transactions. Samples from other transactions without any errors are added to our dataset. These transactions satisfy the selection criteria (e.g., number of items). We divide our dataset into three subsets for training, testing, and validation.
Multi-label Classifier
A first baseline was established by using a Decision Tree. We then investigated other model options, notably AdaBoost Classifiers, neural nets and Random Forests. In our case, Random Forests outperformed both AdaBoost and neural networks. Random Forest models can be applied for both classification and regression problems and can handle the possible overfitting problems present in Decision Trees.
A Random Forest is an ensemble learning method that constructs a multitude of decision trees. Classification and prediction decisions are based on the combination of outputs of the decision trees. Our Random Forest Decision Trees were built with the Gini impurity criterion.
We also attempted applying neural networks, specifically a Multilayer Perceptron (MLP), for error classification using the non-linearity sigmoid as the output layer. Various configurations of layers were attempted, with a hyperparameter search. However, because of our limited number of error correction samples (less than 100 to a few hundred for most error types), the neural net could
achieve performance above baseline for most of the error types. Finally, we opted for Random Forest which achieved the best performance.
5.2.8 Error Correction Approach
By error correction, we refer to predicting the correct values for the erroneous transaction fields. The predicted class refers to a value from a known possible set of values. We model the value prediction problem as a multi-class classification problem and train a specialized model for each type of error. The features are extracted from the erroneous transactions in TLOG and the corresponding logs in the PLOG. We use the data reversal process described in 5.2.4 to gather old and new values. The label is determined by examining the new value and old value of the field related to the transaction error, changes that are recorded in the PLOG. The new value of a changed field of an erroneous transaction is set as the target label for the algorithm to predict. For the categorical field values (e.g., Tender Type Code), we need to predict the correct value from the set of alternative values for a given field. In such case, the target label is a one-hot encoded vector of possible values for the associated field.
The dataset
We build our error correction model based on the transactions with corrections available in the transaction database. We split the features into balanced data sets for training, testing, and validation.
Multi-class classifier
We formulate the error correction problem as a multi-class classification problem. Here, the classifier picks one of the values from all possible alternative values as the correct value. The label vector for each data sample represents a binary vector with ‘1’ in the index of the correct value and 0’s in all other places. We apply the Logistic Regression (one versus all) algorithm for the value-prediction problem. Hyperparameters are chosen using a grid search with cross validation. We also apply a Multilayer Perceptron (MLP) neural networks to predict values for error correction. Neural network models perform poorly compared to a simple Logistic Regression, due to limited correction data samples for most of the error types. Limited data size and class-imbalance issues are likely to blame for the poor performance of neural nets.
To measure performance of the models, we measure precision, recall, accuracy score and Jaccard similarity score of the models [110, 111] to evaluate model performance. Metrics are defined as follows:
**Precision** Precision refers to the ratio of the number of correctly predicted or classified cases to the total number of cases. That is, we can define precision as,
$$P = \frac{TP}{TP + FP}$$
where, $TP$ is the number of true positives and $FP$ the number of false positive inferences.
**Recall** Recall refers to the ratio of the total number of correctly predicted or classified cases to the total number of true cases. Recall is defined as,
$$R = \frac{TP}{TP + FN}$$
where $TN$ is the number of false negatives.
**Accuracy** Accuracy represents the ratio of the correct prediction relative to the total number of predictions. In a multi-label classification, the accuracy score refers to the subset accuracy. Let there are N samples and $y_i'$ be the predicted value for $y_i$, the $i^{th}$ sample. Then the accuracy score can be defined as,
$$ACC = \frac{1}{N} \sum_{i=0}^{N-1} 1(y_i' = y_i)$$
**Jaccard Similarity** Jaccard Similarity or Jaccard coefficient is the ratio of the cardinalities of the intersection and the union of two sets of labels (predicted and true set). For binary classification this metric is equivalent to the accuracy score while they differ for multi-label classification. Let $Y$ be the set of true labels and $Y'$ be the set of predicted labels. Then, Jaccard similarity is defined as,
$$J(Y, Y') = \frac{|Y \cap Y'|}{|Y \cup Y'|}$$
We also measure the top-k accuracy score for the prediction of the correct values for recommendation. Here, top-5 accuracy score refers to the accuracy when the expected correct value appears in the top-5 ranked list of predictions from the model.
As each of these metrics reflects a different insight regarding the prediction or classification performance of the models, we measure all these metrics for our ML models to quantify model performance.
### 5.2.9 Performance
We measure precision, recall, accuracy score and Jaccard similarity score previously defined in order to measure performance of the models. Here, we present the performance of the models that detect a specific error: "Tender Type code" errors.
Error Detection
Fig. 5.3 presents the error detection performances of four different model configurations regarding error types. Here, Model1s, Model2s, and Model3s are to predict errors only in the first, second and third tender type code respectively. Model3a is trained to predict all of the first three tender type code errors. We present the error detection performance based on the Random Forest algorithm. Here, the first group of bars in Fig. 5.3 (Model1s) represents the error detection performance when only errors in the first tender type code are considered. Here, we observe that detection accuracy of the model are above 90%. However, for the second (Model 2s) and third (Model 3s) models, the detection performance drops. This decline in performance might be related to the comparatively lower number of training samples for each category. Again, when we include all the first three tender type codes in the detection model (Model 3a), we see a slight increase in the detection performance (above 80%).
Value Prediction
For value prediction we compute the accuracy of top-k recommendations of correction values. The performance is based on the results obtained on our best Logistic Regression model. Here, the value prediction accuracy of the model is 76% if we consider a single predicted value with the highest probability (i.e., k=1). However, we also evaluate the prediction accuracy for multiple ranks, i.e., top-k (k = [1, 5]). With $k = 5$ we achieve 93% accuracy.
5.2.10 Agile approach for research and development
For this work, we adopted the agile methodology (SCRUM [112]) in response the incremental and iterative nature of the problem and the need for periodic updates with SAP. SCRUM accelerates software development with faster delivery cycles while offering flexibility [90]. Our team comprises
members from academic and industry partners with diverse expertise in software engineering, machine learning, target software ecosystems and the business model of SAP. In our agile process, the length of each ‘sprint’ was 30 days with ‘daily standup meetings’ to provide updates on changes relating to the sprint goals.
We documented the challenges and discussed solutions to those challenges during our meetings. We later analyzed documentation to derive lessons on the challenges and best practices in each phase of ML application development. Each sprint ended with a “sprint demo” and a “retrospective” to address the backlog. The whole project spanned six sprints.
5.3 Lessons Learned
Machine learning applications have some distinct characteristics compared to traditional software applications. Thus, software developers and practitioners should be aware of a number of challenges or risk factors regarding Machine Learning applications [113]. We use the following methodology to reach our findings:
**Methodology:** We adopt our methodology based on the guidelines from Wohlin *et al.* [114] and Yin [115] to take a systematic approach for our case study. Here, our goal is to identify the challenges and to propose a set of guidelines for ML application development based on the synthesis of knowledge from the existing literature, and our practical insights from the case study. First, we review existing literature to explore software engineering methodology [68, 109, 116] for machine learning applications, common challenges [108, 117] and best practices [118, 119] for ML application development. Then we analyze the domain knowledge shared by the industry experts on the existing transaction processing workflow to understand the problem. The knowledge from the existing literature and domain experts helps us set up our study methodology and objectives. Then in each step of the development of the transaction error detection and correction system, we weigh the theoretical challenges against practical challenges in our problem context. This allows
us to identify the gaps between theory and practices regarding the challenges in ML application development. Finally, we synthesize the extracted knowledge and our experience from the project towards the formulation of recommendations for best practices for practitioners for ML application development. We analyze the developers’ feedback on the recommendations to qualitatively evaluate our proposed recommendations. Here, the development of the error detection and correction system is not our key research contribution and rather serves as an example case to derive insights for the practitioners.
To shed light on the common challenges in ML application development, we describe our findings from the case study along two different perspectives: software engineering (S) and machine learning (M). We explore their relationships to gain insights into the software engineering principles and practices for machine learning applications. We focus on each dimension and present different important challenges (RQ1) that need to be considered in a ML application development process.
5.3.1 Software Engineering Perspectives
Machine learning applications, like other software systems, need a well-defined software engineering process for their development and maintenance. However, given the distinct characteristics of ML applications, the phases of the software engineering process may need adjustments to accommodate the ML specific requirements. To mention, as ML application development is a special case of software development, many characteristics and challenges of ML application development phases are similar to that of traditional software engineering, which is not surprising. We discuss different phases of the software development life cycle (SDLC) for ML applications in as follows:
**S1: Requirements Engineering:** Poor quality of requirements can lead to many issues in the phases of software development [120]. Requirements engineering for ML applications involves both ML specific and traditional requirements engineering activities such as feasibility analysis, requirements gathering, requirement specifications and validation. As the requirements in ML applications may change frequently, requirements specification for ML applications is a challenging task [121]. In our project, we gathered requirements from the discussions and demonstrations by the domain experts. We analyzed the transaction data structures, example error types, and their correction procedures. This is important since the functionalities of a ML component depend on information contained in the data. We iteratively refined our requirements specification based on the results of our different prototype models and the feedback from domain experts.
In our project, the requirements were gathered and shared to us by the industry partner. We observed that direct communication with the end-user and on-site observation of error correction scenarios is important to speed up requirement elicitation.
Iterative refinement of the requirements based on the feedback on prototype models from the
stakeholders can help eliminating the differences in perception of the requirements. Otherwise, delayed identification of requirements and the consequent changes to the ML applications can be costly.
**S2: Design:** Software design specifies the details of the scope, functionalities, and interactions of the software components. Traditional software systems comprise a finite number of states and are usually deterministic. However, for ML applications, the behaviour of the program can be unpredictable and defined by the training data. This makes the design of ML application a challenging task. ML applications require a large number of good quality data in order to perform well. Thus, the design of ML applications needs to accommodate the constraints and overhead of data extraction, data cleaning and data processing. As the algorithms and ML frameworks are evolving rapidly, ML application design should be flexible to adopt these changes.
Again, ML applications are data-driven and the performance of the system may degrade (i.e., concept drift) over time despite no changes in the requirements or without the presence of bugs. Thus, the maintenance requirement of the ML applications may be hard to predict. In cases of adding ML capabilities to an existing application, the design should aim for minimum restructuring of the existing system architecture. Similarly, the design of a new ML application should be flexible in order to adapt to future changes. In our case, we added functionalities to the existing application and focused on the functional requirements of the modules and interfaces for interaction with the existing application.
**S3: Implementation:** Development of ML applications commonly involves the use of many different frameworks and libraries [122]. However, it is can be challenging to put together a diverse set of frameworks and libraries while ensuring compatibility and integrity of the system. Again, ML models are a “Black Box” [123] and can be difficult to explain, depending on the nature of the model. [25, 124]. Thus, it is hard to clearly understand why sometimes they work and why sometimes they do not. In addition, ML models may exhibit robustness to noises [125] making it harder to verify the implementation.
Furthermore, the development environment for ML models might be different from the production environment. Thus, the implementation of ML applications should consider the target platform requirements while choosing frameworks and libraries. As the hardware-software ecosystem for ML applications are rapidly evolving, the implementation choices should also consider maximizing portability, compatibility, and adaptability of ML applications at lower cost.
**S4: Integration:** Integration processes must ensure the functional integrity of the system by implementing appropriate interfaces among the subsystems. The integration of ML applications can be viewed as a two-step process: first integrating the sub-components of the ML component and then the integration of the ML components with other non-ML components. Thus,
the defined interface between ML components with other components may influence the process and complexity of the integration phase. Again, ML models are expected to evolve continuously. Thus, the ML workflow should facilitate continuous integration of ML models. In our case, we needed to define a new interface for SAP application so that inference from the containerized ML models hosted either locally or on remote cloud can be accessed as services through APIs.
**S5: Testing:** As the outcomes of machine learning models can be stochastic in nature [125, 126], there might not be unique results to compare and verify machine learning applications (except with a predefined seed and tightly controlled environment). The rules learned by the ML models depend on many parameters such as the selected features, the model architecture and configuration [54] and repartition of the training data. The rules generated by ML systems might even be unknown to the developers [127]. This makes it harder to identify the erroneous system behaviours and to pinpoint the source of bugs in comparison to a traditional software system.
Again, ML algorithms may sometimes exhibit robustness to some bugs and produce reasonable outcomes by compensating for noisy data or implementation errors [125]. Thus, bugs in ML applications can be tricky to detect and fix. Testing ML applications may involve large-scale training data and whose manual labelling is costly. Moreover, a random selection of subsets of data is likely to fail to identify many edge cases. All these issues make testing and fixing of erroneous behaviour in ML applications a very challenging task. For our ML components, we evaluated the models’ accuracy with the evaluation data set.
**S6: Deployment:** The deployment phase puts the software system into production either by updating or replacing the existing system. For ML applications, this phase is more likely to add new functional modules to the existing system. One important challenge to consider in ML system deployment is that the platform and infrastructure for the production system might be very different from the environment in which the ML model was trained and evaluated [122]. These differences can represent compatibility, portability and scalability challenges and may affect the performance.
Our design aimed at creating a ML-based service for the existing applications. We tested our model deployment as an API-based web service for error detection and correction. We took different factors into account for the deployment of our models, such as scalability, performance, resource requirements and model maintenance.
### 5.3.2 Machine Learning Perspectives
ML application development has some specific aspects to consider as a software development project. The distinct characteristics and requirements of the ML application requires a well-defined set of principles and guidelines as recommended by practitioners [118].
M1: **Problem Formulation**: Machine Learning algorithms offer general-purpose solutions. We need to formulate problems appropriately to fit into the ML-based solution space. An incorrect problem formulation may lead to failure of a ML application. Some key challenges in formulating a ML problem are that one should clearly understand the problem, the algorithms and the mapping of the problem from the original domain to the ML solution space. This requires a ML solutions architect to have a diverse set of skills and expertise. The correct formulation of the problem is a prerequisite to the success of other phases of ML application development such as data acquisition, selection and extraction of features, as well as model building.
M2: **Data acquisition**: Collection and processing of large volume of data are critical overheads for machine learning [128]. Insufficient data is also a problem for machine learning applications. The data acquisition must focus on the completeness (i.e., covering all use cases), accuracy (correctness of the data), consistency (no contradictory data), and timeliness (relevant to the current state of the system) of data to ensure data quality [129]. However, maintaining data quality requires careful steps in collection, curation and maintenance. This is often very expensive regarding the time and associated manual labour [129].
In our study, the transaction data was provided by SAP on behalf of a client company. While SAP’s software solutions provide a comprehensive set of features, clients have the flexibility to customize and extend them resulting in new data structure and values. These customizations add challenges to the generalization power of our models for the same uses cases as each client is a specific instance of a general problem. Our analysis suggests that some prior analysis of the data and the problem is important to set appropriate data requirements.
M3: **Preprocessing**: Raw data may require preprocessing for cleaning, organization, completion and transformation. Noisy data is claimed to be the top challenge for ML practitioners. Noisy data can adversely affect the learning and thus the inference of the models. Data preprocessing is a challenging phase for machine learning [130] and may incur a significant proportion (>50%) of time and effort [131]. In our study, we first analyzed transaction data to understand the attributes of the transactions. We observed that the overall structure of the data, its types and the range of values of individual fields may demand careful attention and warrant specific preprocessing tasks to ensure correctness and consistency of the data.
To carry such preprocessing tasks, we needed tools and libraries that would allow for efficient exploration and experimentation for data processing and ML algorithms. Therefore, we implement our own data pipeline using these libraries in order to provide efficiency and flexibility to our machine learning workflow. We found these pipelines to be of great help.
We established multiple criteria on transaction data as a filtering step. Our preprocessing steps include filling missing values as well as normalization of data fields to correct formatting differences.
M4: **Feature Extraction**: Feature extraction performs transformation of input data into feature vectors for ML algorithms [132]. Features should best represent the hidden characteristics of the data for machine learning. Feature extraction also aims to remove the noise and redundancy from the data [132]. Feature extraction can also be used to find lower-dimensional representations of the original data to improve the speed of the training and inference. However, it can be challenging to extract features when processing high volumes of data when prototyping. For example, finding a lower-dimensional representation with algorithms such as PCA or SVD is usually done with the whole dataset loaded. The large scale of the data makes a traditional non-iterative method of computation intractable. In our case, we considered the domain knowledge, the transaction processing workflow, and the transaction data structure and relationships as the basis of feature selection. In addition to base features, we also extracted derived features for our ML models.
M5: **Model Building**: ML models are created based on specific ML algorithms depending on the problem and the characteristics of the data. One may use existing models from libraries or may create custom models. One frequent problem for ML models is ‘overfitting’. In this case, a model performs well on the training dataset but does not generalize, thus being referred to as having overfitted on the training data. This might be because the model is too complex as a result of the higher-dimensional features and a complex or deeper architecture of the model such that every case of the training data is merely stored as a weight inside the model. The solution is to find the simplest model that achieves acceptable performance. However, overly simple models may fail to capture the hidden patterns in the data causing ‘underfitting’. It is also important to make sure that data distribution is balanced across data and labels. Otherwise, the inference of the model might be biased towards the dominating class of the training data. In our project, we observed overfitting issues with neural networks of comparatively deeper architecture for error classification. We eliminated feature redundancies and tuned neural network architectures to avoid overfitting. Class imbalance was another important issue as the distribution of error samples were very skewed to a limited class of errors. To overcome this issue we trained using stratified sampling.
M6: **Evaluation**: ML models are evaluated on their performance on the test dataset which is separated from the training and validation datasets. Both pre-deployment evaluation and post-deployment performance monitoring are important as the performance may drop with changes in the input data characteristics. Thus, ML models may need to be updated (e.g., retrained) to adapt to changes. Since our solution comprises multiple models chained, with the output from the first give as input to the second, there is a direct effect on model performance going from the first model to the second. Consequently, the performance of each individual model may only represent a part of the end-to-end scenarios. Thus, it is important to have both model-level and system-level evaluations. In our study, we evaluated the individual models and also the overall performance after the integration of the models.
M7: **Model integration and deployment**: Trained models are integrated into the target application. This integration involves putting all necessary components (e.g., models, input-output pipelines) together. For multiple models, it may require to define and implement the interface for each model to interact with other models and system components. One common approach is to deploy ML models as services and access the services through an API. The deployment should consider the portability and compatibility of the ML models with respect to the target platform. In our project, we develop an interface between the ML-based components and the existing application. This interface allows us to provide the error detection and correction services.
M8: **Model management**: ML model management involving creation, deployment, monitoring, and documentation of ML models are a challenging task in ML workflows [108]. Model performance on new data may change over time in comparison to its performance when initially trained. It is thus important to monitor the performance of the deployed models, track changes in the data characteristics, and also, retrain and revalidate the models. These require iterations on the entirety of the ML model life-cycle activities which are often very expensive regarding time and resources. It is also important but hard to keep track of the model versions, dataset and configurations to allow *reproducibility* of ML models [68] and to make the management of ML workflows easier [133]. Model reproducibility helps us to analyze and compare model behaviour and performance, and also supports deployment or roll out decisions. We defined policies to version data and to keep track of models and configurations to support a comparative analysis of our ML models.
M9: **Ethics in AI development**: It is very important to ensure that the use AI and ML conforms with ethical standards to avoid any negative consequences. Researchers and practitioners should perform “responsible” use of AI [119]. The teams involved in the research and development of any ML application should adhere to the standard code of ethics for Software Engineering [134]. In our project, we maintained strict data privacy and security policies. Personal information was filtered out from the transactions prior to access and all the team members agreed to a non-disclosure agreement that protects the privacy and security of personal and business-sensitive information.
### 5.3.3 Research Collaboration Perspectives
Effective collaboration is a key requirement for the success of a collaborative project. Collaboration must aim to bring the best out of the partnering teams to advance towards their research and development goals. However, multi-partner (more specifically industry-academia) collaboration adds some inherent challenges [90] in terms of communication, interactions, and understanding of the problem. We shed some light on some collaboration challenges below:
C1: **Problem Understanding**: In a collaborative project, it is important for the partners to have the same or a similar understanding of the problem. Collaborations may be based on an academic research idea or a problem from the industry. The collaborative teams must understand the problem clearly to translate it into an appropriate research problem. The research aspects of the problem might be more transparent to the academic team(s) while the industry partner(s) may share domain knowledge as well as the business cases relevant to the problem.
C2: **Focus on objectives**: In an industry-academia collaborative project, there might be differences in prioritizing the objectives by individual partners. For example, the academic collaborators may naturally focus more on the research outcomes and may be more inclined to measure success in terms of research findings. Industry partners, on the other hand, might be more focused on maximizing the business values from the investment of time and resources. As the differences in objectives are not mutually exclusive, the differences in priorities may impact positively on the overall outcomes of the project. Thus, the heterogeneity in partnerships is more likely to enforce a balance between focuses on research and development. This, in turn, will translate the research outcomes into more practically usable deliverables as product and services to add business values.
C3: **Knowledge Transfer**: Knowledge transfer is an important driver of innovation and economic growth in industry-academia collaborations [1, 88, 135, 136]. In industry-academia collaboration in software engineering research, one of the key objectives is to transfer the research outcomes (e.g., knowledge and technology) from the academic partner(s) to the industry partner(s) and vice versa. Such collaboration bridges the gap between research and practice. Studies show that technological relatedness and technological capability are important facilitators for knowledge transfer while tacitness and ambiguity may affect knowledge transfer [137]. Moreover, the differences in organizational cultures may influence the interpretation of behaviour, interactions, and knowledge.
C4: **Professional Practice**: In an industry-academia collaboration, the heterogeneity of team members with research and professional software development background is an asset. The blend of research, development skills and domain expertise add diversity in the overall team skill set. However, professional practices and work processes are expected to be different in academia and industry. The workplace practices might be different due to the nature of day-to-day work. In industry, the work process is generally more formal and might be influenced by corporate business cultures. While in academia, the work processes are more outcome-focused with a comparatively flexible or less formal process. Difference in skill sets of team members may be hard to transfer between members. Indeed ML is a discipline in which statistics and mathematics are priors needed to fully understand and leverage its power. Transferring this knowledge to partners that may not have the same background knowledge can
thus become more difficult. We find that explanation offered by each team with special skills sets is important. Many studies acknowledged these cultural differences relevant to the industry-academia collaboration [138].
**C5: Data Privacy and Security:** Data privacy and security is crucial when business data with sensitive user information is subject to analysis for research and development. Application of machine learning may require access to a large volume of such data. Thus, the privacy and security of data are highly important. In addition to ensuring the privacy and security, use of data for AI must comply with ethical standards (see M8). Usually, data privacy and security are governed by the agreement among the partnering organizations. The team members need to be trained on the privacy and security of the data and associated resources (e.g., devices, networks).
### 5.3.4 Recommendations
Researchers and practitioners in software engineering and machine learning are in need of a consolidated set of guidelines and recommendations for research and development of ML applications. We summarize our guidelines or recommendations (RQ2) from the perspective of our identified dimensions of challenges for ML applications. It should be mentioned that many of the recommendations we propose for ML application development also apply to traditional software systems engineering. However, we present them in specific context of ML application development.
#### Software engineering perspective
From the software engineering perspective, we recommend the following guidelines to address the challenges we identified in Section 5.3.1.
- **Requirements Engineering**
- ML models are data-driven and thus it is important to analyze the feasibility regarding data requirements for the intended ML-based solutions as early in the project as possible.
- Applications can have ML-specific and non ML-specific requirements. Developers should be aware of any conflicts in the requirements and adapt to them accordingly.
- A late discovery of a requirement can be costly. Thus, communication with the end users is important to keep track of frequently evolving requirements.
- Iterative prototyping of multiple ML models and along with stakeholder feedback can help elucidate more requirements and improve data collection.
- **Process†**
– Do use version control on works so that it is easy to track changes, collaborate and version artifacts.
• Design
– ML applications are expected to be modular in design as modularity in order to offer separation of concerns and reusability. Each component can be developed with cohesive functionalities. The overall system is built by the integration of interacting modules.
– ML components may evolve faster than other system components due to frequent changes in requirements and data. The design of ML components thus should be lightly coupled to accommodate changes with minimum effort and cost.
– ML applications require a large volume of good quality data. Therefore, the design must accommodate the appropriate data handling mechanism in the system.
– As the models or components need to be integrated through appropriate interfaces, integration strategies must be reflected in the design.
• Implementation
– The implementation of ML applications should aim to use a cohesive set of frameworks and libraries.
– The implementation should consider the target platform of the application for scalability, compatibility, and portability.
• Integration
– The integration must ensure functional integrity of the system.
– The integration process should reflect the design of the system.
• Testing
– ML models can be opaque and it is usually hard to explain the model’s behaviours. ML models need to be tested rigorously in a wide variety of settings and for all possible range of use case scenarios.
– Bugs in ML application are hard to detect because of the stochastic nature of ML systems and the various non-determinism introducing factors that affect performance.
– †Data processing and feature extraction should be unit-tested in order to avoid having noisy data that could affect the whole pipeline
• Deployment
– The deployment should consider platform-specific differences in development and production environments.
– The deployment of ML applications in a production environment must consider portability and scalability requirements.
– †The deployment versions should be pinned to a verified set of dependencies upon which the statistical test was done.
– †The deployment should consider having a complete self-contained artifact, such as containers.
– The deployment and roll-out strategy should be carefully designed in order to avoid side effects in system users.
**Machine learning perspective**
From the ML perspective, we recommend the following guidelines to address the challenges we identified in Section 5.3.2.
- **Problem Formulation**
– The correct formulation of a problem as a ML problem is a prerequisite for the success of ML applications. Formulation of ML problems must be based on a clear understanding of the target problem and the characteristics of the data.
– ML algorithms offer general-purpose solutions. For this reason, developers must understand the available algorithms before selecting one or many for a particular problem.
- **Data Acquisition**
– The data collection process should ensure the completeness, accuracy, consistency, and timeliness of the dataset.
– As the structure of the data may evolve over time, the data acquisition process should be flexible in order to easily adapt to changes in the data structure and organization.
– The data requirements should be set by necessary analysis prior – on a smaller subset of data – to the acquisition of a large volume of data. This may save considerable amount of time and resources in the ML workflow.
- **Data Preprocessing**
– As the quality of a ML model heavily relies in the quality and abundance in data, raw data will need cleaning and preprocessing to remove noise, fill in the missing value. Additional transformations are then needed to make this data feedable to models.
– It is possible that the required preprocessing processes be common to modules. Thus, the overall workflow should maximize the reusability of the preprocessed data.
• Feature Extraction
– The quality of features greatly influences the performance of the ML models. Consequently, the developers must find the best set of features for the appropriate type of ML algorithm.
– An automated pipeline should be built for feature extraction as it is time and resource consuming.
– Noises from the features should be cleaned as they have adverse effects on the model performance.
– The complexity of the problem, model, and data directly impact the complexity of designed features. Therefore, features may need to be represented in a lower-dimensional space while preserving hidden characteristics.
– There should be a periodic review of the features [118].
• Model Building
– The ML algorithms need to be tailored based on the problem and the characteristics of the data.
– ML developers should start with a simpler solution (build a baseline model) and gradually adopt more complex solutions while considering the resource-performance trade-off.
– The developers must ensure the quality of data and its balanced distribution.
– Whenever possible, developers should consider reusing existing solutions (for productivity) before opting for customized or new solutions.
• Model Evaluation
– The evaluation dataset should be complete enough to represent all possible use case scenarios.
– Model evaluation should focus on precision/recall/accuracy but also on other factors such as throughput, resource utilization, and scalability.
– When different models interact, both model-level and system-level performances need to be evaluated.
– †ML models need to be under some statistical tests to verify their generalization ability.
– †Verify that the training process is not blocked by checking the gradients when problems arise.
• Model Integration and Deployment
– The Integration of ML components must ensure the functional integrity of the ML applications.
– The deployment should consider the compatibility and portability issues regarding development and production platforms.
– The deployment must ensure a smooth roll-out of the existing system without affecting users or the business process.
• Model Management
– Post-deployment monitoring of models is important. Based on performance, models may need to be retrained which may initiate a maintenance cycle.
– Newly ingested data needs to be monitored in order to quantify its characteristics such as distribution that may change over time.
– Building a model with the desired performance requires exploration and experimentation. Versioning of the models, data, and configurations is important to facilitate reproducibility of ML models.
– Each phase of the ML life-cycle should be well documented to support model maintenance and reproducibility.
• Ethics in AI development
– Development of ML applications must adhere to AI ethics principles to ensure responsible use of AI.
– Privacy and security of personal and business data must be preserved.
– Collective well-being must get priority over business gains in the use of AI and ML.
Industry-academia collaboration perspective
We recommend the following guidelines to address the challenges from the industry-academia collaboration perspective presented in Section 5.3.3:
• Problem Understanding
– All members of the team should have the same understanding of the problem. Perception sharing of perceptions can be useful to understand the problem from diverse perspectives.
• Focus on Objectives
– The success of the collaboration largely depends on the collective focus of the teams. The focus should thus be on the commonalities of the objectives rather than differences.
– Objectives need to be prioritized with consensus. Differences in objectives should be addressed in a cooperative manner rather than a competitive manner.
• Knowledge Transfer
– Knowledge and technology transfer is a primary objective of industry-academia collaboration. Frequent interactions can be useful in easing knowledge transfer.
– Identification of the differences in knowledge and in professional backgrounds can ease knowledge transfer.
– Training on academic and industrial perspectives may bridge the knowledge gaps among the partners.
• Professional Practice
– It is important to reach a common ground despite the differences in professional practices and institutional cultures in order to collectively focus on the objectives.
– Interactions and collaborations can be useful to bridge the gap in professional cultures.
• Data Privacy and Security
– Policies must be defined and communicated to the teams to ensure the privacy and security of sensitive data.
5.4 Conclusion
Artificial intelligence and ML are being increasingly adopted in modern software applications. Offering diverse benefits, ML is also adding new challenges in the software development process. We shared our experience on the development of ML-based automatic detection and correction of errors in retail transactions. We outlined our detailed approach to solve this important real-world problem in the retail business. We identified challenges in ML application development from software engineering and machine learning perspectives. Based on our experience building these ML components and the principles and practices in software engineering and machine learning, we report some important insights. We also highlight recommendations we believe will be useful to researchers and practitioners embarking in engineering ML applications.
CHAPTER 6 CONCLUSION
6.1 Summary of Works
In this thesis, we have proposed a methodology for measuring the impact of bug occurrence in a machine learning framework on its ability to train ML models. Since there is a lack of tooling for controlling NDIF in ML workflows for reproducibility, we have created a framework to control as much of these NDIF. That is, our framework, ReproduceML allows to configure a runtime in the most deterministic fashion possible for the purpose of running ML training procedures. Furthermore, ReproduceML’s ability to hold and serve as a metric collection server allows for reusability.
We followed this methodology on the PyTorch framework and gathered preliminary results on the effects of bugs on a model’s performance after training. We applied a nonparametric statistical test on our experiments: the Wilcoxon-Mann-Whitney U test (non-paired). Our early results report that there is no statistically significant difference on the ability of a model’s to perform well due to bugs, based on our limited dataset. We also highlighted the challenge of reproducibility throughout this thesis and provide an updated list of factors that impact non-determinism in the ML workflow.
We have also detailed our approach in implementing ML models in order to solve practical problems of an industry partner with whom a collaboration was established. In light of this industry-academia collaboration, we documented our approach to collaboration by identifying the challenges that inhibit efficient collaboration. Finally, we propose a set of recommendations based on our experience, for both parties in order to improve future industry-academia machine learning systems development.
These recommendations categorized into 3 main categories, i.e., Software engineering, Machine learning, and Industry-Academia relations, should help ML practitioners who are building ML systems to build reliable, reproducible, high quality systems for the industry.
We have also discussed the implications of non-determinism for the Industry and the Academia in terms of publication and results.
In summary, we have created the tooling necessary in order to measure empirical data points of ML training procedures and conduct empirical studies based on such approaches while reducing confounding factors that introduce additional variance to the stochastic nature of ML training procedures.
Our works for bug extraction can be found at https://github.com/swatlab/ml-framework-bugs and the framework at https://github.com/swatlab/ml-frameworks-evaluation.
6.2 Limitations
The main limitation of our preliminary empirical study is knowing if bugs were triggered during runs by doing something other than a manual verification. This limitation is the main bottleneck for systematic automated research. Even then, this manual verification is done on bug reproducibility data, there is no guarantee that the bug is triggered. We have proposed an updated methodology and created the tooling necessary to carry such a second phase of the study.
Considering the above, great care must be taken when analyzing results. Indeed, similar empirical studies on the analysis of variance have indicated that there is an expected variance due to the NDIF, even by controlling their experimental seed and other factors. Notably, considering there is a variance that is still uncontrollable due to lack of appropriate tooling, even if the bugs could have had an impact, if this impact is considerably smaller than the NDIF induced variance, no effect would have been observed.
When it comes to ReproduceML, the server side could benefit from integrating recent tools such as MLflow [68] and DVC [73] that incorporates advanced configuration and data versioning aspects. The client side, responsible for runtime configuration and NDIF control is mainly tied to the reproducibility capabilities in the inner ML frameworks, but could integrate future works such as GPUDet [139] and FlexPoint [104].
6.3 Future Research
We highlighted the possible future research for the effects of NDIF in machine learning workflow by first providing improvements on our methodology, by using tools already developed. In essence, the future works for NDIF effects upon ML systems would be to measure the impact of software versioning, deprecation usage on the performance of models both on the metric and on the speed of execution. Future research can also be conducted on the various sources of non-determinism we established in Section 3.2.2, as each research in this direction will prove to help reproducibility in machine learning systems.
When it comes to deploying ML systems in the industry, future works would be to further understand the key problems to industry-academia collaborations by engaging in new partnerships while following our recommendations. Furthermore, these new collaborations will allow for a richer set of new recommendations to emerge.
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[128] Y. Roh, G. Heo, and S. E. Whang, “A survey on data collection for machine learning: A big data - AI integration perspective,” *IEEE Transactions on Knowledge and Data Engineering*, pp. 1–1, 2019.
[129] P. Hebron, *Machine Learning for Designers*. O’Reilly Inc, 2016.
[130] S. Ramírez-Gallego *et al.*, “A survey on data preprocessing for data stream mining: Current status and future directions,” *Neurocomputing*, vol. 239, pp. 39 – 57, 2017. [Online]. Available: http://www.sciencedirect.com/science/article/pii/S0925231217302631
[131] F. Herrera et al., *Multiple Instance Learning*. Springer International Publishing, 2016.
[132] I. Guyon et al., *Feature extraction: foundations and applications*. Springer, 2008, vol. 207.
[133] J. Dunn. (2016) Introducing fblearner flow: Facebook’s ai backbone. [Online]. Available: https://code.fb.com/ml-applications/introducing-fblearner-flow-facebook-s-ai-backbone/
[134] Institute for Electrical and Electronics Engineers, Inc. and the Association for Computing Machinery, Inc. (1999) Code of ethics | ieee computer society. [Online]. Available: https://www.computer.org/web/education/code-of-ethics
[135] E. de Wit-de Vries et al., “Knowledge transfer in university–industry research partnerships: a review,” *The Journal of Technology Transfer*, vol. 44, no. 4, pp. 1236–1255, 2019.
[136] A. T. Alexander and S. J. Childe, “Innovation: a knowledge transfer perspective,” *Production Planning & Control*, vol. 24, no. 2-3, pp. 208–225, 2013. [Online]. Available: https://doi.org/10.1080/09537287.2011.647875
[137] M. D. Santoro and P. E. Bierly, “Facilitators of knowledge transfer in university-industry collaborations: A knowledge-based perspective,” *IEEE Transactions on Engineering Management*, vol. 53, no. 4, pp. 495–507, Nov 2006.
[138] J. Bruneel, P. D’Este, and A. Salter, “Investigating the factors that diminish the barriers to university–industry collaboration,” *Research Policy*, vol. 39, no. 7, pp. 858–868, sep 2010.
[139] H. Jooybar et al., “GPUDet,” *ACM SIGPLAN Notices*, vol. 48, no. 4, pp. 1–12, apr 2013.
APPENDIX A EXPERIMENT CONFIGURATION
Building These are the Docker images used to build the versions:
emiliorivera/pytorch-lttng py367-cu101 f56f9ff3befa
emiliorivera/pytorch-lttng py379-cu101 25622dae1fa2
Evaluation These are the Docker images used to run the experiments:
emiliorivera/ml-frameworks-evaluation-server latest 31a660331ee
emiliorivera/ml-frameworks-evaluation-client py367-cu101 7e51bb56f6c6
emiliorivera/ml-frameworks-evaluation-client py379-cu101 65206552e0d5
VGG-X
Our version of VGG modified to run on 32x32 images has the following architecture:
| Layer (type) | Output Shape | Param # |
|-----------------------|------------------|-----------|
| Conv2d-1 | [-1, 64, 32, 32] | 1,792 |
| ReLU-2 | [-1, 64, 32, 32] | 0 |
| Conv2d-3 | [-1, 256, 32, 32]| 147,712 |
| ReLU-4 | [-1, 256, 32, 32]| 0 |
| MaxPool2d-5 | [-1, 256, 16, 16]| 0 |
| Conv2d-6 | [-1, 512, 16, 16]| 1,180,160 |
| ReLU-7 | [-1, 512, 16, 16]| 0 |
| AdaptiveAvgPool2d-8 | [-1, 512, 5, 5] | 0 |
| Linear-9 | [-1, 1024] | 13,108,224|
| ReLU-10 | [-1, 1024] | 0 |
| Dropout-11 | [-1, 1024] | 0 |
| Linear-12 | [-1, 1024] | 1,049,600 |
| ReLU-13 | [-1, 1024] | 0 |
| Dropout-14 | [-1, 1024] | 0 |
| Linear-15 | [-1, 10] | 10,250 |
| LogSoftmax-16 | [-1, 10] | 0 |
Total params: 15,497,738
Trainable params: 15,497,738
Non-trainable params: 0
The full standard deviation of our experiments are shown here:
| bug_name | evaluation_type | metric | Standard deviation |
|--------------|-----------------|--------|--------------------|
| study-pr31167| corrected | accuracy | 0.349000 |
| | | precision | 0.273460 |
| | | recall | 0.360990 |
| | | f1 | 0.316318 |
| | buggy | accuracy | 0.347633 |
| | | precision | 0.247173 |
| | | recall | 0.354466 |
| | | f1 | 0.301058 |
| study-pr31433| buggy | accuracy | 0.401097 |
| | | precision | 0.245187 |
| | | recall | 0.400743 |
| | | f1 | 0.405464 |
| | corrected | accuracy | 0.384186 |
| | | precision | 0.305089 |
| | | recall | 0.384304 |
| | | f1 | 0.425116 |
| study-pr31552| corrected | accuracy | 0.274922 |
| | | precision | 0.275623 |
| | | recall | 0.272455 |
| | | f1 | 0.270807 |
| | buggy | accuracy | 0.317355 |
| | | precision | 0.294632 |
| | | recall | 0.314965 |
| | | f1 | 0.294290 |
| study-pr31584| corrected | accuracy | 0.520628 |
| | | precision | 0.297059 |
| | | recall | 0.523925 |
| | | f1 | 0.474808 |
| | buggy | accuracy | 0.477067 |
| | | precision | 0.267144 |
| | | recall | 0.483170 |
| Study ID | Status | Metric | Value |
|-------------|---------|----------|----------|
| study-pr32044 | buggy | f1 | 0.441195 |
| | | accuracy | 0.310795 |
| | | precision| 0.261660 |
| | | recall | 0.311590 |
| | corrected| f1 | 0.324546 |
| | | accuracy | 0.275846 |
| | | precision| 0.263358 |
| | | recall | 0.271931 |
| | | f1 | 0.310229 |
| study-pr32062 | buggy | f1 | 0.307069 |
| | | accuracy | 0.317440 |
| | | precision| 0.240009 |
| | | recall | 0.315965 |
| | corrected| f1 | 0.327499 |
| | | accuracy | 0.323788 |
| | | precision| 0.262634 |
| | | recall | 0.321101 |
| study-pr32350 | buggy | f1 | 0.289974 |
| | | accuracy | 0.311816 |
| | | precision| 0.222810 |
| | | recall | 0.311158 |
| | corrected| f1 | 0.368758 |
| | | accuracy | 0.363661 |
| | | precision| 0.305160 |
| | | recall | 0.363224 |
| study-pr32541 | corrected| f1 | 0.407222 |
| | | accuracy | 0.373467 |
| | | precision| 0.351968 |
| | | recall | 0.374326 |
| | buggy | f1 | 0.384371 |
| | | accuracy | 0.365379 |
| | | precision| 0.319897 |
| | | recall | 0.366328 |
| study-pr32829 | buggy | f1 | 0.332161 |
| | | accuracy | 0.338916 |
| | | precision| 0.276703 |
| | | recall | 0.345058 |
| | corrected| accuracy | 0.304975 |
| Study ID | Status | Metric | Value |
|-------------|---------|----------|----------|
| study-pr32831 | corrected | precision | 0.254600 |
| | | recall | 0.313150 |
| | | f1 | 0.302676 |
| | | accuracy | 0.220957 |
| | | precision | 0.245364 |
| | | recall | 0.225673 |
| | | f1 | 0.250097 |
| | buggy | accuracy | 0.315401 |
| | | precision | 0.336513 |
| | | recall | 0.321925 |
| | | f1 | 0.359283 |
| study-pr32978 | buggy | accuracy | 0.376771 |
| | | precision | 0.281298 |
| | | recall | 0.379263 |
| | | f1 | 0.349762 |
| | corrected | accuracy | 0.340978 |
| | | precision | 0.288742 |
| | | recall | 0.344259 |
| | | f1 | 0.318935 |
| study-pr33017 | buggy | accuracy | 0.290487 |
| | | precision | 0.250763 |
| | | recall | 0.289742 |
| | | f1 | 0.277894 |
| | corrected | accuracy | 0.262893 |
| | | precision | 0.271642 |
| | | recall | 0.259975 |
| | | f1 | 0.257889 |
| study-pr35022 | corrected | accuracy | 0.274241 |
| | | precision | 0.270380 |
| | | recall | 0.273300 |
| | | f1 | 0.301711 |
| | buggy | accuracy | 0.271911 |
| | | precision | 0.281770 |
| | | recall | 0.273358 |
| | | f1 | 0.313745 |
| study-pr36820 | buggy | accuracy | 0.259629 |
| | | precision | 0.212889 |
| | | recall | 0.264955 |
| Study PR | Status | Metric | Value |
|------------|---------|------------|----------|
| study-pr36832 | buggy | f1 | 0.336985 |
| | | accuracy | 0.349974 |
| | | precision | 0.316834 |
| | | recall | 0.346381 |
| | corrected | f1 | 0.340095 |
| | | accuracy | 0.304281 |
| | | precision | 0.324330 |
| | | recall | 0.301724 |
| study-pr37214 | buggy | f1 | 0.337470 |
| | | accuracy | 0.328743 |
| | | precision | 0.265165 |
| | | recall | 0.331890 |
| | corrected | f1 | 0.319260 |
| | | accuracy | 0.321551 |
| | | precision | 0.265107 |
| | | recall | 0.322716 |
| study-pr38945 | corrected | f1 | 0.332605 |
| | | accuracy | 0.290590 |
| | | precision | 0.369977 |
| | | recall | 0.286116 |
| | buggy | f1 | 0.301431 |
| | | accuracy | 0.283980 |
| | | precision | 0.296394 |
| | | recall | 0.285882 |
| study-pr39903 | buggy | f1 | 0.383754 |
| | | accuracy | 0.380929 |
| | | precision | 0.289519 |
| | | recall | 0.388137 |
| | corrected | f1 | 0.313139 |
| | | accuracy | 0.315839 |
| | | precision | 0.243343 |
| | | recall | 0.318049 |
Here we present the 3 bugs that were removed from analysis because of their different seed values between a buggy and corrected version. There are 3 bugs excluded: 35253, 32763 and 33050.
Figure C.1 Distribution of performance metrics for excluded result study-pr35253 for using different seeds
Figure C.2 Distribution of performance metrics for excluded result study-pr32763 for using different seeds
Figure C.3 Distribution of performance metrics for excluded result study-pr33050 for using different seeds
|
ANGLA
THATCHERS Horse
CIDER
DOG WASTE
www.glasscan.com
Amass Radiant Heretics
Antivoid Alliance
antivoid.solutions
ISBN 978-1-2345678-1-3
The only way to truly
Amass,
You Radiant Heretics
Awake all you smokey, undefined spirits, acid ghost dance cutties, checkout revenants, come all ghosts, bloody bones, spirits and demons, carpet land hags, night-bats and scrags, we invoke you to riotous assembly, to come seething across this septic, un-spectred isle. Radiant heretic potlatch, cadaverous pandemonium, psychic mutiny, occult insurrection, bunker magic, pylon goblins, slip road rituals, exhaust incense, a prayer of lay-bys, time slips sideways and the future curves until what was once proven can only be imagined.
Beneath
The Flailing Sprawl!
The City of Deerfield Beach is committed to providing a clean and safe environment for all residents, visitors, and businesses. To help us achieve this goal, we encourage everyone to properly dispose of their waste in designated trash receptacles.
Please remember that littering is not only illegal but also harmful to our community's appearance and health. By following these guidelines, we can work together to maintain a beautiful and welcoming environment for everyone.
Thank you for your cooperation and support!
we invite you to this riotous assembly
A stone mask with glowing blue eyes and a mouth full of teeth, surrounded by a swirling, psychedelic background.
The long night of late capital drags us back, and back again, toward a logic which inhibits and inhabits us: temporalities diverge whilst simultaneously blending into one extended now. Multiplying ten, one extends our lives augmented with the virtual, our lives augmented with the virtual.
[10:35, 20/09/2020] G: Anyway I was thinking about that event in London where the Zero poster was at the club entrance, Londonunderlondon
[10:35, 20/09/2020] G: And this feeling that you were walking into a sub-reality
[10:35, 20/09/2020] G: subterranean reality
[10:40, 20/09/2020] G: Could we create something with that atmos on Twitch
[10:43, 20/09/2020] C: Be v interesting to try...
[10:43, 20/09/2020] C: With all the compromises of not being at a rave
[10:44, 20/09/2020] C: ‘in your cave’ thing
[10:44, 20/09/2020] C: Bunkering down
[10:44, 20/09/2020] G: Through the long night
[10:46, 20/09/2020] C: Long form; all night format interests me greatly
DICTIONARY(TU)OVE(R)ATION
DICTIONARY(TU)OVE(R)ATION
Performing Noise
This is a proposal for an emergent broadcast.
A broadcast which emerges from the space between the rational and the felt.
A broadcast which intersects the ancient and the far future.
A broadcast which enfolds the real, the unreal, and the hyper-real.
This is a proposal for a broadcast borne out of noise, as it turns out all broadcasts must be and will surely return.
This broadcast will not be an arbitrary noise. The noise which will be performed here will consist of specific dissonances.
Precise interventions. A negotiation between cultural locations carefully identified as resonant nodes, points of potential rupture, locations of inherent fragility or apparent hostility.
This is not another broadcast which trades upon some unquestioned transgressive quality inherent in noise; some punk power or teenage rebellion, (although we do not underestimate either of these potentials).
This is a proposal for a libidinous noise. An emotional noise. An affective noise.
A ludic noise and a noise which is deadly serious.
This is a proposal for a broadcast that understands that we hear noise through our eyes and our chests. We see it with our ears and our mind. We feel it through theory and enact it with care.
This broadcast will not be a noise performance, but rather, a performance of noise. We do not seek to produce noise, but to inhabit it, to model it, to be it.
To let noise perform us.
This is a proposal for an emanation of delirium, a delirium of theory, a delirium of fiction, and a delirium of meaning.
This is not an arbitrary delirium; this delirium will be rational.
This is a proposal for a broadcast which takes issue with any assumed preference for the categorisation, identification or classification of the knowledge it might convey, convert or convolute.
This is a proposal for a fugitivity of meaning. A fugitivity from any framework for the adjudication of content which may pass through the policed borders of meaning.
This is a proposal for a broadcast which seeks not to fill a gap in knowledge but to preserve and elevate that gap (and any gap) as a positive position essential to the germination of new thought, new feels, and new horizons.
This is a proposal for a knowledge which doesn’t yet exist, but which will be formed, and re-formed with, and through, the environments in which it is received and those which escape, post-date, or preempt it.
This is a proposal for an uncoupling of the believed and the fixed.
This is a proposal for a planned un-plannability.
A focused defocusing.
This is a proposal to abduct the alien, (within and without).
This is a proposal to interpolate the xeno. An interrogation conducted from and for the outside. An Omnistition.
This is a proposal for a poetics of noise. A poetics of noise.
A poetics of noise.
This is a proposal for an interstition. An interruption. An intervention. An integration. An invitation. An invocation. An incantation. An induction.
A politics of noise. A poetics of affect. A poetics of political agency. A political agency of noise.
This is a proposal.
This is a broadcast.
This is noise.
NO
POHRRK
m a
a
s s s
ANVSS
NO NO
Remove File Turn Off Original Sound
SLASH
The eye is a complex organ that plays a crucial role in vision and overall health. It contains several structures, including the cornea, iris, lens, retina, and optic nerve, each with its own function. The cornea is the clear, dome-shaped surface at the front of the eye that helps focus light onto the retina. The iris is the colored part of the eye that controls the amount of light entering through the pupil. The lens is a transparent structure behind the iris that helps to focus light on the retina. The retina is a layer of light-sensitive tissue at the back of the eye that converts light into electrical signals that are sent to the brain via the optic nerve. These signals are then interpreted by the brain as images.
Eye health is essential for maintaining good vision and overall well-being. Regular eye exams can help detect early signs of eye diseases such as glaucoma, cataracts, and macular degeneration, which can lead to vision loss if left untreated. Proper nutrition, adequate sleep, and avoiding excessive screen time are also important factors in maintaining healthy eyes. In addition, wearing protective eyewear when engaging in activities that pose a risk of eye injury can help prevent damage to the eyes.
AMN
FROM INSIDE TO THE OUTSIDE
INSIDE ONE
OUTSIDE OF
THING ANOTHER
The pink handaxes in gallery 1 were made by two women in response to the pink stones that they found whilst digging for potatoes and turnips. These pink shiny objects were not what they had expected to find, but rather simply aroused in them a yearning to own and to keep them safe.
These pink handaxes replicas were sent back in time to the year 2017. They were sent by a group of people seeking a new perspective on the history of humanity. By placing these specimens in a time before the apocalypse they hoped to gain a reflexive new perspective on the apocalyptic human urge to own and to have.
Before 2017 many historians suggested that the stones were handaxes used by early humans to hunt and make tools. However it has now been understood that these items are in fact stone tributes to the pink plastic that was dug from the ground.
These so-called handaxes are in fact 'hyperstitious Objects' -remnants of an idea that will be future many years after the fact.
In this way we understand our strange relationship with plasticity, and hopefully avert the catastrophe that awaits us.
We hope that before the resources run out we can all learn to live without plastic.
297.4 MILE ROUND TRIP FROM BRIGHTON TO HOXNE SUFFOLK TO RETRIEVE FLINT FROM THE SITE OF JOHN FRERE’S RUPTURIOUS FIND: THE FIRST TECHNOLOGICAL OBJECT, THE OBJECT OF DESIRE, THE FLINT HAND AXE, THE ORIGINS, THE ROCKS OF THE FUTURE, THE PROTO-SIGNIFIER OF THE PRESENT ANTHROPO-CAPITALOCENE.
THE DOUBLE DEATH.
SYNTHETIC PERFUME.
CHANEL N°5.
SHAMPOO.
CHERRY BAKEWELL.
WHAT DO YOU THINK ABOUT THE PINK? UMM. I THINK WE SHOULD LEAVE THE CHAIRS HERE.
SIRENS. I LOOOVE THAT PINK. THE PINK KIND OF GLOOOOOP. IT’S MUCH BETTER THAN PAINT.
THAT SMELL.. OPENS UP A DEEP PRIMITIVE PART OF THE BRAIN. WE THINK BECAUSE WE CAN SMELL. I THINK.
SEAGULLS SQUAWKING.
BEEP, BEEP BEEP BBBBEEP.
IT’S ACTUALLY, REALLY BEAUTIFUL.
UP A DEEP PRIMITIVE PART OF THE BRAIN. WE THINK BECAUSE WE CAN SMELL. I THINK. SEAGULLS SQUAWKING. BEEP, BEEP BEEP BBBBEEP. IT’S ACTUALLY REALLY BEAUTIFUL
No pink goo in Sainsbury’s. No worries, I’ll get some at ASDA. I’ll be there in 25. There was something about that work. Something very real. Absolutely agree. I have many thoughts on it. But working outside any established institution or art context instantly made it feel, as you say, real. If true criticality depends on true autonomy then we got some great toward that with this work I think. *somewhere toward that.*
SPRAWL!!! NOW PLAYING BROADMARSH BY LUKI
CHRRK
The man was found in a blue plastic bag.
The 1980s saw the introduction of the first commercial satellite dish, which was designed to receive signals from geostationary satellites. These dishes were typically large and required manual adjustment to track the satellite's position in the sky. The development of digital signal processing technology in the 1990s led to the creation of smaller, more efficient satellite dishes that could automatically track the satellite's position using GPS technology.
Today, satellite dishes come in various sizes and designs, ranging from small, portable models for personal use to large, fixed installations for commercial applications. The most common type of satellite dish is the parabolic dish, which is shaped like a bowl and is used to focus the incoming signal onto a receiver. Other types of satellite dishes include reflector dishes, which use a flat surface to reflect the signal, and horn antennas, which use a conical shape to direct the signal.
Satellite dishes are essential components of satellite communication systems, allowing users to transmit and receive data over long distances without the need for physical wires or cables. They are widely used in a variety of applications, including television broadcasting, internet access, and military communications. As technology continues to advance, it is likely that new and innovative uses for satellite dishes will emerge in the future.
I'm not sure what you're asking about, but I can help with any questions you have about Minecraft or other topics! Just let me know what you need assistance with.
AMAZING
I am with shadows today.
Blanket over head
RICTUS
ACTUS
RICTUS
The first step in the process is to identify the type of material that needs to be removed. This can be done by examining the surface of the material and determining whether it is a solid, liquid, or gas. Once the type of material has been identified, the appropriate cleaning method can be chosen.
There are several different methods for removing material from a surface. One common method is to use a solvent, such as water or alcohol, to dissolve the material. Another method is to use a mechanical device, such as a brush or a vacuum cleaner, to physically remove the material. In some cases, a combination of these methods may be used to achieve the best results.
Once the cleaning method has been chosen, the next step is to apply the cleaning agent to the surface. This can be done using a variety of tools, such as a spray bottle, a sponge, or a cloth. It is important to ensure that the cleaning agent is applied evenly and thoroughly to all areas of the surface.
After the cleaning agent has been applied, the final step is to rinse the surface with clean water. This will help to remove any remaining cleaning agent and ensure that the surface is completely clean. It is also important to allow the surface to dry completely before using it again.
In conclusion, removing material from a surface can be a complex process that requires careful consideration of the type of material and the appropriate cleaning method. By following the steps outlined above, it is possible to achieve clean and effective results.
The first step in the process is to identify the type of pattern present in the image. In this case, we have a black and white image with a repeating geometric pattern. The pattern consists of diagonal lines and shapes that form a grid-like structure.
To analyze the pattern, we can use various techniques such as Fourier analysis or wavelet transforms. These methods help us decompose the image into its constituent frequencies and amplitudes, allowing us to identify the dominant patterns and their characteristics.
Once we have identified the pattern, we can proceed to the next step, which involves extracting relevant features from the image. This can be done using techniques such as edge detection or region segmentation. By identifying the edges and regions within the pattern, we can extract information about the size, shape, and orientation of the elements.
Finally, we can use machine learning algorithms to classify the pattern based on the extracted features. This step involves training a model on a dataset of similar images and using it to predict the class of new images. The accuracy of the classification depends on the quality of the training data and the complexity of the algorithm used.
In conclusion, analyzing a pattern in an image requires a systematic approach that involves identifying the pattern, extracting relevant features, and using machine learning techniques for classification. By following these steps, we can gain valuable insights into the nature of the pattern and its potential applications.
The first step in the process is to identify the problem. This can be done by conducting a thorough analysis of the current situation and identifying any areas where improvements can be made. Once the problem has been identified, the next step is to develop a plan for addressing it. This plan should include specific goals and objectives, as well as a timeline for achieving them. It is important to involve all relevant stakeholders in the planning process to ensure that everyone's needs and concerns are taken into account.
Once the plan has been developed, the next step is to implement it. This may involve making changes to existing processes or procedures, or introducing new ones altogether. It is important to communicate clearly with all affected parties about what changes are being made and why they are necessary. Regular progress updates should also be provided to keep everyone informed about the status of the project.
Finally, it is essential to evaluate the effectiveness of the implemented changes. This can be done through various methods such as surveys, interviews, or data analysis. The results of these evaluations will help determine whether the changes have achieved their intended outcomes and whether any further adjustments need to be made. By following these steps, organizations can effectively address problems and improve their performance over time.
1. **Introduction**
1.1 **Background and Motivation**
1.2 **Objectives and Scope**
A
NO NO NO!
3
CALL OUT MONSTER
Direct action and intervention interrupt or disrupt ritual. Artist-artefact and the public are in direct confrontation. The artist-artefact are anomalies to the expected pattern of business as usual. As such they create an opportunity or opening. A new pattern of thought. Art as resistance to capitalism and fixed systems.
There is an alternative.
“Moten and Harney want to gesture to another place, a wild place that is not simply the leftover space that limns real and regulated zones of polite society; rather, it is a wild place that continuously produces its own unregulated wildness. The zone we enter through Moten and Harney is ongoing and exists in the present and, as Harney puts it, “some kind of demand was already being enacted, fulfilled in the call itself.” While describing the London Riots of 2011, Harney suggests that the riots and insurrections do not separate out “the request, the demand and the call” – rather, they enact the one in the other: “I think the call, in the way I would understand it, the call, as in the call and response, the response is already there before the call goes out. You’re already in something.” You are already in it. For Moten too, you are always already in the thing that you call for and that calls you. What’s more, the call is always a call to disorder and this disorder or wildness shows up in many places: in jazz, in improvisation, in noise. The disordered sounds that we refer to as cacophony will always be cast as “extra-musical,” as Moten puts it, precisely because we hear something in them that reminds us that our desire for harmony is arbitrary and in another world, harmony would sound incomprehensible. Listening to cacophony and noise tells us that there is a wild beyond to the structures we inhabit and that inhabit us.”
I'm not sure what you're asking for, but I can help with any questions or provide information on various topics. Just let me know!
X
X
Infinite plane
of
potential
pure
contingent
possibility
outside-outside
of
this
dead
vacuum
welcome to The Antivoid ∇
INFINITE PLANE
NEW POTENTIAL
PURE CONTINUOUS
PERFECTIVITY
The image shows a close-up view of a concrete surface with various markings and scratches. The markings include what appears to be a series of white lines and shapes, possibly drawn with chalk or a similar substance. The lines form irregular patterns and curves across the surface. The concrete itself has a rough texture with visible cracks and imperfections, indicating wear and age. The overall appearance suggests that the area might be part of an outdoor space, such as a playground or a sports court, where children or people have been drawing on the ground.
Long Night (2019)
Karaoke 🎤 is a resonant node set on a line of magick force: a portal ✨ at the nexus of cultural ley lines which intersect ancient ritual 🧘 and inhuman becoming. In everyday use karaoke is locked in a necrotic embrace with global capital 😢. But this portal can be re-purposed.
Re-aligning flows of desire toward the occluded/occulted, the mystic space of Karaoke becomes an enchanted inductor for that which eludes control. Inducting timeless residual intensities, karaoke is capable of producing an intonation of that which is otherwise suppressed.
Lucky Voice is a descriptor for what 🌙 emerges 🎶 from this arcane chamber. Luck ✨: a magickal force that acts on us from outside. Voice: a container of internal expression outward. The Lucky Voice is a channelling of the contingent outside into discrete articulations.
The English translation of the Japanese word karaoke is Empty Orchestra. Orchestration implies control but the Empty Orchestra has no fixed players and no conductor and the emptiness belies a collective but ungrounded formation. It is an unorchestra. This negation becomes a driver for the emergent compositions multiplied with and through it. An amplificatory force fundamental to the technology of the karaoke room, The Empty Unorchestra is a contingent assembly, standing ready to assist any performance of the Lucky Voice.
AMKAD
This live stream from Lucky Voice karaoke room is a dissonant energy injected into the death ride network of global capital. We engage the services of The Empty Unorchestra to amplify our discordant compositions, to aid us in producing vexed transmissions which arise out of phase with the global web of mediation. Each work is a new composition performed via manifold connections beneath and through the magical cultures which subsist in the spaces between, below and around the tentacles of the sprawling grid.
BLACK
The image shows a person wearing a detailed, medieval-style helmet with a fur-lined interior and leather straps. The helmet appears to be part of a costume or armor, possibly for a historical reenactment or theatrical performance. The background is plain, which helps to focus attention on the helmet and the person wearing it.
Body levels mann @guest15736700 3m
coooool
Body levels mann @guest15736700 2m
i guess deleuze & guattari was right#
Atropos the Unturnable @guest15735...
trust your senses without judgement.
JollyCitizen @guest15737979 2m
the feedback is so so soothing
Atropos the Unturnable @guest15735...
I am Atropos I am the one that Judges. Sister of the Fates .Thank you for your question . Anyone else ?
Grot
The 'act of 'becoming' is the actionist
of the capturing of desire
Flows
The shit bin represents CR
The shit in the bags represents all the trapped desire captured by CR
Our expressions of desire literally turned to shit and trapped (controlled) in plastic
The shit bin is the energystore for all the individual captured desirous flows of CR
But like a nuclear waste pit buried deep... Its starting to overflow, the energy is leaking, cannot be contained
The 'surgical' act of 'becoming sh*tbin' is a subversive response to the capturing of desire by CR
*CR = Capitalist Realism (see, Fisher 2009)*
a rupture in our present.
an intervention in the
development of the
anthropo-capitalocene.
demanding us to be more
reflexive about our desires.
a reflexivity disarming and
unraveling the (ir)rationality
that underpins capitalism:
the biggest threat to our
ongoingness, rupture, break-
down. Capitalism and the
structures of our society
are arbitrary and contingent.
If we can take a position
from the outside where
we see the plasticity of
our system.
there is hope.
there is an alternative.
How to reach beyond or be reached from beyond these horizons? Our answers have been fugitivity and the practice of omnistition, all under the banner of xenofuturism. Ongoing questions revolve around the emancipative instrumentalisation of a libidinal economy, the negation of extrinsic agency, and joyousness as an act of political refusal.
Outsight is a statement of intent: social plasticity arrives through “Outsight” (outside thought-position) as it enables us to see the otherwise naturalised structures of our society as arbitrary and contingent. The ‘outside’ understood as some inherent political facility of art has been (rightly) critiqued, but outsight is key when we talk about the contemporary conditions of capture.
Redefining Fixity
Resist
Invisibility
Here's my AMASSHENGE
yessss
the colours!!!
scrzgs
YOU WILL PAY
THE ULTIMATE PRICE
FOR YOUR MEDIA DEGREE
K
K
K
Hello! I'm here to help with any questions you might have. How can I assist you today?
A blue mask with a hole in the center, revealing a marble pattern background.
McBell
THIS
DEAL
WILL
光
光
光
Byrne thy )cons
Oft The Pommez,
Hi Low End TheoF,
Reconstituted residual corporate floatex,
MR) Tapestry dimension,
pulsing spectres haunt the hay lofts of our consciousness,
Bunkers awash, a hyper conduit of stylised essence pours forth, where thee earth once holed.
Literall Basket Cases
She'll Shock
Blast Furnace
Blast Rhetoric
Dungeon Matador
Some Mummerfied Being,
The Archivist, Vaulted halles of remembrance,
Crater pocked Shed Activism
Bunker Cruncher
A Transmission Report
Subjugated Energy Fields
Newe Types of Being
The banner of the Order of the Wolf, a symbol of strength and loyalty, was burned in the forest.
Newt Exed
Gradual, Residual, Emancipated Alpha-Phonics.
Swamp 7 Thoughts
Post Elliptical Systemics.
As the Chasm erupts
Molten Rock and Crystalline waters subsideThe fire was started by a group of people who were not identified. The fire was reported to the police and firefighters, who arrived on the scene and put out the fire. The cause of the fire is still under investigation.
Insert old text here,
Decade Old Manuscripts
Coursing through literary veins
Intellectual strata
What edifice would we so populate?
Rivulets Ore Vaulted Chambers,
It led to an overall review of all written matter from dates 03, — pertaining to the 20’s,
An amalgam, cross pollination, Delineation, searching within for patterns,
Coherence
A higher trigonometry,
Publishing is a mere act of confirming one's own reality
The act is to Defie them.
We claim therefore we be,
This banner held on loft
Structural omniscience
The fire was burning brightly, illuminating the surrounding area with its warm glow.
Bring all channels to gather here
Upon these rocks,
Burning on Sulphuric Pyres,
Emblems of Futile Obsession
Cast them not for thee shall be cast
Byrne thy Icons
False Icons or Corporealate Banners
Banished, Relinquished
Perhaps time to put a lid on it,
Call it a night?
All but one last Clarion call
One last great leap
To hurl ones dreams at the granite rock face of reality
Cast adrift, monger flotts,
Yonder Trodds.
Words & Logwords
“The Parisian Alignment” / “FACT Gap 51” Graham Dews
The sun filters through the bare branches of trees, casting a golden glow that illuminates the scene with a warm, ethereal light. The interplay of light and shadow creates a serene and almost mystical atmosphere, highlighting the intricate details of the tree trunks and branches. The overall effect is one of tranquility and natural beauty, evoking a sense of peace and connection to nature.
Could finish with the idea of burning the bin. Putting the HYPERSIGILS to bed ZZZ.
And an escape tactic called burning the H-sigs. (Burning the hypersigils). As a way of leaving Late Capitalism. Not an aggressive combat, rather a nah, I’m done with that. A moving beyond. Burning could be accelerating the symbol. The hyperglyph thang. But creating the glyph and charging it up is a dangerous act. So the only way is to kind of burn the symbol in an act of refusal to engage with that modality anymore. We surely need to evolve beyond those dark mutations. Brands/politicians/basement boys are all playing with magic in the dark, with real life consequences.
If we are talking about reorienting desire etc, the dark magic is the corporate sigil. Unbranded imaginative space. Slip road = acceleration lane, sigil = desire. Grant Morrison coined the term hypersigil to refer to an extended work of art with magical meaning and willpower, created using adapted processes of sigilization. Maybe what we are creating is a Hypersigil. The whole night I mean. In fact the Antivoid logo is a sigil. The entire project is a hypersigil. A stand in for The Long Night of Late Capitalism.
Omnistition is sigil reversed. Desire released. Destroy the symbol, then redirect the desirous flows into something more generative. The commons, the people, collective body, the we, the social alliance. BUT we should probably be more specific to aesthetic/art/visual culture, to reclaim the agency and redirect the flows.
Omnistition is sigil reversed
AMASS, Antivoid Alliance, 2022
Including imagery from Amass
Radiant Heretics, 2020,
With stills from contributions by
Rina O’Clarey Andrew Kottling Luke Pentrell Chris Sav Ellis Warren
Graham Dewes Katie Mess Yurinio Seki
16:48:19
|
MINUTES OF THE PROCEEDINGS OF THE MEETING OF THE COMMUNITY PLANNING AND REGENERATION COMMITTEE HELD IN MOSSLEY MILL ON MONDAY 15 MAY 2017 AT 6.30 PM
In the Chair: Councillor P Brett
Committee Members Present:
Aldermen - W Ball
Councillors - A Ball, J Blair, L Clarke, T Girvan, N Kelly, N Kells, A Logue, R Lynch, V McWilliam and P Michael
Non Committee Members Present:
Councillors - D Arthurs, D Hollis, N McClelland, S Ross and W Webb
Officers Present:
Director of Community Planning and Regeneration - M McAlister
Head of Property and Building Services – B Doonan
Head of Economic Development – P Kelly
Head of Capital Development – R Hillen
Media and Marketing Officer – A Doherty
Community Services and Tackling Deprivation Manager – E Manson
ICT Officer – C Bell
Senior admin Officer – S McAree
Governance Support Office – D Conlan
CHAIRMAN’S REMARKS
The Chairman welcomed Members to the May meeting of the Community Planning and Regeneration Committee and reminded all present of the audio recording protocol.
1. APOLOGIES
Councillor Scott
2. DECLARATIONS OF INTEREST
Item 3.2 Councillor McClelland
3.1 CE/GEN/4 TRANSPORTNI – PROPOSED WAITING RESTRICTIONS – SCHOOL STREET, BALLYCLARE
Correspondence had been received from TransportNI advising of proposals to restrict parking on one side of School Street, Ballyclare to ensure one footway was available to children walking to Ballyclare Primary School (circulated). The proposed restriction would only apply Mon – Fri between 8 am and 6 pm.
Proposed by: Councillor Girvan
Seconded by: Councillor Kelly and agreed that
Member respond on an individual or party political basis.
ACTION BY: Member Services
3.2 ED/ED/6 EXPLORING ENTERPRISE PROGRAMME: MATCH FUNDING CONTINUATION
Members were reminded that in June 2015, the Council agreed to provide match funding to Enterprise Northern Ireland in support of a three year ‘Exploring Enterprise Programme’ (EEP). The programme is run throughout Northern Ireland and delivered locally by Antrim Enterprise Agency AEA), working closely with Mallusk Enterprise Park, with 65% of the cost funded by the Department for Employment and Learning (DEL) through the European Social Fund (ESF). The Council’s match funding was approved subject to the annual estimates process and to an annual review of performance against the agreed outputs.
The Exploring Enterprise Programme is aimed at unemployed individuals, especially the long term jobless, who may be interested in the self-employment option; it offers a range of practical support activities that may result in participants either starting up their own businesses or enhancing their employability skills and prospects. The programme has a particular focus on people with disabilities and health conditions, lone parents, older workers, young people not in education, employment or training (NEETs), women and also people with low or no qualifications.
The target was to deliver 8 courses in the Antrim and Newtownabbey Borough Council area over 3 years, (2 in year 1, 4 in year 2, and 2 in year 3) with the following key outputs:
- 96 personal development plans completed
56 individuals achieving QCF Level 1 in ‘Understanding Business Enterprise’
6 individuals successfully obtaining employment
8 individuals starting their own businesses
An overview and review of the project was circulated and a summary of outputs for year 2 were set out below:
| Year 2016-2017 | Progress |
|-----------------------------------------------------|----------|
| Courses Delivered | 4 |
| Personal Development Plans Completed | 45 |
| Individuals achieving QCF Level 1 in 'Understanding Business Enterprise' | 27 (5 Portfolios will be moderated by CCEA in May 2017 & 7 in January 18) |
| Individuals obtaining employment | 14 |
| Individuals starting their own business | 6 |
In 2017-18, AEA is to run 2 courses with the Council’s agreed match funding of up to £10,311. The targets are:
- 24 personal development plans completed
- 14 individuals achieving QCF Level 1 in ‘Understanding Business Enterprise’
- 2 individuals successfully obtaining employment
- 2 individuals starting their own businesses
Proposed by Councillor Lynch
Seconded by Alderman Ball and agreed that
the Council reaffirms its support for year 3 of the Exploring Enterprise Programme for the 2017/18 year in the sum of up to £10,311, provision for which exists in the Economic Development budget.
ACTION BY: Michelle Pearson, Economic Development Project Officer
3.3 ED/ED/40 O52(F) LOUGH NEAGH PARTNERSHIP: REQUEST TO RENEW CORE FUNDING
Members were reminded that the Council had provided £25,000 to the Lough Neagh Partnership (LNP) towards its core operating and programming costs in 2015-16 and in 2016-17. A request had been received (circulated) from the LNP for the Council to consider renewing core funding for 2017-18 in the sum of £22,000, £3,000 less than the previous year’s support as there would be no digital marketing skills programme as part of any new agreement.
Armagh Banbridge and Craigavon and Mid Ulster Councils had both agreed to provide £22,000 each for the current year and Lisburn City and Castlereagh
and Mid and East Antrim Councils were still considering a request for £3,500 each (they both share much smaller shorelines of the Lough).
Members were also reminded that a Lough Neagh Development Trust was established in 2016 to take on the long-term management and development of the Lough under community ownership. There was an expectation that funding would be sought from central government to support the work of the Development Trust going forward and officers would suggest that in future years there should be reduced reliance on the Councils to cover core operating costs. To assist the Partnership in its future planning it was suggested that officers engage in discussions regarding a reduced funding profile over the next 2-3 years.
Proposed by Councillor Kells
Seconded by Councillor Lynch and agreed that
a) £22,000 be provided to the Lough Neagh Partnership towards its core operating costs in 2017-18 provision for which exists in the tourism budget
b) officers engage with the Partnership regarding a reduced funding profile over the next 2-3 years
ACTION BY: Paul Kelly, Head of Economic Development
3.4 ED/EUP/2 RURAL DEVELOPMENT PROGRAMME: APPLICATION PROCESS AND MATCH FUNDING REQUESTS
Members were reminded that GROW South Antrim is currently delivering the Northern Ireland Rural Development Programme 2014-2020 across the Borough to include schemes that would support businesses, community organisations and village renewal projects. The Council made provision for £25,000 in the Capital estimates in 2016/17 and 2017/18 for match funding towards projects approved through the GROW programme.
Community Support – Basic Services
GROW is currently open for applications under its Basic Services measure, inviting proposals from the community sector to improve access to services in rural areas. Three potential applicants had requested that the Council consider providing up to 20% match funding to their project, subject to securing funding at a grant rate of 75% from GROW. The remaining 5% of the project costs would be provided by the applicant organisation. The table below summarised the applicants and their project proposals.
| Organisation & Proposal | Estimated Total Project cost | Council match |
|-------------------------|------------------------------|---------------|
| Organisation | Estimated Cost | Funding Request |
|--------------------------------------------------|----------------|-----------------|
| TIDAL, Toomebridge | £100,000 | £20,000 |
| Doagh Cultural Society | £24,000 | £4,800 |
**TOTAL** | **£124,000** | **£24,800**
All of the organisations were also applying for funding to the Northern Ireland Housing Executive, and if successful, the match funding requirement from the Council may reduce.
### Village Renewal
Members were also reminded that in September 2016, the Council successfully secured funding from GROW to update existing, and create new village and hamlet plans across the Borough. Village steering groups were subsequently invited to submit their proposals for the delivery of eligible actions identified in their plans, and Officers were currently reviewing these following an eligibility assessment carried out by GROW. As GROW had a budget for village renewal in the current financial year for projects, it was proposed that the Council (which is required under the funding regulations to submit applications directly to GROW on behalf of the villages) commences work on, and prepares funding applications for the first batch of projects as follows:
| Village & Proposal | Estimated Total Cost | Council match funding |
|--------------------------------------------------------|----------------------|-----------------------|
| Templepatrick: Replacement of the toilets at Wallace Park | £80,000 | £30,000 |
| Ballyeaston: Improvement works to the Church ruins and graveyard; capital works to install an outdoor power-point for community events and outdoor festive decorations | £30,000 | £7,500 |
| Straid: Capital works to improve the entrance into the village | £40,500 | £11,375 |
| Ballynure: Outdoor gym equipment at the War Memorial Park | £25,000 | £6,250 |
**TOTAL** | **£175,500** | **£55,125** |
The maximum funding available from GROW for each village project is up to £50,000 at a 75% grant rate. Officers would explore the potential to access additional match funding from the Northern Ireland Housing Executive to reduce the Council's match funding requirement.
Officers were reviewing the remaining village proposals and would report back to Committee in due course.
Proposed by Councillor Lynch
Seconded by Councillor Girvan and agreed that
a) The Council match fund 2 Basic Services applications up to £24,800, provision for which exists in the capital estimates programme, subject to the projects successfully securing funding from GROW
b) The Council submit funding applications to GROW and to the Northern Ireland Housing Executive for 4 village renewal projects, and to provide match funding of £55,125 if required, provision for which exists in the Capital Estimate Programme
c) Officers report back to the Committee on additional village projects following review.
ACTION BY: Paul Kelly, Head of Economic Development
3.5 ED/ED/80 CORPORATE EVENTS SPONSORSHIP PROGRAMME –SECOND CALL FOR APPLICATIONS
Members were reminded that a second call for applications under the Council’s Corporate Events Sponsorship Programme was released in April 2017. 3 applications were received by the deadline of Monday 19 April and Members agreed to provide funding for one of these (the May Day Steam Rally) at the Council meeting on 24 May as the event was being run before the May meeting of the Community Planning and Regeneration Committee.
The other two applications received were from Kaleidoscope seeking funding for a performance of My Fair Lady over 5 days in November at Theatre at the Mill; and from the Top of the Town for a 2 day Country Music Festival in Antrim town centre from 17-18 June coincides with the Antrim Summer Festival. Officers recommended that the application from Kaleidoscope be considered ineligible for funding as it is part of the Council’s theatre performance programme.
Officers had assessed the application from the Top of the Town and the outcome was indicated below. Members were reminded that the Council had already agreed to provide a total of £15,000 to the Antrim Festival Group for its festival from 9-17 June and was also funding the Street Velodrome from 16-18 June, which included a market adjacent to the Old Courthouse in Market Square.
| APPLICANT | EVENT NAME | LOCATION/DATE | SCORE (PASS RATE = 50%) | AWARD RECOMMENDED |
|-----------------|---------------------|----------------------------------------------------|-------------------------|-------------------|
| Top of the Town | Country Music Festival | Antrim Town Centre – Market Square, 17-18 June 2017 | 25% | Nil |
Proposed by Councillor Lynch
Seconded by Councillor Kelly and agreed that
the requests for Corporate Events Sponsorship funding from Kaleidoscope and from the Top of the Town be declined and that a debrief be carried out with the Top of the Town.
ACTION BY: Karen Steele – Tourism, Town Centre & Regeneration Manager
3.6 ED/ED/20 SOCIAL ENTERPRISE HUBS
Members were reminded that support for social enterprises was a function that transferred from Invest Northern Ireland to the 11 Councils from April 2015. In 2014, the Northern Ireland Executive agreed to fund the operation of 9 Social Enterprise Hubs covering 11 areas throughout Northern Ireland as part of its Delivering Social Change framework through the Social Investment Fund. The Hub serving Antrim and Newtownabbey was based at the ECOS Centre with additional premises in Bridge Street in Ballymena managed by LEDCOM.
Officers had considered the proposal from LEDCOM and recommended that the Council declined as there were staff already employed in the Community Planning and Regeneration Department who could provide support to those considering setting up or expanding a social enterprise. Causeway Coast and Glens had already declined the offer and Mid and East Antrim was still to decide. Members were also advised that officers would be engaging with Antrim Enterprise Agency and Mallusk Business Park, both social enterprises themselves, to scope out their capacity for service delivery within the Council area.
Proposed by Councillor Lynch
Seconded by Councillor McWilliam and agreed that
the Council declines the proposal from LEDCOM for a temporary Social Enterprise Hub service.
ACTION BY: Paul Kelly, Head of Economic Development
3.7 ED/ED/7 NOW GROUP: MATCH FUNDING FOR YEAR 4
The NOW Group is a social enterprise that supports young people and adults facing obstacles to employment and learning. In 2015, NOW secured funding at a rate of 65% by the Department of Education and Learning through the European Social Fund to provide young people (16-24) and adults up to 65 with learning difficulties access to training, volunteering and employment opportunities using a mix of mentoring, workshops, and tailored advice services over a three year period. The project aims to recruit 580 trainees across the Council areas of Antrim and Newtownabbey, Ards and North Down, Belfast, and Lisburn and Castlereagh creating 126 jobs over three years.
Members were reminded that in June 2015, the Council agreed to provide match funding to the Now Group in the sum of up to £17,500 per annum for three years (2015-16, 2016-17 and 2017-18) subject to an annual review of performance with the following key outputs; identified for the overall programme;
- 15 paid jobs to be created
- 15 voluntary jobs to be created
- 15 work experience placements
- 90 QCF accreditations
- 75 individual learner plans prepared
An overview and review of the project was circulated and a summary of outputs for year 2 were set out below:
| Year 2016/2017 | Progress |
|---------------------------------|----------|
| Paid jobs to be created | 15 |
| Voluntary jobs to be created | 5 |
| Work experience placements | 13 |
| QCF accreditations | 31 |
| Individual learner plans prepared | 23 |
The target outputs for year 3 were;
- 6 paid jobs to be created
- 6 voluntary jobs to be created
- 6 work experience placements
- 35 QCF accreditations
- 30 individual learner plans prepared
Provision had been made in the 2017-18 Economic Development budget to match fund this project. Progress reports from the project promoter indicated that to date, the jobs target had been exceed (31 against an overall target of 30); and the target for work experience has also been exceeded (23 against a target of 15).
Proposed by Councillor Kelly
Seconded by Councillor Lynch and agreed that
the Council reaffirms match funding to the NOW Group for year 3 of its programme in the sum of up to £17,500 provision for which exists in the Economic Development budget.
ACTION BY: Michelle Pearson, Economic Development Project Officer
3.8 ED/REG/5 ANTRIM TOWN TEAM: PROPOSED ACTION PLAN 2017/18
Members were reminded that proposals for the Antrim Town Team Action Plan for 2017-18 were agreed at the Antrim Town Team meeting on 20 March. The proposed action plan was set out below and included proposals for extending the town centre Wi-Fi to other key gateway streets, annual business awards and a range of complimentary activities.
ANTRIM TOWN TEAM ACTION PLAN 2017-18 BUDGET ALLOCATION £22,000
| PROJECT IDEAS | INDICATIVE BUDGET |
|------------------------------------------------------------------------------|--------------------|
| Marketing campaign to promote Antrim town brand as an independent shopping destination | £4,000 |
| Extend Wi-Fi coverage to Fountain Street and Bridge Street (subject to performance of Phase 1) | £6,000 |
| Complimentary events in the town when large events are taking place in nearby attractions | £4,000 |
| Development of the loyalty scheme | £5,000 |
| Business Awards | £3,000 |
| **Total** | **£22,000** |
Proposed by Councillor Kells
Seconded by Councillor Lynch and agreed that
the Antrim Town Team action plan for 2017-18 be approved at a total cost to the Council of £22,000, provision for which exists in the Economic Development budget.
ACTION BY: Karen Uprichard, Tourism, Town Centre & Regeneration Officer
3.9 PBS/BC/3 STREET NAMING
Correspondence was received on 25th and 27th April 2017 from Fermac Properties Ltd, regarding the naming of a residential development at Randalstown Road, Antrim. The development at present is for 242 residential units. The developer intends to make an amended planning application for change of house types and to reduce the number of units to approximately 190. The developer wishes to have an overall development name approved with the intention of using appropriate suffixes as and when the final site layout
is agreed. Three overall development names proposed were outlined below with a site location map circulated.
1. Castletown
2. Castlewater
3. Castle Tower
The Committee were made aware that there were already many street names in the Borough area which have utilised “Castle” in the name. There is a development in Templepatrick with the name Castleton and there are two addresses in Ballynure with the names Castletown Road and Castletown Park.
Should the Committee not wish to select one of the above names, the matter would be referred back to the developer via the Building Control section for further consideration.
Proposed by Councillor Kells
Seconded by Councillor Kelly and agreed that
the Committee selects the name Castlewater for the development.
ACTION BY: William Richmond, Principal Building Control Surveyor
3.10 PBS/BC/3 STREET NAMING
Correspondence was received on 10th April 2017 from Gary Hunter (Philip Tweedie Estate Agents) on behalf of Cultra Developments, regarding the naming of a residential development at Bernice Road, Newtownabbey. The development is for five dwellings, a mixture of detached and semi-detached. The three development names and the developer’s rationale had been submitted as outlined below with a site location map and site layout plan circulated.
1. Bernice Mews
2. Bernice Manor
3. Craigarogan Mews
Should the Committee not wish to select one of the above names, the matter would be referred back to the developer via the Building Control section for further consideration.
Proposed by Councillor Kelly
Seconded by Councillor Ball and agreed that
the Committee selects the name Bernice Manor for this development.
ACTION BY: Liam McFadden, Principal Building Control Surveyor
3.11 CP/GEN/17 DFC INTERIM LETTER OF OFFER-COMMUNITY FESTIVALS FUND 2017/18
Members were advised that correspondence had been received from the Department for Communities (DFC) indicating that financial assistance of up to £7,375 was to be made available to the Council to deliver its annual Community Festivals Programme for the period 1 April-30 June 2017.
This amount remained at the same level pro rata as the previous year with the same requirement for match funding from the Council.
Members were reminded of the decision taken at the Council meeting in March 2017 to support a number of programmes on an ‘at risk’ basis including Community Festivals for up to 6 months subject to a review in July 2017.
Following this decision by the Council to continue programme delivery ‘at risk’ it was anticipated that letters of offer would be issued to service providers for a six month period from 1 April to 30 September 2017. In light of the aforementioned letter of offer from DFC regarding the Community Festivals Fund the ‘at risk’ element for the Council for the period 1 April-30 June was no longer applicable, however the 1 July to 30 September period remained relevant.
Proposed by Councillor Kells
Seconded by Councillor Lynch and agreed that
the Interim Letter of Offer for financial assistance received from the Department for Communities for the sum of £7,375 towards the Community Festivals Fund for the period 1 April to 30 June 2017 be accepted.
ACTION BY: Elaine Manson, Community Services & Tackling Deprivation Manager
3.12 CP/CD/135 BONFIRE MANAGEMENT PROGRAMME 2017
Members were reminded that a review of the Bonfire Management Programme was undertaken in September 2016 and that the new Programme for 2017 was approved by the Council in October 2016, with a budget of £48,000, a copy of which was circulated for members' information.
Subsequently two information sessions, detailing the proposed new agreement, were held with the relevant groups in Antrim and Newtownabbey in January 2017. The purpose of these meetings was to receive feedback from the groups and compile a list of potential participants for the programme in 2017.
An initial site inspection of all potential bonfire sites took place at the end of March 2017 following which Council Officers accompanied by representatives from the PSNI, NIFRS and the NIHE met with community group representatives for each bonfire site on an individual basis in Antrim and Newtownabbey in
April 2017. All necessary documentation was signed enabling the groups to participate in the 2017 programme.
In total 17 sites across the Borough have signed up; 4 sites in Antrim and 13 in Newtownabbey which are detailed as follows:
**Antrim**
- Neillsbrook - Bonfire
- Newpark and Caulside – No Bonfire or Beacon
- Parkhall (Kilgreel) – Beacon
- Steeple (Oaktree Drive) – No Bonfire or Beacon
**Newtownabbey**
- Burnside (Kelburn Park) – Beacon
- Doagh (Anderson Park) – Beacon
- New Mossley – Beacon
- Old Mossley – Beacon
- Mallusk (Parkmount) – No Bonfire or beacon
- Grange (Grange Drive) - Bonfire
- Ballyduff (Forthill Drive) - Bonfire
- Monkstown (Abbeytown Square) - Bonfire
- Monkstown (Devenish Drive) - Bonfire
- Queenspark - Bonfire
- Rathcoole (Foyle Hill) – Bonfire
- Rathcoole (Dunanney) – Bonfire
- Rathfern (Knockenagh Avenue) – Bonfire
Over the last number of years Doagh Cultural Society had requested some modifications to the beacon for Anderson Park. The proposed modified structure had been discussed and approved by the NIFRS.
Requests had also been received from CORE the newly constituted community group in New Mossley and the Inter-estate Partnership in Antrim, for the Parkhall Kilgreel Road site. These groups were keen to trial beacons for the first time. As the Council is currently in possession of four beacons an additional beacon would need to be purchased at a cost of £3,500 to facilitate these requests provision for which exists in the capital estimates.
For groups holding bonfires the agreed collection start date for this year’s programme is 16 May 2017. Inter-agency inspection dates had been set to coincide with this on 15 May, 12 June and 10 July 2017.
At present groups are developing their 11 July festival programmes and completing their event pro-formas all of which would be funded and administered by the Council up to a maximum of £2,700 per group. It is expected that the procurement of all goods and services in relation to each site would be completed by the end of May 2017.
Information detailing the dates, times and venues of these festivals would be reported to the Community Planning and Regeneration Committee in June 2017.
Proposed by Alderman Ball
Seconded by Councillor McWilliam that
a) The 17 sites listed be approved for the inclusion in the 2017 Bonfire Management Programme.
b) A new beacon be purchased at a cost of £3,500 to enable the 5 sites which have requested beacons to proceed.
c) The modifications to the Doagh beacon be made at a cost of approximately £2,000.
On the proposal being put to the meeting, 9 Members voted in favour, 4 Members voted against and there were no abstentions.
The proposal was accordingly declared carried
Councillor Blair asked that it be noted that he recognised the progress made, but remained opposed to the funding of bonfires and festivals unless or until the issue burning images of individuals or national emblems is on the table and therefore cannot support this recommendation.
ACTION BY: Jonathan Henderson, Community Services Officer
3.13 CP/GR/56, CP/GR/57 CP/GR/59, CP/GR/62 GOOD RELATIONS SUMMER INTERVENTION GRANT AID PROGRAMME 2017
Members were reminded that the annual Good Relations Action Plan submitted to the Office of the First Minister and Deputy First Minister included a budget of £18,000 for the Summer Intervention Grant Aid Programme to support diversionary activities and good relations projects for young people living in areas affected by sectarian conflict.
The funding stream which closed on Friday 21 April invited applications for projects which would help to reduce potential sectarian clashes and promote positive community relations during July and August 2017.
A total of 4 applications were received, 3 applications successfully scored above the 50% threshold requesting a total amount of £7,500. A summary of all the applications received and the proposed award recommendations and an overview of the assessment and funding details were circulated for members' consideration. As there was a remaining budget of £10,500 available and due to the tight turnaround time, the funding was reopened on Monday 24 April at 4pm with a closing date of 4pm on Friday 19 May.
The Director reminded Members at this point of a previous decision to move to 75% and 25% payments to groups. She explained that a recent internal audit
report recommended that no advance payment should be made however in the case of grants up to £5000 officers had agreed that the current 50% and 50% payments remain.
Proposed by Councillor Lynch
Seconded by Councillor Ball and agreed that
the proposed funding awards totaling £7,500 be approved and that the 50/50 payment arrangement remains in place.
ACTION BY: V Crozier-Nicholl, Good Relations Officer
3.14 CP/GR/56, CP/GR/57, CP/GR/59, CP/GR/62 GOOD RELATIONS GRANT AID PROGRAMME 2017
Members were reminded that the annual Good Relations Action Plan submitted to The Executive Office contained a budget of £25,000 for the implementation of a Good Relations Grant Aid Programme to support community and race relations locally. This is a rolling programme open until November 2017 subject to budget availability.
A summary of the Good Relations applications received for April and an overview of the assessment and funding details was circulated for information. Members were aware that a pass threshold of 50% for Good Relations Grant Aid applications was agreed at the Community Planning and Regeneration Committee in November 2014. Three applications had been received in April with two being successful requesting a total amount of £5,000 leaving a current remaining budget of £20,000.
Proposed by Councillor Girvan
Seconded by Councillor Clarke and agreed that
the proposed funding awards totaling £5,000 be approved.
ACTION BY: V Crozier-Nicholl, Good Relations Officer
3.15 CP/CD/139 COMMUNITY DEVELOPMENT GRANT AID PROGRAMME 2017/18 – FUNDING RECOMMENDATIONS (SMALL GRANTS)
Members were reminded of the Small Grants Programme which was agreed by the Council in October 2014 as part of the new Antrim and Newtownabbey Borough Council Community Development Grant Aid Programme.
The purpose of the Small Grants programme was to provide financial assistance to groups within the Borough of up to a maximum of £500 towards seeding costs and/or insurance or a small activity and/or insurance. Members were advised that groups who apply for a small grant are not permitted to apply for any other funding available under the wider Community Development Grant Aid Programme during the course of the 2017/18 financial year.
To be successful in securing a small grant groups applying must score a minimum of 50% in their application assessment and all proposed awards are subject to the receipt of all relevant supporting documentation otherwise the offer of funding will be withdrawn.
In April 5 applications were received requesting a total of £2,491.86 and were assessed by Officers as outlined below:
| Group Name/Project Promoter | Project Description/Title | Scored Percentage | Amount Requested | Amount Awarded |
|-----------------------------|------------------------------------------------------------------------------------------|-------------------|------------------|---------------|
| Creggan Local Heritage Group| Small Activity Grant for a family fun day including light refreshments, fun activities for children & musical entertainment | 80% | £500.00 | £500.00 |
| Templepatrick Action Community Association | Small Activity Grant for the Big Lunch community event | 73% | £500.00 | £500.00 |
| Doagh Preschool Playgroup | Small Seeding Grant for a new community run playgroup including insurance and other start up items | 60% | £500.00 | £500.00 |
| Mid Antrim Animal Sanctuary | Small Activity Grant for entertainment for Summer Open Day | 53% | £500.00 | £500.00 |
| Silver Threads | Small Activity Grant for insurance and an outing | 40% | £491.86 | £0 |
The total budget available for Small Grants for the 2017/18 financial year was £6,570.93. The total amount of financial assistance awarded to date, including the above successful applications, was £5,667.07 leaving a balance of £903.86 to fund future applications that may be submitted to the Council during the remainder of the financial year.
Proposed by Councillor Girvan
Seconded by Councillor Kells and agreed that
the Small Grant award recommendations be approved.
ACTION BY: Kerry Brady, Community Support Officer
3.16 CP/CP/5 LOVE LIVING HERE – COMMUNITY PLAN FOR ANTRIM AND NEWTOWNABBAY 2017-2030
Members were reminded of the draft community plan framework which was published for consultation on 18th January for a 12 week period ending 12th April.
The plan had now been finalised, taking into account the consultation responses and was circulated for members' consideration. The final draft was considered and approved by the Community Planning Partnership at its meeting on Tuesday 2nd May. Each of the partner organisations, including the Council would now formally approve the plan through their respective governance structures.
Proposed by Councillor Blair
Seconded by Councillor Lynch and agreed that
the plan be approved and submitted to the Department for Communities.
ACTION BY: Alison Keenan, Community Planning Manager
3.17 CP/CD/144 IPB INSURANCE PRIDE OF PLACE 2017 IN ASSOCIATION WITH CO-OPERATION IRELAND
Members were advised of The IPB Insurance, Co-operation Ireland Pride of Place Competition the purpose of which was to acknowledge the work carried out by communities throughout the entire island of Ireland. Entry to the competition was by way of Council nomination.
The competition recognised the work being done to create communities for tomorrow whilst respecting the heritage and culture of the past. It also pays recognition to the efforts being made to create viable, vibrant and visible communities which impact and make a difference in peoples' lives.
This year there were 11 categories in total made up of 5 population categories, 3 single issue categories with designated themes and 3 non-population specific categories; Housing Estates, Islands and Coastal Communities and Urban Neighbourhoods.
The Council may nominate groups in up to a maximum of 5 categories with one entry only in any individual category. A list of all the categories was outlined below:
Population
1. 0-300
2. 300 -1000
3. 1000-2000
4. 2000-5,000
5. Over 5,000
Theme
6. Community Based Youth Initiative (voluntary aspect important)
7. Creative Place Initiative (capturing the cultural creativity of a community)
8. Communities Reaching Out Initiative (reaching out to new residents/communities in the area)
Non Population
9. Housing Estates
10. Islands and Coastal Communities
11. Urban Neighbourhoods.
*An urban neighbourhood is a defined area of a city, town or suburban place
To nominate a group, a short application form must be completed by the Council and submitted along with a short resume of the groups work and how it meets the entry criteria. Following assessment successful entrants will receive a large trophy and a cash prize of €1,000. Runners-up will also receive a trophy and a cash prize of €500.
The entry fee per Council is £500 per group, provision for which has been made in the Community Services budget. The closing date for applications is 5 May 2017. The awards ceremony will take place in November 2017, details of which have still to be confirmed.
Members were aware that the Council had made submissions annually to this completion for a number of years. With the current programme of both capital and revenue schemes underway it was felt that these would come to fruition in 18-24 months and that it would be appropriate to consider applying at that time.
Proposed by Councillor Kells
Seconded by Councillor Lynch and agreed that
consideration be given to submissions for this competition in 18-24 months.
ACTION BY: Kerry Brady, Community Support Officer
3.18 ED/REG/3 GLENGORMLEY TOWN TEAM
Members were reminded that the Midsummer Magic event would take place in Lilian Bland Park, Glengormley on 10 and 11 June 2017. The event was being organised in conjunction with the Community Relations Forum which received funding from the Council’s Community Festival Fund, with match funding being provided through the Town Team’s Action Plan.
The event would build on the success of the 2016 Christmas market and would feature an artisan market, family fun activities, amusements, entertainment and music and dance performances from local groups. Businesses in Glengormley would be providing the food and drink stalls and a local bar had agreed to apply for an alcohol licence for the event.
In accordance with the relevant byelaw, the consumption of alcohol is prohibited in the park. It was therefore proposed to suspend the byelaw for the duration of the event (12-8pm on Saturday 10 June and Sunday 11 June).
Rebel Legion had offered to provide Star Wars and science fiction characters at the event free of charge, in return for carrying out a charity bucket collection. The collection would be in aid of Hope House (Ireland), a registered charity which provides accommodation to support the recuperation of patients undergoing cancer treatment.
Proposed by Councillor Blair
Seconded by Councillor Ball and agreed that
a) a notice advising of the suspension of the byelaw be placed in the local press.
b) Rebel Legion be granted permission to carry out a charity collection on behalf of Hope House (Ireland) during the event
ACTION BY: Paul Kelly, Head of Economic Development
3.19 CD/PM/107 THREEMILEWATER PARK LANDSCAPE PROPOSALS
Members were advised that provision exists within the Capital estimates for an improvement scheme at Threemilewater Park, to include upgrading the entrances and path network, landscaping and enhanced site facilities and signage. The total current funding available was approximately £341,000 from the allocated Threemilewater Park (£100,000) and Parks and Allotments (£241,000) Capital budgets.
The proposals had identified three areas within the park with separate characteristics. Schemes for each area have produced and presented to the Threemilewater DEA Members on 26th April 2017. The options with indicative costs were detailed below and refer to the enclosed park layout drawing.
AREA 1 Woodland
Proposals:
i. Improve park boundary security, drainage to paths, reduce erosion and enhance 2no. entrances at Doagh Road and the railway bridge.
ii. Site furniture, signage and artwork.
iii. Park landscaping and planting works generally.
iv. High level path (provisional and not costed at this stage)
Estimated cost: £
AREA 2 Parkland
Proposals:
i. Create a loop path network with trim trail and upgrade existing paths
ii. Site furniture, signage and artwork.
iii. Park landscaping and planting works generally.
Estimated cost: £
AREA 3 Primary Entrance and Wetland scrub
Proposals:
i. Improve park boundary security, and enhance 2no. entrances at Doagh Road and Hawthorne Road.
ii. Upgrade existing paths leading to a refurbished bridge and newly landscaped central park hub
iii. Site furniture including picnic tables and play zone for under 6 age group, signage and artwork.
iv. Park landscaping and planting works generally.
v. Boardwalk
Estimated cost: £__________
The total estimated cost for areas 1, 2 and 3 is £__________ (excluding the high level woodland path in Area 1)
All costs presented above are subject to further detailed site investigations.
At the meeting on 26 April 2017, Members requested Officers to progress with the appointment of a consultant to prepare a scheme design to bring back to Committee for approval. At that time an accurate cost could be provided, and a decision taken regarding the phasing of the scheme.
Proposed by Alderman Ball
Seconded by Councillor Ball and agreed that
a) The concept for areas 1, 2 and 3 be approved in principle
b) A consultant be appointed to develop designs and cost plans and a further detailed report be brought back to Members for consideration
The Chairman asked that a concern raised by Councillor Ross around the Hawthorn Road entrance and drainage/flooding be investigated by the relevant officers.
ACTION BY: Claire Minnis, Projects Development Manager
3.20 ED/REG/9 CRUMLIN TOWN TEAM: PROPOSED ACTION PLAN 2017/18
Members were reminded that proposals for the Crumlin Town Team Action Plan for 2017-18 were agreed at the Crumlin Town Team meeting on 12 April 2017. The proposed action plan was set out below and included projects aimed at making vacant units more attractive to prospective tenants, improving public safety, marketing support, and some environmental improvements.
| PROJECT PROPOSALS | INDICATIVE BUDGET |
|-----------------------------------------------------------------------------------|--------------------|
| Develop appropriate forms of social media channels; development of the new brand for the town centre | £2,000 |
| Help bring forward sustainable parking options for the town centre | Nil cost |
| Description | Cost |
|----------------------------------------------------------------------------|-------|
| Networking events to help build business engagement, targeting the local | £1,000|
| business community and featuring relevant guest speakers | |
| Provide a contribution to the installation costs of a CCTV provision in | £8,000|
| the town centre (subject to outcome of the Council’s current audit and | |
| consultation process of CCTV across the Borough). | |
| Ongoing technical assistance from external specialists to establish and | £1,500|
| develop the Town Team and assist with the development/implementation of | |
| the plan | |
| Environmental improvements to help improve the appearance of some vacant | £4,000|
| units and surrounding areas | |
| Improve town centre signage | £5,500|
| **Total** | **£22,000**|
Proposed by Councillor Michael
Seconded by Councillor Logue and agreed that
the Crumlin Town Team action plan for 2017-18 be approved at a total cost to the Council of £22,000, provision for which exists in the Economic Development budget.
**ACTION BY:** Karen Uprichard, Tourism, Town Centre & Regeneration Officer
### 3.21 COMMUNITY PLANNING AND REGENERATION COMMITTEE TERMS OF REFERENCE
Antrim and Newtownabbey Borough Council conducts its business through a traditional committee system, where business is initially considered by one of its Committees forming a key component of Antrim and Newtownabbey Borough Council’s corporate governance framework.
In line with good governance arrangements Terms of Reference (TOR) are required for each Committee. These TOR would build on the previously agreed Committee remits and outline each Committee’s core functions and define authority limits using a standardised format. It was proposed that each Committee’s TOR would be taken to the associated Committee for approval prior to publication on the Council website. A copy of the new draft Community Planning and Regeneration Committee Terms of Reference was circulated for consideration by Members.
Proposed by Councillor Lynch
Seconded by Councillor Kells and agreed that
**Members approve the Community Planning and Regeneration Committee Terms of Reference.**
**ACTION BY:** Liz Johnston, Head of Governance
Members were reminded that three of the Council’s business support programmes concluded at the end of March 2017. Officers had carried out a preliminary assessment of the impact of these programmes and would bring a more detailed evaluation to Committee in due course.
1. The **Build Your Own Website** programme was originally intended as a pilot programme for a maximum of 10 local businesses, however given the high level of initial interest, the Council agreed to increase the number of places to 22. As a result, 22 local businesses now have fully functioning websites operating to help them promote and sell their goods and services. The business owners also have the skills required to sustain and develop their websites. Feedback from the participants had been very positive, reinforcing the need to repeat the programme in 2017-18.
2. The **Bricks & Clicks** programme provided early business support for 10 local businesses, involving 3.25 days of individually tailored mentoring, the development of an action plan for each participant, a £500 product development bursary, interactive workshops, test trading and the opportunity to engage in World Host Training. The programme results and feedback to date at this early stage had been very encouraging, with many of the programme objectives already or almost achieved well in advance of the 6 month post-programme evaluation timeframe. These included the creation of 5 new retail businesses (target is 6), 5 new jobs (target is 6, although it was expected that this may rise to 15 within 12 months) and 3 retail businesses occupying premises (target is 2).
3. **STAR 3**: this programme offered customised, focused and specialist support for individual retailers, and those businesses in the hospitality, tourism and professional sectors to implement practical business solutions to help enhance business competitiveness. The programme consisted of;
- One-to-one mentoring;
- Specialist mentoring;
- 4 interactive Workshops;
- Two mystery shop exercises;
- World Host accreditation; and
- Development of business development action plans.
20 businesses were recruited and 19 completed the programme (one withdrew). The initial findings indicated an average of 25% increase in turnover per business, with a cumulative increase in turnover of potentially over £700,000, and an increase in projected employment of 14 full-time jobs.
In summary, all three programmes ran for approximately 6 months, and 51 local businesses had benefitted. As agreed by the Council in March, an enhanced suite of business support programmes were currently being rolled out for 2017-18.
Proposed by Councillor Kells
Seconded by Councillor Lynch and agreed that
the report be noted and that officers present a more detailed evaluation of the programmes in due course.
ACTION BY: Alastair Law, Innovation & Funding Officer
3.23 ED/ED/16 NEWTOWNABBey MENS SHED
Members were reminded that the Council had supported the establishment and development of Newtownabbey Men’s Shed, a social enterprise that works with isolated men to provide opportunities to socialise and develop practical skills. In 2015, the Council provided £5,000 to assist the group in opening up new premises at Merville House, where men were recruited to learn skills in woodcraft. The group had also received funding through the Council’s Premises and Community Outreach grant schemes in 2017 totalling £3,500 (Premises) and £1,900 (Community Outreach).
Newtownabbey Men’s Shed recently had to vacate Merville House and had moved to temporary premises in Valley Business Park but a long term solution to their accommodation requirements needed to be identified. The Council’s premises grant was expected to cover space rental costs at Valley Business Park to the end of August (£600 per month) plus electricity costs (estimated at £100 per month).
Members were advised that an ‘in confidence’ report on this matter was presented to the Operations Committee in April. It was agreed that the matter be deferred pending a further more detailed report.
Given the potential of projects such as the Men’s Shed to contribute to the Council’s Corporate goals and community planning approach officers had considered how the group might best be supported to secure premises and continue delivery of their services.
As has been the case with other community facilities that the Council had been asked to support a business plan had been requested, which outlined the need for the facility and projects the income and expenditure over a 3-5 year period. It was considered that the production of such a plan would help both the group and the council to come to a decision about the appropriate way forward. The Plan should consider:
1. The current operation of the Men’s Shed project i.e., what the group does, who it supports and how and what it hopes to do in the longer term.
2. It should produce income and expenditure projections for 3-5 years as appropriate.
3. Review Governance arrangements and consider ‘best practice’ in other similar projects across Northern Ireland. Assess if there is a social enterprise opportunity through the production and sale of goods e.g. craft works.
4. Consider suitable options for the future location of the project including the proposed Hazelbank option.
Should members wish to proceed on this basis it was estimated that the cost of the business plan would be circa £3,000, provision for which could be found in the Departmental budget. In the first instance however Officers would pursue support through the ASK programme provided via Economic Development which could provide 10 hours free mentoring to the group. Should the mentoring support be sufficient to aid the production of a business plan the £3,000 would not be required.
Members considered additional funding from the DEA programme to cover the group’s rental costs at the Valley Business Park until 31 March 2018 to enable the Plan to be completed and capacity building work undertaken.
Proposed by Alderman Ball
Seconded by Councillor Logue and agreed that
a) The group be supported through the ASK programme in the first instance
b) A Business Plan be completed at a maximum cost of £3,000 (if required)
c) Members consider covering the rental costs and electricity of up to £4,900 at the Valley Business Park for the period 1 September to 31 March 2018 from the relevant DEA budget/s.
d) Future applicants would be directed to existing grants funding schemes and fledgling groups might also be encouraged to link with existing groups where this is practical and beneficial.
ACTION BY: Paul Kelly, Head of Economic Development/ Elaine Manson
3.24 ED/ED/39 RYBNIK DAYS 2017
Members were reminded that in April 2017, the Council agreed to send a delegation of 10 to take part in the Rybnik Days cultural event in June, including a debate on the ‘Future of Europe’ which was being funded through the European Citizens Programme. The delegation was due to consist of 4 young people, 5 Council Members, nominated at the Committee in April, and 1 Council officer.
A public call for applications for young people was open from 19 April – 3 May 2017 and was widely promoted through the Council’s website, social media, and through the community database which includes youth groups, uniformed groups and other youth organisations such as Young Farmers Clubs. However, only 3 applications were received by the closing date for the 4 available places.
There was now 1 place remaining in the delegation of 10 agreed with Rybnik. It was therefore proposed that the outgoing Mayor attends the event in this place.
Members were reminded that all of the accommodation costs for the Antrim and Newtownabbey delegation would be covered by the Rybnik hosts through the European Citizens Programme funding and travel expenses would be met by the Council at an approximate cost of £200 per person attending.
Proposed by Councillor McWilliam
Seconded by Alderman Ball and agreed that
the outgoing Mayor attends the Rybnik Days cultural event in June 2017, with the 5 Members already nominated, 1 Officer and 3 young people.
ACTION BY: Carol Shane, Economic Development Project Officer
3.25 ED/ED/76 PROPOSED BUSINESS MENTORING PROGRAMME
Members were reminded that the Council was currently able to access EU grant aid for eligible business support initiatives through the Jobs and Growth Programme funded through the European Regional Development Fund (ERDF) and Invest Northern Ireland. Officers had submitted an application for funding for a business mentoring programme which, if successful, would provide up to 200 local companies with a mentor to help them prepare and implement growth strategies that would result in the creation of up to 165 jobs over 3 years. The jobs target was a condition of the EU funding which required jobs, to be produced directly linked to the grant aid received.
Grant aid of 80% is available towards eligible costs, including 20% funding from Invest NI with the Council providing 20% (approximately £51,000 over 3 years). The application process is estimated to take up to 4 months and officers would bring back a more detailed report once the outcome is known. If the application is successful, the programme would start from January 2018 and is expected to complete by December 2020.
Proposed by Councillor Blair
Seconded by Councillor Clarke and agreed that
the report be noted.
ACTION BY: Paul Kelly, Head of Economic Development
BUILDING REGULATIONS
The following submissions under Regulation 9, 10, 11, 12, 13 & 14 of the Building Regulations (Northern Ireland) 2012 (as amended) were received.
Applications Received
Full Plans – 60 applications and 91 subsites
Building Notices – 149
Regularisation Certificates – 47
Full Plans
Approvals – 26
Rejected applications requiring resubmissions – 66
Commencements & Completions
Commencements – 293
Completions - 235
Inspections
A total of 828 Site Inspections were carried out
Regularisation Certificate
53 Regularisation Certificates issued
Building Notice
120 Completion Certificates issued
Property Certificates
Received – 267
Completed – 245 & 26% completed within timescale
EPB
EPC’s checked – 2 & 100% compliance
DEC’s checked – 9 & 89% compliance
Air Conditioning checked – 0 & 0 % compliance – (Building Control are currently liaising with Junction One to finalise compliance).
Income
Plan Fees Received for Month £15450.13
Inspection Fees Invoiced for Month £15856.68
Building Notice Fees Received for Month £27154.00
Regularisation Fees Received for Month £4574.40
Property Certificate Fees Received for Month £17150.00
TOTAL £80185.21
Proposed by Councillor Kells
Seconded by Councillor Blair and agreed that
the report be noted.
ACTION BY: Louise McManus, Business Support
3.27 PBS/BC/2 BUILDING CONTROL MATTERS FOR THE PERIOD 1 JANUARY TO 31 MARCH 2017
LPS PARTNERSHIP
Commercial Vacancies – None received from Land and Property Services
No. Completed – 0
(LPS had advised that new tranches were under review, currently no decision had been made).
Property Details Surveys Completed - 51
Proposed by Councillor Kells
Seconded by Councillor Kelly and agreed that
the report be noted.
ACTION BY: Louise McManus, Business Support
3.28 PBS/BC/2 BUILDING CONTROL MATTERS FOR THE PERIOD 1 JANUARY TO 31 MARCH 2017
POSTAL NUMBERING
Numbers of official Postal Numbers Issued – 39
Numbers of New Developments named – 3
Proposed by Councillor McWilliam
Seconded by Councillor Blair and agreed that
the report be noted.
ACTION BY: Louise McManus, Business Support
3.29 CP/GEN/19 COMMUNITY PLANNING & REGENERATION SECTION – PARTNERSHIP MINUTES
Members were advised that the quarterly update Partnership Minutes as listed below could be viewed in the new electronic folder called “Partnership Minutes for Members Information” on your iPads.
| Community Development |
|-----------------------|
| **File Ref** | **Date of Meeting** | **Name of Partnership** |
| D/Gen/91 | 01/11/17 | Joint Citizens Advice Bureau |
| D/CSP/48 | 25/01/17 | PCSP Private Meeting |
| D/DP/67 | 11/10/16, 14/02/17 | Rathcoole Neighbourhood Renewal Partnership |
| D/DP/67 | 25/01/17 | Grange Neighbourhood Renewal Partnership |
| CP/P4/3 | 11/04/17 | Peace IV Partnership |
| | 14/03/17 | Joint Cohesion Group |
| CP/GR/43 | 27/01/17 | Traveller Issues Local Government Partnership |
| Economic Development |
|----------------------|
| **File Ref** | **Date of Meeting** | **Name of Partnership** |
| ED/MI/250 | 16/12/16, 10/02/17, 10/03/17 | GROW Local Action Group Meeting |
| Tourism, Town Centres |
|-----------------------|
| **File Ref** | **Date of Meeting** | **Name of Partnership** |
| ED/TC/5 | 11/01/17 | Glengormley Town Teams |
| ED/REG/5 | 16/01/17 | Antrim Town Team |
| ED/ED/56 | 16/01/17 | Antrim Linkages |
Proposed by Councillor Blair
Seconded by Councillor Lynch and agreed that
the Partnership Minutes be noted.
ACTION BY: Dawn Leonard/Wendy Donaldson
PROPOSAL TO PROCEED ‘IN CONFIDENCE’
Proposed by Councillor Kells
Seconded by Councillor Lynch and agreed that
the following Committee business be taken ‘In Confidence’.
Members were advised that the audio recording would cease at this point.
3.30 IN CONFIDENCE FI/PRO/TEN/80 CD/PM/16 TENDER REPORT FOR ANTRIM
FORUM MINOR HALL – FLOOR REPLACEMENT
At the Operations Committee in February 2016, Members approved the replacement of the existing flooring system in the Minor Hall at an estimated cost of £88,000 including professional fees.
PROCUREMENT
Previously, two completed Pre-Qualification Questionnaires (PQQs) for the replacement of the existing flooring system in the Minor Hall at the Antrim Forum were opened via e-SourcingNI on 11 July 2016 and referred to the evaluation panel. The completed PQQs were evaluated on a Pass/Fail basis using a criteria of general information, past performance, economic and financial standing and professional conduct, Health and Safety and Declarations. One of the tenderers did not meet the economic and financial standing requirement and therefore did not proceed to the next stage of the competition. The remaining tender met all the requirements and was scored on the basis of technical ability. They did not achieve a pass rating in the technical/professional ability and therefore the tender did not proceed.
A further tender competition was undertaken in early 2017 and two tenders were opened via e-SourcingNI on 13 March 2017 and referred to the evaluation panel for assessment.
Stage 1
The tenders were evaluated on a Pass/Fail basis using a criteria of general information, past performance, economic and financial standing and professional conduct, Health and Safety, technical/professional ability and Declarations. Both tenders met all the requirements of Stage 1 of the assessment and therefore proceeded to Stage 2.
Stage 2
[Redacted] confirmed their withdrawal from the tender competition as they had made an error in their pricing.
The remaining tender was evaluated on the basis of quality (30%) and cost (70%). Details are as follows:
| Tenderer | Total Cost (£) (excl. VAT) | Total Score % |
|---------------------------|----------------------------|---------------|
| [Redacted] | TENDER WITHDRAWN | |
| JJ Hennebry & Sons Ltd | £85,620.00 | 82.00 |
TENDER ANALYSIS
The tender from JJ Hennebry at £85,620.00 is £2,620.00 (3.2%) above the pre-tender construction estimate of £83,000.00
A meeting was held between Council’s consultants WDR&RT Taggart, Council Officers and JJ Hennebry & Sons Ltd. to clarify their tender and to make sure they fully understood the requirements of the scheme and had priced accordingly. JJ Hennebry & Sons Ltd. advised they had priced appropriately and confirmed they could fulfil the obligations of the contract for their tender sum.
**PROGRAMME**
Works are due to commence on site mid-June with completion by end of August 2017.
**COST SUMMARY**
| Description | Amount |
|------------------------------------|-----------------|
| Total of the Prices | £85,620.00 |
| Statutory/Professional Fees | £4,212.50 |
| Total Budget | £89,832.50 |
Budget approved: £88,000.00 (approved February 2016)
Proposed by Councillor Kells
Seconded by Councillor Kelly and agreed that
a) The offered Total of the Prices submitted by JJ Hennebry & Sons Ltd in the sum of £85,620.00 be approved.
b) The total budget of £89,832.50 for the works and fees be approved.
**ACTION BY:** David Traynor, Projects Development Officer
**PROPOSAL TO PROCEED OUT OF ‘IN CONFIDENCE’**
Proposed by Councillor Kells
Seconded by Councillor Ball and agreed that
any remaining Committee business be taken in Open Session.
The Chairman advised that audio-recording would re-commence at this point.
4.0 Any Other Business
The Chairman thanked everyone for their attendance over the 2 years of his Chairmanship and thanked the Directors and staff for their hard work.
Various Members thanked the Chairman and Vice Chairman for their conduct in their roles over the past year.
There being no further business the meeting ended at 6.54pm.
Council Minutes have been redacted in accordance with the Freedom of Information Act 2000, the Data Protection Act 1998 and legal advice.
|
Python Programmers Have GPUs too
Automatic Python Loop Parallelization with Staged Dependence Analysis
Dejice Jacob
School of Computing Science
University of Glasgow
Glasgow, UK
firstname.lastname@example.org
Phil Trinder
School of Computing Science
University of Glasgow
Glasgow, UK
email@example.com
Jeremy Singer
School of Computing Science
University of Glasgow
Glasgow, UK
firstname.lastname@example.org
Abstract
Python is a popular language for end-user software development in many application domains. End-users want to harness parallel compute resources effectively, by exploiting commodity manycore technology including GPUs. However, existing approaches to parallelism in Python are esoteric, and generally seem too complex for the typical end-user developer. We argue that implicit, or automatic, parallelization is the best way to deliver the benefits of manycore to end-users, since it avoids domain-specific languages, specialist libraries, complex annotations or restrictive language subsets. Auto-parallelization fits the Python philosophy, provides effective performance, and is convenient for non-expert developers.
Despite being a dynamic language, we show that Python is a suitable target for auto-parallelization. In an empirical study of 3000+ open-source Python notebooks, we demonstrate that typical loop behaviour ‘in the wild’ is amenable to auto-parallelization. We show that staging the dependence analysis is an effective way to maximize performance. We apply classical dependence analysis techniques, then leverage the Python runtime’s rich introspection capabilities to resolve additional loop bounds and variable types in a just-in-time manner. The parallel loop nest code is then converted to CUDA kernels for GPU execution. We achieve orders of magnitude speedup over baseline interpreted execution and some speedup (up to 50x, although not consistently) over CPU JIT-compiled execution, across 12 loop-intensive standard benchmarks.
CCS Concepts • Software and its engineering → Dynamic compilers; Scripting languages; Parallel programming languages; • Computer systems organization → Heterogeneous (hybrid) systems.
Keywords code generation, nested loop parallelization, GPU
ACM Reference Format:
Dejice Jacob, Phil Trinder, and Jeremy Singer. 2019. Python Programmers Have GPUs too: Automatic Python Loop Parallelization with Staged Dependence Analysis. In Proceedings of the 15th ACM SIGPLAN International Symposium on Dynamic Languages (DLS ’19), October 20, 2019, Athens, Greece. ACM, New York, NY, USA, 13 pages. https://doi.org/10.1145/3359619.3359743
1 Introduction
No matter which programming language popularity index you consult [9, 37], Python is one of the most widely used languages at present [3]. Python programmers operate across a broad spectrum of application domains, from archaeology [29] to zoology [12] with particular emphasis on data science [23] and machine learning [26]. One notable strength of Python is its accessibility to end-user developers [7, 15] which in part accounts for its popularity. The growing adoption of the interactive computational notebook as a programming environment also facilitates ease of use [35].
In general, standard Python programs are executed sequentially, in the CPython interpreter. The global interpreter lock [4] means programs run with single-threaded performance characteristics. Parallel resources are now available as commodity hardware, whether in multicore processors or GPUs. Given the ubiquity of GPUs, it is reasonable to assess whether we can take advantage of them when executing Python programs.
1.1 Our Contributions
We show in Section 2.1 that end-user developers write Python code in a style that is amenable to loop dependence analysis. Classical loop parallelism techniques were pioneered by Allen and Kennedy [18] in their optimizing compilers for Fortran.
In this work, we advocate implicit parallelization, i.e. auto-parallelization [31], for end-user programmers. Many developers don’t use current explicit approaches to parallelism in their code; we argue that implicit parallelism is more in the spirit of Python programming, Section 2.2.
The main novelty of our work springs from applying known dependence analysis and parallelization techniques in a single platform staged across static and dynamic analysis.
phases. Section 3 demonstrates how the dynamic nature of Python enables staging dependence analysis, with some happening ahead-of-time and the remainder happening just-in-time. We analyze the overheads of this dependence analysis.
Section 4 describes ALPyNA, our parallelization framework which is integrated with the Python runtime; it relies on introspective features of Python and targets CUDA GPU. We compare our new framework with the default CPython interpreter and a state-of-the-art CPU JIT code generator across a range of benchmarks, as explained in Section 5.
Section 6 reports significant speedups in a number of cases, although this depends heavily on the benchmark loop structure, its dynamic dependence relationships, and the input data size.
Finally, Section 8 identifies the need for runtime decision making, i.e. a cost model that facilitates intelligent selection of backend code generator based on features of each program and its input data.
1.2 Relation to Previous Work
We have already published a brief description and preliminary study of an earlier version of ALPyNA [17]. Since that report, we have extended the framework to handle a richer set of loop nest semantics. These include support for control flow divergence (via synthesized if conditions, Section 4.1.1) and pure (i.e. side effect free) intrinsic functions (like exp, sin and sqrt, see Section 4.7) which map directly from Python onto the CUDA Math API. Additionally, we describe how staged analysis of variable loop bounds and/or loop-invariant variables in subscripts generates optimal kernels (Section 3.1).
ALPyNA has been extended to perform runtime evaluation and optimized kernel generation on each individual loop nest within a function using closures (Section 4.2). In Section 4.1.2, we describe how ALPyNA partially evaluates and caches the results of dependence analysis for use in the hybrid static/dynamic dependence analysis. We also describe how ALPyNA marshals scalar variables that are targets of writes in GPU kernels (Section 4.5).
The present paper gives detail regarding the motivation and implementation, as well as a more extensive empirical evaluation, using 12 benchmarks (cf. four in [17]); the majority of extra benchmarks require the richer set of Python features now supported in ALPyNA.
2 Motivation for Parallelization
2.1 End-Users like Loops
If end-user developers employ loops (and particularly, nested loops) as common control-flow constructs in their code, then we can treat these as appropriate targets for optimization. On the other hand, if there are few loops in end-user code, then parallel optimizations would not bring noticeable performance benefits.
We analyse a large corpus of Jupyter notebooks, downloaded from github in a recent study [35]. We explore the sub-corpus which is ‘Component 1 of 13’ in the original study; it comprises over 6K notebooks, of which our Python 3 parser could parse 3792 (others were written in Python 2). These code samples are representative of end-user programming style, perhaps skewed to the scientific domain—for more details, refer to the original study [35].
We examined the number of distinct for loops in each notebook, and the maximum for loop nesting depth in each notebook. Figure 1 shows a histogram of the number of for loops per notebook: over 50% of the notebooks contain at least one loop. Figure 2 shows the maximum for loop nest depth per notebook: the median depth is 1, and the maximum depth is 7.
This preliminary study confirms that there is potential for performance gains from loop-based parallelism in end-user code. The next question is: what should such parallelism look like, for Python programmers?
2.2 Pythonic Parallelism
The adjective ‘Pythonic’ describes elegant Python code, as agreed by the community of practice. This philosophy is encapsulated in the PEP-20 document [27] which is available
inside the Python interpreter as an ‘easter egg’—simply enter `import this` to see the complete list of guidelines.
We draw on these principles to specify our parallelization system for Python, which targets commodity GPUs to execute loop nests. This section explains how we interpreted PEP-20 in our context.
**Beautiful is better than ugly. Simple is better than complex. Readability counts.** We advocate implicit, i.e. automatic, parallelization. Sequential code is analysed and transformed into GPU code without explicit rewriting by the user. This ensures code should never become ‘ugly’ or ‘complex’ due to parallel refactoring or library calls.
**Explicit is better than implicit.** We are doing implicit parallelism, for sure; however, we only parallelize loop nests with integer `range` iteration spaces. In that sense, the user (who should be aware of this semantic restriction) knows which regions of code may be appropriate for parallel execution. Further, the user directly identifies each potential target for parallelization with a simple call to the framework. We treat parallelization like memory management, as a runtime concern that the developer does not need to handle explicitly; instead the developer devolves responsibility to the Python execution engine. This is a case where **Practicality beats purity.**
**Errors should never pass silently.** If a loop nest cannot be parallelized, then the system reports the error. There may be a dependence violation, or the presence of Python structures we cannot handle (e.g. function calls in loop bodies). Another cause of failure is that the dynamic data structure the loop nest iterates over may be too large to fit into GPU memory. In each case, at the appropriate stage, the framework should report an error to the user.
**Now is better than never.** This is the rationale for our just-in-time resolution of loop bounds and value types. While there is some runtime overhead to this deferred analysis, it provides more accurate dependence resolution and more efficient GPU code.
**Namespaces are one honking great idea.** We can use namespaces to manage multiple runtime variants of a single loop nest source fragment, perhaps targeting different backends including GPU.
### 3 Background
Allen and Kennedy [18] define the existence of a data dependence relationship between two statements in a region of code *iff* both statements access the same memory location and at least one of the operations is a write. When a dependence occurs in a loop nest and the *source* and *sink* of the dependence occur on two different instances of the loop execution, the outermost loop causing the dependence *carries* the dependence. *True* (read-after-write), *anti* (write-after-read) and *output* (write-after-write) dependences are denoted by $\delta_i, \delta_i^{-1}$ and $\delta_i^o$ respectively, where $i$ may denote either the numeric nesting level or the named iterator variable of the loop carrying the dependence. A loop independent dependence is denoted by $\delta_\infty$.
#### 3.1 Benefits of Deferring to Runtime
Consider the code in Listing 1. Classical dependence analysis would classify the dependence relationship as a Strong SIV (*Single Index Variable*). Equation 1 shows the influence of the loop-invariant variable $k$ on the distance and direction of cross-iteration dependences. The cross-iteration dependence reverses direction depending on whether $k$ is positive or negative.
$$
\text{Dependence} =
\begin{cases}
|k| \geq arr\_len, & \text{no dependence} \\
|k| = 0, & \delta_\infty \\
|k| < arr\_len \land k > 0, & \delta_i \\
|k| < arr\_len \land k < 0, & \delta_i^{-1}
\end{cases}
$$
(1)
**Listing 1. Benefit of runtime parallelization**
```python
def function_foo(arg_a, arg_b, arr_len, k):
for i in range(0, arr_len, 1):
arg_a[i + k] = arg_a[i] + arg_b
```
Conventional static analysis has to assume conservatively that a loop-carried dependence exists and execute the loop sequentially. For simple loops, sequential and parallel *variants* of the code could both be generated and executed subject to the guard conditions being satisfied dynamically.
For larger loop nests, speculative generation of such variants becomes increasingly expensive. However, deferring the analysis until runtime can yield an optimized parallel version of a loop nest once loop iteration domains are known.
**Listing 2. ALPyNA example**
```python
def ln_func(arg_a, arg_b, constants, limits):
im, jm, km, mm = limits
p1, p2, p3 = constants
for i in range(0, im, 1):
for j in range(2, jm, 1):
for k in range(0, km, 1):
for m in range(0, mm, 1):
# Statement - S1
arg_a[i+p1, j, k, m] = arg_a[i, j, k, m] + 4 + arg_b[1]
# Statement - S2
arg_a[i, j+p2, k, m] = arg_a[i, j+p3, k, m] + 43
```
To demonstrate the potential optimizations that can be unlocked due to a dynamic knowledge of loop bounds and/or loop-invariant subscript values, consider the code in Listing 2. The quadruple nested loop has limits $(im,jm,km,mm)$ and three loop-invariant values $(p1,p2,p3)$ within the subscripts. These unresolved values complicate the discovery of parallelism within the loop structure.
At runtime, assuming we resolve \((im,jm,km,mm) \rightarrow (10, 100, 100, 100)\) and the values within the subscripts are \((p1,p2,p3) \rightarrow (0,1,-2)\), we obtain the dependence graph as shown in Figure 3. The cyclic dependences between statements S1 and S2 require loop \(j\) to be executed sequentially while the \((i,k,m)\) loops may be executed in parallel.
If the iteration domain space remains the same, but the runtime variable values change to \((p1,p2,p3) \rightarrow (1,1,-1)\), the dependence graph for the loop nest becomes as depicted in Figure 4. Although the dependence graph has more edges, we can safely execute statement S1 in parallel along the \(j,k,m\) axes if we run the \(i\)-loop sequentially. Statement S2 can be executed in parallel along two \((k,m)\) dimensions if we execute the \(i,j\)-loops in sequential order to maintain dependence constraints. Similarly if the values \((p1,p2,p3) \rightarrow (10,99,-1)\), we find that both statements can be executed in parallel along all four loop dimensions. In summary, there may be significant benefit in deferring loop dependence resolution decisions until runtime, when precise dynamic values are known.
### 4 ALPyNA Architecture
Our ALPyNA loop parallelization framework is designed to generate performant GPU kernels from Python loop nests. It is not intended as a whole program compiler, but rather targets linear loop nests as the unit of analysis. Dependence analysis of the loops reveals opportunities for parallelism while still maintaining the ordering constraints expressed in the original computation.
The ultimate aim of ALPyNA is to generate code variants targeting various accelerators in heterogeneous systems. While ALPyNA currently targets GPUs and the CPython VM, it has a device abstraction layer that is modular and can easily be extended to JIT compilers for other hardware devices.
Instead of speculative generation of variants depending on a combination of iterator, subscript and hardware properties, ALPyNA uses a *staged* approach to parallelization. Figure 5 illustrates ALPyNA’s staged compilation architecture. The left hand side outlines the static analysis and compilation while the right hand side outlines the runtime compilation. We describe each phase in the following sections, and discuss the underlying Numba compiler [21] (Section 4.6) and the current restrictions (Section 4.7).
#### 4.1 Static Analysis
The programmer specifically targets a fragment of Python source code for ALPyNA optimization, by invoking a simple API call. The target Python code should be a compute-intensive array-centric nested loop.
Conditional execution of code within the body of a loop nest creates *control* dependences between statements within a loop body. To aid discovery of parallelism in the presence of control-flow dependence, ALPyNA first executes an *if-conversion* pass (Section 4.1.1).
Following common practice, loop iteration domains are normalized to aid dependence analysis. While parsing the code during the static analysis phase, any loop bounds expressions i.e. parameters of the `range` function) are parsed. If they cannot be symbolically evaluated, they are marked for runtime evaluation. If possible, any such expression is hoisted out of the loop nest.
After these initial passes, the Python Abstract Syntax Tree (AST) is parsed to generate a simple flat record structure to aid in loop analysis. This record structure comprises of information required for dependence analysis of the loop. These are further parsed to create ‘loop landmarks’, as well as group variable and subscript pairs.
If all the loop bounds and data dependences can be determined statically, ALPyNA generates untyped GPU kernels and caches these in memory to reduce dynamic analysis time (Figure 5). In such a scenario, only the type information is required to be patched into the cached untyped kernel, and this is obtained at runtime by using introspection (Section 4.3). Corresponding GPU kernel driver code that respects the loop carried dependence constraints is generated and cached. If any data dependence cannot be determined statically, the partial evaluation of dependences is cached (Section 4.1.2) to use during runtime evaluation of loop nest dependences.
Scalar variable writes in loop nests are a special case, requiring runtime analysis and code generation (Section 4.5).
The final stage of ALPyNA’s static compilation phase is to prepare all data structures that are required for runtime evaluation, compilation and execution. ALPyNA replaces each loop nest with a closure (Section 4.2). These closures are given a unique handle for the ALPyNA runtime to dereference on demand.
ALPyNA generates a Python module on the fly and returns a handle to this module as a Python object to any code that calls the ALPyNA static analysis function. Any in-memory data structures generated so far within the static analysis phase and required for runtime evaluation are stored in this newly generated module within their own namespaces. A reference to the module is stored within itself to map the
function to its corresponding in-memory *partial evaluation cache*. At this point control is handed over to the ALPyNA runtime.
### 4.1.1 Conditional Code Execution
Control flow dependences within a loop nest cannot be modelled using conventional data dependence techniques. To model control flow dependences, all statements within a loop body are transformed to a predicated execution form [2].
Control flow divergence typically occurs due to the presence of *if* statements. A *forward* branch is a branch for which the target of the control flow jumps to a location within the same loop. A branch transferring control to a target outside the loop body is classified as an exit branch. This can typically be mapped onto the Python *break* statement.
Scalar expansion [25] is performed on compiler generated conditional variables to increase opportunities for parallelization. Predicate variables generated for forward branches are expanded to the dimensions of the loops enveloping its definition. As a memory optimization, *exit* branch predicate variables are expanded to a vector with the dimensions of size of the innermost loop that references the exit branch predication variable. This is due to the existence of a dependence between the compiler introduced exit branch predication variable carried by the innermost loop.
Expansion of compiler generated variables is simplified, as every read from such predicate variables is dominated by a single definition for *forward* branches and by two definitions in the case of *exit* branches.
### 4.1.2 Partial Dependence Analysis
To ensure that dependence analysis is safe, static compilers should make conservative assumptions about dependences if it cannot accurately resolve a dependence. To determine dependences in linear subscripts, loop limits must be available.
Another factor that hinders discovery of parallelism in linear array accesses is the presence of symbolic constants within array subscripts. A static optimizing compiler must conservatively assume loop carried dependences exist in both directions between two references to the array.
ALPyNA overcomes this hurdle by solving and caching statically resolvable dependence relationships in-memory in a *partial evaluation cache*. This cache is transferred to the runtime execution context after static analysis. At runtime, ALPyNA re-executes dependence analysis. Statically resolved dependence results are extracted from the partial evaluation cache. The resulting loop is parallelized at runtime according to the exact evaluation of loop boundaries and constants within subscripts. The dependence relationships that emerge at runtime can be optimized by opportunistically exploiting a loop structure more amenable to parallelization.
4.2 Closure Generation
ALPyNA replaces loop nests within the body of marked kernels with Python closures. The closure provides a handle object for the ALPyNA runtime to dynamically query loop limit expressions and loop-invariant constants within subscripts. In contrast, a purely static compiler would need to rely on conservative dependence analysis.
The closure marshals all the variables used by the loop nest into a variant selection function along with a reference to the closure. The closure also has access to the flat record structure of the AST and the partial evaluation cache (Section 4.1). ALPyNA uses the closure handle to introspect vectors and variables for their types and vector dimensions. Variable types discovered at runtime are patched into the generated kernels to create typed variants. Each compiled kernel is then cached by Numba, our backend GPU compiler (Section 4.6). We also introspect the binding of loop limit expression evaluations to inform runtime dependence analysis.
In general, a cost model is required to facilitate backend target selection and code variant generation, as discussed in Section 8.
4.3 Runtime Analysis
After ALPyNA has completed the static analysis phase of compilation, a reference to the generated ALPyNA module is returned to the caller. When a programmer dereferences a kernel in the ALPyNA module, the closure corresponding to the loop nest is called. If all the dependence relationships were resolved statically, loop nest variable types are inspected, patched into the statically generated kernel, compiled and executed.
Any loop nest with dependences unresolved at compile time is re-analyzed. All dependence relationships that were statically resolved are retrieved from the partial evaluation cache and augmented with dependence relationships determined at runtime.
This dependence graph is generated for each instantiation of a loop nest. GPU kernels are generated with the newly discovered dependence constraints. Resolution of the expressions which make up the loop domain are used to set the GPU grid and block sizes with suitable padding (Section 4.4).
4.3.1 Execution Context and Data Management
ALPyNA creates a light-weight kernel for each statement in the body of the loop nest. Dependence analysis evaluates ordering constraints between statements and determines which loops have to be executed sequentially. Kernels representing each statement are called in the topological order in which the dependence graph is parsed. The whole set of kernels are executed together on the GPU to avoid inter-kernel data transfer within the context of a loop nest.
Data transfer to and from the GPU is hoisted outside the loop nest context that represents the overall computation. Data transfer is done within the context of the closure (refer Section 4.2) that represents the loop nest computation.
4.4 GPU Thread Hierarchy
In CUDA terminology, a group of threads on the GPU constitute a block and a group of blocks constitute a grid. These thread groupings may be spread over one, two or three dimensions. Each GPU has minimum and maximum threads-per-block and in some cases, the maximum number of threads in one dimension may not be the same as others.
ALPyNA determines loop bounds statically by parsing the original code (Section 4.1) or dynamically using introspection within the context of the closure that represents the loop nest (Section 4.2). The bounds for each instantiation of a loop nest is determined by introspecting the evaluation of the bounds expression at runtime (as demonstrated in previous work [17]).
Dependence analysis [18] determines which loops should be executed sequentially for each statement. All other loops that envelope the original statement in the loop nest are executed in parallel within a GPU kernel. Each iteration of a loop executed in parallel is mapped on to a thread that can be calculated using a GPU’s (blockid\textsubscript{axis} * blocksize\textsubscript{axis} + threadid) semantics.
ALPyNA matches the number of threads-per-block and blocks-per-grid based on device specific constraints and the iteration domain sizes of a loop nest. Loop bounds for each parallel loop enveloping a statement determine how many threads are required to execute it in parallel. The loops that are determined to be safe to execute in parallel are sorted in descending order of their iteration domain sizes. Each parallel loop is assigned to one of the GPU’s thread axes, up to the maximum number of axes (three in modern GPUs) supported by the device. Sorting the loops in descending order allows for maximising the parallelizable iteration domain space when the number of parallel loops are greater than the number of thread axes supported by the GPU.
If there are loop nesting levels greater than the number of axes allowed by the accelerator, any loops that can be run in parallel and have not been allocated to a GPU axis, are run sequentially within each kernel. This preserves correctness as, if we execute outer loops that carry dependences sequentially, all inner loops can be executed in parallel without causing a dependence violation.
To calculate the CUDA thread hierarchy for each instantiation of a loop nest, an initial block size equal to the iteration domain sizes of each parallel loop is generated. This allocation is chosen if it fits in the maximum block size of the GPU device. If the number of threads is greater than the maximum block size of the GPU, we iteratively halve and pad the number of threads along the largest of the allocated parallel axes in a block until the block size is small enough to fit the GPU’s maximum block size. During each iteration, the grid size along the corresponding axes is adjusted to
match the reduction in the block size. We converge on the grid and block sizes in \( \left\lceil \log_2 \left( \frac{\prod_{i=1}^{n} D_i}{B} \right) \right\rceil \) iterations where \( D_i \) is the domain size of a loop allocated to execute in parallel, \( B \) the maximum block size supported by the GPU and \( n \) is the number of parallel thread axes allocated; e.g. a \( 1k \times 1k \) domain size for gemm (Section 5.2), would converge to a thread hierarchy of \((grid, block) \rightarrow ((32 \times 32), (32 \times 32))\) within 10 iterations.
### 4.5 GPU Scalar Marshalling
The effect of a write to a scalar variable within a loop body must be preserved for subsequent reads, which may not be part of the same loop nest structure. However, GPUs do not support call-by-reference semantics to support statements where scalars are the target of a write. Instead, a scalar has to be transferred as a unit-size vector. Marshalling many such scalars as a vector incurs a large cost.
To mitigate this overhead, ALPyNA performs runtime introspection to determine variable types. For scalar values that are to be offloaded to GPU, we dynamically assemble one composite array per type. This composite array can be dereferenced within a runtime generated GPU kernel using vector + displacement semantics. The closure representing the loop nest unmarshals each composite array back into the appropriate original scalar variables upon the completion of a loop nest execution.
### 4.6 Numba
ALPyNA uses the Numba [21] high performance Python compiler to finalize and compile its automatically generated GPU kernels. Numba is an LLVM based compiler for Python functions. It is invoked by applying the @jit decorator to specific functions. Numba also compiles kernels written using a restricted subset of Python which is very similar to CUDA-C.
ALPyNA relies on Numba’s CUDA interface to serialise data and to transfer it to/from the GPU. Numba only supports Numpy arrays that are already byte aligned in memory for the array element type. Numba exposes bindings to CUDA intrinsics that map to the GPU grid, block and synchronize programming primitives to the programmer.
Unless the types are provided by the programmer, Numba applies automatic runtime type inference on every invocation of a kernel. If a kernel is executed multiple times, this would cause a compilation overhead which is an order of magnitude higher. To reduce this overhead, ALPyNA patches the runtime inferred type information to the kernels once per loop nest invocation. This allows Numba to cache the compiled kernel for further use in every invocation within an instance of a loop nest.
### 4.7 Restrictions
As ALPyNA uses Numba for GPU compilation and data transfer between RAM and GPU memory, currently only Numpy arrays and basic scalar types are allowed. Serialization of other Python objects for GPU execution is future work.
ALPyNA considers each loop nest within a function as a single unit for dependence analysis. Currently only intra-procedural dependence analysis is performed on the loop nest. Function calls within a loop nest allow for a richer representation of programs. Although ALPyNA now supports calls to pure intrinsic functions that are supported by Numba, these calls are not subject to inter-procedural analysis and their validity must be guaranteed by the user.
Each variable subscript must be a linear function of loop iterator values. ALPyNA only supports basic indexing so array slices are not allowed. All dereferencing of a Numpy vector read should evaluate to a value which has that vector’s dtype’ and every write should access the location of a scalar within a Numpy vector. This precludes Numpy array broadcasting semantics. Currently only Zero Index Variables (ZIV) and Single Index Variable (SIV) dependence tests have been implemented. Multiple Index Variable (MIV) dependence solvers are planned to be added in the near future to solve complex linear functions of iterators.
Loop nest domains are currently expressed only using the range function. Other well understood non-mutable linear iterators such as enumerate are planned to be added for analysis. While generic Python statements are allowed within a computation kernel, these should not be within a loop nest. Such statements will be executed within the interpreter.
## 5 Experimental Setup
### 5.1 System Comparison
To assess the effectiveness of loop parallelization, ALPyNA is evaluated on 12 widely used array-intensive programs. The benchmarks are written as nested Python loops in an array-centric format with variable loop domains, to utilize ALPyNA’s runtime analysis execution path. We measure the time taken by ALPyNA for:
- dependence analysis and GPU kernel generation
- GPU kernel compilation
- execution time of generated kernels
We compare total analysis and execution time against the CPython interpreted version of the same program, as well as a JIT-compiled version that targets native CPU execution.
The chosen benchmarks range from simple 1d parallelizable loops (vadd, saxpy) all the way to 7d loops (fbcorr). These benchmarks include those that are parallelizable along all their loop domain axes (jacobi, mandelbrot, conway) and those which have loop-carried dependences (gemm, gemver, syr2k). The mandelbrot and black-scholes benchmarks use ALPyNA’s if-conversion pass (Section 4.1.1) and support for
pure intrinsic functions. All the chosen benchmarks can be analyzed with ZIV and SIV subscript tests (Section 4.7).
5.2 Benchmarks
**black-scholes** implements an option pricing model [5] to calculate prices of derivative financial instruments. It uses various mathematical pure intrinsic functions on each the stock price and exhibits control flow divergence with forward branches (cf. Section 4.1.1).
**conv-2d** convolves an $N \times N$ matrix with an $M \times M$ kernel represented as
$$y[m,n] = \sum_{j=-\infty}^{\infty} \sum_{i=-\infty}^{\infty} x[i,j] \times h[m-i,n-j]$$
This is a quadruple nested loop with an $M \times M \times N \times N$ iteration domain. The loops with dimensions $M \times M$ must be executed sequentially, while the loops along the $N \times N$ domain can be parallelized.
**conway** is a zero-player game on a 2d board, representing a cellular automaton. Each element is either alive or dead. At each turn, elements are born, survive, or die, based on neighbour elements’ state from the previous turn. This benchmark is the core of the survival calculation, representing a single turn in the game. Effectively, it is a stencil computation across a 2d integer matrix.
**gemm** is an implementation of the standard $O(n^3)$ dense matrix multiplication algorithm. The loops iterate over the rows and columns of the 2d matrices. The absence of one of the iterators in the access pattern of any subscript of the output matrix generates all three dependence types on the multiply-accumulate statement. This requires the inner $k$-loop to be executed sequentially while allowing the outer $i$- and $j$-loops to be run in parallel.
**gemver** is a BLAS [6] routine from the Polybench [30] suite. The mathematical calculation is:
$$\hat{A} = A + u1.v1 + u2.v2$$
$$x = \beta \hat{A}^T y + z, \quad w = \alpha \hat{A} x$$
where inputs are $A$ ($N \times N$ matrix), $\alpha, \beta$ (scalars) and $u1,u2,v1,v2,y,z$ (vectors each of size $N$). The benchmark consists of four separate loop nests, each with a single statement. All the statements have loop-independent dependences between them. This benchmark has a 1d loop and three 2d loops. One 2d loop can be parallelized across both dimensions. The other two 2d loops act as a reduction along one axis inducing all three dependence types along one axis. These loops can be parallelized across the remaining axis.
**hilbert** computes a 2d matrix used in linear algebra approximation problems. It is calculated as:
$$H_{i,j} = \frac{1}{i+j-1}$$
**jacobi** is an iterative algorithm to solve a set of linear equations, expressed as a vector product equation. Initial guesses for the solution are plugged into a vector representation. The terms are solved iteratively until the algorithm converges to a solution. This benchmark is the core of the iteration step, a doubly nested loop to compute the next value and the error value for each element in the 2d matrix.
**mandelbrot** is a kernel that computes $z_{n+1} = z_n^2 + c$, where $z,c$ are complex numbers with the initial value $z = 0$. The conditional execution of a statement within the loop body requires an *if-conversion* pass.
**saxpy** is single-precision AX plus Y. This benchmark combines scalar multiplication and vector addition on two equally sized arrays of 32-bit floating point values. Mathematically, the computation is represented by $\alpha \vec{x} + \vec{y}$
**syr2k** is a BLAS [6] routine from the Polybench [30] suite. It computes
$$C_{out} = \alpha AB^T + \alpha BA^T + \beta C$$
where $A,B,C$ are $N \times N$ matrices, and $\alpha,\beta$ are scalars. Dependence analysis generates one statement that can be parallelized across an $N \times N$ domain and a second statement with a loop-carried dependence along one axis (size $N$) which runs sequentially and parallelizable across two axes of size $N \times N$.
**vadd** performs element-wise addition of a pair of 1d vectors. The vector sizes are varied between 8MB to 128MB. The iteration domain size is proportional to the vector length.
**fbcorr** is the filterbank correlation, used in signal and image processing to classify features. The implementation has seven nested loops of which three must be run in sequential order. The other four loops can be executed in parallel. Current GPU hardware only supports three hardware axes. Since all dependences are carried by the sequentially executing loops, our optimizations will sort the parallel loops in descending order of iteration domain size at runtime. The loop with the smallest loop domain size is executed sequentially within each parallel thread.
5.3 Hardware Platform
All the benchmarks described in Section 5.2 are evaluated on a commodity desktop computer. The CPU is an Intel Core i7-6700 quad-core system, with Simultaneous Multithreading (SMT) enabled, L3 cache size 8MB, and a maximum clock frequency of 3.4 GHz. The machine has 16GB (2 * 8 GB) DRAM with a bus clock speed of 2133 MHz.
The GPU is an Nvidia GeForce GTX-1060 with 3GB of GDDR5 RAM, nine Streaming Multiprocessors, each with four partitioned *Single Instruction Multiple Threads* (SIMT) cores. A SIMT parallel core simultaneously executes a *warp* comprising 32 threads. Each SIMT core on the GTX-1060 has its own warp scheduler. The GPU runs at 1.5 GHz and can be boosted to a maximum 1.7 GHz. The GPU is connected to the CPU on a PCI-Express (PCI-E 3.0) bus.
All experiments are conducted on a native x86_64 Linux kernel (version 4.9). ALPyNA is evaluated on the CPython
Figure 6. Execution times (lower is better) with CPython Interpreter, NUMBA JIT-compiler and ALPyNA for Python benchmarks at different input sizes. Logarithmic y-scale is used due to the orders of magnitude difference in execution times. When time for code analysis and kernel compilation are factored into consideration, GPU offload becomes profitable vs CPython at relatively small iteration sizes. In comparison with the CPU, GPU execution is profitable only at larger iteration domain spaces of kernels where the computation workload is heavy (towards right hand side on each graph).
interpreter (version 3.5.3) along with Numpy version 1.13.3. Numba (version 0.33.0) is used as the JIT compiler for both CPU and GPU variants of each benchmark. Numba uses a CUDA compiler to convert typed GPU kernels into binary format. Our setup has Nvidia CUDA compute version 8.0.44.
5.4 Methodology
Python generates a new object from a sub-slice of the original vector for every subscript dereference. This additional overhead skews the results in favour of both CPU and GPU compiled versions. To prevent this, all multi-dimensional subscripts use tuple notation in a single subscript; tuples in for Numpy arrays prevent temporary object creation.
Each reported execution time is the arithmetic mean of 10 runs. Each benchmark is executed with (i) CPython, (ii) a Numba generated CPU variant of the same code, and (iii) code generated by ALPyNA for the GPU. All benchmark executions are set to timeout after 1.5 hours; hence the interpreted versions of gemm, gemver, syr2k and fbcorr could not be measured for larger problem sizes (see Figure 6).
ALPyNA’s warm-up phase for each benchmark is measured to demonstrate the low overhead of static analysis. Figure 7 shows an overhead of around 0.1s for all benchmarks. The black-scholes analysis takes longest—there are a total of 66 subscript pairs (49 cross and 17 output variable subscript pairs) to analyze amongst 13 lines of code in the target loop nest. Conditional code within the loop body creates compiler generated predicate variables due to if-conversion which increase the time to do static analysis.
6 Evaluation
Figure 6 shows ALPyNA, CPython interpreted, and NUMBA JIT-compiled execution times for different input sizes over the 12 benchmarks. The plots use a logarithmic time scale due to the orders of magnitude difference between the CPython interpreter and the other versions of the code. Reported GPU performance with ALPyNA takes into account the overhead of analysis, JIT compilation and execution. This execution time includes the overhead of transferring data back and forth between host and GPU. A breakdown of analysis, compilation and execution times for four benchmarks is given in prior work [17] and shows that execution time for large domain sizes quickly dominates.
6.1 Comparison with CPython on CPU
Columns 2–4 of Table 1 report minimum, maximum, and geometric mean speedup achieved by ALPyNA over the CPython interpreter. The lowest speedups (1.25x min, 71x max) are achieved for hilbert. The largest maximum speedups (8955x) are obtained for syr2k. We have not included results for the two largest iteration domains due to our experimental set-up (Section 5.4) timing out. These speedups will keep increasing exponentially, until performance levels off when all GPU SIMT execution units are saturated.
6.2 Comparison with JIT compiled CPU code
Columns 5–7 of Table 1 report minimum, maximum and geometric mean speedup achieved by ALPyNA over sequential JIT-compiled code produced by the NUMBA compiler. The results are classified into three groups, based on relative execution speedups observed.
Table 1. Relative performance of ALPyNA (higher is better) sorted by maximum speedup over Numba CPU across all iteration sizes. Iteration sizes corresponding to each execution time shown in brackets.
| Benchmark | ALPyNA vs CPython | ALPyNA vs Numba |
|---------------|-------------------|----------------|
| | Min | Max | Mean | Min | Max | Mean |
| yadd | 8.26 | 36.15 | 19.13| 0.31 | 0.43 | 0.37 |
| | (8M) | (128M)| | (128M)| (16M) | |
| saxpy | 121.09| 564.39| 293.59| 0.32 | 0.44 | 0.38 |
| | (16M) | (256M)| | (256M)| (16M) | |
| conway | 10.89 | 488.69| 99.74| 0.4 | 0.55 | 0.49 |
| | (1kx1k)| (10kx16k)| | (10kx16k)| (1kx1k)| |
| hilbert | 1.25 | 12.89 | 12.62| 0.7 | 0.77 | 0.72 |
| | (1kx1k)| (10kx16k)| | (1kx1k)| (10kx16k)| |
| jacobi | 2.12 | 217.35| 26.13| 0.53 | 0.82 | 0.72 |
| | (512x512)| (8kx8k)| | (8kx8k)| (512x512)| |
| gemver | 13.94 | 260.60| 63.61| 0.41 | 0.95 | 0.54 |
| | (1kx1k)| (8kx8k)| | (2kx2k)| (16kx16k)| |
| black-scholes | 6.38 | 54.05 | 20.02| 0.35 | 1.15 | 0.62 |
| | (1M) | (16M) | | (1M) | (16M) | |
| fbcorr | 605.23| 1052.35| 810.72| 1.37 | 1.85 | 1.59 |
| | (16kx8)| (16kx8)| | (16kx8)| (16kx8)| |
| | (256x256)| (1kx1k)| | (256x256)| (1kx1k)| |
| conv-2d | 67.39 | 1329.74| 438.45| 0.6 | 2.54 | 1.52 |
| | (1kx1k)| (10kx16k)| | (1kx1k)| (10kx16k)| |
| gemm | 209.23| 1308.95| 630.21| 1.15 | 2.64 | 2.05 |
| | (512x512)| (2kx2k)| | (512x512)| (4kx4k)| |
| mandelbrot | 13.22 | 134.44| 40.56| 0.33 | 3.08 | 0.85 |
| | (256x256)| (4kx4k)| | (256x256)| (4kx4k)| |
| syr2k | 39.69 | 8955.88| 697.24| 0.68 | 51.48 | 6.05 |
| | (128x128)| (1kx1k)| | (128x128)| (4kx4k)| |
Light parallel workloads are kernels with small amounts of work to be done within the body of the parallelizable loop. Benchmarks such as saxpy, conway, hilbert, jacobi and yadd fall into this category. The analysis, compilation and GPU data transfer overhead incurred by ALPyNA to execute on the GPU is greater than compiling and executing the benchmark on the CPU. Figure 6 shows that the relative speedup remains constant for increasing iteration sizes. The analysis time was between 0.84ms – 3.7ms and ranged from 0.12 – 1.2% of total execution time. Kernel compilation took 0.16s – 0.3s and 17.5 – 99.4% respectively.
Medium parallel workloads are workloads that have a higher amount of work per parallel instance of a loop nest than a light parallel workload. For these workloads (such as black-scholes and gemver), it becomes profitable to offload to the GPU at higher iteration domain sizes. In the case of gemver, while there is enough work to be done in parallel, its four separate loops have loop independent dependences between statements. This forces them to be run as four separate kernels with repeated data transfer between them. ALPyNA does not analyze dependences between loop nests to allow for standard Python statements between loop nests which are potentially side-effecting. The analysis time was between 4.7ms – 10.7ms and ranged from 0.13 – 1.1% of total execution time. Kernel compilation took 0.37s – 0.92s and 10.7 – 94.7% respectively.
Heavy parallel workloads are workloads where the per-loop work is substantial. The performance boost that can
be obtained from these kernels is substantial despite the data communication overhead of the GPU. Kernels such as `conv-2d`, `gemm`, `mandelbrot`, `fbcorr` and `syr2k` show significant speedup at much lower iteration domain sizes. `fbcorr` is classified as a heavy parallel workload, due to the consistent speedups obtained over the JIT-compiled CPU variant. This is due to the kernel being able to run four out of seven loops in parallel and execute these faster than the CPU for a range of data sizes. For these benchmarks, speedups continue to increase with iteration domain size until GPU memory is exhausted. The analysis time was between $1.5ms - 22ms$ and ranged from $0.001 - 10.5\%$ of total execution time). Kernel compilation took $0.2s - 0.37s$ and $1.3 - 93\%$ respectively.
### 6.3 Future Performance Optimizations
ALPyNA helps developers to accelerate Python code written in a nested loop style. We show performance improvements of $1.25x - 8955x$ over the CPython interpreter on the CPU and $0.3x - 50x$ over Numba JIT on CPU. Below we identify future optimizations to improve ALPyNA’s performance.
**Cross-iteration dependences** Many benchmarks (`gemm`, `gemver`, `conv-2d`, `syr2k`, `fbcorr`) have cross-iteration dependences when represented as loop nests. This forces sequential execution of kernels with reduced parallel work, incurring a kernel invocation penalty. Kernel fusion may help to mitigate this issue, when safe to do so.
**Sub-optimal GPU axes mapping** ALPyNA currently distributes parallel loops along each GPU axis to maximise parallelism (Section 4.4). Depending on memory access patterns, this may result in poor memory bandwidth utilization. For instance, `gemm` performance improved by $13x$ by reversing the nesting of its parallel loops. Improving performance through better axis allocation is application-specific. We intend to use heuristics for this problem.
**Data transfer overheads** ALPyNA has higher data transfer costs in `gemver` and `syr2k` due to repeated data transfer between separate loop nests (Section 4.2), and scalar expansion of compiler generated variables during *if-conversion* (Section 4.1.1). This impacts benchmarks like `black-scholes` and `mandelbrot`. To reduce data transfer, we propose data-flow analysis to enable on-device data caching. Data transfer overheads can be eliminated on System-on-Chip devices with integrated GPUs (such as AMD APUs). We intend to investigate performance improvements on such devices by adding an OpenCL compiler backend target.
### 7 Related Work
Accelerators like GPUs and FPGAs are now widely available. Many techniques to leverage performance for these systems have been proposed. In this section we review various approaches that are integrated with high-level languages.
**GPU kernel bindings:** Klöckner et al [20] initially developed Python bindings to CUDA (PyCUDA) and OpenCL (PyOpenCL). While these provide direct access to the underlying GPU hardware, code must be written in low-level C-like syntax and must contain data-types. Type information can be patched in manually into the C-like code strings. However, this is left for the programmer to do.
**Parallelizing higher order functions:** Computational patterns expressed in functional idioms like `map` and `filter` are attractive candidates for acceleration as the semantics of these operations guarantee safe parallel execution. Copperhead [10] and Parakeet [34] compile and accelerate higher order functions in Python code on GPUs. Fumero et al [14] use the same idea to accelerate Ruby and R.
**Code annotation:** Tornado [11, 13] uses a set of code annotations for Java. Loops are specifically annotated with primitives such as `@parallel` and `@reduce` along with the number of dimensions. A task graph is created by the developer to generate a valid schedule for code execution. ALPyNA discovers scheduling constraints by doing loop dependence analysis rather than requiring the programmer to describe the schedule.
Numba [21] uses `@decorator` syntactic sugar to selectively compile functions for CPU and GPU. Python bytecode for decorated functions is analyzed and compiled using the LLVM infrastructure. Numba also exposes GPU compiler primitives to the developer. This allows programmers to compile a limited subset of Python code written in the CUDA paradigm to target Nvidia GPUs. We rely on Numba to compile ALPyNA’s auto-generated GPU kernels. However, ALPyNA’s loop dependence analysis maintains scheduling constraints that occur due to loop carried dependences.
Pydron [24] uses annotations to build a task graph that decomposes a program into parallel sections for cloud-based parallel execution. Pure functions are annotated to inform the compiler about their suitability for parallelization.
**Speculative code variants:** Apollo [8] is a runtime optimizing polyhedral compiler. Polyhedral transformations are performed on small windows of LLVM-IR and variants for each transformation are generated with guard conditions. These variants are speculatively executed. When a mis-prediction occurs, execution falls back to a known correct point.
**Embedded Domain Specific Languages:** Some embedded languages (eDSLs) can succinctly express parallelism within a host language. *Loo.py* [19], allows a developer to specify loop iteration sequences. The eDSL is embedded into Python code and is transformed into parallel kernels. These kernels are invoked programmatically from within the host VM. While this approach gives maximal control to the programmer, it also requires careful consideration of all the underlying hardware parameters, like thread counts and dimensions. However, no dependence analysis is done.
**Library parallelism**: Many Python libraries support GPU execution, e.g. the TensorFlow framework [1]. In such cases, all parallelism occurs inside a black box; ‘below the API’. The dependences are however constrained by the definition of the API itself and hence can be specialized. Dandelion [33] generates parallel code for C# by parallelizing overloaded functions of specialized array-like objects for each hardware type. The hardware devices may be selected by the developer or left to be decided by the framework. The same approach is used by Ikra [22] for Ruby, River Trail [16] for JavaScript and ASDP [28] for ActionScript. Library parallelism is also implemented by overloading operators calling into specialized accelerator APIs. Python acts as a coordination language, with all parallelism devolved to the library code.
**Loop parallelism**: Three Fingered Jack (TFJ) [36] uses loop dependence analysis to parallelize linear Python for loops and generate code for FPGAs. TFJ builds on Copperhead [10] to statically compile nested loops with known loop bounds and fixed types. ALPyNA uses its hybrid static/dynamic dependence solvers to discover an optimized parallel execution order and also uses runtime type inference to dynamically create parallel kernels.
MEGAGUARDS [32] uses a polyhedral framework to solve dependences and executes loop bodies in parallel. Loop dependences are computed dynamically and guard conditions are generated at runtime for a speculatively generated parallel OpenCL kernel. The speculative kernel is optimized by hoisting guard conditions outside the loop body.
MEGAGUARDS and ALPyNA both attempt to parallelize nested loops and execute them on parallel hardware. However there are some differences in the approaches used. (i) MEGAGUARDS generates kernels only for perfectly nested loops\(^1\) while ALPyNA can create parallel kernels for imperfectly nested loops. (ii) MEGAGUARDS generates a parallel kernel for perfect loop nests and uses complex guard conditions to evaluate the safety of executing this kernel in parallel. If these guard conditions are violated, execution falls back to the interpreter. ALPyNA computes dependences dynamically (if required) and generates kernels at runtime tailored to the dependence relationships that emerge for each instantiation of a loop nest. This allows for a richer set of optimizations to be discovered. (iii) MEGAGUARDS does not parallelize loop nests with cross-iteration *true*, *anti* or *output* dependences. MEGAGUARDS falls back to the interpreter in the presence of cross-iteration dependences. ALPyNA on the other hand dynamically determines which loops carry cross-iteration dependences and executes these loops sequentially to maintain ordering constraints. This allows us to safely execute all other inner loops in parallel. (iv) MEGAGUARDS is designed to be a whole program compiler while ALPyNA is designed to be an optional accelerating compiler that can be used with subsets of the overall program.
### 8 Conclusions
This paper describes the ALPyNA framework, which enables end-user developers to exploit the performance capabilities of manycore accelerators such as GPUs. The framework allows a programmer to optimize Python nested loops, achieving good performance on modern parallel hardware. ALPyNA kernel code can co-exist with standard Python code allowing interoperability. We show that ALPyNA overcomes the limitations of conservative assumptions made by ahead-of-time parallelizing compilers, since it augments statically extracted loop nest features with runtime introspection of loop limits and subscript values. This means exact scheduling constraints can be extracted for parallel execution. ALPyNA demonstrates that the loop nest is a viable syntactic target for a runtime parallelizing JIT compiler to optimize.
Experimental evaluation of our framework shows dramatic performance increases, compared to the CPython interpreter. These speedups are observed for workloads large enough to amortize the costs arising from ALPyNA’s analysis, kernel compilation and data transfer.
Analysis of the relative performance of the JIT-compiled GPU kernels *vis-à-vis* a state-of-the-art JIT-compiled CPU version shows a speedup ranging from $0.3x$ for *light* workloads (i.e. a slowdown) up to $50x$ for *heavy* workloads. We cannot naively always expect a speedup from a GPU JIT compiler, even when all the loops may be run in parallel. Therefore, we identify the need for a *dynamic cost model* to guide the selection of the most appropriate generated code variant of a loop nest in a heterogeneous manycore environment. This remains as future work. We also intend to expand the capabilities of ALPyNA by adding alternative target backends (e.g. FPGA, system-on-chips with an integrated GPU) to the compiler, which will require a more sophisticated cost model for code variant selection.
### Acknowledgments
The authors would like to thank Juan Fumero for his careful and constructive shepherding of this work. We would also like to thank the anonymous reviewers for their help in improving this paper significantly.
This material is based upon work supported by the Engineering and Physical Sciences Research Council under Grants EP/M508056/1 and EP/P004024/1. Any opinions, findings, and conclusions or recommendations expressed in this material are those of the authors and do not necessarily reflect the views of the EPSRC.
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|
Federal shutdown had impact on region
By Diana Haecker
On October 16, Congress finally agreed on a Continuing Resolution that funded the government until January 15, 2014 at fiscal year 2013 levels, raising the debt ceiling through February 7, 2014 and pays government workers who were furloughed during the 16-day shutdown.
Final passage came almost 24 hours before the debt limit of $16.7 trillion was reached on Thursday night.
Without passage of the bill, the U.S. would have defaulted and would have not been able to borrow any more money.
All Democrats in Congress supported the legislation, but the Republican majority was toned down by Tea Party members from other Republicans.
Eighteen Republicans in the Senate voted 144 in the House against the legislation. Only 27 in the Senate and 87 in the House supported it.
The Alaska delegation, including Congressman Don Young, voted in support of the bipartisan bill.
“I’ve been here for 18 government shutdowns now, and there is plenty of continued on page 4
Fluoride poll put to voters
There will be an extra piece of paper delivered to registered voters when they show up to vote in the November 5 Municipal Run-off Election in Nome.
According to City Clerk Tom Moran, voters will be asked to take part in an unofficial advisory poll.
The “yes” or “no” in the addition of fluoride in Nome’s City water supply is not a part of the official ballot.
The Nome Common Council felt they could not make a decision on this matter without an advisory poll.
Second season of offshore gold rush nears its end
By Diana Haecker
This summer marked the second season of offshore gold mining after the 2011 Dept. of Natural Resources offshore mineral lease, which drew an onslaught of miners from outside of Nome to the Gold Rush city in hopes of striking it rich.
A difference from last year’s gold rush is that there are bigger mechanical dredges in the water to extract the gold hiding underneath the Bering Sea floor.
In addition to a host of small suction dredges that mined in the East and West Beach Recreational areas, there were six surf crawlers, two back-up rig platforms with mounted excavators, one Phoenix Marine company and two huge mechanical dredges, the Joy Cashman and the Christine Rose. They mined lease tracts acquired at the DNR offshore lease sale in 2011.
Mechanical dredges are barge platforms that carry an excavator and a dredge.
The mechanical dredge Christine Rose, run by Nome’s Pomrenke family, is noted to be the biggest digger in the water until Phoenix Marine of New York, AutoGraber and the Joy Cashman arrived.
But size doesn’t make up for experience.
Nome Dept. of Natural Resources offshore mining administrator Byron Redburn said that while most of the “newcomers” had never worked with excavators in the marine environment, none of them had experience digging for gold with such excavators in the marine environment.
Miner Shane Pomrenke said, “We’re new here, but we know that that doesn’t really affect us that much.” He added chuckling, “Everybody’s new here, so we don’t care because I know where the gold is.”
But he also said that there is camaraderie among the miners and competition, among the dredgers. The crew of the Christine Rose assisted several dredges in the past when help was needed.
The DNR issued 207 offshore mineral leases this year, up 51 more permits than last year.
“This is no way means there were 207 gold miners in water,” Redburn said. In the winter, eight outfitters were permitted to conduct mining under the sea.
After having kept an eye on the miners throughout the summer season, Redburn estimates that out of the 207 permitted outfits, only 60 to 70 outfitters were actually working regularly.
Housing shortage
The City still struggles accommodating the rise in population during the summer months.
Perennial problems haven’t gone away, however, include housing and a rise in calls for services. Nome’s housing crunch has left only a few options for miners.
Campers living outside of city limits were turned into living quarters. Campers vehicles used for temporary housing became permanent homes. Tents and campers bore signs of makeshift living quarters near the East End Marina.
Tents, tarps and driftwood shacks dotted West Beach for miles, eliciting the response from U.S. Senator continued on page 3
Letters
Dear Editor,
Your October 10 editorial has the flavor of many of yours others. It is a condemnation of anyone who disagrees with you. The Republican Tea Party Congressmen bristle and get their wings—again. They are like Iran—they have our own Tea Party domestic terrorists? No, calling them specially, say it with a comma. I am not sure how I remember you calling Paul an idiot and at that time I began to think you were.
All I want to do here is point out that although there have been responses to your various outbursts some of us disagree with your liberal/progressive positions. For example, I would have said many of your comments sound more like being paranoid.
Remember Sarah Palin referred to the “dean” in Obama’s Senate? Sure she did. The problem is she was right. They are actually called the “Independent Payment Advisory Board” as your article suggests. “Maybe you’re better off not having the surgery but taking the pain pills.” I am not sure that is the best law. The IPAB will now see where we get the most savings.
So, to stick to my theme of disagreement with your editorial blather, I will say this. I congratulate Ted Cruz and Miss Lee and Sarah Palin as well. 1) You can’t speak for them; you do not have. 2) Obama’s rhetoric is a bit over the top and Republicans that are supported it are responsible for it and the fallout from it. 3) Democrats debt advice will not result from failure to find this solution. 4) The Constitution requires it, it gets paid. Obama’s jobs creation was nothing more than expansion of government. 5) The bill has come due and responsible people should want to pay it. You and he and his friends did not submit a budget and you are not going to. You wanted a tax break, you got it.
Of course Franklin Mankiewicz compared the Republicans to rats. If reality dictates they must stop the handouts and negotiate, they will. They will do what he wants so he can further his dream of controlling over a country he hates.
Charles B.T. Stainer
Nome, AK
Editorial’s Note:
I never said Sara Palin wasn’t a vi-
sionary. After all, she could see Russia
from Wasilla.
—N.L.M.—
Dee Nancy
On September 20 I lost my dog Son, “Sunny Boy” and this was a big tragedy for me and my family. Son was 14 years old and I adopted him in November 2001 and raised him like a family member.
He was a very intelligent, friendly dog and I loved him very much. He was a good dog and was sent to me from another state to help solve all my and my family’s problems.
So I buried him in honor on private land and hoped he will be at peace. We decided to have a new puppy over two weeks searched locally, in Gambell and surrounding areas later. The bill has come due and responsible people should want to pay it. You and he and his friends did not submit a budget and you are not going to. You wanted a tax break, you got it.
We named him “Brother” and hope he will replace Sunny Boy, at last physically. I know he will be a good dog too and hope he has a long life ahead of him. All family members from Alaska to Japan already love him.
This is an emotional letter but I am sure my dog would understand me and support me.
Thank you!
Nancy Stainer
Nome, AK
Dear Editor,
The phrase, should not be added to our drinking water because it has been proven insignificant. This comes from a peer-reviewed article in Pub Med. The dental school at the University of California at San Francisco has been studying fluoride since 1999. This new information shows
A Look at the Past
History by Laura Samuels with photo from the Carrie M. McLain Memorial Museum archives.
THESE ARE THE THOUGHT FORMATION DUSTS. In 1916, the track of the Central Peninsula Railroad through the Nome River Valley was completed. The river course is still 55 miles long because 128 bridges and trestles had to be built to traverse the terrain. The AKR Peninsula Railroad terminated at Lane’s Landing or Shelton, 35 miles from Nome. Construction was completed in 1906. Jafet Lindenberg, one of the Three Lucky Swedes who discovered gold, purchased the railroad and eventually owned this railroad line from 1911 – 1921 when the Alaska Road Commission took over ownership.
Nome Norton Sound Tide Predictions (High & Low Waters)
| Date Day | Time | High Tide | High Tide | High Tide | High Tide |
|----------|------|-----------|-----------|-----------|-----------|
| 10/24 Th | 8:30 a.m. | +1.3 | 10:38 p.m. | +1.2 | 2:45 a.m. | +0.7 |
| 10/25 F | 9:20 a.m. | +1.2 | 11:28 a.m. | +1.2 | 3:39 p.m. | +0.8 |
| 10/26 Sa | 10:26 a.m. | +1.2 | 12:18 p.m. | +1.1 | 4:33 a.m. | +0.8 |
| 10/27 Su | 11:30 a.m. | +1.2 | 1:08 p.m. | +1.1 | 5:29 p.m. | +0.2 |
| 10/28 Mo | 1:24 a.m. | +1.2 | 12:35 p.m. | +1.1 | 6:42 a.m. | +0.8 |
| 10/29 Tu | 2:10 a.m. | +1.2 | 1:38 p.m. | +1.1 | 7:44 a.m. | +0.8 |
| 10/30 W | 3:00 a.m. | +1.2 | 2:42 p.m. | +1.1 | 8:39 a.m. | +0.7 |
Daily variations in sea level due to local meteorological conditions cannot be predicted and may significantly effect the observed tides in this area. All times are based on Local Standard Time. All heights are in feet referenced to Mean Higher Low Water.
Weather Statistics
| Date | High Temp | Low Temp | Wind | Precip. to Date | Normal | Snowfall |
|------------|-----------|----------|------|-----------------|--------|----------|
| Sunrise | 10/24/13 | 10:23 a.m.| 43° | 10/19/13 | 10/18/13 | 10 mph SE, 10/21/13 |
| 10/31/13 | 10:46 a.m.| +29° | | | | |
| Sunset | 10/24/13 | 07:07 p.m.| 18.0°| | 14.0° | 1.3" |
| 10/31/13 | 06:44 p.m.| | | | Normal 2.9" | |
National Weather Service
Nome, Alaska
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1-800-472-0391
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Compiled by Diana Haecker
Shaktoolik elects NSEC representative
Harvey Kogonok won the Shaktoolik seat on the Norton Sound Economic Development Corp board of directors in a special election and a runoff election held on Oct. 15.
Shaktoolik residents cast 43 votes for Kogonok and 42 votes for Palmer Sagoonick.
Advisory Council need traveling funds
An ad hoc committee formed by Advisory Council to the Alaska Boards of Fish and Game called for funding to allow Advisory Council members travel to Juneau and begin a dialogue with the legislature during the upcoming session this winter. The ad hoc committee requested that the State provide non-migratory resources to support both of Fish and Game advisory committees. According to the resolutions, the request is to fund two round-trip airfare and meals from each of the six regions in Alaska to Juneau.
The resolutions also help educate and inform legislators on the AC process, region area needs, and the ability to offer information dealing with natural resources such as fish and game.
A second resolution states that it is important to have a working relationship so that AC members can take time off from their jobs to travel and attend full sessions where their voices can be heard “above and beyond paid industry lobbyists or large association representation,” the resolution reads.
Attendees from the Southeast region included Pat Conelli, Kevin Knowlton and Brandon Almansk.
Alaska Arctic Policy Commission meets in Fairbanks
The AAPC is meeting this week for two days in Fairbanks. The purpose of the Alaska Arctic Policy Commission meeting is to work on segments that will carry over to the Preliminary Report due to the Alaska Legislature in January 2014. Commissioners will review the State of Alaska’s Arctic policy development and discuss draft policy team recommendations.
In addition, Commissioners work with the draft guiding principles language and learn about research at the University of Alaska.
The meetings are taking place prior to the annual convention of the Alaska Federation of Natives in Fairbanks.
Russia finds new island
The publication “Strategy Page” reports that a Russian naval survey of the Arctic Ocean has found an island in the Franz Josef Land archipelago.
The collection of 191 ice and snow covered Russian islands was found to have several mineral craters, craters, and old iron carvings carved into a channel and island.
This discovery was part of a Russian exploration mission to find the new ice free Northwest Passage. Other countries are depending on Russia to provide more information about the new shipping channels off the north coast.
Russia sent a 19,000-ton cargo ship through this ice free route to confirm what satellite images had already shown: There is an ice free route from Alaska to Norway for four months out of the year.
If the Northwest Passage remains open despite the Chinese trade end of the year, it will be 15 percent of its foreign trade along that route, making the increased Russian military presence there more important.
The Strategy Page reports that Russia has been regularly flown around the northern coast of the Barents Sea from Murmansk, near Norway, to the Bering Strait. The intention is to pave the way to protect the growing number of oil and natural gas fields being developed near these coastal areas as well as to establish a new charting of waterways for ships to use along the coast. This includes finding and precisely locating the shallow areas where ships could run aground. Regular naval patrols will begin by 2015. With this new information, Russia sees a need for surface ships patrolling the area. Nuclear subs are also being considered to operate during winter when the coastline is iced in.
Northwest Passage won’t work
The head of a U.S.-Russian shipping company exploring a massive mineral deposit within the Arctic Circle said in a report of the Globe and Mail newspaper that the Northwest Passage won’t work as a viable shipping route to Europe and Asia.
The discovery was part of a Russian exploration mission to find the new ice free Northwest Passage. Other countries are depending on Russia to provide more information about the new shipping channels off the north coast.
Russia sent a 19,000-ton cargo ship through this ice free route to confirm what satellite images had already shown: There is an ice free route from Alaska to Norway for four months out of the year.
If the Northwest Passage remains open despite the Chinese trade end of the year, it will be 15 percent of its foreign trade along that route, making the increased Russian military presence there more important.
The Strategy Page reports that Russia has been regularly flown around the northern coast of the Barents Sea from Murmansk, near Norway, to the Bering Strait. The intention is to pave the way to protect the growing number of oil and natural gas fields being developed near these coastal areas as well as to establish a new charting of waterways for ships to use along the coast. This includes finding and precisely locating the shallow areas where ships could run aground. Regular naval patrols will begin by 2015. With this new information, Russia sees a need for surface ships patrolling the area. Nuclear subs are also being considered to operate during winter when the coastline is iced in.
Photo by Nikolai Ivanoff
RUSSIAN SHIP — The research vessel, the Geo Arctic, sailing under Russian flag docked at the Causeway last week. In a prior visit, the ship was hit engine power and smacked against the City Duck, damaging the duck. The City has bidded out repair work totaling $250,000.
• Federal shutdown
continued from page 1
blame to go around — on both sides of the aisle — for causing this shutdown, but I think it is important to acknowledge that with a national debt nearing $17 trillion, federal government spending must be put on a sustainable path, and must be reduced, and that point was largely lost during this shutdown,” said Rep. Young.
As soon as President Barack Obama signed the bill on Wednesday night, federal offices around the Nation reopened.
The biggest impact the shutdown had is on the Nome Health and Health Corporation (NSHC). CEO Arjen Gorn reports the shutdown did not adversely impact Nome Sound Health Center because of the short term, but will feel the consequences in the long-run. “The shutdown created a debt that will have to be dealt with through sequestration and rescission in 2014,” Gorn wrote in an email to the Nome Nugget. “The shutdown has impacted by a 5.02 percent cut to our annual funding agreement from Indian Health Services which amounts to about $1.2 million Dollars. We expect the 5.02 percent reduction if not more for 2014.”
Also, NSHC wants to receive the second installment of the funds to operate the new hospital on an annual basis. “Although we are extremely thankful for their ongoing commitment, NSHC needs the full amount authorized to proactively operate the hospital,” Gorn continued. This equates to $8.9 million. “We remain fiscally conservative here at NSHC and the current environment has too many uncertainties. We will not know the status of these funds until after January 2014.”
During the uncertainty of the shutdown, Gorn said they were hopeful that they remained very conservative and limited employee travel to business meetings and training sessions required for training out of the region on hold as the company reviews and delays during this time. “We have fully prepared ourselves so we can operate in an environment such as this without having extreme budget cuts,” she said.
She added that NSHC is making a conscious effort to remain efficient, without compromising patient care or safety. “Opening the efficient door is actually a very healthy exercise and it encouraged everyone to look at what we are doing today and ask why we are paying for it,” she noted. Employee business travel will remain a priority for future considerations. “We are also looking at the number of personnel in each department and function,” she said. “Although NSHC is proud that we have not had to make any reductions in force, we have temporarily suspended some positions until the status of our staffing package is confirmed,” she said.
In Nome, the Bureau of Land Management closed its members’ office furlough, as was the staff of the National Park Service. Not affected by the shutdown were the U.S. Border Patrol, the Federal Aviation Administration, the TSA and the National Weather Service.
The Seward Peninsula Subsistence Regional Advisory Council meeting and a public hearing on the rural road project in the area that were scheduled for October 8-9 in Nome was canceled. Carl Johnson, the council’s president, said the group said the meetings were rescheduled to take place on November 19 and 20 at the Nome City Hall. The determination process deadline was Nov. 1, but it also has been pushed back, said Carl Johnson, the National Parks Service Superintendent for the Bering Land Bridge National Preserve. Sarah Knecht said that the NPS office and visitor center at the park headquarters were open since there are no gates to the Bering Land Bridge National Preserve. “This means recreational users had the ability to enter the preserve,” she said.
The shutdown affected NPS in Nome because work on the Serpentine Hot Springs site maintained by the NPS was delayed. Knecht said she and staff wanted to arrange public comments regarding the plan and the environmental review had been delayed for two weeks.
A musk ox hunt on federal land near Nome was cancelled because permits have been reported, but those reports came after the shutdown. Knecht said that Natural Resource Program Coordinator Tom Sparks. He said the harvest season was already over for musk oxen and, theoretically, if the quota would’ve been reached during the shutdown, then the hunt has been voided by the NPS or BLM offices in case an emergency closure. But that didn’t happen.
Sparks said the shutdown and putting him on furlough had set some things back, but he said that didn’t really impact Nome. BLM works with GC1 on the Terri Norton project, which aims to connect Nome and Alaska with Northwest Alaska in order to provide Nome with broadband internet services. The BLM works with GC1 on land issues related to the project. “It’s a private, state and federal lands. Sparks said that the shutdown delayed work on the project, but not the project having to cross private lands near Kanzebue.
During the shutdown, the BLM campground at Salmon Lake was closed.
The National Weather Service was fully staffed in Nome Chief Meteorologist Jeff Steiger said the NWS provides essential services for flight weather and the FAA, hence, the NWS was not affected by the shutdown. Steiger said that the office was, luckily, well equipped with office supplies and had a backup gas tank in the official NWS vehicle, as no resupply was to take place during the shutdown.
President Barack Obama asked Congress to concentrate on more than just the shutdown and a balanced plan to reduce long-term deficits, legislation to overhaul the tax code and a bipartisan deal to end a farm bill. The farm bill is of interest to the region as it holds provisions for funding for subsistence projects through USDA in rural Alaska.
GREEN DOTS IN NOME— Lisa Ellanna Strickling with Kawerak Inc. addresses Nome Youth Leaders during a Green Dot training session at Old St. Joe’s in Nome on Friday, Oct. 18. The regional Community Alcohol Safety Team organized a week of training with professionals, teaching the Green Dot program. The initiative aims to decrease alcohol related interpersonal violence in Nome and the region.
• Gold Rush
continued from page 1
Mark Begich “interesting” as he was given the tour of the port and the maintenance of the new dredge.
City Manager Jose Balbake is concerned about the housing situation, but noted a slight improvement.
“At this time, we have a hotel with cab drivers picking up miners from the airport, and dropping them off in town looking for a place to live,” Balbake said.
However, the influx of new faces is a challenge for the city’s services like Nome. “One issue we are struggling with is with these people who are without a phone or email,” from Balbake said. While the majority of new miners are law-abiding citizens, some folks who were picked up by police had some serious rap sheets, she said.
In order to be able to service the mining fleet better, dredge operators were asked to fill out the captain’s name and phone number so they could contact him and his crew. “This helps us in an emergency, so our police and volunteer fire department and other departments know who to contact in an emergency,” Balbake said. For example, a report last month resulted in the use of the city’s Search & Rescue boat, the Guardian. The ambulance was called when a needed to come on the boat to get to the emergency.
The City’s public safety department and the Nome Volunteer Ambulance departments were dealing with more calls for service.
The latest unplanned incident came on Friday evening when concerned citizens called in that a rather large debris pile in a damaged trailer was partially obstructing the northbound lane of the Nome-Belk Highway near Matanuska.
According to NPD officer Nick Harvey, NPD responded and found the debris sitting in the middle of the road, posing a hazard for motorists. The police tried to find its owner, but could not locate it.
Around 1 a.m. NPD called the Nome Joint Utility dispatch. John Handwerk responded and offered extra brackets around the dredge to supplement the effort. The police had put out a permit arranged for removal of the dredge off the road and to city property at the Port.
Mishaps
Accidents and misfortunes do happen. Redburn knows of three dredges that needed assistance as they lost power and were pounded on the beach. Port Maintenance and Maintenance employee Dustin Bell works alongside his teammate Lucas Redburn and they have responded to several emergencies. One call involved an emergency on the dredge Hondo when it was driven into the water and burned by hot water coming down the hose. Another rescue mission they responded to was when a vessel like a sinking dredge, but it was constructed so that the ocean flooded the deck. Redburn and Bell had to assist a dredge without engine power as it was tossed around the surf zone, but the crew was able to rescued until the waves had calmed down.
In July, the hydraulic hose on a surf craft broke and spilled an unknown amount of marine-grade, biodegradable hydraulic oil called Clarity. The incident was reported to DNR and DEC.
Another surf craft broke down and a hole in the wooden floor and partially tipped over. According to Redburn, the engines were out of the water at all times during the incident.
In September, the dredge Argo caught on fire in the harbor, burning out completely. The fire was put out by the crew aboard the fishing vessel Erika, which was captained by Phil Pryzmant and the Nome Volunteer Fire Department.
High volume
The Port of Nome and the small boats in the area are still bustling at the seams. Bell estimates that there were about 100 dredges in the harbor this summer. “We had a lot of commercial dredgers and the jack-up rigs. Residents at Belmora Point used to complain with debris piling up on the east side of the Snake River since construction of the new high school, but the dredging has never took place. The residents arranged driftwood logs in the form of a large slide for the children and room for children to play in the sand.
If Bell had a wish, “I’d ask all the dredgers to please check their tanks and make sure they don’t run out any leaks,” Bell answered.
City Manager Jose Balbake said there is no instance of a local representative who is known to the community who has made a mistake. Redburn experienced in several situations that were not addressed in any permits or registrations. Earlier in the season, the city system and the city’s mandatory proof of insurance policy to be allowed in the harbor was not followed. “They just ran down anchor at the Nome River mouth. “I got a call from Fish and Game saying they had a complaint from local fishermen,” said Redburn. He reasoned with the owner that the Nome River mouth is not a safe place to set the anchor and convinced them to do the daily trek to ask from their claimants for a permit book.
Redburn said he hasn’t issued any citations or tickets, but he put plenty of pressure on the dredgers and the claim-jumping incidents. “I warned folks that they were in places where they shouldn’t be. I told them to ask Miners carry GPS devices that enable them to exactly know their coordinates. They can’t fly if they don’t fly with Redburn. Some claim jumpers ultimately received citations from the state game wardens, but others, if repeatedly trespassing and mining in forbidden territory run the risk of being arrested and potentially getting sued.” The owners of the leases can give authorization to the miners either to mine the lease. But we need to see the owner’s authorization in writing, and notarized copies of the lease agreement.
There are still a dozen tracts where rightful ownership is not clear. These tracts are lease numbers 1, 5, 6, 13, 16, 18, 19, 20, 22, 28, 36 and 39. Since the 2011 offshore lease auction, which was held in June of ten years, the procedure was modified when a few miners failed to turn in their permits. “With the new ownership of the contested tracts is now in litigation, nobody is supposed to mine them. Miners who violate could face the loss of their permits in addition to the prospect of being prosecuted legally by the future landholder.”
Redburn predicted that the number of miners working the recreational areas are going to decrease. “The resource is just depleted there,” he said.
Redburn also said that the DEC and DNR began a baseline study on the river. “The dredges create more turbidity plumes than suction dredge operations.”
Pomerinke explained that weather is always an issue, but when it’s warm, they can’t mean that they kick back and relax. “We always do things to improve our operation, we are cleaning up the gold or doing maintenance on the equipment. When the weather cooperates, he runs two crews, working two 14-hour shifts. They go through 100 gallons of diesel and fuel every 10 days to run the excavator and the water pump at the same time. “Right now, there was the expense of putting a new excavator on the Christine Rose this year.”
In addition to the work, Redburn is still a participant at the Bering Sea Gold reclamation show filmed for the Discovery Channel. “It’s been two full-time jobs,” he said. “There really isn’t a lot of down time.”
Photo by Diana Huecker
UP—One of Phoenix Marine’s jackup rigs weathers last week’s rough seas by raising its platform out of the surf zone.
Court approves competency hearing for Wilma Osborne
By Sandra L. Meekins
The Second Judicial Court in Nome has ordered a mental competency evaluation for Wilma Osborne and a hearing to decide whether she is able to stand trial.
The court approved a motion made on behalf of the plaintiff by attorney Cheryl Gilmore and ordered Osborne to Anchorage for treatment.
Osborne has been in court several times in the last month-and-a-half over a misdemeanor charge of assault, stemming from an incident in a classroom and striking a teacher. A return to the school grounds the next day brought another misdemeanor charge of trespass.
Gilmore filed an additional motion to expedite consideration of his motion to determine Osborne’s competency to stand trial on these charges and an additional motion of violation of release conditions—another misdemeanor charge—based on an incident Oct. 14.
Osborne went to Anchorage for treatment for the first time in this month, but returned to Nome some days later where she continued to be in court-ordered bind status to stay within sight and sound of third party custodians; one of whom was her husband, who had left her care under the supervision of Eric Osborne to go for a walk in her neighborhood, according to testimony at the hearing.
Performing his court-ordered duty as third party custodian, Eric Osborne notified police, according to court documents.
She had returned from Anchorage and was no longer under any condition of release and was “out of touch with reality,” according to court documents.
Wilma Osborne told arresting officers, according to the charging complaint, “I am not crazy.”
During custody at Aviul Mountain Correctional Center in Nome, Wilma Osborne has been kept in isolation without seeing her children.
Judge Timothy Dooley ordered Wilma Osborne back to Aviul Mountain Correctional Center Oct. 14 and set bail at $10,000 with the requirement upon release she go back under binds and restate her return to court to hear release conditions.
That solitary confinement for most of the time since the end of August had been detrimental, according to testimony in his written motion.
“In pre-trial competency assessment Ms. Osborne’s mental health has deteriorated appreciably,” Gilmore said in her motion for ordering a competency evaluation as soon as possible. She was up on a minor misdemeanor charge because her charges are driven by her inability to comply with bail conditions due to her mental illness, she added. “Ms. Osborne’s mental condition may further deteriorate in custody without stabilizing treatment.”
Judge Brooke Alowa approved the motion for the competency evaluation. Oct. 23 will also be a court order for Wilma Osborne to go to Alaska Psychiatric Institute. She will travel under uniformed escort.
Assistant District Attorney Tom Jungmeier did not contest the motions for the competency hearing, according to court documents.
Osborne will return after completion of the evaluation with results submitted to the court in time for a competency hearing Dec. 20.
The purpose of the competency examination is to determine if by reason of mental disease or defect a person is incompetent for criminal proceedings.
According to Alaska law, “conviction of a person incompetent to stand trial violates due process of law.”
The court had previously slated Osborne’s trial for the week of Dec. 10.
2014 Election: Byron Mallot enters race for Governor
By Diana Huecker
Last week, Byron Mallot entered the gubernatorial race and was endorsed by the Alaska Democratic Party’s state central committee.
This is the second time the party has voted for an endorsement of a gubernatorial candidate this early in the race.
Mallot said in a press release that he will focus on jobs and diversifying the economy. On the issue of oil taxes, Mallot noted more than 50,000 Alaskans signed a petition to repeal the latest oil tax, strongly known as SB 21 in next year’s primary election.
Byron Mallot was born and raised in Yakutat. He currently serves as an Alaska Airlines and Seaska Corporation Board Director.
In his professional career, he was Treasurer, Chief and Executive Director of Alaska Telecommunications Corporation, Board Director of Alaska Communications Systems and a board member of the U.S. Federal Reserve Bank of San Francisco.
He was Mayor of Yakutat and Juneau, President of the Alaska Federation of Natives, served on the Alaska Public Radio Network board of directors, and was the Executive Vice President at the School of Business and Public Administration at the University of Alaska Southeast.
He recently retired as the president and CEO of First Alaskans Institute.
Alaska Legislator Hollis French (D-Anchorage) had tried to run for governor in 2006. French is currently serving his fourth term as Alaska Senator. French had filed to run for governor but then withdrew from the race.
Prior to his service as a Senator, French worked in Alaska’s oil fields.
French went to law school and worked at the Anchorage District Attorney’s office as a prosecutor.
“I have decided to take a step back and to support Byron Mallot for governor. I do not believe that my marriage race serves Democrats or Alaska. There is so much at stake in this election, I believe it is imperative that we Democrats and our Alaskans pull together as a team. Byron Mallot is going to make an excellent governor and I look forward to serving with him,” French said.
In addition to Mallot, Republican Gerald Heakes of Palmer and Democrat Phil Stoddard of Anchorage have officially entered the race.
On the primary ballot for Lieutenant Governor is current state Senator Lesli McGuire (R-Anchorage) and Democrat Bob Williams.
YOUTH LEADERSHIP CONFERENCE—Group photo of Youth Leaders, Sponsors, BSSD school counselors, and Kawerak staff at the 5th Annual Youth Leader Retreat held this year in Unalakleet, Oct. 4-6, 2013.
Photo by Daniel Dickey
All Around the Sound
New Arrival
Aria Emily Geraldine Nikiskuk Kohuk was born at 4 p.m. April 13, 2013 Aria Emily Geraldine Nikiskuk Kohuk. She is the daughter of Arie Nikiskuk Jr. Stephen and Taylor Kohuk of St. Michael. She was 8.6 lbs and was 21.4 inches long. She is the granddaughter of Gertrude and Anthony Nikiskuk and Theresa Kohuk and Andrew Lockwood Jr. and Julian Iya.
• More Letters
continued from page 2
that prevention of cavities with fluoride seems unnecessary as well as toothpastes, gels, varnishes, mouth rinses and that the oral ingesting of fluoride is not only very helpful. Today this is what is being published in major dental medical journals.
The Public Health Service position on fluoridation for drinking water 50 years ago is outdated. Old habits die-hard and in part the PHS just wants to save face, and not admit that the use of fluoride is not necessary.
All the studies on water fluoridation are weak and flawed. During the last 2 comment periods at the Health Councils meetings the PHS has not replied to these studies but just said “studies.” They cite the position papers of the American Dental Association and others.
They forget to mention that the organ of all living things is the thyroid gland. The PHS has never mentioned in a dental journal in the past 15 years that clearly states that the fluoridation of drinking water is not necessary for the prevention of dental cavities!
Fluoride is a toxic chemical element and is much stronger that its related cousin iodine. Thyroid, one of most active and dissimilar organs in all cells of the body, especially in the thyroid gland and breast, is very sensitive to iodine deficiency. Because of this the organs do not operate at an optimal level. In fact when people have a toxic overactive thyroid (hyperthyroidism) Thioredo was used to knock down the thyroid function – almost slaying the gland! So, I feel that the PHS is trying to avoid possible thyroid disease called hypothyroidism by adding fluoride to avoid fluoride in the drinking water.
Our bodies use many trace minerals and vitamins to keep us healthy. Our circulatory system and many others for our body functions require iodine. The thyroid body does not require fluoride in any of the many systems to function.
The PHS is using the topical fluoride in helping to prevent dental caries. This is not necessary until after age 6. Again ingested fluoride is not needed because we don’t need it in our water supply. If added to our water it will be administered to pregnant mothers and infants. It might be harmful and will not prevent future cavities.
When the first signs of fluorosis appears on our teeth, the tooth is white or brown spots on our children’s teeth. This is not a cosmetic problem but affects 90 percent of the people in the United States. There is no easy repair for these damaged teeth. The PHS recommends that adults with boarding school tooth with fluorosis should limit their tooth brush to 5,000 per tooth. The PHS said that these are only cosmetic changes. Tell that to a seven-year-old child! It can cause psychological issues that the Public Health Service does not want to admit. The PHS recommends the addition of fluoride to our drinking water can contribute to toxic fluoride levels.
Since widespread fluoridation of water began in places like the U.S., many fruits, vegetables, soft drinks, wine and edge and training gained at the Youth Leader Retreat, students will return to their respective villages to plan events to proactively educate their peers about bullying, health, relationships, drug and alcohol abuse, and many other topics, as well as serve as a resource to their peers to offer support and guidance when needed.
Youth Leadership
The Youth Leader program was borne of a partnership between Kawerak, Inc. and Bering Straits Regional District. The program uses the strength of peer-to-peer mentoring as an effective way to reach youth who might otherwise seek help from adults—whether their parents, teachers, counselors, etc.
This year, 14 villages were represented with a total of 55 high school Youth Leaders, all selected by their peers as the best leaders in their time of trouble. Armed with the knowledge and training gained at the Youth Leader Retreat, students will return to their respective villages to plan events to proactively educate their peers about bullying, health, relationships, drug and alcohol abuse, and many other topics, as well as serve as a resource to their peers to offer support and guidance when needed.
GCI and KTUU come to interim
Anchorage, Alaska — GCI’s carriage agreement with NBC-affiliate KTUU-TV expired last Monday. Having yet reached a new agreement with the network, GCI secured an interim arrangement to keep KTUU on the Baird weather, Kiana, Nulato, Koyuk, Kotlik, Kwigillingok, Kuparuk, Akhiok, Port Heiden, Saint Paul, and King Cove participated in week-long classes held at the Fairbanks campus.
“A trained and skilled workforce is a valuable community asset that benefits both the department, local communities, contractors, and the State of Alaska,” said Mike Coffey, Chief of Statewide Maintenance and Operations. “We hope to continue this training.”
continued on page 8
Rural Airports
Rural airport contractors responsible for maintaining state airports recently received training on airport operations, safety, equipment operation, fueling, drug and alcohol abuse, lighting system maintenance, and education on how vital the contractors are to their community and the statewide aviation system.
Airport contractors from Koyuk, Kotlik, Nulato, Golovin, Elmendorf, Saint Paul, White Mountain, Kuparuk, Big Mekyekuk, Kwigillingok, Akhiok, Port Heiden, Saint Paul, and King Cove participated in week-long classes held at the Fairbanks campus.
“A trained and skilled workforce is a valuable community asset that benefits both the department, local communities, contractors, and the State of Alaska,” said Mike Coffey, Chief of Statewide Maintenance and Operations. “We hope to continue this training.”
continued on page 8
It’s hard to believe they actually pay us to live here.
It’s great to be an Alaskan. Every year we get a Permanent Fund Dividend just for doing what we love: living in Alaska. But let’s not take all this good fortune for granted. Talk to a Wells Fargo banker about all of your options and how you can make the most of your PFD. After all, you’re in the right place. We can help you do the right thing. Because when people talk, great things happen.
Another thing that’s hard to believe: open a new Wells Fargo checking account, and get a thermos.*
*To qualify for the thermos, a new Wells Fargo consumer checking customer must open and fund a non-negotiable Wells Fargo checking account with a $50 minimum opening deposit. All Wells Fargo checking accounts are eligible except for Wells Fargo Teen Checking accounts. Other conditions may apply. Offer valid through November 15, 2013 only or while supplies last. Offer only available at participating Wells Fargo banking locations in the Alaska region. Offer may not be combined with any other offer; Wells Fargo team members are not eligible. Limit one thermos per customer. Customer will receive the thermos at the time of opening and funding the new Wells Fargo checking account.
© 2013 Wells Fargo Bank, N.A. All rights reserved. Member FDIC.
• More Sound
continued from page 7
The Alaska Department of Transportation and Public Facilities (ADOT&PF) partnered with the Fairbanks Pipeline Training Center, the Construction Education Foundation of the Association of General Contractors (AGC), and the Alaska Operating Engineers Employers Training Trust to provide the training, with major funding coming from a Denali Commission grant.
“These rural residents are responsible for maintaining a valuable state transportation asset in a critical region of Alaska,” he reports. Improving their skills has been a big boost to public safety in their communities,” said John MacKinnon, Executive Director of the AGC.
• More Letters
continued from page 7
Teas can contain as much or more fluoride than fluoridated water! Plants can concentrate fluoride or pick it up from the soil and pass it on to us. Most insecticides used on non-organic plants concentrate fluoride. The content of food varies and levels in foods is available online.
Check out how you may be very surprised of the high levels of fluoride in many of your foods.
Fluoride in our food supply is the main reason for the recommendation is decreased from 1 ppm to 0.7 ppm by around 80 percent. This is the CDC’s way of telling the American people that today we are over fluoridated.
The type of fluoride used in city water treatment plants is a very concentrated crude mineral called fluorspar. It is a toxic byproduct of the fertilizer industry. It would cost the fertilizer industry $6.00/ton to dispose of this highly toxic waste product in a special EPA approved landfill. It is not allowed to be dumped near our city. This industrial byproduct can also contaminate other elements such as mercury, arsenic, lead, cadmium and acceptable amounts of mercury is as the most toxic element. Arsenic and cadmium are the most toxic. Why put these additional toxins into Nome’s drinking water? In contrast the fluoride in toothpaste is a pure pharmaceutical grade chemical that is not contaminated with toxic heavy metals.
This blind, mass medicating of the general public is outside and beyond the scope of this article. I have been told by one that fluoridated water helps us. If you are told that fluoride is good for you, then there is a tendency to blindly accept this without any proof.
Peanuts should be treated with fluoride as a medical prescription. Children should only be medicated with an antibiotic / anti-viral prescription. A parent / dentist / child-parent relationship would be best to inform and treat the patient with fluoride as needed and not as needed.
Fluoride is the lowest common denominator of life on this earth. Why add a chemical that is not even needed? Let us think for ourselves.
Obituary
Willard Kenneth Felton
Willard Kenneth Felton, 84, died October 8, at Providence Extended Care. A memorial service was held Sunday, October 13, at the Alaska Native Lutheran Church in Anchorage.
Willard “Willie” was born November 27, 1928 to John and Annette Felton in New Berlin, Wisconsin. He graduated from Brillion High School in 1946 and obtained his bachelor’s degree from Wisconsin State College at LaCrosse in 1950. Willard was drafted into the United States Army, and went to college. He served in Germany and was honorably discharged in 1959 while playing football both for the Army and at LaCrosse.
Willard came a teacher and taught at Desoto High School in Wisconsin. From 1959 to 1961 he completed graduate course work at the University of Wisconsin and University of Washington from 1952 – 1954. Willard moved to Alaska and taught in Tanacross from 1961-1962 prior to moving to Nome and teaching at Norton Public Schools from 1962-1972. Willard taught science and physical education, and also briefly coached football. All of boys basketball team Willard had coached careers and worked in the U.S. Post Office for 20 years prior to his retirement.
Willard met his loving wife, Nancy (Semakula) Felton, in AK, and they were married for 47 years. Willard and Nancy continued to live in Nome until 1998 when they moved to Anchorage to be closer to medical facilities. Willard and Nancy raised three children: Catherine (Whitaker), James Whitaker II, and Cynthia (Feltner).
Willard was a dedicated and loving husband, father and grandfather. He enjoyed watching the Great Bay Park baseball, reading, stories from his childhood, gardening, and reading.
Willard gave family and friends cherished memories. He will be missed but not forgotten. He was preceded in death by his parents, his older brother Chester “Chet” von Felton, his wife, Catherine, and his son, James Whitaker II, and his wife, Cathie Maki and is survived by his wife Nancy, their daughter Cynthia Williams, brothers Charles and Steve and several grandchildren and great grandchildren, and beloved nieces and nephews.
Get the Most Out of Your Medicare Benefits
If you haven’t signed up yet for a Medicare prescription drug plan, now is the time to do so. If you’re already enrolled in a Medicare drug plan, check to see if the plan is still right for you because the cost and coverage may have changed. If after reviewing your cost and coverage you decide you want to stay in your current plan, you don’t need to do anything, your coverage will automatically continue.
If you want to look at other options that might better meet your needs for 2014, you can do that during this open enrollment season. Enrollment begins October 15, 2013 and ends December 7, 2013 however signing up by December 8 helps ensure you can get the prescriptions you need on January 1, 2014.
You may qualify for extra help that will reduce the cost of your premiums. To find out if you qualify, call 1-800-772-1213, or visit www.ssa.gov/prescriptionhelp/.
To get more information or help with choosing the right prescription drug plan for you, call 1-800-MEDICARE (1-800-633-4227) or visit www.medicare.gov and click on “Compare Medicare Prescription Drug Plans”.
Assistance is also available at Norton Sound Health Corporation. Patient Benefits Specialists are available to provide assistance with Medicare Part D. Give us a call, we are here to help.
Maureen Soderstrom Unalakleet: (907) 624-3346
Darla Jemewouk Elim: (907) 890-2001
Frances Kingeekuk Savoonga: (907) 984-6905
Brenda Adams/Shelby Minix Nome: (907) 443-3323
Toll Free: 1-888-559-3311, Extension 3323
SAMPLE
Nome-Beltz Nanooks splash about at the Palmer Invitational Swim Meet
By Kirsten Bey
Three members of the Nome-Beltz Nanook swim team traveled to Palmer for the annual Palmer High School Invitational Swim Meet on Saturday, Oct. 19. More than 250 swimmers from 18 schools attended from as far north as Fairbanks and Nome, as far south as Cordova and Valdez and as far south and west as Unalaska.
This swim meet is a great warm up to our Regional Finals, which will take place in Fairbanks in two weeks. It is very hectic with the number of swimmers and event types. Swimmers really have to be on their toes to negotiate the logistics of this event. The Regional meet is probably about one third the size of the Palmer Invitational, so if the swimmers manage this meet, Regional meet logistics will be easy.
The swimmers were having a little trouble with a short practice season because the pool was not available until the beginning of October. Nevertheless, all swimmers were able to get back to where they were at the end of last season by the time of this meet.
Klay Baker swam the 100-yard butterfly and the 100-yard backstroke. He went to consolation finals in the backstroke and finished 10th with a 34.6 seconds with a time of minute 7.88 seconds.
Jake Stettenbenz swam the 50-yard freestyle and 100-yard freestyle. He went to consolation finals in both events, finishing 12th out of 12 in the 50 free with a time of 24.77 seconds. He finished ninth out of 41 in the 100 Free with a time of 55.90 seconds.
Lacy Erickson also swam the 50-yard freestyle and the 100-yard freestyle. She finished 10th out of 44 swimmers in the 50 free with a time of 29.15 seconds and she finished 25 out of 44 swimmers in the 100 free with a time of 1 minute 6.77 seconds.
These three swimmers will attend the Regional Finals and be joined by Julian Stettenbenz, a long time swimmer but freshman in high school and Hannah Tozier, a junior in high school but new to swimming this year.
Support your Nanook Swimmers with a custom short poly t-shirt sporting the Nanook swim logo on the left, either blue or black, for $40. Contact Coach Kirsten Bey if you are interested (443-3915 or firstname.lastname@example.org).
Sports Scoreboard
Nome Volleyball
The Nome Volleyball hosted a 4 team round robin tournament over the weekend. Nome and South Anchorage IV each won their first two games, setting up a true championship game in the Saturday finale. South Anchorage narrowly came out on top over the Lady Nanooks in a very entertaining match that went all five sets. South Anchorage IV is currently undefeated on the sea son.
South Anchorage 5 - 0
Nome-Beltz 2-1
Barrow 1-2
Kotzebue 1-2
Nome Volleyball All-Tournament Team
Saffie Hodgson - South (MVP)
Amanda Miller - Nome
Amelia Mignot - Barrow
Morgan Thompson - South
May-Sue Hynde - Kotzebue
Reese Merchant - Nome
Aria Lavin-Mignot - Barrow
Nome Wrestling
The Nome Wrestling team attended the Bush Brawl. Nome placers are listed below. For complete tournament brackets and results please visit TrackWrestling at www.trackwrestling.com
HS
Lief Erikson 1st - 126 LBS
Jason Gilker 3rd - 132 LBS
Eamon Burcar 1st - 145 LBS
James Burcar 1st - 152 LBS
Jaryor Erikson 1st - 160 LBS
Oliver Hoegendorn 2nd - 195 LBS
JR H
Aaron Rose 3rd - 105 LBS
Olivier Hoegendorn - 110 LBS
James N. Smith - 113 LBS
Michael Boston 1st - HWY
Donald Smith 3rd - HWY
Fluoride: Should we add it to the water?
By Bob Lawrence, MD
Alaska Family Doctor
Fluoridation of public drinking water is one of the top ten public health achievements of the 20th century according to the US Centers for Disease Control and Prevention. This puts fluoride, which prevents cavities, even reverse cavities, on the same list as vaccinations, antibiotics, seat belts, prenatal healthcare, and workplace safety. Fluoride is not simply fluoride prevention disease.
But ‘public safety measures’ are often in conflict with someone’s individual freedom.
Understanding this paradox is the key to understanding why some opponents of public water fluoridation in the U.S. have worked to reverse the practice since fluoridation of public water began in 1945.
Many state policies preserve an individual’s freedom of choice. Even when a practice is recommended or required by law, individuals may decide not to comply. For example, an individual may choose not to eat meat, refuse a vaccine, or take an antibiotic. But adding a substance such as fluoride to the public water supply, a substance is beneficial, seems to take away individual choice in the matter. Of course, this is not always an important consideration in cases where everyone has access. But in the U.S., an individual’s decision regarding fluoridation most profoundly affects a segment of the population that cannot speak for themselves, specifically our children. And when it comes to making choices about our children, it’s important to have the right information on which to base our decisions. Here is what we know about fluoride.
Fluoride is not a poison or a toxin at the levels used to fluoridate public water. It is a natural element used by the body to build strong teeth. It is also effective in preventing dental decay in the developing teeth of children. It also prevents and reverses decay in adults. In this sense, fluoride is like calcium, another elemental nutrient that helps build and maintain healthy bones.
While calcium is found in dairy foods and certain vegetables, fluoride is added to public water sources. In fact, before fluoridation of city water, there was a difference between communities with high rates of tooth decay and communities with healthy teeth. This largely depended on the natural concentration of fluoride in local ground water.
Some communities continue to have adequate fluoride in the water supply naturally; many do not. For communities that have a low concentration of fluoride in the local water supply, fluoridation is the recommended method for raising the concentration of fluoride to acceptable levels. In fact, approximately 72 percent of the U.S. population is currently served by a fluoridated public water source.
Fluoride supplementation is available in many forms including toothpaste, tablets, or topical gels, but fluoridation of the water supply is the method that most closely mimics the natural way humans acquire fluoride.
Interestingly, the recommended concentration of fluoride (.13 ppm) and the maximum level recommended by national experts for the prevention of tooth decay. The Centers for Disease Control is reporting a nationwide finding that prior to 1920 only 6 percent of Alaskans had cavities compared to 67.5 percent today. A traditional diet rich in fish and seafood was thought to protect the teeth, though this protection was insufficient to avert the rampant increase in consumption of soda and processed food, and the result was an increasingly prevalent simple carbohydrate diet.
The rise in dental disease from an increase in the consumption of soda pop and processed food, coupled with the addition of fluoride to decrease the risk of dental decay in rural Alaskan communities by 30-50 percent.
Therefore fluoridation of the water supply is the most natural and equitable method for ensuring our children do not suffer from tooth decay.
Some parents are concerned about a possible increased risk of cancer diseases, especially cancer, once thought to be associated with fluoride exposure. Researchers have taken these concerns seriously and in recent years have published well-documented studies including an important 2011 study out of the Harvard School of public health, examining the link found between the amount of fluoride in water and cancer.
Some people are concerned about other forms of fluoride toxicity. Reports of toxicity to the joints, teeth, nervous system, and gastrointestinal system have been documented in regions of the world where individuals have consumed high concentrations of fluoride in ground water.
While it is true that fluoride, like any nutrient, may be harmful in very high concentrations (over 10 times the amount found in the U.S.), it remains that this is true of all any element in the diet. For example, calcium is important for strong teeth, when taken in high doses, may be associated with coronary heart disease and prostate cancer. These diseases result from taking too much calcium, not from taking too little. Similarly, taking too much calcium would seem a strange reason to restrict a child from drinking or eating dairy products in ordinary amounts.
In the same way, published research to date confirms that fluoridation of the public water supply to normalize concentrations remains a safe and effective way of ensuring that all people receive healthy amounts of fluoride.
**Employment**
**AMERICAN GREETINGS is looking for Retail Greeting Card Merchandiser in Nome, AK. As a merchandiser, you will be responsible for greeting card department and merchandising and maintaining the display of greeting cards and product to celebrate life's events. This position requires a high school diploma or equivalent. Please call 1-800-323-2419 or email: email@example.com or call 1-800-744-6500.**
**Nome Eskimo Community**
Nome Eskimo Community is seeking for an IOWA Specialist for the Anchorage, AK location. The position is responsible for the IOWA assessment. The pay range is $22.45/hour - $22.45/hour. The work schedule is Monday through Friday, two weeks, closing on 11/4/13 at 5 p.m. and re-opening on 11/18/13 at 8 a.m.
To ensure the safety of children who receive services, Nome-Eskimo Community will complete a Criminal History Background Check on all applicants considered for the IOWA Specialist position.
To be considered for employment, the report must indicate that the applicant has never been convicted of a felony, sexual abuse of a minor, unlawful exploitation of a minor, or any other crime involving moral turpitude. If the applicant has not been convicted of a felony within the past five years, the applicant must provide a Native American preference per Public Law 638.
For more information about this employment application can be obtained from the Nome Eskimo Community Human Resources Department at 907-434-0287 or from the Nome Eskimo Community website at www.necalaska.org.
For any questions, please contact the Human Resources Department at 907-434-0287 x1235 or by email to firstname.lastname@example.org.
**Norton Sound Health Corporation (NSHC) is committed to providing quality health services and promoting wellness within our people and environment.**
**Available positions:**
**Clinical Medical Assistant**
**Purpose of Position:**
Provide patient and family focused care in accordance with NSHC’s mission, philosophy, policies and procedures while applying standards for professional Clinical Medical Assistant practice in the clinical setting.
**Starting pay $20.34 + DOE**
**Licensed Practical Nurse**
**Purpose of Position:**
Working in a team, under the oversight of an RN, provide a variety of patient duties to include, but not limited to passing medicine, vital sign assessment, observation, patient/family teaching, and record keeping that is focused on the comfort and health of the patients in the outpatient clinic or long term care units.
**Starting pay $23.79 + DOE**
**For information please call**
Human Resources at 453-4550 or email email@example.com.
**NSHC will apply Alaska Native/Alaskan Indian (under PL 93-638), EEOC, and Veteran Preference. Applicants must be able to demonstrate knowledge of federal, state and local laws. NSHC will initiate a criminal history and background check. NSHC is a drug free workplace and conducts pre-employment drug screening. Candidates failing to pass a pre-employment drug screen will not be considered for employment.**
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**Seawall**
**NOME POLICE DEPARTMENT**
**Disclaimer:** This is a record of activity. The substance of the report contained herein does not assign guilt to any identified party.
On 10-15 at 12:30 a.m. Nome Police Department Officers responded to the area of Sixth and St. Mary’s for a report of a vehicle being stolen. Upon arrival, the subject was found leaving the residence of Michael Wilson. The subject was arrested for the violation of her Conditions of Release. Wilson was contacted and advised of the subject’s arrest. She was released from her Conditions of Release and was returned to the residence. The stolen vehicle was located and was held on 11,000 bail.
On 10-15 at 12:30 a.m. Nome Borough was issued a citation for driving a truck with an expired registration.
On 10-17 at 12:30 a.m. the Nome Police Department was called to a residence near the intersection of 3rd and 3rd for a report of a person being intoxicated. A warrant was issued to Shawn Foremane, 38, for violating his probation.
On 10-17 at 12:30 a.m. Nome Police Department responded to a report of a vehicle being stolen on the east side of town. After further investigation, the vehicle was located and recovered and remanded to AMGC for Criminal Mischief in the 2nd degree. The suspect was arrested for Driving Under the Influence of Alcohol. Bail was set at $750. The assault charge was dropped.
On 10-17 at 1:38 a.m. Nome Police Officers conducted a traffic stop on a vehicle traveling north. After further investigation Dennis McLarney, 32, was arrested for Driving Under the Influence of Alcohol. Bail was set at $750.
Under the direction of Nome Police Department Officers, a vehicle was recovered from the east side of town. The vehicle was remanded to AMGC for Criminal Trespass in the 2nd degree and possession of a controlled substance.
On 10-18, at 12:30 a.m. the Nome Police Department responded to a report of a vehicle being stolen in a home on the west side of Nome. Alaska, Incorporated was contacted and the vehicle was recovered. Nome Sound Regional Hospital for ingesting alcohol. The subject was arrested for Driving Under the Influence of Alcohol. Bail was set at $750.
On 10-19 at 7:57 a.m. NPD responded to a report of a vehicle being stolen in a home on the east side of town. 21 year old Dee Dee Adams highly intoxicated.
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**Real Estate**
**FOR SALE — Lots 1-6, BK 81, Nome, by school / hospital, one or all. 907-444-1854 5¼-4½**
**WANTED— Maskoo men, mosoo/kanbar arbor, akivory, Eskimo arborist, Call Roger 934-1048 or 907-434-0287**
**VHF hand held radio with antenna. Call 783-6717**
**Regarding Scott Towns, Your payment due by the amount of $10,000.00 is due by November 2013 for the claims east of Cape Nome, Nome AK in which Stanley Towns, Sr. was killed. Please make your payment to: Nome Eskimo Community. Please submit payment in full to us. (Stanley Towns, Sr. Claimants) 1000 S. Union Drive, Nome, AK 99762. We will forfeit your portion of claims should you fail to make payment. Thanks! 10/17-12/16**
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**Shaktoolik Native Corporation**
**Notice of Annual Meeting of Shareholders**
As designated in their by-laws, the Shaktoolik Native Corporation will hold its’ annual meeting of shareholders on Saturday, November 9, 2013 at the SNC Armory. Doors will open at 9:30 AM and call to order at 10:00 AM or upon establishment of quorum. This year shareholders will be electing four (4) directors. Shareholders are encouraged to send their proxies to be received no later than 4:30 PM, Friday, November 8, 2013.
For more information please contact:
Shaktoolik Native Corporation
P.O. Box 46
Shaktoolik, AK 99971
Ph. 907-955-3241
Fax. 907-955-3243
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**Nome Eskimo Community**
**NOTICE OF ANNUAL MEETING & TRIBAL COUNCIL ELECTIONS**
The Nome Eskimo Community Annual Meeting will be held Thursday, November 7th, 2013 beginning at 6 p.m., at the NEC Hall located at 200 W. 5th Avenue.
There are two (2) Tribal Council Seats up for election, with a term of three years. Candidates must be 21 years of age & have resided in Nome for at least one year. Candidate applications are available at NEC’s main office, located at 200 W. 5th Avenue. Candidate applications must be submitted by close of business at 5 p.m. on Friday November 1st.
Voting takes place at NEC’s main office on Wednesday, November 6th from 9 a.m. – 5 p.m. and Thursday, November 7th from 9 a.m. – 6:30 p.m.
Staff will provide Program Reports and information on services available through NEC, and election results will be announced. Two (2) round trip Alaska Airlines Mileage Tickets (30,000 miles each) will be drawn at the end of the meeting.
For more information, contact Brenna Almhusak at 907-443-2246, email at firstname.lastname@example.org or visit our website: www.necalaska.org
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**Unalakleet Native Corporation**
P.O. Box 100
Unalakleet, Alaska 99684
**NOTICE IS HEREBY GIVEN that the annual meeting of the stockholders of the Unalakleet Native Corporation will be held at the Aaron Pookox/Myles Pookox Memorial Hall in Unalakleet, Alaska on 16th November 2013 at 10:00 A.M. for the following purposes:**
1) Approval, Additions or Corrections to the minutes of the 2012 annual meeting.
2) Reports from the management and committee.
3) Introduction of director nominees and statements by nominees, if they wish.
4) Election of five (5) directors.
5) To transact such other business as may properly come before the meeting or any adjournment thereof.
Only stockholders of record as of 5:00 p.m. on 3rd October 2013 are entitled to vote at the meeting or any adjournment thereof. Stockholders are entitled to vote at the meeting in person. If you will not be able to attend the meeting in person, you are requested to fill in and sign the mailed proxy and return it to: Unalakleet Native Corporation, P.O. Box 247, Unalakleet, Alaska 99684, Attention: Proxy Committee. Proxies will be available at the time and place of meeting and during the 30 days prior to the meeting at the corporation office in Unalakleet.
• More Seawall
continued from page 12
tacated and passed out to the boat seat of an armed suspect. The suspect was arrested and was booked into the Nome Jail. He was released in the 2nd District, with the bail set at $350.
On 10-18 at 4:21 p.m., the Nome Police Department responded to a noise on the west side on the upper level window. Investigation led to the arrest of Alexei Almazov, 35, for Assault in the 3rd Degree. Almazov was remanded at the AMCC with no bond.
On 10-18 at 7:55 p.m., the Nome Police Department responded to a noise complaint and domestic disturbance call. Investigation led to the arrest of Bennett Almazov, 35, for Assault in the 3rd Degree. Almazov was remanded at the AMCC with no bond.
On 10-18 at 8:46 p.m., the Nome Police Department responded to a residence on the report that a male was acting suspiciously. Investigation led to the arrest of Bennett Almazov, 35, for Assault in the 3rd Degree. Almazov was remanded at the AMCC with no bond.
Good as Gold but please forgive the wrong Web Address last week! Our wonderful Government has put us all in a pinch and it looks like it will only get worse. My name is Gary Martin and I was raised in Alaska and I think of it often. For a good number of years I have created and run web sites all over the Internet and most of them are devoted to the marketing of Freeze Dried Foods, Water Storage and Treatment and Emergency Supplies. With the help of good science we now have food with a twenty five year shelf life and believe me the taste is great. Because of my love of Alaska and my concern for the outlying towns and settlements I have created a tremendous offer here http://Nome.OurFamilySurvival.com
continued on page 14
Notice of Public Auction
The impounded vessels pictured will be offered for sale at a public auction, pursuant to NCO 12.30. Crab pots will be offered for sale pursuant to Port of Nome Tariff No. 9, Section 05.080.
The auction will be held at the Port of Nome on November 8, 2013, at 3:00 p.m. Refer to NCO 12.30.080 for application of proceeds from this sale.
Vessels/pots sold AS IS WHERE IS. Minimum bids available by 10.31.13. Payment required at time of sale-NO CREDIT CARDS. All sales final.
Port Office: 907-443-6619
10-18-13
NOTICE IS HEREBY GIVEN THAT A RUNOFF ELECTION FOR NOME CITY COUNCIL SEAT “A” WILL BE HELD IN THE CITY OF NOME, ALASKA ON TUESDAY, NOVEMBER 5, 2013, BETWEEN THE HOURS OF 8:00 AM AND 8:00 PM OF THE SAME DAY.
The polling place for electors will be City St. Joe’s, Anvil City Square, 407 Bering Street, for those persons living in both Nome Precinct No. 1 (38-924) and Nome Precinct No. 2 (38-926).
THE QUALIFICATIONS FOR ELECTORS AT SAID ELECTION SHALL BE:
1. A U.S. Citizen qualified to vote in state elections.
2. A resident of the City of Nome for thirty (30) days immediately preceding the election.
3. Registered to vote in state elections at a residence address within the municipality at least thirty (30) days immediately preceding the election where the person seeks to vote.
4. Not disqualified under Article V of the Alaska Constitution.
THE PURPOSE IS THE ELECTION OF THE FOLLOWING SEAT:
1. One member of the Nome Common Council, to be elected to a 1 year term:
| Seat | Term | Candidates |
|------|------|------------|
| ‘A’ | 1 Yr.| Patrick Kner |
| | | Tom Sparks |
10-18-13 17-24-13
2013-14 Snow Removal Policy & Procedures
Listed below are the prioritized actions that the City of Nome will undertake during the 2013-2014 snow season. These actions are meant as a guide and DO NOT commit the City to any course of action other than that which is deemed to be in the best interests of safety and City resources.
I. During major blizzards and ground storms, City crews will stand by and only attempt to open streets as required in emergency situations.
II. Once the storm has abated, every effort will be made to open fire lanes (one lane) on every street in town.
III. Once major lanes have been established, crews will begin to open major (school bus) routes to two lanes of traffic. Streets identified as priority are * East and West 5th Ave. * East 1st Ave. * West 2nd Ave. * West E Street * East K Street * Ice View Loop * East N Street * Steadman Street
IV. Once major routes have been opened to two lanes of traffic, crews will begin opening the remaining streets to two lanes of traffic.
V. Once the streets have been opened to two lanes of traffic, crews will systematically begin to widen, clean and haul snow to designated snow storage sites. Service areas will be rotated in order that all areas of town receive equal treatment during this clean up.
VI. Sanding of select streets will be performed by ADOT. Other streets will be sanded when conditions warrant and resources allow.
VII. The major snow storage for the City of Nome will be: the snow storage site located on Greg Kruschev Avenue.
Once again these plans are meant as a guide. We will take actions contrary to this plan as necessary. We urge citizens of Nome to help us keep the streets safe and usable. Some things that will help our efforts are:
- Cars should be parked off the rights-of-way as much as possible during the clearing and removal of snow;
- Obstructions (buildings, dog houses, snow machines, 4-wheelers, trash boxes, etc.) that prevent removal of snow should be moved farther on to private property if at all possible;
- Be alert to the area of town in which we are working and, if at all possible, keep parked cars and traffic to a minimum in these areas.
**Pushing of snow into the public right-of-way during a storm is not allowed.**
**Pushing of snow into the public right-of-way after a street has been cleared is discouraged.**
After hours, on the weekends and holidays, City crews will be on-call as needed. Due to the limited resources within the City, local contractors will be utilized to provide additional manpower and equipment as necessary. If you have any questions, please feel free to contact Public Works Dept. at 443-5653. Thank you!
City of Nome
P.O. Box 281, Nome, AK 99762
(Phone) 907-443-6600 ~ (Fax) 907-443-5349
Larry’s Auto and Repair
907-443-4111
316 Belmont St., Nome, AK
House Leveling at its best
House moving and beam replacement.
Jason and Becky Rietheimer
call 304 - 0277
Mr. Kab
443-6000
We’re at your service
P.O. Box 1305 Nome, AK 99762
HARD CORPS AUTO BODY
Full Service Collision Repair Complete Auto Detailing
339 Lester Bench Road
Mon – Fri: 8 a.m. - 5 p.m. Sat: 10 a.m. - 4 p.m.
CALL 907-387-0600 NOME, AK
Bering Sea Women’s Group
BSWG provides services to survivors of violent crime and promotes violence-free lifestyles in the Bering Strait region.
24-Hour Crisis Line
1-800-570-5411 or
1-907-443-5444 • Fax: 907-443-3748
EMAIL email@example.com
P.O. Box 1596 Nome, AK 99762
Builders Supply
704 Seppala Drive
Appliance Sales and Parts
Plumbing – Heating – Electrical
Welding Gas and Supplies
Hardware – Tools – Steel
443-2234 1-800-590-2234
Indian Head Champi
Indian Face Massage Aromatherapy
Terry’s Therapeutic Massage
Professionally trained, holding all relevant insurance & licenses. Board certified as a holistic health practitioner.
Terry’s
506 West Tobuk Alley, Nome
Cell: 443-2633
www.terrystherapeuticalmassage.abmp.com
Alaska Court System’s Family Law Self-Help Center
A free public service that answers questions & provides forms about family cases including divorce, child custody, adoption and visitation, child support and paternity.
www.alaskafamilylaw.org/fhcenter.htm
(907) 264-0851 (inside Ace)
(866) 279-0851 (outside Ace)
Sitasuak Native Corporation
(907) 387-1200
Bonanza Fuel, Inc.
(907) 387-1201
Bonanza Fuel Co.
(907) 304-2086
Nanuq, Inc.
(907) 387-1202
Give the gift of financial strength.
Kap Sun Enders, Agent
AK Insurance License # 11736
New York Life Insurance Company
701 W. 8th Ave. Suite 900
Anchorage, AK 99501
Phone: 907-274-3920
firstname.lastname@example.org
©2011 New York Life Insurance Company, 50 Madison Avenue, New York, NY 10010
SMR# 00427352V (Exp. 05/2018)
NOME OUTFITTERS
YOUR complete hunting & fishing store
128 W 1st Ave. (907) 445-2888 or 1-888-688-(6665)NOME
Main. – Fri. 10 a.m. – 6 p.m. Sat. 10 a.m. to 2 p.m.
M-F 1 p.m. – 6 p.m. Sat. 11 a.m. – 6 p.m.
CBD, credit card & special orders welcome
Trinh’s
Spa, Nails & Tanning
Please call 443-6768 for appointment
120 W. 1st Ave.
M-F 1 p.m. – 6 p.m. Sat. 11 a.m. – 6 p.m.
Walk-ins welcome!
ARCTIC CHIROPRACTIC
Nome
Dr. Brent Osterrieter
Treating
– headaches and neck pain
– muscle and joint pain
– back pain and stiffness
– sprains and strains
With
– chiropractic adjusting
– myofascial release
– physical therapy and rehabilitation
– conservative care
113 E Front St. Ste 102 “Life is good when you’re pain free.”
Nome, AK 99762
(In the Federal Building next to the Post Office)
907.443.7477
Nome Discovery Tours
Day tours
Evening excursions
Casting lessons & trips
Gold panning • Ivory carvings
CUSTOM TOURS!
“Don’t leave Nome without hooking up with Richard at Nome Discovery Tours”
– Esquire Magazine March 1997
Call to make a reservation 443-6768 or email@example.com
Aurora Inn
302 E. Front Street
P. O. Box 633
Nome, AK 99762
(907) 443-5838 (800) 354-4906
www.aurorainnome.com
STAMPEDE Vehicle Rentals
24 hours a day
7 days/wk
ALASKA POISON CONTROL
1-800-222-1222
Nome Custom Jewelry
803 E. 4th Ave.
907-304-1818
• Custom Jewelry • Czech Beads
• Silver Beads • Signs
• Watercolor • Prints • Cards • Postcards
• SS Chains (by the inch or foot)
• Engraving
Beading Classes Scheduled
Call to get the current schedule.
Hrs: Mon. - Sat. 2 p.m. - 7 p.m.
Contact Heidi Hart at 907-443-1818
Advertise in our award winning newspaper.
call: 443-5235
email: firstname.lastname@example.org
uresco construction materials, inc.
8246 S. 194th – P. O. Box 1778
Kent, Washington 98035
Fax: (253) 872-8432 or
1-800-275-8333
Nome Nanooks Athletes brave eventful weekend
By Sarah Miller
The Nanooks had a dynamic weekend in volleyball, football and swimming. On the home front, NBHS hosted a four-team tournament to raise awareness for breast cancer awareness, the annual “Volley for the Cure.” The Lady Nanook volleyball team and their fans came together raised over $900 in support of the Arctic Pincers, a cancer awareness and fundraising group. Advertisements on walls inside the Den of the Mighty Nanooks this weekend were pink volleyball nets along with slogans including “Block Cancer.” The athletes wore pink t-shirts during warm-up drills and “I wear pink for…” followed by the names of loved ones who have been affected by breast cancer. The bleachers and the bleachers showed a scattering of pink there as well, indicating that this is a cause close to the hearts of many.
Coach Lucas Frost has been organizing the tournament last year, recognizing that many of his players have had their lives directly affected by the disease. The tournament was successful and well-attended, and Frost looks forward to making it an annual event. Not only was it a great positive way for the team to support breast cancer awareness, it provided the Lady Nanook athletes more play time against the competitive teams both within and outside the region. The Anchorage Nanooks responded to the invitation by Nome. Both teams for the tournament. Frost praised the team both for their strong play as well as their sportsmanship. “They’re a great group of girls and they represented their community well.”
Four teams competed in the round robin format, including the JV and Varsity teams from Barrow, Kotzebue and South Anchorage. The championship match was a nail biter, as the South Anchorage Nanooks won the title over the Lady Nanooks. NBHS won the first and fourth sets, but ultimately lost the second set through a very strong performance by the home team for an exciting finish. The energy of the crowd was matched by the enthusiasm of the spectators. Coach Frost was pleased with the Lady Nanooks’ comeback and praised them for the final one of the best sets the team has had this season. The challenge now is to get up and prepare the team for their upcoming match against Bethel next weekend. The Nanooks must beat the Bethel team in order to be number one seed in the region over Barrow. The community is encouraged to join the Lady Nanooks again on Friday evening for Parent’s Night, which will be honoring for the “Blue Out Weekend” by wearing blue.
In other sports news, NBHS was recently traveling to Kotzebue for the Bush Brawl, which was available to watch online via live streaming on the Nome Public Area’s Barrow School District’s website. While Coach Hornung remained in Nome throughout, he reviewed the team’s performance online and commented that the athletes were wrestling well and making continual progress. The outstanding wins of the tournament included first place finishes by Leif Erickson, Emma Booshehri, Ariana Horner, and Junior Erikson. Oliver Hoogenboom and Jason Gilder placed second while the girls took third in the heavyweight class, while Aaron Ross, Ryan Greengrass, and Kelsey all placed third in their weight classes. The team will travel next weekend to Bethel.
Finally, the swimmers also competed last weekend in Palmer. Clay Baker, Jake Stietenberg and Lacey Erickson all traveled to represent the Nanooks at the Valley Invitational. Stietenberg swam two events, placing 12th in the 50-yard freestyle and 13th in the 100-yard freestyle, while Baker took 10th in the 100-yard backstroke. Leif Erickson placed 19th in the 50 yard freestyle and 25th in the 100-yard freestyle. The swim team will attend a regional meet in Fairbanks on November 1-2.
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Six small design mistakes that could be dragging down your direct mail response.
Check which ones they are.
Execution matters as much as Copy. This means not just the copy, but the design is essential too.
Brian Kurtz, the most successful copywriter once said: “Designers are very underappreciated and undervalued. We are in an era of diminishing returns so having a designer who really understands direct marketing is crucial.”
It’s not how beautiful your package looks that will lead to success, it’s how skillfully it was designed by your art director.
Art direction is not showing off visual artistry or technical expertise; its sole purpose is to make reading the message effortless and lead the reader to act.
As a matter of fact, some of my most successful pieces had a crude but simple handmade look as shown below and alongside
November 12, 2006
Mr. John Sample
123 Maple St.
Anytown ON A1A 1A1
Dear Mr. Sample:
Imagine a city in which everyone has enough good food to eat.
Imagine a city in which every person who drops into a shelter or a program for short-term housed is offered a cup of warm delicious soup and a hearty cup of coffee or tea.
Imagine a city where every school child has at least one, preferably two, healthy breakfasts each day.
Now, imagine that the city is Toronto and thank yourself, a valued FoodShare supporter, for bringing fresh, nutritious, affordable food to thousands of people in our city.
As the year 2006 draws to an end, it is heart warming to know that your support has helped us to ensure that you have had such a positive impact on tens of thousands of people in our city. We are listing just a few of the many ways that your support has made a difference.
As we begin to plan for 2007, we are writing to thank you for your help this year and to ask you to continue to be a part of FoodShare’s efforts to make a difference for us.
You may have heard or read in our media that more than we are being approached by people in need of food at 250 Eastern Avenue.
The good news is that after months of uncertainty, we will be
Not grabbing the reader’s attention from the start.
Get them from the start. If they don’t find your outer envelope interesting, you know where the package ends up.
Here are some examples that were very successful.
The letter inside: Keeping your reader’s attention.
There are many ways of doing this.
A designer must get the reader’s attention to focus on what is important and lead his readers to follow his trail.
For example: I redesigned a direct mail package for Burnaby Hospital Foundation and boosted response by 70% without altering a single word or image.
They tested two versions with 24,355 packages for each: one used their original design; the other used a package that I redesigned for them.
Here is my version:
MISTAKE # 3.
The length of the copy.
Make sure that the width of the letter is designed for optimum legibility
- Use wide margins so readers narrow their focus on the copy.
- Short columns are easier to scan. Keep your copy width down to sixty characters or less—that’s about six inches, maximum. Think paperback novels.
- Beyond that width, the reader must move his head back and forth horizontally, making reading more difficult. It can also literally be a pain in the neck.
- The less copy, the larger the text can be, making it easier to read. A reader is more likely to read short, bulleted copy than long paragraphs.
See case in point on the next pages:
December, 2012
Here is a most unusual Greeting Card.
But please don’t keep it!
Instead, we are asking you to sign your name on it and send it back to us by December 16, in the enclosed reply envelope.
We will give it to one of our homeless members here at The Good Neighbours’ Club. These men, who are all over fifty years of age and living on the streets of Toronto, often have no contact with their family or friends from their earlier lives.
A message from you will show them that they are not alone and that there are people who care. It’s a small gesture that makes a big difference.
For many families this is their favourite time of year, as friends and loved ones gather for a special meal.
But what about those who do not have a warm home, a safe environment, the company of family and trusted friends and food to celebrate?
Many of these gentlemen at The Good Neighbours’ Club are estranged from their families. The loss of a spouse, the effects of poor physical or mental health and the spirit of poverty have all taken their toll on them. Others may be victims of circumstance or just plain bad luck.
We have been blessed to come to know them and their stories and learn the true meaning of being a good neighbour and with your help can demonstrate that to them.
We hope you will be generous and enable us to bring cheer to older gentlemen who otherwise have little to share and no one to spend the holidays with. Please open your hearts and return the card today along with a donation in the postage paid return envelope.
As in past years we expect to serve 300 men a traditional turkey dinner at our Christmas Party and a similar meal to 300 again on Christmas Day. We will
☐ YES! I WISH TO SUPPORT THE GOOD NEIGHBOURS’ CLUB
Here is my donation of:
☐ $10 ☐ $30 ☐ $50 ☐ $100 ☐ $500 ☐ Other $__________
☐ Enclosed is a cheque payable to the Good Neighbours’ Club
☐ Please charge my: ☐ VISA ☐ MasterCard ☐ AMEX
Card Number
Expiry Date
Please return this form with your donation in the postage paid envelope. The envelope should be used for gifts over $10. We appreciate the support of our donors and all our donors. Thanks to you, we can provide a better quality of life for homeless people in Toronto.
To complete your donation:
Mail to 170 Jarvis Street, Toronto, Ontario M5B 2P7
An intriguing start. It helped capture the reader’s attention.
Getting the donor involved - a clear difference between Boomers and their parents. Boomers need to be involved.
The handwritten side bar: This clearly showed where the money would be spent. Something crucial to Boomers, they need to know what you are going to do with their donation and the impact on the recipients. It also demonstrated that the charity is a good steward of donor money.
An Identifiable Victim Research has shown that we are moved far more by the plight of someone we know who has fallen through the cracks. And Boomers can relate to this.
CONTINUES ...
keep our doors open every single day through the holiday season. We are committed to doing what we can but we need your help urgently.
Your ongoing support now and throughout this season means that The Good Neighbours’ Club can continue to support these forgotten men with what they need most: warm meals, showers, clothing, front-line medical and social-work support—not just at this time of the year but all year long.
You can make a one-time donation or a monthly gift by cheque or credit card.
Together, you and all of us here can make this yuletide a bit brighter with love and hope and of “’peace, goodwill to all mankind.”
May you and your loved ones share a warm and wonderful holiday season!
Sincerely,
[Signatures]
P.S. Please return the Greeting Card by December 16, so that we can give out the cards at the Christmas Party on December 20th and brighten their day!
---
☐ I wish to become a monthly donor, here is my monthly contribution of:
☐ $10 ☐ $20 ☐ $35 ☐ $50 ☐ other $_________/month
Method of Payment
☐ Pre-authorized withdrawal (I have enclosed a void cheque)
☐ Pre-authorized payment ☐ VISA ☐ MASTERCARD ☐ AMEX
Card # ____________________________ Expiry date: mm/yy
Credit Card withdrawal dates: ☐ 1st OR ☐ 15th (check one)
Signature ____________________________ Date Signed ________________
*This authorization may be cancelled/changed at any time upon written notice. Allow 4-6 weeks for processing of first payment.
* You will receive one cumulative income tax receipt for the end of each calendar year.
Ignoring the fact that readers only look at 25% of any reading material and then read only half of that.
This is how readers scan letters.
So, a designer’s job is to entice readers into reading more than just 12.5% of the message and respond.
What catches a browser’s attention?
- The salutation
- A headline or Johnson box
- A captivating first sentence (keep it short, no more than 10 words)
- Underlines (use sparingly)
- Bolded or italic sentences (use sparingly)
- Bulleted lists
- The closing
- Who signed it or the sender?
- The P.S.
- Images (with captions or inserts)
- Free offers
- Interactive items (scratch cards, involvement devices, a quiz, etc.)
Her’s a good example;
The three important people that it takes to make music are: one to create, one to perform and one to appreciate.
As a prominent member of the ‘Friends of the Royal Conservatory of Music’ you are one of the important people.
You have played a vital role in helping to ensure excellence in the arts and music in Canada now and for the next generation and we are grateful to you.
And speaking of appreciation, let me thank you on behalf of all those who have benefited from your contribution in the past.
Your membership support of The Royal Conservatory of Music has come to represent many things to many people. Your previous contributions to our diverse programs have helped:
- Provide new opportunities for our children to participate and grow in the arts
- Enhance the quality of education by offering music instructions to students ranging from pre-school to post-graduate level
- Offer a richness and diversity of programs like classical, jazz, opera and world music as a means of self-exploration and self-expression for Canadians of all ages
- Afford gifted young musicians the high-caliber professional training they need to develop their full potential
- Expand our leadership role in music and the arts nationally and internationally into twelve countries, through Royal Conservatory Music Examinations and Learning Through the Arts programs
- Give more Canadians the opportunity to gain through public school enhancement initiatives, diverse music programs, performance opportunities, access to publications and exams, uniting us all through a shared creative experience
Your assistance in the past has clearly demonstrated how much you value high standards in arts education.
Your continued participation now is essential
Your renewed support will allow us to build on our remarkable 119-year tradition as a recognized artistic innovator both nationally and internationally.
Thanks to lovers of music and the arts like you, today the Conservatory is one of the most prized institutions of music education in the country and around the world. Today we proudly serve over 500,000 each year.
In 2007 with the opening of the state-of-the-art TELUS Centre for Performance
The use of visuals to tell your story.
Make sure your images face the copy or the reader. A picture of the person looking straight back at the reader always gets noticed.
If an image is facing outwards, then the eyes tend to follow the direction toward where the image is pointed and the reader may not return to read the copy.
Only show a single victim. Researchers call this: The identifiable victim effect.
And, don’t forget to add captions below the image to clarify who the individual is or what that image represents. Learn from magazine design.
If you are using an image that is not looking back, then make sure it leans in toward the copy.
Images that face inwards from both edges of the paper act like brackets to contain the eye and keep the focus on the copy.
Move the letter to one side and add a side bar with a testimonial from someone who benefited from your organization’s good work.
Dear Ms. Sample,
The Holidays are almost here…a time for giving and sharing…
As I open my heart and share with you what Heart House Hospice did for the past 10 years, I am reminded of the first time I met my husband, Bob. We met in 1976 and we became a couple in 2002.
That was the year Bob was diagnosed with cancer. He fought bravely in dignity and at peace. He had Chronic Obstructive Pulmonary Disease (COPD) and was on oxygen 24/7.
I have seen first hand the kind of care our counselor at Heart House Hospice provided to Bob. She was always there for me when I needed her. She was a friend and a confidant. We both have many difficult conversations to get us through the hardest times that we ever faced.
Heart House Hospice provided us with such compassion and assistance during the worst time of our lives. On May 15, 2014, I lost my husband. I miss him every day. But his passing, left that I need to do something to feel useful again. I felt very sad and alone without him. I turned back to Heart House Hospice.
Here’s a reason to give back today…
The programs that Heart House Hospice provides, in our communities of Mississauga, Brampton, Etobicoke, North York, Toronto, and Markham, are free services, but unfortunately the funds they receive from the government are not enough to cover all the costs. Your donation will help them continue to provide this for YOU and me…they cannot survive without our help.
Please consider making a donation to Heart House Hospice today. You can make your donation online at www.hearthousehospice.org or by calling Heart House Hospice at 416-781-3255. If you prefer to mail your donation, please include a one time gift or selecting the monthly giving option. Please make it Cheques Drawn On: To: Heart House Hospice
Your donation will go to work immediately to help with the current needs of our patients and their families.
Keep your copy about 6 inches wide as indicated before. Use a sidebar to provide extra information.
Dear Ms. Sample,
For the second time in a row, Toronto was ranked 1st in Canada for the most food wasted in homes by a family of 4.*
Locally raised kids bring in the “hot stuff” all day but hungry. The city’s food banks are seeing an increase in the number of people who come in the past three months, largely due to the number of children who are now eligible for school meal programs each week, almost 40% of whom are children and youth.
Hunger facts surprise you like this statistic – you won’t do nothing about it!
SS PROVIDES ENOUGH FOOD FOR 10,000 PEOPLE
Last year our food bank served over 4,800 families and 6,000 clients in Toronto. Of those, 40% were children and youth.
We delivered over 1 million pounds of fresh food to 25,000 families last year. This includes fresh fruits, vegetables, community and after-school programs in the GTS.
Sadly, thousands more Torontonians will go hungry in a daily basis because of the lack of food available to them.
THAT IS WHY WE NEED YOUR SUPPORT NOW!
Please help us help them in need through the long winter.
* As the year 2017 draws to a close, it is heart-warming to know that Second Harvest Food Bank of Greater Toronto has been named the winner of the 2017 National Hunger Action Award. The award recognizes the efforts of Second Harvest Food Bank of Greater Toronto in reducing hunger in the Greater Toronto Area. The award is presented annually by Feeding America, the nation’s largest domestic hunger-relief organization, to a local food bank showing outstanding achievement in hunger relief.
Or, use the sidebar to show what each donation amount can accomplish.
The plight of refugees
Refugees are people who are forced to leave their home or country because of war or persecution, often at great personal risk. They flee with little more than the clothes on their backs.
Women and children make up the majority of the world’s refugee population and are often the most vulnerable. Women are the caretakers of the household while in refugee camps – gathering firewood, collecting water and keeping personal supplies intact. Child refugees are especially vulnerable. Too many children and teenagers are separated from their parents and siblings, and many are forced to live alone or to support younger siblings. Many have been the victims of horrific abuse.
Your gift will help these devastated people who clearly need and deserve our support. Every day spent in exile is a day spent living in fear. When to give up hope, how can we?
continued over...
Unfortunately, today all designers use digital fonts, which are a challenge because every typeface you use needs radical adjustment. They need to be kerned for easier reading.
To optimize legibility, “units” need to be tightened (kerned) and the “gaps” optically widened.
Just like music, if everything is too close together, the sound can be muffled and hard to understand or appreciate. If the sound is spread out, it stops sounding like one harmonious piece.
Finally, a quick word on copywriting: good writing in direct mail is not academic writing but persuasive writing.
Forget what you learned in school about good grammar; direct marketing or fundraising copy should sound like someone talking—like a conversation with the reader.
The difference between writing and fundraising.
One of the greatest lessons that I learned in my many years in advertising, is what David Ogilvy taught me.
He said, “Remember, we are not just selling a product we are also selling a promise.”
Alongside are two of the recent packages I am proud to have written.
Here’s my offer with no strings attached!
I will gladly audit any of your past or present packages to give you suggestions on how they could be improved, because sometimes you may be so close that you can’t see the forest for the trees.
<Begin>
<<Envelope Salutation>>
<<Address 1>>
<<Address 2>>
<<City, State, Province>> <<Postal Code>>
Dear <<Letter Salutation>>,
Luisa Mendez had big plans for her retirement. There would be cooking classes, hairdressing courses and maybe even a trip to Europe. But life took an unexpected turn when she connected to become a caregiver to a senior with dementia – someone she barely knew.
Two years before she retired, Luisa agreed to take on the role of caregiver for Nena, her stepmother-in-law. At the time, Luisa had not one clue about the duties for baby, Nena’s husband had left and her relationship with her son had been severed decades ago.
“I remember Nena saying to me, ‘Don’t you ever leave me, just like everybody else’,” recalled Luisa.
CAREGIVING IS A FULL-TIME JOB
Luisa knew bringing her stepmother-in-law to live with her was not an option as Nena needed more care than Luisa could provide.
Nena lived in a secure assisted-living centre, with Luisa acting as her primary contact and source of support – a role she says is a lot more demanding than it sounds.
Luisa is the decision-maker for Nena’s health, her medical care, her financial security and her overall well-being. She visits Nena three days, then four times a day, Luisa says. “Anything that happens, I’m the one that she contacts.”
After the first month, Luisa was struggling with the overwhelming responsibility involved in making life decisions on behalf of someone else. She began to get help.
BATTLING BURNOUT
“This has affected my own family because of the time I spend on meetings, calls, relating her. It took me away from my responsibilities at work and now it takes me away from my own family. I don’t know how I’m going to have a sister with dementia that I take care of once a week. All this is exhausting.”
Thankfully, it’s a journey Luisa says has been made easier by the help she’s receiving from WoodGreen’s Caregiver Support and Wellness Program.
Enter Mike Tessier – a clinical social worker in WoodGreen’s Caregiver Support and Wellness Program – who has been helping Luisa since she was referred to the program by a concerned nurse at Nena’s assisted living facility.
WoodGreen’s Caregiver Support and Wellness Program is designed to support adults who are caring for someone living with dementia or other cognitive or psychiatric issues. “The demands placed on some caregivers are overwhelming,” says Mike. “Without support it’s all quite hard on his burnout.”
*Names have been changed to protect the privacy of our clients.*
– please turn over –
This is an amazing story of how the actions of three friends have affected the lives of so many.
<<Mr. Jon Sample>>
<<Address 1>>
<<Address 2>>
<<Address 3>>
Dear Mr. Sample,
Fred Howe and Craig Sindrey, two fun-loving guys (pictured alongside) have been hosting an annual golf classic for over 20 years in support of the Institute for Advanced Mentors in Mental Health (IAM). Three years ago Terry Doyle, joined in to help.
Fred and Craig first met at an annual weekend golf tournament in Durham, Ontario, years ago. They realized a common interest and mutual interest in golf and their respective mental illness. The lives of both Craig’s brother and Fred’s mother were impacted by schizophrenia that was a constant struggle until they found the support IAM.
What started as an event called Drive to Survive, a support for schizophrenia, some 22 years ago, has evolved into Hole Out for Hope, with this year’s event raising $45,000. The event is more than a fun golf event for a worthy cause like IAM, because IAM helped them when they needed it.
Traditionally, Hole Out for Hope consists of a day-long golf tournament at Emerald Hills Golf Club, followed by an extravagant yet casual dinner and dessert prepared by the chefs at Emerald Hills Golf Club. Guests sponsored by individuals impacted by schizophrenia, a live and silent auction, and raffle.
Fred, Craig, and Terry have been using the unique power of friendship and storytelling to raise funds they regularly communicate to friends and via e-newsletters in support of the cause. A few key sponsors who top out the list are EXP—Lloyd Gonsalves, Profile Wires, OS&B Industrial, Jack Astor’s in Newmarket, and the City of Newmarket.
Mental health has always been a misunderstood and stigmatized part of society. Craig and I recognized this years ago, and in concert with IAM, we’ve been working to educate the community and the business community so that they fully understand the importance of mental health awareness. Our end goal is to see mental health work focus on solutions, and not barriers. — Fred Howe
continued over...
Video of the month: Hide and Seek.
Children usually love to play hide-and-seek. But for many, it’s not always a game. It’s a necessity. To communicate the fact that in Norway, one in five children have experienced violence at home, the kid’s game of hide-and-seek formed the basis of a creative campaign. At first it seems like a harmless game, but subtle details twist the story into a serious, unsettling scene.
Link: https://youtu.be/0Tn5B1lVYkg
Credits:
Client: Save the Children Norway
Campaign name: Hide-and-seek
Agency: Hjøttein Stahl a part of Accenture Interactive
Director: Anders Walter
Creatives: Nicolai Dimon og Karl Kjær
Creative Director: Adam Kerj
Producer: Sara Grandjean
DOP: Jasper Spanning
Still photo: Lasse Martinussen
Editor: Peter Brandt
Colorist: Theis Clausen
Sound design: Johan Høyér
Composer: Jonas Struck
OPT IN, OPT OUT, OPTIONS:
To subscribe, email me at:
email@example.com
To download back issues of my newsletters go to ‘Freebies’ on my website: www.designersinc.ca
To unsubscribe, send me an e-mail simply saying, “Please, remove.”
To participate, send me an email with your article suggestions.
To post a comment, please include your name, email address and your thoughts.
Let me remind you that your name and/or e-mail address will never be shared, sold, circulated, or passed along to anyone else.
BKS Fundraising Services/Designers Inc.
1806-77 Harbour Square
Toronto, ON
M5J 2S2
© Designers Inc.
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In Vitro and In Vivo Evaluation of a Technetium-99m-Labeled 2-Nitroimidazole (BMS181321) as a Marker of Tumor Hypoxia
James R. Ballinger, Judy Wan Min Kee and Andrew M. Rauth
Divisions of Nuclear Medicine and Experimental Therapeutics, Ontario Cancer Institute/Princess Margaret Hospital; Departments of Pharmacy, Medicine and Medical Biophysics, University of Toronto, Toronto, Canada
The $^{99m}$Tc-labeled 2-nitroimidazole derivative BMS181321, previously studied in experimental models of myocardial and cerebral ischemia, has been evaluated in single-cell and tumor models.
**Methods:** Accumulation of BMS181321 was studied in aerobic and hypoxic (10 PPM O$_2$ suspension culture of Chinese hamster ovary (CHO) cells at 37°C and the oxygen dependency and stability of the accumulated radioactivity determined. Biodistribution studies of the tracer after intravenous injection in C3H mice bearing three different murine solid tumors were performed noninvasively using a gamma camera, as well as invasively by determining blood and tissue levels of radioactivity from 10 min to 24 hr after injection.
**Results:** Accumulation of BMS181321 in aerobic cells in vitro equilibrated within 5 min at a ~10-fold level over the external medium. Hypoxic cells showed a linear increase in radioactivity up to 4 hr for cells densified to $1 \times 10^6$/ml. At higher densities ($2 \times 10^6$/ml), there was substantial depletion of radioactivity from the growth medium and increased alteration in the chemical state of the tracer that remained. Low O$_2$ levels (~40 ppm) inhibited the maximal accumulation rate by 50%. Approximately 30% of radioactivity accumulated under hypoxic conditions remained cell-associated after 24 hr. Following intravenous injection, the tracer rapidly distributed throughout the mouse and was predominately cleared through the hepatobiliary system. Blood levels of radioactivity cleared quickly and plateaued at ~4% of the total dose from 2–24 hr. Absolute uptake in the tumors was highest 10 min after injection and the tumor-to-muscle radioactivity ratio increased and plateaued from 4–8 hr at values of 2.5–4.0. The dose which reduced blood flow and increase hypoxic cell fraction in these tumors, hydralazine and nitro-L-arginine, significantly increased levels of BMS181321 radioactivity over control levels with minimal effects on normal tissue retention.
**Conclusion:** These results suggest BMS181321 or an analog of it will be a useful agent to investigate the status of hypoxia in solid tumors experimentally and potentially in the clinic.
**Key Words:** nitroimidazole; technetium-99m; hypoxia; tumors
*J Nucl Med* 1996; 37:1023–1031
Hypoxia in tumors may be an important factor in resistance to radiotherapy and chemotherapy (1,2). Detection of tumor hypoxia by radionuclide imaging techniques was proposed by Chapman in 1979 (3) using radiolabeled 2-nitroimidazoles which are reduced enzymatically and trapped in regions of low oxygen tension. Since then, $^{18F}$-fluoromisonidazole (FMISO) has been developed and evaluated for detecting hypoxia in tumors (4) and myocardium (5) with PET. Wiebe et al. investigated a series of $^{123I}$-labeled 2-nitroimidazole derivatives for imaging, with the more widely available SPECT, culminating with $^{123I}$-Iodoazomycin arabinoside (IAZA) which is in clinical trials (6–8). Krohn prepared iodyvinylmisonidazole and evaluated it in animals (9,10).
Since $^{99m}$Tc is the workhorse of nuclear medicine, there has been considerable interest in developing a $^{99m}$Tc-labeled 2-nitroimidazole derivative. Such an agent, BMS181321 (Oxo[3,3,9,9-tetramethyl-1-(2-nitro-1H-imidazol-1-yl)-4,8-diazadecane-2,10-dione dioximato][3-3N,N',N",N"-t-technetium], in which 2-nitroimidazole is linked to a propylene amine oxime (PnAO) chelator (Fig. 1), was reported in 1992 (11–13) and has been evaluated in experimental models of myocardial and cerebral ischemia (14–16). The use of this agent to detect hypoxia in tumors, however, has not yet been reported.
In the present work the applicability of BMS181321 for imaging tumor hypoxia has been evaluated. The properties of BMS181321 have been studied in an *in vitro* system to determine the kinetics of accumulation in aerobic versus hypoxic cells in suspension culture, the O$_2$ dependency of this accumulation and the stability of the accumulated activity in cells. The biodistribution of BMS181321, after intravenous injection in C3H mice bearing three different transplanted murine tumors, was studied to assess the accumulation of the tracer in tumors as a function of time after injection, size of tumor and type of tumor. In addition, the effects of two putative pharmacological modulators of tumor hypoxia, hydralazine (17) and nitro-L-arginine (18), were tested. The results of these studies support several potential applications of BMS181321, both experimentally and clinically.
**MATERIALS AND METHODS**
**Preparation of BMS181321**
The $^{99m}$Tc-labeled 2-nitroimidazole BMS181321 was prepared from kits supplied by Bristol-Meyers Squibb (13). Two milligrams of the lyophilized ligand, BMS181032, were dissolved in 2 ml saline containing 740 MBq (20 mCi) $^{99m}$Tc-pertechnetate. A stannous DTPA kit was reconstituted with 4 ml saline, an aliquot of 0.15 ml was removed and added to the vial containing the ligand and pertechnetate. After 10 min at room temperature the radiochemical purity of BMS181321 was determined by paper chromatography using a strip from a solvent saturation pad. The strip was prespotted with ethanol followed immediately by BMS181321, and then developed in diethyl ether. The lipophilic BMS181321 complex migrates to the top half of the strip while the hydrophilic and/or insoluble radiochemical impurities remain near the origin (19). Radiochemical purity was >90%. The radiopharmaceutical was further diluted with saline to a concentration of 10 MBq/ml and used within 30 min of preparation. The optical density of the BMS181321 solution was monitored at 323 nm, the absorption peak of the 2-nitroimidazole, as a function of time after preparation.
Cells
Cells used in these experiments were Chinese hamster ovary (CHO) cells subclone AA8-4 grown in suspension culture at 37°C in α-medium plus 10% fetal calf serum. Cells were used in the exponential phase of growth and doubling times were 11–14 hr. Cell viability was assessed by a colony-formation assay by plating cells in growth medium and incubating for eight days at 37°C, staining with methylene blue and counting colonies of 50 or more cells. Plating efficiency was 70–90%.
Accumulation of BMS181321 in Cells
CHO cells were spun down from suspension culture and resuspended in fresh growth medium at the desired cell density (0.1–5 × 10⁶/ml). Cells (9.7 ml) were equilibrated for 30 min in glass vials as stirred cell suspensions with a continual flow of a prehumidified gas mixture of N₂ containing 5% CO₂ and <10 ppm O₂ (hypoxic exposure) or 5% CO₂ and 95% air (aerobic exposure) as previously described (20). After equilibration, 0.3 ml of BMS181321 was added to yield a final radioactivity and mass concentration of tracer and ligand of ~0.25 MBq/ml and 0.7 μg/ml, respectively. At various times after addition of the tracer, 0.3–0.5 ml samples were removed from the vials without disturbing the oxygenation status of cells in the vial. This was done to determine the tracer accumulation in the cells. Typically, 0.1-ml aliquots of the vial sample were layered in duplicate over an oil gradient and centrifuged (21). The aqueous growth medium layer and ~90% of the oil layer were then carefully aspirated and the tube tip containing the cell pellet and remaining oil was clipped into a counting tube and assayed in a gamma well counter.
A series of control experiments with cells which had accumulated BMS181321 demonstrated that cell recovery was efficient (>99%) and linear from 1 × 10⁴ to 5 × 10⁵ cells using the spin-through-oil technique. A small carry-through of radioactivity from the growth medium to which BMS181321 was added was noted which was approximately 0.7% of the counts in 0.1 ml of radioactive medium. A correction was made in cell accumulation studies for this carry-through where appropriate.
In order to assess the status of the radioactivity left in the supernatant on the top of the oil layer after the cells were spun through, aliquots of supernatants were placed in tubes containing 2 ml ethyl acetate and 2 ml PBS at room temperature. The tubes were capped, vortexed for 30 sec and then centrifuged briefly (200 g, 30 sec) to separate the phases. The phases were pipetted into separate tubes and assayed in the gamma well counter. The percent extracted into the organic phase was calculated as the counts in the ethyl acetate divided by total counts in both phases (i.e., total supernatant counts). In control experiments in which BMS181321 was added to growth medium without cells and incubated at 37°C under aerobic or hypoxic conditions, there was <5% decrease in the percentage extracted (~90%) over the course of 5 hr.
The ratio of the radioactivity in 0.1 ml of packed cells (CPM_in or C_in) to the radioactivity in 0.1 ml of growth medium (CPM_out or C_out) could be calculated and the data are presented in the form of this ratio, abbreviated to C_in/C_out. Previous experiments have shown no change in CHO cell volume as a result of hypoxic or aerobic incubation alone up to 5 hr (21).
Oxygen Dependency of BMS181321 Accumulation
The role of O₂ in modulating uptake and accumulation of BMS181321 was assessed as described previously for the accumulation of the 2-nitroimidazole nimotuzidazole (20). Briefly, a 40-ml polystyrel glass vial was fitted with a silicone stopper through which an O₂ sensor designed, constructed and kindly supplied by C.J. Koch, PhD, (University of Pennsylvania, Philadelphia, PA) and/or gas inlet and outlet were inserted. A small magnetic bar stirred the 10-ml cell suspension in the vial. The gas inlet was connected through a humidifying chamber and flow regulators which could be connected to different gas tanks with analyzed amounts of O₂. The O₂ levels in the tanks were confirmed by use of the O₂ sensor. The relationship was used that O₂ tension in solution (C∞) was given by:
\[ C_\infty = C_0 - R/k, \]
where C₀ is the O₂ tension in the gas phase, R is the rate of O₂ consumption by the cell and k is a constant related to the efficiency of O₂ exchange in this particular geometry (22,23). Levels of C∞ were changed by using tanks containing different O₂ levels (i.e., changing C₀) or varying the cell density (i.e., changing R). The effect of BMS181321 on cell respiration was assessed by measuring the rate of O₂ consumption in a closed system in the presence or absence of the ligand BMS181032 and/or ⁹⁹ᵐTc-labeled BMS181321.
Retention of BMS181321 in Cells
Cells were incubated with the tracer under aerobic or hypoxic conditions as described above for 2 hr. At this time a 10-fold excess of nonradioactive growth medium was added and cells were spun down, resuspended in 100–200 ml of nonradioactive growth medium and incubated at 37°C in suspension culture for at least 24 hr. Samples were removed from the spinner and assessed for retained activity by the spin-through-oil technique.
Imaging and Biodistribution Studies
Tumor cell lines used were KHT (fibrosarcoma), SCC-VII (squamous cell carcinoma) and RIF-I (radiation-induced fibrosarcoma) (24). In vivo growth was initiated by intramuscular injection of 2–6 × 10⁵ cells into the left hind leg of syngenic C3H/HeJ male mice. Over the course of 6–10 days, tumors grew to a leg diameter of 8–15 mm, corresponding to tumor weights of 500–1600 mg.
For imaging studies, unanesthetized mice were placed in a lucite jig with the leg which contained the tumor extended to the side and taped to the base plate. The jig was positioned on the face of a gamma camera equipped with a low-energy all-purpose collimator and interfaced to a computer. A magnification factor of 2.5–3 was used. During the first 5 min after injection of 2–4 MBq of the tracer via the tail vein, dynamic imaging was performed with collection of 10 images of 30 sec each. At later times, static images of 2–10 min duration were obtained. Quantification was performed by drawing a region of interest (ROI) around the tumor and comparing the counts in the ROI to those in a 20-ml standard which contained the same amount of activity as was administered to the mouse and which was imaged in the same geometry ("glass mouse"). This allowed calculation of the percent injected dose in the tumor.
At 10 min, 1, 2, 4, 6, 8 or 24 hr after injection, mice were sacrificed by cervical dislocation. A blood sample was obtained by heart puncture. The following tissues were removed, blotted dry of blood, weighed and counted: heart, lungs, liver, spleen, intestinal tract (including contents), kidneys, tail, tumor and a sample of skeletal muscle from the opposite leg. The counting tubes, including a standard equivalent to 1% of the injected dose, were assayed in a gamma well counter and the results were calculated as percent injected dose per gram tissue and percent injected dose per organ.
Tumor-to-muscle and tumor-to-blood ratios were calculated from the percent dose per gram data.
The possibility of increasing tumor hypoxia by pharmacological means was assessed by injection of hydralazine (5 mg/kg, i.p.) (17) or nitro-L-arginine (10 mg/kg, i.v.) (18) 5 or 30 min after the tracer. Groups of mice were sacrificed at 2, 4 or 6 hr after injection of the tracer.
**Statistics**
Data are expressed as mean ± one s.d. Comparisons between groups were performed using Student’s t-test for unpaired data. Linear regression was performed by the method of least squares and the level of significance of the correlation coefficient was determined.
**RESULTS**
**Preparation and Stability of BMS181321**
The initial radiochemical purity of BMS181321 was 92.1% ± 1.4% (mean ± s.d., n = 18), but decreased with time at room temperature, particularly in preparations with higher quantities of activity. The pattern of decomposition fit a monoexponential function from which an apparent first-order decomposition rate constant $k_d$ could be calculated. For preparations in which less than 750 MBq pertechnetate was added to the vial, $k_d = 0.025 \pm 0.005$ hr$^{-1}$ (n = 6); when more than 1350 MBq was added, $k_d = 0.046 \pm 0.010$ hr$^{-1}$ (n = 5). These rate constants correspond to half-times of 28 hr and 15 hr, respectively. The optical density of the solution (BMS181321 plus excess ligand) at 323 nm showed a decomposition half-time of 16–24 hr.
**Accumulation of BMS181321 in CHO Cells**
The accumulation of BMS181321 in CHO cell suspension cultures at $1 \times 10^6$ cells/ml as a function of time under aerobic or hypoxic incubation conditions at 37°C is shown in Figure 2A, expressed as the ratio of CPM in the cell pellet ($C_{in}$), corrected for medium carry-through, to the CPM in an equal volume of the initial external medium ($C_{out}$). By 5 min there was an apparent stabilization of accumulation in aerobic cells with little significant increase over the next 3–4 hr. In contrast, cells incubated in the absence of oxygen showed a continued increase in tracer accumulation with time. At this cell density the accumulation was approximately linear from 5 min to 4 hr.
The average value for $C_{in}/C_{out}$ for aerobic cells at a 2-hr incubation time was 10.8 ± 4.2 (n = 11). This value was not statistically different when evaluated at 5-min to 4-hr incubation times. Thus the labeled 2-nitrimidazole derivative concentrated ~10-fold in aerobic cells within 5 min and did not change thereafter. The ratio of $C_{in}/C_{out}$ for hypoxic versus aerobic cells at a 2-hr incubation time (i.e., a ratio of ratios) was 9.4 ± 3.4 in 11 separate experiments. Thus, the selective accumulation of BMS181321 in cells after 5 min incubation was hypoxia-specific.
In some experiments, especially at higher CHO cell densities (2–4 × 10^6/ml), accumulation became nonlinear after 1–2 hr; a representative experiment at 3 × 10^6 cells/ml is shown in panel A of Figure 2. Two factors appeared to be correlated with this reduced rate of accumulation of tracer in hypoxic cells at later times. First, as seen in panel B of Figure 2, the amount of radioactivity remaining in the supernatant of hypoxic cells spun through oil diminished with time. This loss of activity could be accounted for by cellular accumulation (sequestration) of the tracer and, though only ~10% over 4 hr at $1 \times 10^6$ cells/ml, increased with cell density to ~60% at $3 \times 10^6$ cells/ml (panel B). Second, as seen in panel C, the status of radioactive material remaining in the supernatant of cellular aliquots changed with time. Initially, and in aerobic incubations as a function of time, ~90% of the radioactivity could be extracted into ethyl acetate. This was consistent with the high partition coefficient of BMS181321 (15). In contrast, in hypoxic cell incubations a decreasing proportion of the radioactivity present in the supernatant was extractable into ethyl acetate as a function of time. At 4 hr only ~70% of the radioactivity was extractable at $1 \times$
FIGURE 3. O₂ dependency of the accumulation of BMS181321 in CHO cells. The effect of different intermediate O₂ concentrations on BMS181321 accumulation was calculated relative to aerobic and extremely hypoxic (<10 ppm O₂) conditions. Each point is a single experiment with its own aerobic and extremely hypoxic accumulation curve. Percent of the extremely hypoxic accumulation was calculated as shown in the figure inset. The level of O₂ causing 50% inhibition of accumulation is shown by the dotted lines and was ~40 ppm O₂.
10⁶ cells/ml. At higher cell densities the percent extractable decreased more rapidly with time under hypoxia (~30% at 3 × 10⁶ cells/ml, panel C). It is possible that in hypoxic cells metabolism of the tracer occurs and altered BMS181321 and/or ⁹⁹ᵐTc is released into the medium.
Oxygen Dependency of In Vitro Accumulation
To determine the O₂ dependency of this selective uptake, a variety of analyzed gas mixtures containing known concentrations of O₂ from 5.0 to 0.35% were flowed over cell suspensions containing 1–4 × 10⁶ cells/ml. The cell suspension system used has been studied previously to determine the equilibrium levels of O₂ present in solution (22,23). The results of these experiments are shown in Figure 3. The inset in this figure shows schematically how the effect of O₂ on tracer accumulation was determined. For each experiment, air and N₂ (<10 ppm O₂) accumulation curves were run for 0 to 4 hr and the amount of the hypoxic-specific accumulation under the intermediate O₂ gas level was expressed as a percentage of the low O₂ level accumulation, which was defined as 100%. This calculation was done at the 2-hr incubation point, since at some higher cell densities the accumulation curve for hypoxic cells became nonlinear at longer times. The level of O₂ in solution which caused a 50% inhibition of tracer accumulation was of the order of 40 ppm O₂ or 0.04 μM O₂ in solution. Thus, very low levels of O₂ were effective in inhibiting selective uptake of the tracer.
A number of control experiments were done to validate the results (data not shown). (1) Using a Yellow Springs O₂ monitor, the possible effect of the ⁹⁹ᵐTc-labeled compound on cell respiration was determined. Even at tracer plus ligand levels 100 times higher than used in these experiments there was no effect on cell respiration, either immediately or after up to 2 hr of hypoxic or aerobic incubation. This is important, since the O₂ levels in solution are dependent upon the respiration rate of the cells (22). (2) The rate of increase of Cᵢₙ/Cₒᵤₜ was independent of cell density, at least up to 2-hr incubation times for CHO cells, thus allowing the use of different cell densities to vary the O₂ concentration. (3) An O₂ sensor able to measure low O₂ levels was used to experimentally measure the O₂ levels predicted theoretically in selected experiments. The results of these experiments confirmed the validity of previously established techniques (22,23) for controlling low O₂ levels in solution. (4) Cell viability as assessed by colony-forming ability was unaffected throughout all experimental conditions (aerobic or hypoxic, plus or minus tracer) and up to 4 hr of incubation at 37°C. Thus, the observed accumulation of tracer was not altering the gross physiology or biochemistry of these cells.
Retention of Accumulated Radioactivity
To determine to what degree the tracer accumulated in aerobic or hypoxic cells was retained, cells were incubated under aerobic or hypoxic (<10 ppm O₂) conditions for 2 hr and then washed free of radioactive medium, resuspended in fresh nonradioactive medium and incubated under aerobic conditions in suspension culture under growth conditions for 0 to 24 hr. Aliquots of cells were removed throughout the experiment, spun through oil, and Cᵢₙ/Cₒᵤₜ calculated. The results are shown in Figure 4. After washing, both aerobic and hypoxic cells lost counts but the percentage loss appears larger for aerobic compared to hypoxic cells. Immediately after washing, ~60% of the counts were still cell-associated in hypoxic cells. About half of these counts were lost in the next 12 hr, but by 24 hr ~30% of the peak accumulation counts were still associated with the cells. The cell number in the spinner more than doubled over the post-wash incubation number (data not shown), again indicating that the cells, though labeled, were still viable.
Imaging and Biodistribution Studies
Dynamic gamma-camera imaging demonstrated that the tracer distributed rapidly throughout the body after intravenous injection and cleared largely through the hepatobiliary system. The liver was the organ with highest radioactivity initially and activity was quickly excreted into the intestinal tract. The absence of bladder activity suggested there was little excretion of the tracer in the urine.
These observations are reflected quantitatively in the time course of biodistribution of BMS181321 in normal tissues of tumor-bearing mice presented in Table 1. The predominance of hepatobiliary clearance is evident from the high activity in the liver and low activity in the kidneys. The liver was the organ with greatest accumulation of BMS181321 and activity remained high for at least 8 hr. In some mice the activity contained in the intestinal tract was measured; as percent of
### TABLE 1
**Time Course of Biodistribution of Radioactivity in Normal Tissues of Tumor-Bearing Mice after Intravenous Injection of BMS181321**
| Organ | %ID/g tissue |
|------------------------|--------------|
| | 10 min (n = 5) | 1 hr (n = 3) | 2 hr (n = 11) | 4 hr (n = 23) | 6 hr (n = 24) | 8 hr (n = 3) | 24 hr (n = 4) |
| Blood | 5.05 ± 2.94 | 3.34 ± 0.47 | 1.75 ± 0.27 | 2.03 ± 1.13 | 1.30 ± 0.29 | 1.48 ± 0.11 | 2.01 ± 0.59 |
| Heart | 2.74 ± 0.59 | 1.42 ± 0.36 | 0.61 ± 0.12 | 0.71 ± 0.36 | 0.42 ± 0.07 | 0.42 ± 0.02 | 0.59 ± 0.13 |
| Lung | 4.28 ± 1.97 | 2.51 ± 0.60 | 1.40 ± 0.21 | 1.50 ± 0.56 | 0.97 ± 0.13 | 1.05 ± 0.06 | 1.11 ± 0.13 |
| Liver | 14.01 ± 3.12 | 14.10 ± 2.28 | 8.79 ± 3.05 | 8.79 ± 2.55 | 7.10 ± 1.23 | 7.94 ± 0.55 | 3.24 ± 0.47 |
| Spleen | 2.72 ± 0.92 | 1.34 ± 0.20 | 0.82 ± 0.21 | 0.82 ± 0.32 | 0.60 ± 0.07 | 0.63 ± 0.05 | 0.74 ± 0.19 |
| Kidney | 6.44 ± 0.81 | 3.26 ± 0.51 | 2.26 ± 0.68 | 2.23 ± 0.50 | 1.60 ± 0.33 | 1.42 ± 0.02 | 0.93 ± 0.14 |
| Skeletal muscle | 1.43 ± 0.39 | 0.27 ± 0.07 | 0.19 ± 0.05 | 0.16 ± 0.07 | 0.12 ± 0.04 | 0.14 ± 0.02 | 0.13 ± 0.03 |
Each value is mean ± s.d. for number of mice.
Injected dose, these values were 60% at 2 hr (n = 2), 58% ± 2% at 4 hr (n = 3) and 37% ± 18% at 6 hr (n = 18). The lower value at 6 hr was due to elimination of feces from the body and the larger s.d. at that time point was due to variability in amount eliminated. Radioactivity cleared from the blood relatively quickly to a plateau of ~4% of the injected dose recovered in the blood pool (~2% ID/g, ~2 ml blood volume) from 2 hr onward.
The time course of tumor localization of BMS181321 is shown in Table 2 and tumor-to-muscle ratios are plotted in Figure 5. Absolute uptake in KHT tumors was highest at 10 min after injection, then dropped somewhat and remained relatively constant from 2 to at least 8 hr postinjection, after which it decreased by 24 hr. Tumor-to-muscle ratios increased until 4 hr, followed by a plateau to at least 8 hr. Based on these results with KHT tumors, a more limited time course was studied in two other types of tumor. SCC-VII and RIF-1 tumors showed absolute uptakes and tumor-to-muscle ratios not significantly different from those obtained with KHT tumors.
The image presented in Figure 6 is an anterior view obtained 2 hr after intravenous administration of 3.49 MBq BMS181321 to a mouse bearing a 1.1-g SCC-VII tumor in its left hind leg. The intense localization of radioactivity in the abdomen makes it necessary to adjust the upper threshold in order to be able to visualize the tumor in the leg, which is extended to the right side of the image. When this animal was sacrificed, the tumor was found to contain 0.51% of the injected dose per gram and the tumor-to-muscle ratio was 2.88.
It has previously been reported that the hypoxic cell fraction in experimental solid tumors increases with tumor size (2). The effect of tumor weight on localization of BMS181321 (tumor-to-muscle ratio at 4–6 hr after injection) is shown in Figure 7. For KHT tumors (n = 30), linear regression analysis produced a highly significant correlation between tumor weight and tumor/muscle ratio (slope = 2.5, r = 0.68, p < 0.001). For SCC-VII and RIF-1 tumors the slopes were also positive but the correlation coefficients did not reach significance, possibly due to the narrower range of tumor sizes and smaller number of data points. It should be noted that these positive slopes are not simply due to greater absolute uptake in larger tumors, because tumor-to-muscle ratios are calculated from the percent dose per gram in tumor and muscle.
### TABLE 2
**Time Course of Tumor Localization of Radioactivity in Mice Bearing KHT, SCC-VII or RIF-1 Tumors after Intravenous Injection of BMS181321**
| Tumor Type | 10 min | 1 hr | 2 hr | 4 hr | 6 hr | 8 hr | 24 hr |
|---------------------|--------|------|------|------|------|------|-------|
| **KHT tumor** | n = 3 | n = 3| n = 9| n = 12| n = 13| n = 3| n = 3 |
| % dose/g | 1.91 ± 0.29 | 0.73 ± 0.22 | 0.55 ± 0.08 | 0.53 ± 0.26 | 0.42 ± 0.11 | 0.52 ± 0.05 | 0.31 ± 0.10 |
| % dose/tumor | 1.73 ± 0.35 | 0.63 ± 0.28 | 0.63 ± 0.22 | 0.52 ± 0.42 | 0.45 ± 0.20 | 0.50 ± 0.04 | 0.34 ± 0.28 |
| Tumor-to-muscle | 1.44 ± 0.34 | 2.72 ± 0.15 | 2.63 ± 0.57 | 3.53 ± 1.80 | 3.94 ± 1.08 | 3.92 ± 0.87 | 2.47 ± 0.61 |
| **SCC tumor** | n = 2 | | n = 2| n = 7 | n = 7 | | |
| % dose/g | 1.65 | | 0.47 | 0.82 ± 0.15 | 0.47 ± 0.13 | | |
| % dose/tumor | 1.50 | | 0.35 | 0.54 ± 0.17 | 0.36 ± 0.15 | | |
| Tumor-to-Muscle | 1.12 | | 3.00 | 4.21 ± 0.63 | 3.34 ± 0.95 | | |
| **RIF-1 tumor** | n = 6 | | n = 3| n = 6 | n = 6 | | |
| % dose/g | 0.47 ± 0.06 | 0.50 ± 0.16 | 0.45 ± 0.11 | | | |
| % dose/tumor | 0.49 ± 0.11 | 0.32 ± 0.11 | 0.39 ± 0.15 | | | |
| Tumor-to-Muscle | 2.88 ± 0.27 | 3.54 ± 1.18 | 3.49 ± 0.89 | | | |
Each value is mean ± s.d. for number of mice or mean for two mice.
### DISCUSSION
When BMS181321 is prepared by adding pertechnetate to the kit, the labeling efficiency of BMS181321 reaches a maximum...
within 10 min, then slowly declines at a rate dependent upon the amount of activity added, resulting in half-times of 15–28 hr. The optical density of the absorption peak of the 2-nitroimidazole in the BMS181321 preparation or BMS181032 solution monitored at 323 nm decays exponentially with a half-time in a similar range. Neither the radiochemical nor the chemical instability is a significant problem for the interpretation of the present results.
**In Vitro Accumulation Studies**
BMS181321 is selectively accumulated in CHO cells under extremely hypoxic incubation conditions. As seen in Figure 2, this accumulation appears to start within 5 min of addition of tracer, and increases linearly up to at least 4 hr. When the same experiment was done at 4°C, there was no accumulation of counts with time and hypoxic cell accumulation was similar to that for aerobic cells in Figure 2, suggesting that an enzymatic process is involved in tracer accumulation (data not shown).
After 2 hr, the average $C_{\text{in}}/C_{\text{out}}$ value for aerobic cells was $\sim 11$. This was consistent with the measured octanol-to-water partition coefficient for BMS181321 of $\sim 40$ (data not shown) and indicated a concentrating of the tracer in the cell in the initial uptake phase. After 2 hr, the accumulation was 9-fold higher in hypoxic versus aerobic cells. In previous studies with CHO cells and the $^{14}$C-labeled 2-nitroimidazole misonidazole, the $C_{\text{in}}/C_{\text{out}}$ value for aerobic cells was reported to be $\sim 0.9$ (25). The partition coefficient for this 2-nitroimidazole is 0.4, which is much less lipophilic than BMS181321. Additionally, the selective accumulation of misonidazole in hypoxic versus aerobic cells, though approximately linear up to 7 hr, was only 2-fold at 2 hr (25).
**Cell Line and Cell Density Effects**
In a limited number of studies with a human cell line (HeLa), the behavior of BMS181321 was similar to that observed in CHO cells, but HeLa cells appeared to accumulate radioactivity at a rate $\sim 2$ times faster than CHO cells (data not shown). Again, there was depletion of radioactivity from the supernatant in hypoxic cell cultures with little depletion in aerobic cultures and a very striking decrease in the ability of the radioactivity in the supernatant of hypoxic cells to be extracted into ethyl acetate. These results suggest quantitative differences in the rate of BMS181321 accumulation and metabolism in CHO and HeLa cell lines.
Interestingly, the apparent 2-to-4-fold enhanced metabolism of BMS181321 in hypoxic HeLa versus CHO cells was also seen previously for $^{14}$C-misonidazole (25). Since $^{14}$C-misonidazole has a low specific activity, studies were done at high drug concentration (0.5–20 mM) compared to the present studies and at these higher drug concentrations selective toxicity to hypoxic cells was observed (20). No toxicity was observed to aerobic or hypoxic cells with BMS181321, consistent with the low concentration, $\sim 2 \mu M$, of the tracer plus ligand in the present experiments.
Nonlinear accumulation of radioactivity observed at cell densities $> 1 \times 10^6$/ml for both CHO and HeLa cells (data not shown) appeared to be due to both depletion of radioactivity from the external medium (Fig. 2, panel B) and alteration of the state of the tracer that remains (panel C). Koch et al. have measured the rate of consumption of $\mu M$ levels of misonidazole in rat 9L cells under incubation conditions of extreme hypoxia and arrived at a rate of consumption of $7.4 \times 10^{-19}$ moles/cell/sec (26). If CHO cells metabolized BMS181321 at this rate, one can calculate that $1 \times 10^6$ cells/ml would consume all the tracer in 40 min, which is clearly not the case. From Figure 2 an estimate can be made of the rate of consumption of BMS181321 over the first hour of $6.8 \times 10^{-20}$ moles/cell/sec, about one-tenth the rate of misonidazole consumption in 9L cells. Clearly, it will be of interest to determine to what degree...
### TABLE 3
**Effect of Modulation of Tumor Hypoxia by Injection of Hydralazine or Nitro-L-arginine 30 Minutes after BMS181321**
| Tumor type | Modulator | Modulator n | %ID/g | Control n | %ID/g | Student's t-test |
|------------|-----------------|-------------|---------|-----------|---------|------------------|
| KHT | Hydralazine | 5 | 1.00 ± 0.15 | 4 | 0.44 ± 0.04 | p < 0.001 |
| KHT | Nitro-L-arginine | 4 | 0.86 ± 0.03 | 4 | 0.50 ± 0.06 | p < 0.001 |
| SCC-VII | Hydralazine | 8 | 0.91 ± 0.31 | 6 | 0.40 ± 0.09 | p < 0.005 |
| SCC-VII | Nitro-L-arginine | 7 | 0.63 ± 0.20 | 6 | 0.40 ± 0.09 | p < 0.025 |
| RIF-1 | Hydralazine | 3 | 0.70 ± 0.10 | 4 | 0.46 ± 0.07 | p < 0.025 |
| RIF-1 | Nitro-L-arginine | 5 | 0.63 ± 0.10 | 7 | 0.45 ± 0.11 | p < 0.025 |
Each value is mean ± s.d. for number of mice killed at 6 hr postinjection.
---
these metabolic rates are dependent on cell type, drug structure and partition coefficient. As has been pointed out before by Koch et al., the metabolism of nitroheterocycles at levels used for measuring tissue hypoxia may have to be considered in assessing the degree they can quantitatively predict the extent of tumor hypoxia (26).
### Oxygen Dependency and Stability
The selective accumulation of BMS181321 in extremely hypoxic cells (<10 ppm O₂) was sensitive to low levels of O₂ with a $K_m$ of 40 ppm of O₂ and an estimated dissolved O₂ level of 0.04 μM in the growth medium (Fig. 3). This exquisite sensitivity to O₂ has been previously observed for misonidazole with similar low levels of O₂ inhibiting drug toxicity and altering the rates of misonidazole metabolism (20). It must be stressed that large corrections were necessary for the fact that the cells were consuming O₂ and at low gas-phase O₂ levels there was a much lower O₂ tension in solution than would be predicted from simple equilibration of the gas phase with a cell-free aqueous solution (23). As has been discussed previously, this suggests that 2-nitromidazole accumulation in cells occurs at O₂ levels at which cells are fully radiobiologically hypoxic (i.e., <1 μM O₂ in solution) (27). In many ways it would be useful to be able to design hypoxic cell markers which would be accumulated at different O₂ tensions so that the degree or level of hypoxia could be mapped, but at present it is not obvious how this can be done rationally (28).
In analogy with other 2-nitromidazoles, and supported by preliminary reports (13,29), it is assumed that the accumulation of BMS181321 in hypoxic cells is due to selective reduction of the nitro group to the radical anion, the O₂-inhibitable stage, and further reduction to the nitroso or perhaps hydroxylamine stage at which rearrangement occurs to a reactive intermediate which can rapidly bind to nucleophilic sites on proteins, nucleic acids and other cellular macromolecules (30). To date, however, the nature of the accumulated radioactivity in cells has not been determined. Trapping of the tracer has been suggested by recent work of others (75). Certainly some fraction of the radioactivity is selectively retained in hypoxic cells and a lower level in aerobic cells after incubation with BMS181321, washing and culturing of cells in the absence of additional tracer (Fig. 4). The nature of this material is not known at the present time. Nevertheless, at incubation times up to 24 hr, and limited data up to 40 hr (not shown), 30% or more of the counts taken up 24 hr earlier remain associated with the cell. This can be compared to washout studies with misonidazole in which a half-life for cell-associated material after a wash was 50–55 hr (31).
### Biodistribution and Imaging Studies
Following intravenous administration to mice, the high partition coefficient of BMS181321 plays an important role in the biodistribution of the tracer (15). Delivery to all tissues is rapid, followed by washout and extensive hepatobiliary clearance. Initially, the tracer clears from the blood relatively quickly, with only ~10% of the dose remaining in the blood pool 10 min after injection and ~4% at 2 hr. This blood level, however, is not negligible and may contribute to the relatively modest tumor/muscle ratios obtained. Moreover, as can be seen from the data in Tables 1 and 2, tumor-to-blood ratios were <1 at all time points. The liver is the organ containing the highest amount of radioactivity, ~14% of the dose after 10 min and ~8% after 8 hr. The other organs clear more quickly. The extensive hepatobiliary clearance means there are high levels of background activity in the abdomen, making detection of adjacent tumors difficult.
Tumor levels of radioactivity following administration of BMS181321 varied as a function of time after injection (Fig. 5) and tumor weight (Fig. 7), but showed no significant differences among the three types of tumors studied. Although the RIF-1 tumor line is reported to have a lower hypoxic fraction than KHT and SCC-VII tumors (2,24), recent measurements at our institution of hypoxic fraction by paired survival curve techniques in the tumor types used in these experiments suggest that the current strain of RIF-1 does not have a significantly lower hypoxic fraction than KHT and SCC-VII (32).
The tracer is not trapped irreversibly; activity in the tumor slowly declines with time and tumor-to-muscle ratios reach a plateau followed by a decline (Fig. 5). This suggests there will be an optimal time window for imaging and that window will occur relatively early, which is advantageous given the 6-hr half-life of $^{99m}$Tc. The observation of limited washout of activity from tumors in vivo parallels the results reported above in tumor cell suspensions in vitro (Fig. 4). Washout of IAZA from tumors in vivo has also been reported (6).
Further evidence for the role of hypoxia in localization of BMS181321 was obtained in the modulator studies in which a pharmacologically induced increase in the degree of hypoxia resulted in significantly more of the tracer localizing in the tumor (Table 3). Results were obtained at a single dose level of hydralazine and nitro-L-arginine, and further investigation is required to determine the relative potency of these two agents. These doses of modulator produced no obvious change in behavior of the animals and had little effect on the distribution of radioactivity in normal tissues. The kidney was the only tissue to contain significantly higher radioactivity after administration of hydralazine. With nitro-L-arginine, activity tended...
### TABLE 4
Octanol/Water Partition Coefficient (p), Tissue Uptake and Tumor-to-Tissue Ratio at 2 Hours for Some Labeled 2-Nitroimidazoles
| Compound | p | %ID/g | Tumor/ Blood ratio | Tumor/ Muscle ratio | Tumor model | Reference |
|----------------|-----|-------|--------------------|---------------------|----------------------|-----------|
| 1H-risonidazole | 0.43| 1.37 ± 0.45 | 0.73 ± 0.28 | 0.89 ± 0.33 | 1.88 | C3H mice, KHT tumor | 33 |
| 1H-FMISO | 0.40| 1.67 ± 0.07 | 0.96 ± 0.07 | 0.91 ± 0.10 | 1.82 | BALB/c mice, EMT-6 tumor | 33 |
| 125I-IAZA | 4.98| 2.55 ± 1.56 | 0.91 ± 0.20 | 0.59 ± 0.29 | 2.80 | BALB/c mice, EMT-6 tumor | 6 |
| 99mTc-IAZA | ~40 | 0.55 ± 0.08 | 1.75 ± 0.27 | 0.19 ± 0.05 | 0.31 | C3H mice, KHT tumor | This work |
| BMS181321 | | | | | | |
to be higher in the liver and was significantly higher in the intestinal tract at 6 hr after injection, presumably due to decreased intestinal motility (data not shown).
**Comparison With Previous Results**
It is useful to compare the present results to previous results obtained with FMISO (33) and IAZA (6). In mouse-tumor systems both these compounds show superior pharmacokinetic behavior to BMS181321 in terms of an increased tumor/blood ratio at 2–24 hr postinjection. As seen in Table 4, which presents a comparison of data obtained at 2 hr postinjection, both of these compounds show higher tumor localization and lower blood levels than the present compound. This may be due in part to the lower octanol/water partition coefficients of FMISO and IAZA compared to BMS181321. The tumor-to-muscle ratios do not differ substantially among the tracers and this ratio for BMS181321 is actually higher than for FMISO, with which clinical imaging is performed within 2 hr after injection due to the short half-life of 18F. The extent to which the low tumor-to-blood ratios obtained with BMS181321 are a limitation for clinical imaging will likely depend on the location of the tumor to be imaged. The detectability of tumors depends on both the absolute amount of radioactivity in the tumor and the tumor-to-background ratio; whether these parameters are adequate for clinical imaging with BMS181321 is not yet clear. In addition, the degree of retention of the 99mTc label in BMS181321 in vivo in various body tissues has yet to be determined. In particular, it will be important to evaluate 99mTc-labeled 2-nitroimidazole analogs with lower partition coefficients to see if they show superior tumor-to-background ratios, as well as to investigate a variety of human tumor types to assess the generality of the present work.
These apparent advantages of FMISO and IAZA must be weighed against some of their limitations. Use of FMISO is restricted to centers with a PET camera, access to cyclotron-produced 18F and radiochemistry facilities. IAZA is labeled with 125I, which is expensive and inconvenient to obtain, the labeling yield is only ~50%, purification by HPLC is required, and the injected dose is limited to 370 MBq (10 mCi).
In contrast, BMS181321 is labeled with 99mTc, which is routinely available and relatively inexpensive. It is prepared from a kit without the need for purification, the complex has a high partition coefficient allowing it to readily cross membranes, and doses of 740–1110 MBq (20–30 mCi) could potentially be injected, limited by dosimetry rather than practicalities and expense. Finally, it can be imaged with routinely available planar and SPECT gamma cameras whose resolution approaches that of PET systems, although tumors smaller than this resolution limitation may contain hypoxic cells. Thus, the development of BMS181321 and analogs of it could represent an important advance in nuclear medicine, allowing routine imaging of hypoxia in tumors and areas at risk of infarction in the brain and heart (14–16,34).
**ACKNOWLEDGMENTS**
We thank Bob Kuba for technical assistance with the in vivo studies. This work was supported by a grant from the Bristol-Myers Squibb Pharmaceutical Research Institute and operating grants from the Medical Research Council and National Cancer Institute of Canada. This work was presented in part at the 42nd Annual Meeting of the Society of Nuclear Medicine, Minneapolis, MN, June 14, 1995.
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2. Moskowitz R. Tumor hypoxia: its impact on cancer therapy. *Cancer Metastasis Rev* 1987;5:313–341.
3. Chapman JD. Hypoxic sensitizers: implications for radiation therapy. *N Engl J Med* 1979;301:143–148.
4. Kao WB, Rasey JS, Evans ML, et al. Imaging of hypoxia in human tumors with [18F]-fluoromisonidazole. *Int J Radiat Oncol Biol Phys* 1991;22:199–212.
5. Martin GV, Caldwell JW, Graham MM, et al. Noninvasive detection of hypoxic regions in human tumors using fluoromisonidazole and positron emission tomography. *J Nucl Med* 1992;33:2202–2208.
6. Mannan RH, Somayaji VV, Lee J, Mercer JR, Chapman JD, Wiebe LJ. Radioiodinated 1-(5-iodo-2-nitrophenyl)-2-nitroimidazole (iodosomisonidazole arabinoside, IAZA): a novel marker of tissue hypoxia. *J Nucl Med* 1992;33:1764–1770.
7. Parliament MB, Chapman JD, Ursuau RC, et al. Noninvasive assessment of human tumor hypoxia with 123I-iodosomisonidazole arabinoside: preliminary report of a clinical study. *Biol Chem* 1992;293:90–95.
8. Grossman D, McEwan JB, Leiberman MB, et al. Imaging tumor hypoxia and tumor perfusion. *J Nucl Med* 1993;34:885–888.
9. Buispiak JE, Grierson JR, Rasey JS, Martin GV, Krohn KA. Synthesis of an iodosomisonidazole derivative for hypoxia imaging. *J Med Chem* 1991;34:2165–2168.
10. Martin GV, Buispiak JE, Caldwell JW, Rasey JS, Krohn KA. Characterization of iodosomisonidazole as a marker for myocardial hypoxia. *J Nucl Med* 1993;34:918–924.
11. Linder KE, Cyr J, Chan YW, et al. Chemistry of a Te-PdAO-1-nitroimidazole complex that localizes in hypoxic tissue [Abstract]. *J Nucl Med* 1992;33:919.
12. Deacon RJ, Kuznetsov AV, Kuznetsova IL, et al. Imaging regional hypoxia with a new technetium-labeled imidazole agent: a pilot study immediately after occlusion of the left anterior descending coronary artery [Abstract]. *J Nucl Med* 1992;33:865.
13. Linder KE, Chan YW, Cyr JE, Malley MF, Nowotnik DM, Nunn AD. TePdAO-1-nitroimidazole: a new technetium-containing nitroimidazole complex for imaging hypoxia: synthesis, characterization and samarium oxide-catalyzed reduction. *J Med Chem* 1994;37:1–9.
14. DiRocco RJ, Kuznetsov AV, Pirro M, et al. Imaging ischemic tissue at risk of infarction in the heart. *J Cardiovasc Res* 1993;27:755–760.
15. Rumsey WL, Cyr JE, Raju N, Narra RK. A novel [99mTc]labeled nitroheterocycle capable of identification of hypoxia in heart. *Biochem Biophys Res Commun* 1993;193:238–246.
16. Hayashi H, Ishimoto K, Fukuchi K, Nishimura T. Kinetics of a putative hypoxic tissue marker, technetium-99m-nitroimidazole (BMS181321), in normoxic, hypoxic, ischemic and stunned myocardium. *J Nucl Med* 1994;35:1371–1376.
17. Boyd PJ, Winkler JT, Sandler PM, Cattaneo MA, Rinehart RN, Adams GE. The response of spontaneous and transplantable murine tumors to vascular agents measured by 31P magnetic resonance spectroscopy. *Int J Radiat Oncol Biol Phys* 1992;22:473–479.
18. Nowotnik DM, Adams GE, Szabo C, Thiemermann C, Vane JR. Modification of energy metabolism and radiation response of a murine tumor by changes in nitric oxide availability. *Biochim Biophys Res Commun* 1993;192:505–510.
19. Cyr JE, Linder KE, Nowotnik DM. Quality control of TePdAO-1-nitroimidazole [123I] and [99mTc] papers: chromatography and 31P NMR methods for determination of radiochemical purity, 99mTc-microcalix and 99mTc-DTPA in radiopharmaceutical kits [Abstract]. *J Nucl Med* 1994;35:138P.
20. Taylor RS, Rinehart AM. Oxygen tension, cellular respiration and redox state as variables influencing the cytotoxicity of the radiosensitizer misonidazole. *Radiat Res* 1982;91:104–123.
21. Ballinger JR, Cowan DSM, Boxen I, Zhang ZM, Rauth AM. Effect of hypoxia on the
Targeting of Glucose Transport Proteins for Tumor Imaging: Is It Feasible?
Carol Anne Nelson, Qian Jennifer Wang, Jeffrey Paul Bourque and Paul David Crane
DuPont Merck Pharmaceutical Company, North Billerica, Massachusetts
If glucose transport proteins (Glut) are elevated in tumors they may be good targets for tumor imaging. For targeting, the overexpression of Glut should be a general characteristic of tumors. Moreover agents which bind to Glut should accumulate selectively in tumors.
Methods: To test this, we quantitated Glut in isolated membranes from three human tumor xenografts, two murine tumor models and normal murine tissues using direct binding studies. Additionally, the biodistribution of two compounds which bind to Glut, 7-[2-(3-[(125I)-p-hydroxyphenyl]propionyl]aminoethylcarbonyl]-7-deacetyl-forskolin ([125I]HPP forskolin) and [3H]cytochalasin B, were studied in a tumor model which overexpressed Glut.
Results: There were multiple classes of binding sites for [3H]cytochalasin B and a percentage of these sites were competitive with D-glucose but not L-glucose. The rank potency and dissociation constants for [3H]cytochalasin B binding were 2-deoxy-D-glucose (45 mM) > D-glucose (7 mM) > mannose (25 mM) > galactose (30 mM) > rhamnose (1-3 mM) > sorbitol (1-3 mM) and were similar to reported values for transport. The average density of Glut in four tumor models and normal tissues was between 0.7 and 4 pmole/mg protein, but $K_d$ values were not significantly different (69 nM). In LX-1 human lung tumor xenograft (LX-1) Glut 1 were 10-to-20-fold higher than other tissues (21.6 ± 0.6 pmole/mg protein, p < 0.01). Immunostaining of Glut-1 was more prominent in LX-1 than other xenograft tumors, consistent with the binding data. Glut density was highest in poorly vascularized regions suggesting that Glut upregulation was related to a biofeedback mediated event. Iodine-125 HPP-forskolin and [3H]cytochalasin B did not localize in LX-1 tumors.
Conclusions: Glut overexpression was not a common characteristic of the five tumors tested, iodine-125 HPP-forskolin and [3H]cytochalasin B did not localize in LX-1 tumors, indicating that these agents did not target tumors with upregulated Glut. Results suggest that Glut are not a promising target for tumor imaging.
Key Words: glucose transport proteins; tumor imaging; PET
J Nucl Med 1996; 37:1031–1037
Received Apr. 20, 1995; accepted Sep. 13, 1995.
For correspondence or reprints contact: Carol Anne Nelson, PhD, Diatide, 9 Delta Dr., Londonderry, NH 03053.
High glucose metabolism has long been recognized as a distinguishing characteristic of tumors. Historically, tumors placed in solution were found to take up large concentrations of glucose relative to normal tissues (1). The accumulation of 2-DG analogs such as [18F]FDG has been used to image tumors with PET (2–4). The phosphorylated form of [18F]FDG is trapped intracellularly because it is not a good substrate for cellular export or further metabolism (5). The high concentration of [18F]FDG in tumors has been attributed to increased hexokinase activity (6), decreased phosphatase activity (5) or high concentrations of Glut (7–10). In situ hybridization studies from several groups have shown overexpression of Glut mRNA and transcript in a variety of human primary tumors (7,9–11). In addition, several studies have linked the transformation of cells to a direct upregulation of Glut (12–15). From these studies, it is generally accepted that the upregulation of Glut is a common characteristic of tumor biology. It has been suggested that agents which bind to Glut, such as labeled 3-radioiodo-phlorohe, may serve as alternative tumor imaging agents to [18F]FDG (16). Dissociation constants for the binding of [125I]HPP forskolin and [3H]cytochalasin B to Glut (100 nM) are higher than dissociation constants for phlorohein (1 uM) (16–18), and thus chosen for this study. Two approaches were taken to determine whether Glut could be targeted for tumor imaging: (1) the concentrations of Glut were estimated in five tumors, and six normal tissues; and (2) the biodistribution of [125I]HPP forskolin and [3H]cytochalasin B was measured in tumor xenografts that overexpressed Glut.
MATERIALS AND METHODS
Tumor Xenografts
Female Crl:CD-1®-nuBr outbred isolator maintained nude mice (10–12 wk old) were used for all human tumor xenografts. The MX-1 human breast carcinoma xenograft and the LX-1 human lung carcinoma xenograft were both established by B. Giovannella of the Stehlin Foundation of Houston, Texas. Xenografts were...
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(This is a pseudo-subversive alternative to your freshman orientation handbook.)
The Committee to make Togetherness Omnipresent
CO TO MA T O (CoTomato) proudly presents
DOWN EAST
SMOGGY AIR AND
DIRTY CRUM CREEK
BLUEZ
in sincere hopes of answering for you questions that we could never find answers to when we were freshmen.
Cynical, jaded opinions expressed herein aren't meant to brainwash or indoctrinate you, but rather to give you something to think about—and start you on the way to figuring out what you think. (That's true of the glowing optimistic opinions too.)
(CoTomato wishes to thank those from whom we plagiarized freely under the guise of spreading knowledge.)
Welcome to Sweatmore College. You probably don't know quite what to make of this place, so I'll unnerve you with the great truth: nobody else knows either. Upwardly mobile children of the chic American professional class wander onto this campus after high school, spend about four years leading peculiarly specialized lives, and go away with a sigh of relief. Years later, nostalgia overcomes them and they return to give money and/or get a job teaching.
We wish that the whole process were a lot more deliberate than that. Please forgive the overdone metaphor, but people who wander blindly stub their toes a lot. Your happiness here depends on your finding better things to do than wander. Many people before you have found that the college is neither very fun nor very educational when they lean back and say "Massage my brain, please." The more you think in terms of this place doing something to you (as opposed to your doing something yourself), the less you'll like it, and the less effort you'll invest to reap positive results.
So think positively about the power you have over your life and your liberal education. To get your money's worth out of school, you have to remember that the job of making school seem worthwhile is left up to you. You're stuck with figuring out why the work you do is interesting, or valuable, or vocationally useful (this quality the faculty try to avoid). You may just think that your work is something you want to do without knowing why, which is cool as long as you're not using that as a self-misleading excuse for not getting your ass in gear and doing something else. If college doesn't seem worthwhile, you really should drop out, go do whatever else you really would rather do, and come back when you're good and ready to hit that Chaucer. Huge numbers of students drop out with complete approval of the administration; some to home and rest, some travel, some work, some intern at job situations. Most are back after a semester or two, but a few don't return for years. The great majority say that time spent away is beneficial.
Do you already think you've made a mistake? Go harass the deans RIGHT NOW and tell them that you want to leave. Don't be shy. You may even still be able to get your money back. Wanna try it for a little while first? Good, you're like most of us. Read on.
About your orientation week
We of the CoTomato Steering Committee look upon your orientation with painful reminiscing of our own. You're all supposed to have fun together, doing all sorts of groovy things like square dancing and having dorm parties and getting chest X-rays, but admit it—you're all scared shitless. You're probably wondering about all those other people here—are they the nuclear physicist/concert pianist/football quarterback/air/miss Everything type people that your guidance counselor said go here? Well, no. They're human beings like you. You wouldn't be here if the college hadn't made damn sure that you could handle the place with ease. This is at least mostly true, and we are trying to get you to believe that it is entirely true, so that you will have some self-confidence and won't need to participate in
INTELLECTUAL ONE-UPSMANSHIP, which is a disease of Swarthmore orientations. Some of you may feel nervous about your ego, and be tempted to try extra hard to convince your peers that you're really smart too. Relax and just remember that you don't have to. When you're tempted to bullshit about how you were stoned when you took your boards but got 300's anyway, or casually use all those big words you quickly looked up in the dictionary the other day, don't bother, because really, nobody's interested—especially the people who didn't get such high board scores. (By the way, the big wheels here in college are often people who weren't such big wheels in high school, and 300's don't matter a damn now that you've been accepted into college.) So just take it easy and remember to act like a normal human bean.
Upperclassmen may try to snow you with their wisdom (guess in what spirit this book is being written). This is especially true of upperclass males who are trying to snow frosh females, in more ways than one. The potential dangers of this are described in "mind-fucking" in the glossary at the end of the book.
The sad thing about orientation is that you are scared, of this place and of each other, and don't have much in the way of common experience to talk about with other freshmen. So go get some. Find somebody with interests like yours (bulletin boards are useful) and go do something. Beyond that, CoTomato can only suggest that you act extroverted and sincere. That way, you'll have made a number of good friends by the end of the week. If you run into signs of aloofness and unfriendliness, don't worry about it. People who are that way feel guilty about it (really! We have proof) and will admire you for being otherwise, even if they don't admit it.
College as a set of lofty principles
To most of us, high school education was nuttin' more than readin', 'ritin', and 'rithmetic. Here at Sweatmost college, education has a new "R"—rhetoric. Rhetoric is philosophical doublespeak so complicated that it heads you off at the pass shortly after you both started talking in opposite directions. It never says anything, at least not in a reasonable number of words. The college catalogue has some primitive attempts at rhetoric, such as "The purpose of Swarthmore College is to make its students more valuable human beings", and "competence in a field than simply... mastery interpretations", but real rhetorics around this stuff.
Rhetoric can be speeches and writings things the way they like things the way were to be any dif- of campus rhetoric
The college wants which is why they good methodology posits questions, which is It makes you a more make this more fun, the a major that appeals to you among the many offered. Purists about liberal education don't care what you major in, insofar as the benefit to your head is concerned. You learn what subjects you dig most and get your intellectual p.e. no matter what.
A methodology is supposed to have some sort of apocalyptic vision tying it all together, sort of like a pot of gold at the end of the rainbow. In high school, it's called "understanding the big picture", but that's not a fancy enough name for Sweatmore. But that pot of gold—PhD's know all about it, and BA's are said at least to know it's there. But usually, the only pot of gold to be found is each scholar's internal interpretation of a pattern underlying a morass of facts. Striving to make this interpretation as well-defined and articulate as possible, the college wants your vast body of facts and interpretations to be holistic. You want to have some idea of how everything in the world fits together, and always be able to internalize new data. Some disciplines have external holisms, such as Marxism (which pertains to history, economics, sociology, and more), but anybody who relies on an external holism to do all his thinking for him runs a big risk of being too indiscriminate.
Because the college thinks that such comprehensive vision can come only from immersion in one department, the college hates to let its students have interdisciplinary majors (e.g. Black Studies American Studies, etc.) which, they fear, allow the student to pursue his interests without ever having a chance of attaining
his apocalyptic vision. It is true that interdisciplinary majors sometimes boil down to being just lots of intro courses, and are thus apt to be short-sighted.
One question which often gets asked is "Where did this apocalyptic vision go?", since it never materializes for some students—who then wish that they could have had an interdisciplinary major. Is something so obscure and hard to pinpoint worth striving so hard for? Another good question to ask is "Hence the arbitrary limits on what subjects are good enough for Swarthmore?" (lotsa things worth learning aren't taught here.) The answer always given is financial limitations, although the college seems to fritter away a fair amount of money which some people would like to see channeled differently. The real answer is either (a) financial priorities ("A football team is more important than a lively studio arts program, but it'd be nice if we could afford both.") or (b) true disinterest in the activity being contested ("We'll get diamond-studded football helmets before we buy one damn paint brush, and to hell with those stupid art-farts."). In recent years, laconic administrators didn't bother to say much about what they thought about important campus issues, so nobody really knew whether they were thinking in terms of (a) or (b). Like Nixon and his tapes, they made people think that the answer must be (b). However, recent turnover in the upper echelons of the administration makes us very optimistic that this situation will improve.
When confronted with some kinds of proposals for new and nifty programs of study, the college doesn't bother to pretend it thinks they might be nice. Any course of study which emphasizes learning skills and techniques instead of a great holistic methodology doesn't mesh with the college's educational goals. The faculty often say, "We don't want to become a trade school," because they'd rather tackle the amorphous task of imparting wisdom to you than the easier task of imparting skills and techniques. This certainly has merits, but it still may leave you wondering,
WELL, THEN, WHAT THE HELL GOOD DOES IT DO ME TO HAVE A DEGREE FROM HERE WHEN I GO LOOK FOR A JOB? There are those unreachable cynics who say that it does no good at all. The job market is poor, and there's a glut on liberally-educated people who haven't ever worked a day in their lives. But even still, it's possible for a Swarthmore diploma to help you in a number of ways. First of all, people who consider themselves in the know have often (maybe even usually) heard of the college. They've either heard that it's full of communists (that's what the locals say, and it's not true) or that it's the only college except for MIT where people actually do some work. This is partially true. Swarthmore's reputation may well impress people that you must be a hard worker, and that you were carefully chosen to come here originally. A liberal education, they may even think, does what it's supposed to here, but not many other places. Then again, most employers don't have any job openings, so it doesn't matter what they think of you.
For most jobs that traditionally require a liberal education, there is no way to test whether the job applicant has the necessary
ability. If such tests existed, they would be used and relied upon. But instead, qualifications for a job boil down to how much time was spent at an accredited institution trying to acquire that ability.
Another thing to remember is that success in the job market depends on your having more than a degree to offer. Any dullard can go to a fancy-pants college for four years and study Greek history and spend his summers sun-tanning on the Jersey shore, but that doesn't give him impressive credentials. If you have vocational interests, by all means pursue them both on- and off-campus, and during the summer too. That way, employers will have some indication that you're not just some dilettante idiot. The college, you will find, is pretty negligent about helping you in this direction. You can make up for this simply by remembering that the college doesn't provide adequate impetus, and you have to make up the difference yourself.
There is substantial eagerness for improvement in this area, and Mrs. Katz, the career planning counselor, is helpful and innovative. But she's overworked, and tends to ignore freshmen in favor of desperate seniors.
College as it really is (to hell with lofty principles)
You've probably heard a lot of scare stories about how everybody here works all the time and the pressure is unbearable. The only reason you hear this is that (1) it was pretty true 10 or 20 years ago, and (2) people repeat things mindlessly, year after year. Will it make you feel any better if I tell you that you don't have to do any significant amount of work and you can still manage to pass your courses? It's true, so heave your sigh of relief. But keep in mind that not doing any work doesn't mean that you'll be having fun.
A lot of people here will tell you that they feel under pressure, though. Pressure has a few sources: It's self-induced among mentally unstable high-achievement oriented people. It's a status symbol ("Oh, man, I stayed up all night three nights in a row and wrote five papers and now I've got three exams to study for." Fuck you! We don't want to hear how neurotic you are.) of questionable value. It's a legacy from the aforementioned 10 or 20 years ago. Back then everybody really did run around like rats in a cage, working their asses off as freshmen and sophs so that they could get into honors, because if they didn't get into honors and had to stay in course they'd be the niggers of the campus. When people transferred out, it was because they "couldn't stand the pressure" (nowadays, a more usual reason is to study something.
not offered here). Virtually everyone went to grad school. Career planning, studio arts, and an air-conditioned library were nonexistent. Rules were strict and lives were regimented.
Time has changed much of that, but the college does have its heritage. Rules are pretty much all gone (the most important rule is that when you're doing something that could reflect badly on the college, you damn well oughtta have sense enough to be discreet about it,) and the physical plant of the college has become a lot more posh, all of which makes life more luxuriant. Since jobs as academic types are hard to get, the road to grad school has become a blind alley, and students are less excited about it. The market for other jobs is pretty catch-as-catch-can, so it's a drag too. Now that the college is such a country club, people aren't as excited about changing it either. The result of all this lack of excitement is LETHARGY, which is the student body's biggest problem. Students still work hard, not quite as hard as in the old days, with not as much conviction, because they're unconvinced about the meaning of it all. Still, with nothing better to do, they carry on with some of the tradition of neurotic ass-busting that made this school famous. There's no need for anybody to engage in this listless masochism if he has his ass in gear and decides what he wants to do with himself while he's here. IDEALLY, this'd mean hard work with GUSTO and PURPOSE.
College as the entertainment capital of the world
Aside from the myriad activities that go on during orientation week, the college offers more pleasant diversions than any one student has time to go to all of. It has some serious extracurricular endeavors, too.
For diversions, there are two or three movies every weekend (chosen by the art-fart film freaks on movie committee so that they don't always appeal to the Walt Disney mentality), excellent coffee-house style concerts in the ratskeller (that posh room in the basement of Tarbles, in the end furthest from Parrish), dances in Tarbles or the dining hall, usually with a depressingly large stag line, all-college parties hosted by each of the fraternities, art shows (go to the openings; they're fantastic fun), pinball tournaments, athletic events (women's volleyball vs Bryn Mawr is the best), concerts of all kinds (even Pete Seeger came here last year), and more.
Extracurriculars include an FM radio station that can be heard way the hell over in Haddonfield, New Jersey on a clear night, a weaving club, a sailing club, a legion of potters in the art building, a very wealthy debate club (due to an earmarked donation to the college, they have all kinds of funds to go on trips and things. If debating is your bag, this is the place.), an outing club that will help subsidize your camping adventures if you don't decide in advance who you're willing to have along on the trip, a twice-per-week newspaper (the Phoenix), a yearbook (The Halcyon), a literary magazine (Unsungs), and other things that you can easily discover if your interest carries you there.
If something fun-to-do doesn't exist and you want it, talk to people on Student Council and ask for money to start it up with. Council has $50,000 to spend on student whims and indulgences, so let your whims be known.
Community Life
Community life is generally pretty restrained here, as students don't usually feel any great big bond between themselves and the rest of the college. This might change (and for the better) on account of recent changes in the administration which promise to set an example of more communication (the key to all community life) and less insularity, which means that there will be more good feelings floating around.
Some things about life at Swarthmore are unusually good. One is that women's liberation has made much better-than-average headway here, perhaps because Swarthmore students had always known that female grinds were just as smart as male grinds. At Vassar College, a few guys moved in and took over the place. Here, things are pretty equally divided in terms of high student offices held, intellectual honors, and general esteem. Another good thing is that the fraternity scene is pretty low-key, to the point where fraternities are beneficial to their members without harming anyone else, which makes it unnecessary for non-fraternity members to act condescending and spiteful towards the fraternities. (Sadly, this spitefulness does exist, because people react to the connotations that institutions used to have without stopping to see if those institutions still have those connotations.) Still another good thing is that athletics on campus are very un-spectator oriented, perhaps part because there's no place for spectators to be in many of the athletic fields/courts. The campus is divided into those people who keep themselves physically fit in any of a number of ways (Women even go to the field house to lift weights and nobody bats an eyelash) and those who don't, and very few of the second group get voyeuristic thrills from watching the first group.
Nobody here goes on dates, but lots of people pair up. Some of you will already be paired up by the end of the week, but have good taste and don't make a race of it. Also, a romance created to provide its members with constant company and friendship in the midst of the college's vague social structure isn't a very healthy relationship. Unless you're really sure that you've found Mr./Ms. Right, you may find it better to learn to handle yourself and your friendships here alone before you get out in the meat market looking for romance. You have a very good opportunity here to get to know lots of people very well in an informal way before you put your moves on anybody. Enough said?
The dining hall is generally considered to be the center of social activity here. There are pre-established stereotypes as to what kinds of people eat in which dining rooms, but they aren't worth repeating. One thing about the dining room is worth mentioning, altho it doesn't reflect on the college too well. About 40% of the food taken from the serving line is sent back down the dish-belt where, by state law, it must be thrown away. Due to the nature of the food company's contract with the college, they would be required to upgrade the quality of the food they served if they didn't have to spend all that money to serve all that food that just gets thrown away. Thus, students have both aesthetic and self-seeking reasons to not waste food. Furthermore, Nixon's food shortage makes the situation a lot more acute this year. Get a job scraping plates on the dishbelt once so that you get sickened by all the waste that goes on (one iron-stomached Colomato steering committee member used to work dishbelt and feed himself lunch entirely on the waste food from trays that came toward him. Hamburger after untouched hamburger, full glass of milk after untouched orange, etc.) and don't waste any food yourself.
The health center has pretty complete facilities, and it's free unless you have to stay many many days. They have a couple doctors, a shrink, a psychologist (both of which you don't need to give your name to get an appointment to see, and they think more students should stop trying to walk on water and go see them), a gynecologist, an orthopedic surgeon waiting in the wings, and a number of nurses. Don't avoid them. The aforementioned specialists generally show up once per week or so. If the waiting time to see the gynecologist rises to several weeks, as it often does, and you have a pressing problem, they keep an emergency time spot reserved each day that she's here. If your problem is even more pressing, or not pressing but not one that you want to wait a month to solve, you can visit Planned Parenthood in Chester, at 400 Welsh Street. For less dramatic problems, i.e. injuries and physical ailments of all kinds, very excellent treatment is available in the field house from Doug Weiss, the college physical therapist. If your knees feel funny or anything like that, don't hesitate to go see him. Unfortunately, vestigial elements of male chauvinism dictate that women students must stay away from Doug after 1:00 PM so that he can get busy taping up the male athletes for their afternoon practices (as if female athletes didn't need to get taped up too).
Drugs on campus are getting less and less noticeable. If you're new to the psychedelic rip-off, Colomato has a directory for you:
(a) Grass Philadelphia-area marijuana traffic is controlled by organized crime, which is almost as good a reason to avoid it as its inherent worthlessness. But it is harmless stuff, or so everyone says.
(b) Mescaline The closest thing you'll get is a pill full of strychnine (which makes you feel like you've taken something weird), but the guys who sell it to you will tell you it's mescaline. They don't deserve your money either.
(c) Dexadrine Do you have 72 hours worth of work to do in the next hour?
(d) Methadrine Do you have two years worth of work to do in the next hour and nothing to do after that?
(e) Heroin Do you have nothing to do in the next hour and nothing to do after that either?
(f) Alcohol is where it's at on the Swarthmore Campus.
If you think the earning power of a college graduate is poor, wait'll you see what's available to you right now. You can work on campus, usually for a starvation $1.60/hour and almost never for more than $1.80/hour, in the dining hall, library, snack bar, or someplace else. You can substitute for people who work regularly but want to go do something else; check the bulletin board across from the mail room. Other low-pay jobs include babysitting in the ville (but make sure you know your employer, because people try to molest young women on the pretext of hiring them as babysitters) and waitressing in local restaurants. A few hours per week of low-paying job can be useful, however, as it keeps your spending money in a state of equilibrium and gives you a false pretense to think that you identify with the working class.
If you want to earn big money, you have to either work a lot of hours or find a more exotic job. Modeling in the raw at art schools, driving a taxicab, mowing lawns, working as a mechanic and tutoring have all made Swarthmoreans rich in the past.
**Dire Warnings**
Time was when you could be a trusting soul. That all ended when apples were added to the human diet, so there are a few things you need to know.
Some of the biggest assholes in the world go to Swarthmore College and steal the books and notebooks of other students. If you're one of them, go to hell. If not, you can help avoid this by not leaving that tempting twenty-dollar text out where somebody can grab it. Carry your books inside a backpack or shoulder bag; thieves are reluctant to open up bags to look for books, especially when there are people attached to the bags. Don't leave naked books sitting on the student belongings shelves in the library, or in the coatrooms in the dining hall. And hope that this kind of nonsense isn't a problem ever again.
Bicycles. According to *Esquire* magazine, this place has the highest per capita bike theft rate in the nation. It's not sufficient advice to say "Be sure you lock your bike," so an elaboration is in order.
(a) Balloon-tire bombers. Even the most derilict, heaviest, flattest tired bike needs a lock, if only to keep some stupid townie from riding it into the crum creek (If you need a bike and you aren't too picky, you can find one in the creek every so often. Keep your eyes peeled!). Any lock should do.
(b) Three-speeds. They get stolen too, especially from the racks in secluded spots where a thief can work undisturbed after dark. A good padlock and hefty cable or chain should keep one safe anywhere, since professional thieves with fancy lock-breaking tools often ignore three-speeds. But to be safe, chain the bike in a prominent place.
(c) Ten-speeds. Not too safe during the day in secluded spots, and
at night dangerous everywhere but your own room, inside tables, or securely shackled to a lamp post in front of the library during library hours. Bike storage rooms in the basements of Parrish and Wharton aren't reliable. Parts may get pilfered off your bike, especially the wheels if you have quick-release wheels and don't lock them too. If you have a super-fancy Eddy Merckx special ten-speed, keep it in your room and fish a balloon-tire bomber out of the Crum for riding around campus.
(d) Motorcycles. Not quite as many thieves, but some determined ones. Use a real Amazon-sized chain at all times. Good Luck.
VIRTUE may be stolen too. Last year, in what I hope was a freak incident, a woman student was raped in her room in Parrish, in mid-afternoon. Don't fret over that, though, it didn't happen to you (and most likely won't). But women who walk alone after dark are apt to be attacked on dark paths (like on the way to Mary Lyons, or by the train station, or behind Pearson) and oughta implore somebody else to walk with them. Those of you who aren't women ought to not balk at the prospect of accompanying those who are, even if it takes up some of your stupid precious time, because the danger is real. All of last year's reported cases of after-dark assaults ended with the woman withstanding her attacker successfully, but that didn't mean that it was fun for her.
Lock your door, and if you live on the ground floor lock your windows too. You're an idiot if you don't.
If you have a car, remember that vandalism may strike you. Theft is rare but not unheard of. Vandalism is most common in parking areas which are convenient for townies on their way to/from the crum meadow dirt road. If you don't have college permission to have the car, you'll get harassed by the buildings & grounds people, and eventually they'll bring a significant amount of trouble into your life. To avoid this, you either have to keep your car in the ville and move it every day so that the ville police don't get mad at you, or find a no-man's-land where you can leave your car undisturbed. (Hint - there are at least three of these convenient to the college). To get college permission to have your car, you need political patronage. Student clubs that need transportation support your plea for a car. ("Joey belongs to the elephant admirers club and we use his Studebaker to bring elephants to our meetings." is the kind of patronage you need.) Cars are more trouble than they're worth anyway, so leave yours at home.
Swarthmore isn't the crime capital of the world, so don't have nightmares about these things. It's not a land of milk and honey either, so don't ignore them.
On choosing and enjoying a program of study:
(1) This isn't very useful advice right now, but avoid intro courses when you can get by without them. They are usually too general and not deep enough into the subject matter to be really intriguing. You may well have thought that you would be taking four intros, but if you can bluff your way into one or two courses that waxes deep and involving, it might make your academic schedule a lot more interesting. The faculty have recognized this shortcoming, and have been improving introductory offerings, but they ain't perfect yet.
(2) When you're planning your schedule, as to what courses you'd like to take when, don't believe what the catalogue says. The catalogue lists one course which hasn't been offered since this year's seniors were in high school, and you may be in for a rude shock when you find that the words "spring semester" or "to be offered in 1974-75" are irrevently ignored when the time comes around. The main reason for all of this is that the catalogue makes the school look like a more exciting place when you list more courses, even if they're just filler. Applicants from California don't know that. But anyway, ask teachers and department secretaries about their scheduling plans. They try to keep them flexible, and thus may not know yet for sure. But you can get an idea, and you may be able to talk them into offering a course that you want, especially if you get a sizable number of lobbyists.
(3) When you're taking an intro course that has lots of sections, find out from the department secretary who teaches which section, and take a poll among upperclassmen as to which teachers are best. Ask more than one person, by all means.
(4) Don't sign up for courses that appear in time slots like early morning or Friday afternoon if you think you won't go to them. It sounds decadent, and I guess it is, but if you can't get out of bed in time for a class or stay away from your lover at Yale, then you might as well be taking a class that you can get yourself to go to instead.
(5) Four reading courses will kill you unless you're an Evelyn Wood ace. History, Poli. Sci, English, Sociology and perhaps other departments are famous for giving you volumes to wade through. Other departments, such as Philosophy, the sciences, and Art History, expect you to work on fewer pages more carefully. Having both kinds can be a refreshing change of pace. And by the way, nobody here reads everything on their reading list for a course, so don't feel guilty when you don't either. But try to figure out what's going to be most important, and make damn sure you do read that.
(6) Distribution requirements are easy to fill, and you shouldn't worry about them too much. If one of the groupings of required courses seems awful to you, you may want to wait a while and see if your interests change, rather than taking a course just to get it over with.
(7) Don't rush out and automatically buy all the books that appear on your lists. It costs a lot, and you may not be assigned more than a chapter or two in some expensive hardback, which you can
easily (and cheaply) use in the library. There are chairs in the back of the bookstore where you can sit and read unbought books. However, the bookstore often runs out of books, especially the ones you need the most. If you suspect that this might happen (large class, not many books on the shelf) buy the book and keep it intact and unmarked. That way, you can return it and get your money back if you drop the course or decide you don't need to own the book.
(8) Try and find out as much as possible about a course before you take it. Ask what kinds of readings there will be, what topics the course will cover, what kinds of questions it will ask, etc. Make sure the course follows a direction that your interests follow too. Don't rely on the catalogue for this information either.
(9) Be active, questioning, and aggressive about your interest, but give the professor some deference. He may be trying to impart some wisdom which won't have any meaning for you until the end of the course. Be careful not to prejudge him, especially if the field is new to you. Let him explain what his perspective on the subject is; you'll be able to use it in formulating your own (remember? holism?). Of course, if he really doesn't have much to offer, all you can do is warn your friends about him.
(10) If a course is so bad that you are really sure that you are being cheated (like when the teacher doesn't show up, or refuses to talk about anything serious), COMPLAIN TO THE REGISTRAR. This happens very rarely, but if it does, now you know what to do.
(11) Most people like their course schedule the most when the courses are neither totally unrelated nor all the same. That fine dividing line between satisfying intermingling and stultifying similarity is yours to discover.
(12) You can sign up for lots of courses, like six or so, and drop the ones you don't like anytime during the first six weeks of the semester. Don't hesitate to do so, since this way you get to bite into an apple pretty deep to find out if it's rotten. For the first two weeks of the semester, you can add a course. The only problem with all of this is that you have to do the work for those extra courses, or else when you stop shopping around you'll find yourself coming into a course halfway through.
(13) You don't get any grades for your first semester, which is nice. You also get four pass-fail options which you can tag onto the hardest courses you take in later years. But be careful about using them if you need grades to show to law school or something like that, because those places sometimes automatically count against you if you have too many pass-fails. Check with your advisor for more enlightened advice.
(14) If all this isn't enough, go to a large bookstore and hunt up a copy of Andrew Tobias's *Honor Grades in Fifteen Hours a Week*. It's irreverent, but pretty good.
**Your environs:**
Do you know where you are? You're 11.6 miles southwest of Philadelphia, in the borough of Swarthmore, in Delaware County.
There's not a lot to say about Swarthmore. It's a town of about 5,000 quiet people with blue laws against selling gasoline and alcoholic beverages. The downtown area you may have noticed by the train station is occasionally adequate for things you need and almost always expensive. One notable exception is the Camera and Hobby shop, which has very knowledgable people and good prices.
If you register to vote in Swarthmore, it'll cost you fifteen bucks next summer. The town levies a tax on everyone who lives here, and if you vote here they think you live here. If you're well-to-do and idealistic, you may want to register here to fight the all-powerful Republican machine and the corrupt way in which it runs the lives of local residents (especially the poorer ones). If you're not well-to-do, you might send a poison-pen letter to congressman Larry Williams and tell him that he shouldn't have let his friends build that big shopping center at Chester Road and Baltimore Pike (he pulled a little zoning law subterfuge to allow that one) and that if anybody did build something there, they should have engineered a proper water run-off from the parking lot (which his friends haven't done). So much for local politics.
The area that Swarthmore is in has built up quickly; ten years ago, Baltimore Pike had only farms surrounding it. Now there are shopping centers, car dealers, miniature golf places, and dunkin' doughnuts. Delaware County is sprawling ever further westward from Philly, along the general lines of U.S. Route 1. Baltimore Pike used to be route 1, but now a freeway-bypass a few miles north of here has that honor.
One funny thing about this area is that every time you travel a hundred yards, you're in a new town.
**Directory of Nearby Towns**
- **Chester** Not too scenic, but it has a few useful stores. Big and confusing, so get a map in Media first (see "Finding your way").
- **Wallingford** Don't blink; you might miss it.
- **Rutledge** You'll miss it even if you don't blink.
- **Morton** The only things that Swarthmore doesn't have and Morton does have are gas stations and a bar.
- **Ridley** Housing developments and highway schlock along McDade Boulevard.
- **Springfield** Like Ridley, only built on more hilly ground and more luxuriant. Their highway schlock is on Baltimore Pike.
- **Media** A pleasant little town, about like half a dozen Swarthmores put together. The business district lines Baltimore Pike and State Street (which runs parallel to the Pike, a couple blocks north of it), the space in between, and the space a couple blocks north of State Street. This is all west of Providence Road (route 252). The train station is near the far end of town a couple blocks south of the Pike, so if you go there by train walk north and possibly east until you find what you want. (If you bicycle there, do so along Flush Mill Road to avoid bad smog. Sorry about that steep hill there.) Media, by the way, is your county seat.
BROOKHAVEN ROAD
ROSE VALLEY ROAD
PROVIDENCE LANE
MEADOW ROAD
ROSE VALLEY ROAD
AVONDALE ROAD
ROGER'S ROAD
PLUSH MILL ROAD
WILLINGFORD ROAD
MEDIA
Baltimore Pike
world's steepest hill
SPROUT ROAD
SPRINGFIELD ROAD
TRAIN TO PHILLY
TO PHILLY
WOODLAND AVENUE
MORTON AVENUE
RUTLEDGE AVENUE
AVENUE
RIDLEY BLVD
NORTH
FAIRVIEW ROAD
CHESTER ROAD
CUM CREEK
2 MILES
CHESTER 252
320
320
14
©1973 COTOMATO, INC.
Finding your way around and about
The train tracks that run through campus lead to Philadelphia in one direction, Media in the other, and lots of tiny villages in between (like Wallingford). The train runs every half-hour or so until around 1:00 AM at night, but not so often on weekends. Go to the train station before their closing time in mid-afternoon and get a (free) schedule. The one-way fare to Philadelphia is 75¢; to Media, 40¢; more if you go with the crowd during rush hour.
The "O Bus" runs north-south along Chester Road at frequent intervals 24 hours per day. A 45¢ fare gets you to Chester if you go south, and to Philadelphia's 69th street terminal if you go north. From 69th street, you can take the Market Street Subway downtown (35¢). It, too, runs 24 hours (altho not so often and maybe not so safe either at 4:00 AM), so if you get into Philly on a late train, don't feel stranded just because the Media Local train isn't going.
You can rent a station wagon from the student council to drive places; you have to have a legitimate campus group (not necessarily an organized club, but you can't just be a bunch of people cruisin' for 'burgers) and you have to reserve your time period in advance.
If for some reason you need to call a taxicab (like to get to the airport), call a local company, because Philadelphia cabbies don't like to come way the hell out here. As some of you may have found out, cabbies at the airport don't always know how to get here, so if you take a cab from there to here, have directions.
There's an absolutely free shuttle bus between here, Haverford, and Bryn Mawr called, of course, the tri-college bus. It's for people who are taking courses at other schools, but feel free to abuse it for your own benefit.
To supplement your CoTomato map, go to the real estate place in the ville and they'll give you maps of Swarthmore and of most of Delaware County. If you're at all serious about finding your way around here, you'll want to get a complete county map; they're free in Media if you only want one (extras are 50¢ each). To get one, go to the Wm. R. Tal building, a blue building at the corner of Orange and 2nd streets, 2 full blocks north of State Street, diagonally to the left behind the courthouse (which you can't miss). From all these maps you can pick out back roads for bicycling; there are plenty.
Where to find things they don't have in the ville
Neat old stuff. Chester Rescue Mission, at 6th and Crosby streets in Chester, is a rummage store with all the old furniture you need, plus refrigerators and other goodies. They deliver, supposedly for free. It's one block west of the corner of Route 320 and 6th street (320 is called Chester Road in Swarthmore.
and Providence Road in Chester) You can take the bus there.
Cheap Junk. Go to Korvette's, about 2 or 3 miles north of here up route 320 on your right. You can't miss it, which is too bad. They really do sell cheap junk, as does Kline's, across the street from them. For a change of pace, go to Bazaar. It's a few miles towards Philadelphia on Baltimore Pike, on the right. Bazaar is a pale imitation of the Turkish Market in Istanbul, with many little shops under one barnlike roof. Unlike the Turks, they don't lower their prices to convince you to buy.
Bicycles. Media Bicycle, on the right side of Baltimore Pike at the far end of Media. You can't miss the dairy queen that it's across the street from. Repair charges are exhorbitant, so learn to do it yourself. Closed Monday. Nearest other store is Penny Farthing, several miles north of Korvette's at the corner of 320 and route 3. Open Mondays but more expensive. Cheap (used) Bicycles. Seldom available at bike shops, and the cheap new ones at discount stores aren't worth buying. If you can't seem to find one through private sale, look through dormitory storage rooms for not-in-use bicycles, find the owners, and offer them money. Some people barely remember that they own a bike, and will gladly let it go to a good home.
Sporting Goods. Bill Battey's, in Media (one block north of State Street), has lotsa neet stuff, heavy on shoes of all kinds, athletic clothing, and equipment for sports like football, softball, golf, etc. If you're into a more outsy-doorsy type store, go to Wick's ski shop on Route 420. It's about 3 miles from here; go east on Baltimore Pike until you hit the first big intersection where Strawbridge & Clothier's department store is (wanna buy a department?). Turn left onto 420 and look for a tiny sign in front of a house on the right, across the street from the dairy cottage (ice cream parlor). Don't be fooled; they've got tons of packs, boots, and even skis in that innocent-looking house. You can also go to Goldberg's Army-Navy at 9th and Chestnut in Philly; take the C Bus to 69th street and the subway to 12th street.
Baskin-Robbins Ice Cream. Go south on Chester Road about 3/4 mile to Fairview Road (the second traffic light; there's a movie theatre and two gas stations at the corner) and turn left; it's about a mile ahead on the left at the corner of McDade Boulevard. Closes fairly early in the evening.
Pizza. Closest good one is probably Kent's in Wallingford, on Moore Road. Go west on Yale Avenue, cross the bridge, and follow the road straight up the short steep hill, a little ways on the flat, and straight through the stop light. Turn right when you come to a T intersection, turn right at the next T, and it's directly ahead on your right. Also closed Mondays. Remember the ever-changing street names; otherwise you'll never find your way back. Kent's delivers for a price; call them at TR4-3878 or TR2-9080. So do Pinnochio's (LO6-4870 and LO6-7767) and Apollo's (565-3883) in Media and Morton Pizza (KI3-5220 or KI3-9829) in Morton.
Art Supplies. Village Art Shop on State Street in Media. Student discount on purchases above $5.00.
Cheesesteaks. World's greatest delicacy; probably unheard of to non-Pennsylvanians. Like a cheeseburger in a long roll with steak meat instead of hamburger. If the snack bar lets you down, go to Rose Tree Steak Shop, on the left side of Providence Road in Media, about 2 miles north of Baltimore Pike.
They don't deliver, but they're worth making a pilgrimage for.
Auto Parts. Good prices at A&A on Balto pike towards philly, on the left, a bit beyond Strawbridge & Clothiers. If your car is really sick, good quality parts, low cost rebuilding and machine shop work can be had at Dektor's, at 1000 West 6th Street in Chester.
Booze. It's tough to not get carded, but if you feel like trying, go to Green's in Morton. Morton is a mile or two away, at the east end of Yale Avenue. Going to Green's is a Swarthmore tradition; the bar was once mentioned in a Kurt Vonnegut novel. If you want something even better, go to the Rendesvous, at 320 and Chester Pike (U.S. Route 13) in Chester. Their topless dancers all moonlight as students here. If you just want a bottle, go to a state-controlled liquor store, either on State Street in Media or on Baltimore Pike, about 2 miles towards Philly on the left. You may be asked for an LCB card (Liquor Control Board Card) which says you're old enough. If you are old enough and have plenty of other identification, some places will refuse service without the LCB card anyway.
Sears & Roebuck has stores in Chester, at 69th street in Philly, and in Lima, two miles beyond Media on Baltimore Pike on the left. They have everything.
Books. There's a cute little bookstore in the ville, and several like it in Media, but all the really big really good stores are in Philly. Depending on your taste in books, you may have to hassle getting carded at bookstores too.
Records. Philly for a decent selection. If all you want is Innagadavdia, you can have my copy cheap. Students often sell used records cheap, and there are a couple student concessions that can get you any moderately common record very cheap (brand new, that is) although they don't have storefuls of things to browse through.
Motorcycles. County Cycle Center has the lowest prices anywhere on nifty new Hondas. Go to Baskin Robbin's ice cream, continue straight down Fairview Road, and turn right at the T intersection onto Chester Pike. It's a little ways ahead on your left.
Cheap Fabric. The Mill Store in Eddystone is worth the trip if you want to make curtains or clothing or whathaveyou. Follow the directions to the Motorcycle shop, and when you turn onto Chester Pike start counting left turns. Take your 7th left onto Saville Avenue, go straight across route 291, and it should be at the first intersection (4th street).
Foam Rubber. Good for ad-hoc furniture. One block down from cheap fabric; turn left off of Saville onto second street and it's there.
J.C. Penney's is a good store to buy clothes. Take the O Bus to 69th street Terminal, get out, cross Market Street, and walk up the hill on 69th street.
Yachting. If you can't pass the Swarthmore Sailing Club sailing test to use college boats but are still gung-ho, you can rent
sunfishes, canoes, rowboats and romanticism in Fairmount Park in Philadelphia. The rental place is on the East River Drive, about a mile and a half north of the art museum. Take the train or subway downtown, walk or take a bus to the art museum, wander around in back of it, and start walking north.
Cheap Food. Consumer Warehouse, at the same intersection as Baskin-Robbins Ice Cream, is where all the thrifty housewives shop. Open later than most supermarkets. For more atmosphere and higher prices: The Italian Market around 9th street in Philadelphia has several blocks full of people swarming in the streets and little shops; fresh produce and exotic foods (like Fox meat) abound. Go early; think of it as an 8:30 class. The Reading Terminal Market, at 12th and Market Streets, has the world's best ice cream (Bassett's), butchers, spice stores, etc. It's indoors. Linvilla Orchards is another great place for produce, yummy pies, apples, cider, etc. It's about six miles away. Go south on Brookhaven Road (find it on your Colomato map) to Route 352; turn right and go straight for a while. The first stop light on a flat, deserted stretch that you come to is Knowlton Road. Turn left onto that, and it's dead ahead.
Peace and Quiet can sometimes be found in our own crum woods, but if not, get your county map and go to Ridley Creek State Park. No matter how you get there it's a nice bike ride at least part of the way, and once you're there, you've got 2500 acres of rolling hills and fishing streams to groove on.
Movies. If the 3 per week shown at the college aren't enough for you, you can go to theatres within walking distance on Chester Road; one south at the Fairview Road Corner and one up on Balto pike. A theatre in Media on State Street plays oldies-but-goodies for a dollar a seat.
Folk Dancing. To see beyond the horizons of the college folk dance club, you can dance at Penn and Temple Universities in Philly. Also, you can get it on in Arden, Delaware (a Swarthmore contingent usually goes down on Wednesday nights.).
Live Music. If you have a car, you can drive to the Spectrum (go to the airport and keep going; it's up by the Walt Whitman Bridge) and hear famous rock bands and poor acoustics. Or else you can go to the Tower Theatre, near the 69th street terminal in Philly, for the same kind of music. More folky stuff is at the MAIN POINT on Lancaster Avenue in Bryn Mawr. Take the Tri-college bus to B.M. and then walk two blocks to get there. They're open Thursday thru Sunday evenings. Sunday afternoons alternate weekly between chamber music and allcomers' hootenanny. The BIJOU CAFE has a cover charge and a minimum of two drinks per person, but last year when Earl Scruggs came to town, that's where he played. Near Phila. College of Art off Broad Street. The MIDDLE EAST RESTAURANT has belly-dancers and musicians playing bazoukis and ouds. Shish-kabob. Atmosphere and high prices. They've moved to a new place (in Philly). The ACADEMY OF MUSIC is a great 19th century hall with the Philly Orchestra and other great names playing. Peanut-gallery tickets for students work like airline standby tickets. They're cheap, but show up 1½ hours before curtain time. At Broad and Locust streets near city hall, in downtown Philly.
GLOSSARY: these words plus the English you know will make you fluent in Campus Lingo.
Comps, short for Comprehensives. Something that seniors worry about. Your major department gives you a huge test covering everything in the field, to make sure that you know all of it, shortly before (you hope) graduation. Actually, very few people flunk comps. Some popular departments assign a thesis or project instead of comps, while others get away with having both.
Eating, -off campus & -on campus People who don't engage in the meal plan in the dining hall are said to eat "off campus" even though they may be doing their cooking in a campus place (like a dormitory). Eating in the dining hall is eating "on campus". You have to harass the deans a hell of a lot to be allowed to eat "off campus."
Elsner Something written in all the toilet stalls. "Elsner sucks" is the usual form. Nobody knows who he is or why he sucks.
Giants Upperclassmen will try to show you and make you feel inferior by telling you that they used to know all these big-man-on-campus types who were ultra-cool, and who have all just graduated. "All the Swarthmore Giants are gone," is what this year's seniors were told when they were freshmen, and is what one woman who graduated from here in 1963 was told when she was a freshman. It's all a put-on.
Mind-fucking Someone more screwed up than you but with more experience trying to lead you astray.
Heuristic. Something that's heuristic is a short-cut to learning something in a holistic way. Webster says, "valuable for empirical research but unproved or incapable of proof." Example: In an attempt to characterize the spending habits of millions of housewives, economists invented the heuristic device of supply-and-demand theory, which gave them an explanation, if not a perfect one. It gives them a conceptual framework in which to think about big things. "Heuristic" is a confusing jargon-word which you'll get hit with sooner or later.
Holistic. Not short-sighted; having visions of understanding the entire cosmos. Any religion which foresees the end of the world is probably Holistic.
New Solidarity. An ultra-radical newspaper published by the National Caucus of Labor Committees (NCLC, or nicklick). They preach a somewhat totalitarian brand of Marxism which doesn't appeal to wishy-washy liberals. Lately, they've been trying to physically eliminate the communist party, in retaliation for the latter's having "sold out" to fascists (or so they say).
nil. See "ville"
SAAS. Swarthmore Afro-American Society. In recent years, a very reclusive group. Change for the better is slow (and, we hope, sure).
steering committee. An elite group that guides policy-making for the larger group of which it is a part.
Stretch. A game played with a dining hall knife, a patch of soft earth, double-jointed hips, and tendons like silly putty.
Swarthmoron (also Swarthmorean) YOU:
townies people who live in the ville and come here to break beer bottles on all the bicycle paths and sneak into college movies so that they can throw spitwads from the balcony
townies from Ridley By popular prejudice, it is these townies and not the ones from the ville that cause the real trouble (vandalism, stealing) altho the campus security force never manages to catch anybody doing these things so they can test this suspicion.
T.P. (Toilet Paper) You're probably familiar with the role that toilet paper has played in your life up to now, but there's more in store. Scott Paper Company owns this college. Furthermore, every toilet stall in the college has hangers for two rolls. Invariably, some frustrated artist has come along and labeled one "Honors" and the other "Coarse." The college's educational program is patterned after the two-TP roll system, and it offers "Course" and "Honors" to upperclassmen. Students in course continue as usual and face comprehensives near the end. Students in honors sleep 'till noon and take two double-credit seminars, two afternoons per week. They don't get graded or tested until shortly before graduation. Then a team of outside examiners comes in to make sure that they really know everything about the field. In return for worrying about the outside examiners for two years, honors students are given lots of preferential treatment which keeps course students mad at the discriminatory system.
Ville. The town of Swarthmore, or the business district of Swarthmore (such as it is).
"The shortest route between any two points on campus is via your mailbox."
Best Wishes to '77 from CoTomato. C.M., J.S., T.S., D.K., R.L., R.K.
entire contents ©1973 by V.C. productions, ministry of education
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SAND, SEA, SUN
TRAVEL+LEISURE
It’s Summer
Get out there, burn those VACATION DAYS, and see the world.
Wellness-focused getaways from Spain to Thailand, St. Lucia to Mexico, to help you be a better you.
THE RICHES OF
It was gold, diamonds, topaz, and tourmaline that drew the Portuguese, centuries ago, to Brazil. Marcia de Sanctis follows in their footsteps, discovering bountiful nature.
ago, to Minas Gerais—one of the most abundant places in all of Brazil. reserves and romantic, colonial-era towns along the way.
PHOTOGRAPHS BY FELIX ODELL
The sun seared my shoulders as I climbed the sandy banks of an imperial topaz mine in Ouro Prêto, Brazil. All around me, men were digging with picks and shovels, in the hopes of plucking a prize from the earth. Miners greeted me with palms full of crystals colored like hard candy—cherry, lemon, and butterscotch. Imperial topaz, believed to bring prosperity, is my birthstone, so I couldn’t resist buying a few pieces to take home.
Ouro Prêto “lives off the sweat of other brows,” observed the explorer Richard Burton in 1869, when he was Britain’s consul in Brazil. For three centuries, men have dug the veins of Minas Gerais, the fourth-largest state in Brazil. The name means “general mines”—a tribute to the industry that once made Ouro Prêto, the state’s former capital, the largest and wealthiest city in the New World. Fortunes were fueled by diamonds, gemstones, and, eventually, iron ore, the shiny mineral that made the soil around my sneakers sparkle. But of all the treasures in these mountains, it was gold—the greed for it, and the incalculable human cost of extracting it—that drove the rise and fall of Ouro Prêto.
It was not yet 10 a.m. on my first day in Minas Gerais, and I was already immersed in the region’s history. The previous evening, my car from the airport in Belo Horizonte pulled into Ouro Prêto in darkness—for me, a claustrophobic way to arrive in an unfamiliar place. But when I awoke at Solar do Rosário, my hotel in the center of town, I was reinvigorated by the scent of eucalyptus in the air and the sight of a distant bell tower, stark white in the clear light of early morning.
I crossed a labyrinth of courtyards on my way to the lobby, where a breeze blew through rows of floor-to-ceiling windows. On the horizon, sun flared behind Itacolomi Peak. For breakfast, there were thick slices of mango, papaya, and watermelon. And cakes. Coconut cake, three different kinds of corn cake, condensed-milk cake, carrot
cake, chocolate cake. It augured well for the rest of my journey.
Ouro Prêto was to be my first stop in a three-part ramble through Minas Gerais, one of South America’s most underappreciated regions. I had visited Brazil in my twenties, when I had arrived with little more than a bikini and a pair of flip-flops. But this trip was not about the sands of Copacabana. I was here to immerse myself in the glory and the grief of Brazil’s colonial legacy and, at the end of the week, reflect on it all from an eco-resort in the jungles near Ibitipoca State Park, in the south of Minas Gerais.
My visit came at a time of political upheaval. A new, far-right president, Jair Bolsonaro, had been sworn in just a few weeks ahead of my trip. But Brazil has struggled for decades. The facts are disheartening: the country has the world’s highest murder rate; Bolsonaro’s two predecessors were embroiled in corruption scandals; the 2016 Rio Olympics were clouded by the Zika virus and an economic crisis. Such news can overshadow the country’s famed hospitality, the thrill of Carnival, Brazil’s geographical diversity and beauty. Its gold.
Brazilian schoolchildren know Ouro Prêto as a crucible of their national history. In the 1690s, mixed-race pioneers known as bandeirantes ventured from São Paulo and the coast to begin exploring Brazil’s interior. Along the way, many thousands of indigenous people were killed, captured, and displaced. Today, the surviving native communities mostly live in the north of Minas Gerais. The fortune hunters found black iron ore stones that turned out to be loaded with gold in Ouro Prêto (which means “black gold”). Settlers raced to the town, and its population quickly grew to 120,000—double that of New York City at the time.
In the late 1600s, the height of the Brazilian gold rush, there were more than 2,000 mines throughout the city, in which slaves toiled in airless tunnels. An estimated 4.5 million enslaved Africans were sent to Brazil to work—more than 10 times the number sent to North America. When Emperor Pedro II abolished slavery in 1888, he was the last leader in the Western world to do so. Today, Ouro Prêto is a shrine to the slaves who built the town, and the gilded visions of their overlords.
When the gold boom faltered in the mid 1800s, Ouro Prêto lost its position as the capital. “It became a ghost town,” explained my guide, João Batista de Souza. “People did not want to be reminded of their colonial past.” But in the 1920s, Brazilian artists and writers, searching for a symbol of Brazil’s national identity, found it in Ouro Prêto. In 1932 the government designated the town a national monument, and in 1980 it was named a UNESCO World Heritage site. Time preserved an architectural trove: 95 percent of the buildings are original, including 13 magnificent churches and nine chapels. (The Grande Hotel, designed in 1938 by Oscar Niemeyer two decades before he created Brasília, is the town center’s sole nod to Modernist architecture.)
The Portuguese designed Ouro Prêto to resemble the elegant cities of their homeland—with one crucial difference.
The town’s churches, all built by slaves, are vastly more decadent than their European counterparts. One-fifth of all gold mined in the region was seized by the crown, but whatever was used in service to the Lord could stay in Brazil. So the most celebrated artists of the day were enlisted to ornament these temples using gold and indigenous wood. Together, they created Barroco Mineiro, a uniquely extravagant style found only in this region. Around 900 pounds of gold and silver powder burnish the holy carvings inside the most lavish of them all, Basilica Nossa Senhora do Pilar. The sensation upon entering this sanctuary is unlike anything I have felt inside one of France’s grand stone cathedrals. There, I felt diminished. Here, faced with gilded cherubs, shells, and garlands, I was dazzled.
João led me to Praça Tiradentes, the kind of open space that invites one to drift, rather than walk, across it. The square is named for a local dentist turned insurgent who, inspired by the American and French Revolutions, steered a rebellion against royal rule. After his execution in 1792, his head was displayed in the center of the plaza. Today, his exploits are explained in the Museu da Inconfidência. Across the street, at a higher elevation, is the former Palácio dos Governadores, framed by fortifications and watchtowers. It is now a museum of mineralogy.
These days, gemstones are the essence of Ouro Prêto. At the upscale shop Ita Gemas, the owner, Rasmire Valarini, unveiled his specimens: a jumble of garnets and a galaxy of tourmaline, including the watermelon kind, half-pink, half-green. A twang of rapture spiked in me, and I bought one of each kind. “Everyone finds something beautiful when they come to Ouro Prêto,” Valarini said.
Sunshine poured over farms and cornfields as I set out by car toward the town of Tiradentes with João and Marcio Macedo, a regional specialist who was escorting me on this leg of the journey. On the way, we stopped at Congonhas to gape at the Santuário do Bom Jesus de Matosinhos, the Rococo masterpiece of Antônio Francisco Lisboa, one of Brazil’s greatest sculptors and architects. The son of a Portuguese man and his slave wife, Lisboa carved the 12 soapstone prophets outside the entrance of the church despite suffering from leprosy, using chisels and hammers tied to his disease-ravaged hands. His malady gave him his famous nickname: Aleijadinho, or “little cripple.”
Back in the car, we continued south along the Estrada Real, built during the gold rush to connect the inland mines with the port of Paraty. All was quiet until Marcio asked, “Do you know what is saudade?”—pronounced “sal-daj.” He explained that it was an untranslatable concept ingrained in Brazilian culture. “It is when you are missing something or someone and it hurts, but in a good way,” he said.
The drive to Tiradentes was long, and we were famished when we arrived at our hotel, Solar da Ponte. Mercifully, the salon was set for teatime, with baskets of pão de queijo, rolls prepared with manioc flour and cheese—first created in Minas Gerais, but today as ubiquitous throughout Brazil as the baguette is in France. Settled below the blade of the Serra de São José, Tiradentes felt instantly different, a place that draws energy from its present. The proprietor of Solar da Ponte, Ted Dirickson, is the son of the original owners, a Brazilian woman and her English husband, who in 1971 transformed an unfinished country manor into a genteel inn. The hotel is fresh and airy, and though regionally made wooden furniture lines the halls and landings, it feels pleasantly uncluttered. The ground floor encircles a dense, orchid-filled tropical
garden. I could smell the orange blossoms. Tiny marmosets made birdlike sounds in the trees.
“We are an interesting mix of traditional and cosmopolitan,” said Dirickson, describing both his hotel and the town his parents are credited with reviving. They spread the word to sophisticates in Rio and São Paulo about Tiradentes’s pastel-colored houses and Rococo churches, built in the 18th century but bypassed by the next two. “The people who came were considerate of local culture,” Dirickson told me. “You can feel it in the street.”
A guitarist strummed Bach’s “Bourrée” as I crossed the main square, Largo das Forres, trying to keep my footing on the uneven stone streets. I stopped at Entrepôt du Vin, a bar that had tables spilling onto the sidewalk outside. The server poured a glass of deep red Mineiro wine, and I ordered guava paste with soft local cheese. Jacaranda and birds-of-paradise bloomed against rows of white houses. A horse clopped up the middle of the street, no owner in sight.
Layers of culture thrive here in the high-design furniture and linen shops and emporiums stacked with jars of peppers and doce de leite. Everywhere I went, the town urged me to look up, at marvels like the towering Igreja Matriz de Santo Antônio. It’s another Aleijadinho masterpiece, with a grand gold interior that includes an organ shipped from Portugal and hauled in by donkeys in 1798.
The most unexpected pleasure was Mineiro cuisine, a triptych of Portuguese, indigenous, and African flavors. The town is the gastronomic capital of Minas Gerais and, some say, the whole of Brazil. At Tragaluz, a restaurant that felt nearly Parisian in its refinement, I ate duck foie gras, polenta, and confit of tender guinea hen.
Saturdays are the only day Brazil’s suckling-pig king Luiz Ney de Assis Fonseca serves his signature dish in the courtyard of Villa Paolucci, a hotel he owns. He prepared his “pururuca” (an onomatopoeic term roughly translated as “snap, crackle, pop,” for the sound of pork skin crisping up) by brandishing a contraption resembling a space heater directly on the pig, which had been roasted for seven hours after marinating for seven days. Tender meat, crunchy skin, and Luiz Ney’s grandmother’s versions of Mineiro all-stars such as farofa (toasted manioc flour) and buttery mashed potatoes completed my meal. A warm mist began to fall as Luiz Ney observed his sated guests with delight. “For me, food is about celebrating,” he said.
So is cachaça, Brazil’s national spirit, stirred with fruit juice and sugar to make caipirinhas. Small-batch cachaça production is booming in Minas Gerais, and after a tour of Mazuma Mineira’s cane fields and copper alembic stills, I sampled a cachaça aged in an American oak barrel. The
Miners greeted me with palms full of crystals colored like hard candy—cherry, lemon, and butterscotch.
sweetness of coconut, vanilla, and banana lasted until lunch.
During the afternoon car ride, we found out about a deadly dam collapse about 90 miles away, in the town of Brumadinho. Mineral extraction continues centuries after the gold cycle ended, and today Minas Gerais is the second-largest producer of iron ore in the world. As I read the reports of the most catastrophic mining disaster in the nation’s history, it was clear that Brazil’s tradition of exploiting workers was alive and well. “Nothing has changed. In fact it has gotten worse,” explained Deolinda Alice dos Santos, a cultural historian I met in Ouro Prêto. “The mine owners are more greedy now and even less concerned about safety.”
When I reached Reserva do Ibitipoca, a glamorous eco-lodge set on a nature reserve, I was stiff from the drive and downbeat from the news. I took a walk to the nearest waterfall, one of many on the 12,000 acres of private property belonging to Renato Machado, who also owns the hotel. Cherries and wild pineapple appeared in bursts along the trail. The smell of white lilies was overpowering, like the perfume my eighth-grade boyfriend gave me. My guide, Junior Vicente, picked a cluster for my room.
Amid the peeps of canaries carousing in the trees outside, manager Nadja Hofmann related the apocryphal tale that the water here is so rich in health-giving minerals that each dip in a waterfall would add 20 minutes to my life. The next day, Junior led me on an eight-mile hike so I could be pummeled under six of the cascades that sit on hotel land. So pure is the ice-cold water, metal cups for drinking hang from nearby branches.
Late in the day, Junior led me to a hillside and handed me two ripe guavas. I ate them like apples, skin and all. Juice dripped down my arms as the yellow light cast shadows behind metal sculptures by Oakland-based artist Karen Cusolito, which Renato collects. A wealthy Mineiro, he bought his first parcel of land adjacent to Ibitipoca State Park in 1981 and since then has been passionately expanding his social and environmental experiment throughout these hills.
The hotel itself has three parts—the main house, a private villa, and the 11-room Engenho Lodge, where I stayed. Renato opened the art-strewn Engenho in 2009 and designed it according to his own tastes as a traveler. “I hate big hotels,” he said. “I like small places that feel close to local habits and traditions.” The reclaimed-wood floorboards are wide and the ceiling is high, to let the air circulate on sultry days. My bedsheets were cool Egyptian cotton. The service was subtle but flawless. It’s the kind of place where luxury feels easy.
Renato is already realizing his vision to create opportunities and livelihoods for nearby communities, and is aiming, eventually, for total food, water, and energy sustainability on his land. At present, 60 percent of the food served in the lodge is grown on the property. Renato and his teams of botanists and biologists are restoring indigenous forest and reintroducing animals such as the muriqui monkey. “This is not about preserving what is left, but rewilding it, to bring nature back,” he explained.
I did yoga and rode an electric bike, but I would have been happy just to stroll around the lodge, drink watermelon nectar, and decipher the music of 350 different birds. I was so cocooned in peace that leaving felt like a physical wrench. I sat back in the car, listening to the new driver’s playlist. “Do you know Gilberto Gil?” he asked about Brazil’s iconic musician. “The song is ‘Toda Saudade.’ Do you know what is saudade?”
I thought about what I was leaving and what I would long for back in snowy New England. Mounds of topaz that bring good luck. Bright cathedrals that hold dark stories. Waterfalls that added two hours to my life. Chocolate cake for breakfast.
“Yes,” I said. “I do.”
Visiting Colonial Brazil
Set aside a week to see the historic towns and unspoiled landscapes of Minas Gerais.
Getting There
United (united.com), Delta (delta.com), and American Airlines (aa.com) offer nonstop service from New York City to São Paulo. The flight to Belo Horizonte takes about an hour. From there, it’s a two-hour drive to Ouro Prêto; Ibitipoca is another five hours. As of June 17, U.S. passport holders will no longer need a visa to travel to Brazil.
Ouro Prêto
Hotel Solar do Rosário (hotelsolardorosario.com; doubles from $97) is set in a carefully restored 1840 building with original tiled floors, antique wooden fixtures, and elegant four-poster beds.
Tiradentes
Solar da Ponte (solardaponte.com.br; doubles from $117) has the air of a chic friend’s country house. The restaurant serves only breakfast and tea, but it’s just a short walk to the restaurants in town. The refined Tragaluz (tragaluztiradentes.com.br; entrées $7–$13) serves European dishes like polenta and confit of guinea hen. Chef Rodolfo Mayer’s chic Angatu (angatutiradentes.com; tasting menus from $63) was voted one of the 50 best restaurants in Brazil. Be sure to make a reservation for Saturday pururuca pork roast by chef Luiz Ney (pururucadetiradentes.com.br).
Reserva do Ibitipoca
Days at this luxurious eco-resort are spent hiking, biking, and swimming in waterfalls on the adjacent nature reserve. There’s also a spa and a restaurant run by chefs who trained with the Rio-based French chef Claude Troisgros. ibiti.com; doubles from $615.
Tour Operator
Naya Traveler is owned and run by women. Marta Tucci, one of its founders, can curate any itinerary through Minas Gerais. nayatraveler.com; seven-day trips from $6,000.
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Spring into Health Festival
27 April to 6 May 2019
10 days of healthy spring-time activities for all the family
East Hampshire District Council
Welcome to the Spring into Health Festival celebrating Whitehill & Bordon’s Healthy New Town (HNT) programme.
The week-long festival will run from Saturday 27 April to Monday 6 May and will show off many of the fun activities on offer for people in the town to promote healthy living and gives everyone the chance to try out new sports and activities.
There is a huge variety of things to do. Choose an activity that takes your fancy, contact the organiser, sign-up to a few taster sessions and give it a go… try something new.
We hope you find this guide useful and that you get into staying healthy this spring and enjoy a summer of fun in Whitehill & Bordon.
Contact Us
Whitehill & Bordon Team at East Hampshire District Council
01730 234329
email@example.com
www.whitehillbordon.com/healthy
@whitehillbordon
facebook.com/whitehill.bordon
Whitehill & Bordon A Healthy New Town
Nearly three years ago, Whitehill & Bordon was selected by NHS England as one of 10 towns across England to be part of a national pilot that aims to show how towns can be designed to make it easy to be healthy. EHDC has worked with a range of partners to bring lots of fantastic opportunities for residents of all ages to be active, eat more healthily, improve their mental health and get out and about in the town.
The Spring into Health Festival will give local people the chance to celebrate these initiatives and discover the many sports and activities clubs on offer right on their doorstep.
To find out more about Whitehill & Bordon’s Healthy New Town programme visit www.whitehillbordon.com/healthy
Target 500
We want to get 500 residents to sign-up for at least one of the regular activities or local clubs and to achieve a healthier lifestyle.
Get along to one of the many free events, taster sessions or regular activities and give it a try, if you like it you can sign-up and help us reach our target.
Send us a selfie
...for a chance to win a £100 LOVE2SHOP voucher
All you have to do, to be in with a shout, is take a selfie of yourself taking part in one of the activities and upload it to Twitter or Facebook using the hashtag #SpringintoHealthWB - we will pick the best selfie at the end of the week and they will win the prize.
SATURDAY 27 APRIL
Hogmoor Inclosure parkrun
Organised weekly runs
9am
Hogmoor Inclosure
www.parkrun.org.uk/hogmoorinclosure
Bootcamp
Group physical training program to build your fitness and endurance
Anytime Fitness
10am
BOSC Pavilion, Bolley Avenue, GU35 9HG
firstname.lastname@example.org
01420 502247
Mon-Thurs 10am-8pm, Fri 10am-6pm,
Weekends 10am-4pm
www.facebook.com/AnytimeFitnessBordon
www.anytimefitness.co.uk/gyms/uk-0367
Wellbeing and Mindfulness
Come and learn about how ‘Coaching’ Neuro-linguistic Programming (NLP) techniques and some mindful activities can enhance wellbeing, and find out more about the new ‘RECHARGE’ wellbeing group. Nikki Bonner
2pm-4pm
BOSC Pavilion, Bolley Avenue, GU35 9HG
Contact Nikki on 07956 908419
email@example.com
www.justbenlpandcoaching.co.uk
www.facebook.com/JustBeNLP
Yoga Talk
Yoga Talk on the outstanding physical, mental well-being and balancing benefits of yoga.
Yoga can reduce stress, support overall health, improve physical fitness as well as satisfy spiritual needs.
G.P’s are increasingly recommending yoga and it is likely that soon it will be endorsed by social prescriptions from our health service.
This talk may be of particular interest to parents of teens, younger people and adults, as modern life brings with it high levels of stress, anxiety, mental health concerns, sleep deprivation, weight issues and low energy levels.
2-3pm
BOSC Pavilion, Bolley Avenue, GU35 9HG
Contact Naz 07400 500600
firstname.lastname@example.org
www.yoganow.uk
Wellbeing Afternoon
Meet with Sue Ellis and learn the benefits of Reiki.
Book your free taster session.
1pm-4pm
BOSC Pavilion, Bolley Avenue, GU35 9HG
Contact Sue 07877 257437
email@example.com
Reflexology
Come along and find out more about how reflexology can benefit your whole family, from birth to 99!
2.30pm-4pm
BOSC Pavilion, Bolley Avenue, GU35 9HG
Contact - firstname.lastname@example.org
www.littlebirdreflexology.co.uk
Football
Wey Valley Football Club
9am
Mill Chase Rec, Mill Chase Rd, GU35 0EU
Contact Dave Blanchard 07974 048660
www.wvycfc.org
Cricket
BOSC Pavilion is open to the public all day to watch the matches
Every fortnight from 1pm
Headley Cricket Club
BOSC Pavilion, Bolley Avenue, GU35 9HG
Contact Ashley 07966 389769
www.headleycricketclub.co.uk
Cooking up a storm
MasterChef 2012 winner Shelina Permalloo will be at Café 1759 with a delicious food demo. All invited – you’ll get to try some of her Mauritian inspired dishes and tips on how to recreate them at home
2pm
Café 1759, Bordon, GU35 0FP
Contact 01420555970
email@example.com
www.cafe1759.co.uk
Aim Clinic
Open day with free/complimentary one-to-one fifteen minute discovery sessions with chiropractor, homeopath and nutritionist/health coach. Limited availability.
10am-1pm
Contact Patrick on 07507 148533
Chocolate Frog, Oakhanger Farm Business Park, GU35 9JA
Walkies
Monthly dog walking group in the Bordon Inclosure
10.30am-11.30am
Deadwater Valley Trust (DVT)
Bordon Inclosure, Chase Rd, GU35 ORR
Meet at the car park
www.deadwatervalleytrust.co.uk
Roller Disco
5pm-9pm
Whitehill and Bordon Regeneration
Roller Rink, Commercial Park
Contact 07540 053179/07521 303177
www.bordonrollerrink.co.uk
Dance, Dance, Dance
A range of lessons and classes to suit all ages, abilities and a variety of styles. Dance styles include Ballroom (Waltz, Tango, Foxtrot, Viennese Waltz and Quickstep), Latin American (Samba, Rumba, Paso Doble, Cha Cha Cha and Jive), Freestyle, Rock & Roll and Slow.
8am-12.45pm
Forest Community Centre,
Pinehill Rd, GU35 0BS
Contact MD Dance 07810 208765
firstname.lastname@example.org
www.forestcommunitycentre.co.uk
Cricket match
Grayshott IIs v Puttenham IIs
Pavilion is open to the public all day to watch the matches
Every fortnight from 1pm
Broxhead Pavilion, Lindford, GU35 0NY
www.broxheadpavilion.co.uk
Boogie Bounce
Bouncing trampoline exercise to music. Free Taster session with Gemma Huxhan
10am- 11am
Si:IGNAL
Martinique House, Camp Road, GU35 0HJ
www.signalbordon.org
Contact 07547 748062
www.facebook.com/BoogiebounceMedsteadAltonandBordon
Open Weekend
Anytime Fitness opens its doors for tours of the club and use of the facilities for the whole weekend
Saturday and Sunday 27th-28th May.
Taster classes available for 20 minute sessions run back to back (Times to be announced) Plus an exclusive 50% off the month for people who sign-up on the weekend.
10am-4pm both days
Anytime Fitness
Forest Centre, Pinehill Road, GU35 0TN
email@example.com
01420 502247
Mon-Thurs 10am-8pm, Fri 10am-6pm,
Weekends 10am-4pm
www.facebook.com/AnytimeFitnessBordon
www.anytimefitness.co.uk/gyms/uk-0367
Cricket coaching for U10s and U11s
10am-11.30am
Boys and Girls Welcome
Broxhead Pavilion, Lindford, GU35 0NY
Sunday 28 April
Cricket Taster Day
Junior (Ages 7 to 15)
11.30am - 1pm
BOSC Pavilion, Bolley Avenue, GU35 9HG
Contact Ashley 07966 389769
www.headleycricketclub.co.uk
Dynamic Flow Yoga
Free taster event for those with some experience or with a reasonable level of mobility or fitness.
Not for the faint hearted
10.30-11.30am
BOSC Pavilion, Bolley Avenue, GU35 9HG
Contact Naz 07400 500600
firstname.lastname@example.org
www.yoganow.uk
Open Weekend
Anytime Fitness opens its doors for tours of the club and use of the facilities for the whole weekend
Saturday and Sunday 27th-28th April.
Taster classes available for 20 minute sessions run back to back (Times to be announced) Plus an exclusive 50% off the month for people who sign-up on the weekend.
10am-4pm both days
Anytime Fitness
Forest Centre, Pinehill Road, GU35 0TN
email@example.com
01420 502247
Mon-Thurs 10am-8pm, Fri 10am-6pm,
Weekends 10am-4pm
www.facebook.com/AnytimeFitnessBordon
www.anytimefitness.co.uk/gyms/uk-0367
Football fun day
11am-3pm
Wey Valley Football Club fun day and activities supported by Core Sports and Bordon & Whitehill Town Partnership
Mill Chase Rec, Mill Chase Rd, GU35 0EU
Contact Dave Blanchard 07974 048660
www.wvyc.org
MONDAY 29 APRIL
Movement and music
Free taster session for adults with learning/physical disabilities including dementia. Gentle, enjoyable group exercise (can be chair based) and music using hand held instruments with Elizabeth Blake, Phoenix Dance Officer. Fully accessible ground floor activity space and ample free parking.
10am - 11am
Phoenix Theatre, Station Rd, GU35 0LR
Contact firstname.lastname@example.org
www.phoenixarts.co.uk
Dance to fitness
A fun, feel good dance-based workout with easy to follow moves using a variety of dance styles and great music. No previous experience necessary. Teacher - Elizabeth Blake, Phoenix Dance Officer.
£5/ £4 concs. Loyalty card scheme - do 4 classes and get the 5th one free!
7:15 - 8:15pm
Phoenix Theatre, Station Rd, GU35 0LR
Contact email@example.com
www.phoenixarts.co.uk
Whitehill Village Hall
Regular activities
10.15-11.15am Diddidance (term-time only)
2-4pm U3A Meeting
6.30-8pm Pilates
6.30-8pm Tai Chi (term-time only)
Whitehill Village Hall, Sutton Field, Bordon, GU35 9BW
www.whitehillvillagehall.co.uk
Phoenix Tweedle Tots
A weekly (term-time) group for pre-schoolers and their grown-ups. Relaxed and informal, a place for socialising, playing and activities. £2.50 donation, or whatever is affordable to the family.
9.30am-11am
Phoenix Theatre, Station Rd, GU35 0LR
www.facebook.com/thephoenixbordon
Handmaidens
Regular Event A monthly craft group. Second Monday in the month. Relaxed and informal, suitable for all abilities. Donations towards cake, coffee/tea and occasional materials.
7.30pm- 10pm
Phoenix Theatre, Station Rd, GU35 0LR
www.facebook.com/thephoenixbordon
Hatha Yoga
Regular weekly class but newcomers always welcome.
10.30am -12noon
Broxhead Pavilion
Contact Sue Tupper 07946 078559
firstname.lastname@example.org
www.broxheadpavilion.co.uk
Walking for Health
10.30am
Whitehill Village Hall
www.walkingforhealth.org.uk/content/bordon-weekly-walk
Mixed Pilates
Regular Event (fully booked currently, waiting list available)
6.30 - 7.30pm
Whitehill Village Hall
Contact Jodie 07921065797
www.whitehillvillagehall.co.uk
Power Pilates
30mins of intense workout
7.30-8pm
Whitehill Village Hall
Contact Jodie 07921065797
www.whitehillvillagehall.co.uk
Farnham Hockey Club
6pm-8pm
Roller Rink - Whitehill and Bordon Regeneration Commercial Park
Contact Dave 07540 053179 or 07521303177
www.bordonrollerrink.co.uk
1st Blackmoor & Whitehill Scout Group
Explorers (Age 14-18) The scout group has agreed to open their doors for the section meetings during that week
7.30-9.30pm
Blackmoor Village Hall
scouts.org.uk/get-involved/groups/1st-blackmoor-whitehill
CobraFit
High energy classes
7pm-7.45pm
Lindford Village Hall
Contact Maricar Manipo
email@example.com
www.lindfordpc.org.uk
Tea dance
Ballroom, latin, social sequence and lots more. £4.00 per person - tea, coffee and cake included
2pm-4.30pm
Forest Community Centre
www.forestcommunitycentre.co.uk
MD Dance
We offer Ballroom, Latin American, Freestyle and Rock’n’Roll
Dance for all ages from 3 upwards
5pm-6.15pm
Forest Community Centre
firstname.lastname@example.org
07810 208765.
www.forestcommunitycentre.co.uk
Mill Chase Leisure Centre
Group Exercise Programme
11.15am-12noon 50+ Aqua Aerobics
6pm-7pm Body Balance
7pm-7.45pm Aqua Natal
7-8pm Legs, Bums & Tums
Contact 01420 472549
Mill Chase Road, Bordon, GU35 0ER
www.everyoneactive.com/centre/mill-chase-leisure-centre
ENERJIVE
Weekly Smooth Jive classes for beginners to the more experienced.
Come and learn the smooth side of modern Jive.
No partner required.
8-11 pm
Forest Community Centre
Contact Cliff 07703 444976
www.forestcommunitycentre.co.uk
Pilates
Taster event with Jodie Gibbs
9.30-10.30am
Contact SiGNAL – 01420 556335 SiGNAL
Martinique House
Camp Road, GU35 0HJ
www.signalbordon.org
Zumba
with Natalie Clinkard
7-8pm
Contact Natalie on 07713 033199
email@example.com
www.zumba.com
Contact SiGNAL – 01420 556335
SiGNAL Martinique House
Camp Road, GU35 0HJ
www.signalbordon.org
Bootcamp Fitness
with Luke Young
8-9pm
Contact Natalie on 07713 033199
firstname.lastname@example.org
SiGNAL Martinique House
CONTACT SiGNAL – 01420 556335
SiGNAL Martinique House
Camp Road, GU35 0HJ
www.signalbordon.org
U3A Board and Card Games, Creative Writing, Poetry and Play Reading
Contact Beryl Parsons 01420 475184 for location and details
TUESDAY 30 APRIL
Hatha Yoga
Regular weekly class but newcomers always welcome
10.30am - 12noon
Broxhead Pavilion, Lindford, GU35 0NY
Contact Sue Tupper 07946 078559
email@example.com
www.broxheadpavilion.co.uk
Dynamic Flow Yoga
Free taster event for those with some experience or with a reasonable level of mobility or fitness.
Not for the faint hearted
6.30-7.30pm
Broxhead Pavilion, Lindford, GU35 0NY
Contact Naz 07400 500600
firstname.lastname@example.org
www.yoganow.uk
Whitehill Village Hall
Regular activities
9.30 -11.30am
Babies & Toddlers Group {term-time only}
7.30 - 8.30pm BodiBlitz
Whitehill Village Hall, Sutton Field, Bordon, GU35 9BW
www.whitehillvillagehall.co.uk
Dance picnic
A gentle, low impact dance class to improve fitness, strength and mobility whilst having fun and meeting new people. Suitable for mature people. No experience needed. £4.50 including refreshments
11.15am - 12.15pm
Phoenix Theatre
www.phoenixarts.co.uk
Farnham Hockey Club
6pm-8pm
Roller Rink - Whitehill and Bordon Regeneration Commercial Park
Contact Dave 07540 053179 or 07521 303177
www.bordonrollerrink.co.uk
Skape Goats
8pm-9.30pm
Roller Rink - Whitehill and Bordon Regeneration Commercial Park
Contact Dave 07540 053179 or 07521 303177
www.bordonrollerrink.co.uk
Cubs (Age 8-10)
1st Bordon Scout Group
6-7.30pm
Mustangs, Budds Lane, GU35 0JE
scouts.org.uk/get-involved/groups/1st-bordon-(garrison)#&panel1-1
Scouts (Age 10-14)
1st Blackmoor & Whitehill Scout Group
7-9pm
Blackmoor Village Hall, Honey Lane, GU33 6BS
scouts.org.uk/get-involved/groups/1st-blackmoor-whitehill#&panel1-1
Circuit training
Trim Fitness cardio and resistance training to boost muscle power and fitness. 7pm
Lindford Village Hall, Sycamore Rd, GU35 0RD
Contact Suzanne Trim
email@example.com
www.lindfordpc.org.uk
Mature Movers
Exercise classes for the over 60’s or less able of any age. Aiming to improve stability and stamina, strength and mobility in a fun and sociable environment.
2-3pm
Forest Community Centre, Pinehill Rd, GU35 0BS
Contact 01730 234015
www.easthants.gov.uk/getactive
Mill Chase Leisure Centre
Group Exercise Programme
9.30-10.25am Aqua Aerobics
6-7pm Circuits
6.10 -7pm Yoga
7.15-8.10pm Aqua Aerobics
Contact 01420 472549
Mill Chase Road, Bordon, GU35 0ER
www.everyoneactive.com/centre/mill-chase-leisure-centre
MD Dance
We offer Ballroom, Latin American, Freestyle and Rock’n’Roll
Dance for all ages from 3yrs upwards
4pm-8.30pm
Forest Community Centre,
Pinehill Rd, GU35 0BS
firstname.lastname@example.org
07810 208765.
www.forestcommunitycentre.co.uk
Fit Steps
Fun ballroom dance-exercise class, with Trace. Created by strictly professionals. No dance experience or partner required.
6pm-6.30pm
BOSC Pavilion, Bolley Avenue, GU35 9HG
Contact Tracey 07887 700045
www.fitstepswithtracey.co.uk
‘Personal Trainer consultations’ and ‘Wellness Product’ samples
with Sara Jane Ladums
1pm-5pm
Contact SiGNAL – 01420 556335
SiGNAL Martinique House
Camp Road, GU35 0HJ
www.signalbordon.org
Boogie Bounce
Bouncing trampoline exercise to music with Gemma Huxhan
6.30pm - 8.30pm
SiGNAL
Martinique House, Camp Road, GU35 0HJ
www.signalbordon.org
Contact 07547 748062
www.facebook.com/BoogiebounceMedsteadAltonandBordon
Wednesday Walkers
Our weekly Wednesday walkers meet at the Local Nature Reserve car park on Conde Way and then head out to explore local walks. We usually head off elsewhere but this walk will take place in and around the Local Nature Reserve/Bordon Inclosure.
Check website for times.
Bordon Inclosure – DVT
www.deadwatervalleytrust.co.uk
Dance to fitness
Dance studio, The Phoenix Theatre & Arts Centre, Station Rd, Bordon GU35 OLR. A fun, feel good dance-based workout with easy to follow moves using a variety of dance styles and great music. No previous experience necessary.
7.15pm - 8pm. Phoenix Theatre
Please email email@example.com to book a free taster place. Teacher - Elizabeth Blake, Phoenix Dance Officer
www.phoenixarts.co.uk
Mill Chase Leisure Centre
Group Exercise Programme
10-10.55am Aqua Aerobics
6-7pm Legs, Bums & Tums
6.30-7pm Hitt
7.15-8pm Aqua Aerobic 1/2 Pool
7-8pm Zumba
Contact 01420 472549
Mill Chase Road, Bordon, GU35 0ER
www.everyoneactive.com/centre/mill-chase-leisure-centre
Kids Yoga (Age 5-11)
Come and enjoy moving like animals, birds, shapes. Let yourself play and relax.
4pm - 5pm
BOSC Pavilion, Bolley Avenue, GU35 9HG
Sue Tupper 07946 078559
firstname.lastname@example.org
Petanque
Regular Event (Fortnightly) U3A
1.30-3.30pm
BOSC Pavilion, Bolley Avenue, GU35 9HG
Contact Beryl Parsons 01420 475184
Phoenix Twirlstars
A local group established in 1993 teaching baton twirling group in a safe and open environment
7pm-9pm
Forest Community Centre
Contact email@example.com
www.forestcommunitycentre.co.uk
Disability Arts
Drumming. Group music session suitable for adults with learning/physical disabilities. £5. Carers free of charge.
11am-12noon and 12.30pm - 1.30pm
Phoenix Theatre
www.phoenixarts.co.uk
Dunamis Dynamite
9pm-10.30pm
Roller Rink - Whitehill and Bordon Regeneration Commercial Park
Contact Dave 07540 053179/07521 303177
www.bordonrollerrink.co.uk
Parent & baby Exercise class
40 min workout followed by complimentary refreshments, meet and play. £4 per class or special offer £30 for a 10-week term
10.30-11.30am
Forest Community Centre
Contact: Natalie 07595 356245
www.forestcommunitycentre.co.uk
Steady & Strong
A very friendly 1-hour class for older adults (men and women) who wish to improve their balance, strength and stamina. Exercises are performed in standing and seated positions, followed by refreshments and a chat. £4.50. Before exercising, participants are asked about their health, to ensure they are safe to exercise.
1pm-3pm Forest Community Centre
Contact Paula Haidon
firstname.lastname@example.org
07504 428471
www.forestcommunitycentre.co.uk
Whitehill Village Hall Regular activities
5.15 - 7pm 3rd Bordon Brownies (term-time only)
7.30 - 10.30pm Bordon Bridge Club [1st Wed in Activity Room]
7.30 - 10pm Blackmoor & Whitehill WI (1st Wed not Aug)
Whitehill Village Hall, Sutton Field, Bordon, GU35 9BW
www.whitehillvillagehall.co.uk
**Fit Steps**
7.30pm-8.30pm
Mill Chase Everyone Active
Contact Tracey 07887 700045
www.fitstepswithtracey.co.uk
www.everyoneactive.com
**Massage Therapy with James Morphet**
9am-5pm
SiGNAL Martinique House
CONTACT SiGNAL – 01420 556335
SiGNAL Martinique House
Camp Raad, GU35 0HJ
www.signalbordon.org
**Pilates**
Regular Event with Louise Gilbertson
Mat Classes for Improvers
10-11.30am
Broxhead Pavilion, Lindford, GU35 0NY
**Pins and Needles**
U3A
Contact Beryl Parsons 01420 475 184 for timings and location
**Mill Chase Leisure Centre Group Exercise Programme**
6.30-7.30pm Aerobics
7.40-8.30pm Body Balance
Contact 01420 472549
Mill Chase Road, Bordon, GU35 0ER
www.everyoneactive.com/centre/mill-chase-leisure-centre
---
**THURSDAY 2 MAY**
**Musical Windmills**
In association with Barnardos in the Hogmoor Inclosure A free event for babies and carers to come along and enjoy a toddler in the fresh air.
10.30-11.30am
Hogmoor Inclosure DWVT and Barnardos
www.deadwatervalleytrust.co.uk
**Spitfires**
7.30pm-9pm
Roller Rink - Whitehill and Bordon Regeneration Commercial Park
Contact Dave 07540 053179 or 07521 303177
www.bordonrollerrink.co.uk
**Roller Rink - Schools Open Day Event**
Schools from the local area have been invited to enjoy our free Floor Ball Taster Event
Roller Rink Whitehill & Bordon Regeneration Commercial Park
For more information contact Dave 07540 053179 or 07521 303177
www.bordonrollerrink.co.uk
**U3A**
Social Rubber Bridge – For location and timings contact Beryl
Contact Beryl Parsons 01420 475 184
Pilates
Pilates aims to strengthen all areas of the body with particular emphasis on core strength to improve general fitness and wellbeing. (fully booked currently, waiting list available)
9.30-10.30am
Phoenix Theatre
Contact Jodie Gibbs Farrow
07921 065797
www.phoenixarts.co.uk
Disability Arts
Movement and Music. Gentle, enjoyable group exercise (can be chair based) and music using hand held instruments. Suitable for adults with learning/physical disabilities, including dementia. £4.50/£5 including refreshments. Carers free of charge. Phoenix Theatre
10am -11am and 11am-12noon
www.phoenixarts.co.uk
Teen Yoga (Ages 11-18)
Free Taster Event Come and enjoy guided movements, breathing and relaxation.
5pm-6pm
BOSC Pavilion
Contact Sue Tupper 07946 078559
email@example.com
Hatha Yoga
Gentle yoga session available to all levels & ages. Come and move in guided postures, breath well and relax.
6.30pm - 7.30pm
Broxhead Pavilion
Contact Sue Tupper 07946 078559
firstname.lastname@example.org
www.broxheadpavilion.co.uk
Runny Honeys
A friendly and supportive women’s running club
Contact Sue 07776 233125
www.runnyhoneys.com/bordon
Beavers (Age 6-8)
1st Bordon Scout Group
5.45pm – 7pm
1st Bordon Scouts are also happy to open their doors, contact below to confirm venue.
scouts.org.uk/get-involved/groups/1st-bordon
LINC CAFÉ AND TIMEBANK
Meet new friends! Learn new skills
10am-12noon
Forest Community Centre
Contact Ingrid 07772 351922
www.wbcommunitytrust.co.uk/event/woolmer-forest-timebank-coffee-morning/
Whitehill Village Hall
Regular activities
3.30 - 5pm Slimming World
5.30 - 7pm Slimming World
7.30 - 10pm Slimming World
Whitehill Village Hall, Sutton Field, Bordon, GU35 9BW
www.whitehillvillagehall.co.uk
Youth Drop-in
See Forest Centre Community noticeboard for details
Regular Event
2pm–5pm
Forest Community Centre
www.forestcommunitycentre.co.uk
Yoga
Regular Event - with Yoga now – 9.30am-11am
Broxhead Pavilion, Lindford, GU35 0NY
Contact Naz 07400 500600
email@example.com
www.yoganow.uk
Adult Reflexology
Free Taster Event - with Holly Ballard between 10am-2pm
SiGNAL Martinique House
CONTACT SiGNAL – 01420 556335
SiGNAL Martinique House
Camp Road, GU35 0HJ
www.signalbordon.org
Boogie Bounce
Bouncing trampoline exercise to music. Free Taster session with Gemma Huxhan 7pm-9pm
SiGNAL
Martinique House, Camp Road, GU35 0HJ
www.signalbordon.org
Contact 07547 748062
www.facebook.com/BoogiebounceMedsteadAltonandBordon
FRIDAY 3 MAY
Tots Ramble
Regular Event Free our monthly Tots group in the Hogmoor Inclosure. A woodland walk with free snack and craft for little ones. Tea and coffee for adults £1. 10am-12noon Hogmoor Inclosure - DVT
www.deadwatervalleytrust.co.uk
Roller Rink
6.00pm-7.30pm Warriors
7.30pm-9pm Bordon Bears
8.30pm-10.30pm Falcons
Whitehill and Bordon Regeneration Commercial Park
07540 053179/07521 303177
www.bordonrollerrink.co.uk
Forest Monkeys
Parent & Toddler Group
10am-11.30am
Forest Community Centre
Contact Forest Community
01420 488978
www.forestcommunitycentre.co.uk
www.facebook.com/pages/Forest-Monkeys-Parent-and-Toddler-Group/115083808642606
E-bike test ride
Book an hour-long e-bike guided test ride Bookings must be made in person at the shop. Please bring photo ID and debit card for identity verification.
Cycle Sphere Limited
High Street, Bordon, GU35 0AY
01420 470331
www.cyclesphere.co.uk
www.letsride.co.uk
www.facebook.com/cyclesphere.co.uk
Mill Chase Leisure Centre
Group Exercise Programme
6pm-7pm Legs, Bums & Tums
Contact 01420 472549
Mill Chase Road, Bordon, GU35 0ER
www.everyoneactive.com/centre/mill-chase-leisure-centre
Hatha Flow Yoga
For beginners and those with some experience.
No Yoga experience necessary
9.30am-11am
Phoenix Theatre & Arts Centre,
Station Road, Bordon, GU35 0LR
Contact Naz 07400 500 600
firstname.lastname@example.org
Register at www.yoganow.uk
Art & Craft Group
A weekly group.
Participants bring their own crafts.
An opportunity to meet others and learn new skills. £2.00 includes refreshments –
10am-12noon
Forest Community Centre
Contact Forest Community 01420 488978
www.forestcommunitycentre.co.uk
Cricket coaching for U10s and 11s
10am-11.30am
Boys and Girls Welcome
Broxhead Pavilion, Lindford, GU35 0NY
Health Coaching
with James Morphet
9am-5pm
SiGNAL Martinique House
CONTACT SiGNAL – 01420 556335
SiGNAL Martinique House
Camp Road, GU35 0HJ
www.signalbordon.org
Whitehill Village Hall
Regular activities
9-10.30am Slimming World
11am-12.30pm Slimming World
2-4pm U3A Skittles (1st & 3rd Fri)
Whitehill Village Hall, Sutton Field, Bordon, GU35 9BW
www.whitehillvillagehall.co.uk
Massage Therapy
with Bryony Alford
10am-5pm
SiGNAL Martinique House
CONTACT SiGNAL – 01420 556335
SiGNAL Martinique House
Camp Road, GU35 0HJ
www.signalbordon.org
SEND US A SELFIE
...for a chance to win a £100 LOVE2SHOP voucher
All you have to do is be in with a shout is take a selfie of yourself taking part in one of the activities and upload it to Twitter or Facebook using the hashtag #SpringintoHealthWB - we will pick the best selfie at the end of the week and they will win the prize.
Hogmoor Inclosure parkrun
Organised weekly runs
9am
Hogmoor Inclosure
www.parkrun.org.uk/hogmoorinclosure
Roller Disco
5pm-9pm
Whitehill and Bordon Regeneration
Roller Rink, Commercial Park,
Contact 07540 053179/07521303177
www.bordonrollerrink.co.uk
In-Focus camera club
A small, friendly photographers club with great photographic ambitions!
Meets 1st Saturday of each month. Costs - £3.00 to cover refreshments (tea, coffee and biscuits) is payable on the day. This also includes a complimentary raffle ticket for a monthly raffle with lots of unpredictable (!) prizes.
9am-10am
Forest Community Centre
Contact Dave Cox 07718 047872
infocusclub.co.uk
Deadwater Valley Trust
Our monthly Bordon Inclosure work party will be meeting for practical conservation work in the Inclosure. Meeting at the Bordon Inclosure car park (not suitable for children under 15)
10am-12noon
www.deadwatervalleytrust.co.uk
Bootcamp
Regular event for outdoor activities
a Bootcamp runs from the hall on Saturday mornings.
8am
Lindford Village Hall
Contact Suzanne Trim
email@example.com
www.lindfordpc.org.uk
MD Dance
We offer Ballroom, Latin American, Freestyle and Rock’n’Roll
Dance for all ages from 3 upwards
8am-12.45pm
Forest Community Centre
firstname.lastname@example.org
07810 208765
www.forestcommunitycentre.co.uk
Cricket match
Grayshott IVs v Churt III's
BOSC Pavilion is open to the public all day to watch the matches
From 1pm
Broxhead Pavilion, Lindford, GU35 0NY
www.broxheadpavilion.co.uk
Let’s ride
An inclusive ride for up to 8 participants
(Children aged 10+ welcome when accompanied by an adult)
Cycle Sphere Limited
High Street, Bordon, GU35 0AY
01420 470331
www.cyclesphere.co.uk
www.letsride.co.uk
www.facebook.com/cyclesphere.co.uk
Yoga boot camp
For those with a good level of fitness. Great for both men and women who want to improve their performance in other sports, athletes and other fitness enthusiasts. No Yoga experience necessary
3pm-4pm
BOSC Pavilion, Bolley Avenue, GU35 9HG
Contact Naz 07400 500600
email@example.com
www.yoganow.uk
Zumba
with Natalie Clinkard
7-8pm
Contact Natalie on 07713 033199
firstname.lastname@example.org
www.zumba.com
Contact SiGNAL – 01420 556335
SiGNAL Martinique House
Camp Road, GU35 0HJ
www.signalbordon.org
Bootcamp Fitness
with Luke Young
8-9pm
Contact Natalie on 07713 033199
email@example.com
SiGNAL Martinique House
CONTACT SiGNAL – 01420 556335
SiGNAL Martinique House
Camp Road, GU35 0HJ
www.signalbordon.org
Wellbeing Wagon
Free Event at Café 1759 with local GP Dr Leung, offering free blood pressure checks from 10am-12noon
Café 1759, Bordon, GU35 OFP
Contact 01420555970
firstname.lastname@example.org
www.cafe1759.co.uk
Everyone Active Open Weekend
Saturday 4 May
Everyone Active will be offering various free activities during the weekend. Collect your free everyone active card apply online or at reception
Free Swim 11.30pm-3.35pm
Free Gym Use 9am-5pm
Fun and Floats 1.30pm-3pm
Check our website or call for further updates on what is on offer.
Contact 01420 472549
Mill Chase Leisure Centre, Mill Chase Rd, Bordon GU35 0ER
www.everyoneactive.com/centre/Mill-Chase-Leisure-Centre
SUNDAY 5 MAY
Roller Rink
Whitehill and Bordon Regeneration
Commercial Park
British Roller Hockey Association Tournament
9am-6pm
Free Event Open to the public all day to www.bordonrollerrink.co.uk
Ladies Cricket Taster Day
Headley Cricket Club
11.30am - 1pm
BOSC Pavilion
Contact Ashley 07966 389769
www.headleycricketclub.co.uk
Reiki
Meet with Sue Ellis and learn the benefits of Reiki. Book your free taster session
11.30am-1pm
BOSC Pavilion, Bolley Avenue, GU35 9HG
Contact Sue 07877 257437
email@example.com
Teen Yoga (Ages 14-19)
Free Event Fun, challenging, comfortable and confidence-building.
No previous Yoga experience necessary
10.30-11.30am
BOSC Pavilion, Bolley Avenue, GU35 9HG
Contact Naz 07400 500600
firstname.lastname@example.org
www.yoganow.uk
Hogmoor Inclosure Junior parkrun
Organised weekly runs
9am
Hogmoor Inclosure
www.parkrun.org.uk/hogmoorinclosure
Breeze ride
Ladies only ride for up to 8 participants (Children aged 10+ welcome when accompanied by an adult)
Cycle Sphere Limited
High Street, Bordon, GU35 0AY
01420 470331
www.cyclesphere.co.uk
www.letsride.co.uk
www.facebook.com/cyclesphere.co.uk
Everyone Active Open Weekend
Sunday 5 May
Everyone Active will be offering various free activities during the weekend. Collect your free everyone active card apply online or at reception.
Free Swim 9am-3.30pm
Free Gym Use 9am-5pm
Badminton Courts (Booking essential)
Check our website or call for further updates on what is on offer
Contact 01420 472549
Mill Chase Leisure Centre,
Mill Chase Rd, Bordon GU35 0ER
www.everyoneactive.com/centre/Mill-Chase-Leisure-Centre
MONDAY 6 MAY
Hatha Yoga
Regular weekly class but newcomers always welcome.
10.30am-12noon
Broxhead Pavilion, Lindford, GU35 0NY
Contact Sue Tupper 07946 078559
email@example.com
www.broxheadpavilion.co.uk
Yoga Boot Camp
FREE TASTER SESSION
For those with a good level of fitness. Great for both men and women and young people from 13 years upwards who want to improve their performance in other sports, athletes and other fitness enthusiasts.
No Yoga experience necessary
3-4pm
Broxhead Pavilion, Lindford, GU35 0NY
Contact Naz 07400 500600
firstname.lastname@example.org
www.yoganow.uk
Let’s ride
Family bike ride for up to 8 participants (Children aged 10+ welcome when accompanied by an adult)
Cycle Sphere Limited
High Street, Bordon, GU35 0AY
01420 470331
www.cyclesphere.co.uk
www.letsride.co.uk
www.facebook.com/cyclesphere.co.uk
Everyone Active Open Weekend
Monday 6 May
Everyone Active will be offering various free activities during the weekend.
Collect your free everyone active card apply online or at reception.
Free Swim 9am-4pm
Bouncy Castle and Ball Pool 1pm-3pm (Booking essential)
Check our website or call for further updates on what is on offer
Contact 01420 472549
Mill Chase Leisure Centre,
Mill Chase Rd, Bordon GU35 0ER
www.everyoneactive.com/centre/Mill-Chase-Leisure-Centre
SEND US A SELFIE
...for a chance to win a £100 LOVE2SHOP voucher
All you have to do to be in with a shout is take a selfie of yourself taking part in one of the activities and upload it to Twitter or Facebook using the hashtag #SpringintoHealthWB - we will pick the best selfie at the end of the week and they will win the prize.
These events are run by each individual group and covered by their insurance and public liability. EHDC accepts no responsibility for any loss, damage or injury.
EHDC and the organisers would like to thank all that have supported this festival in 2019.
The Spring into Health Festival has been created to celebrate the Healthy New Town programme and to leave a lasting legacy of healthy lifestyles in Whitehill & Bordon for many years to come.
Printed on 100% recycled paper
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